Broker Dealer Solutions
 

Legal Support Services

Litigation SupportB/D Solutions assists law firms in the review, research and critique of evidence for the case preparation of litigations, arbitrations and mediations in the securities industry. We are able to evaluate the technical merits of potential cases with an expert eye toward industry standards.

The principals of B/D Solutions are practiced in building "systems of supervision" as required by FINRA Rule 3010 and specialize in dealing with geographically dispersed sales forces.

We are also experts in how firms can and do use technology in implementing surveillance and monitoring programs to ensure their compliance efforts are effective and cost-efficient.

B/D Solutions can:

  • Determine adequecy of procedures and supervision efforts

  • Analyze work flows for regulatory compliance and operational efficiencies

  • Reconcile stock records, inventory accounts and shareholder records

  • Conduct work flow analysis to determine operational problems and concerns

B/D Solutions Consulting • 4060 Peachtree Road,
Suite D #322 • Atlanta, GA 30319 • 877-423-4636 • Copyright © 2004
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