Our People
Calvin Robinson
Founder & Managing Partner
Our Investment Banking and Rule 15a-6 expert has extensive experience with public offerings, private placements, M&A activities and foreign broker-dealers conducting business through U.S. registered firms. Calvin is adept at handling intricate regulatory issues, including conducting regulatory reviews mandated by FINRA and other SROs as part of the Acceptance, Waiver, and Consent (AWC) process.
Nicholas Pallante
Founder & Managing Partner
Seasoned with responding to regulatory inquires, examinations and formal actions, Nicholas acts as a liaison between our clients and regulators. His decades of experience ensure that regulatory matters are handled swiftly and efficiently. He is also proficient at conducting supervisory controls testing and providing specialized and annual training.
Kossiwa J. Aka
Managing Partner
As a Chief Compliance Officer (CCO) or Registered Principal, Kossiwa has effectively designed and implemented compliance programs for both new and existing broker-dealers and registered investment advisers. She has also successfully guided numerous firms through SEC and SRO examinations, consistently achieving results with no findings.
Glenn Marone
Managing Partner
Our New Membership expert has helped countless broker-dealers become registered with FINRA and the SEC, including digital asset broker-dealers. Glenn has also skillfully assisted firms in expanding their business operations by performing Continuance of Membership Applications and Materiality Consultations.
Who We Are
Our Partners and staff bring together a wealth of experience in navigating federal regulators and self-regulatory organizations (SROs). We offer practical insights into regulators’ expectations for effective compliance programs. Our team excels at designing customized programs that meet your specific needs while ensuring compliance with all relevant rules and regulations.
What Sets us Apart
Our dedication to providing exceptional consulting services at competitive prices that fit within your budget. We recognize the importance of customer service, which is why we are always available to assist you promptly.
Whether you aim to improve your existing compliance program or start anew, our expertise and knowledge enable us to develop a custom plan that delivers outstanding results. We value effective communication and are committed to helping you achieve your objectives.