Expert Witness

FINRA / SEC

If you have a claim against your broker or brokerage firm, you will need strong legal representation to help you recover your investment losses. To support your claim, your lawyer may bring in an expert witness to testify. The expert witness’s testimony will often “make or break” a complicated case, where their FINRA and securities knowledge is critical.

Catherine Mustico can be retained as an expert witness and compliance consultant for disputes involving FINRA Broker-Dealers, Investment Advisers and Anti-Money Laundering.

AML Independent Testing Services by Fundamental Compliance Consulting

AML Independent Testing

All institutions are required to have their AML (Anti-Money Laundering) compliance programs independently reviewed. Our AML Independent Testing service can help small- to medium- sized businesses who may not have the personnel to focus on AML compliance. We can also help larger organizations who are struggling to keep up with the latest industry practices and compliance requirements.

Broker-Dealer Compliance Consulting Services by Fundamental Compliance Consulting

Broker/Dealer Compliance Consulting

Our Broker/Dealer Compliance Consulting service can offer numerous benefits for your investment firm, including: fresh insights on risk prevention, finding unintentional errors and violations, saving you money from hiring an in-house chief compliance officer, and avoiding costly penalties – millions and sometimes billions – that result in losses for your firm and your clients.

Fraud Audit Services by Fundamental Compliance Consulting

Fraud Audit Services

Fraud happens in two ways: intentionally altering the numbers in the books, or – more commonly – theft. Our Fraud Auditing service can assess your business or organization’s risk by observing the controls in place, inspecting documents, and asking the right questions. We’ll review your accounting system to see if fraud prevention procedures are in place and operating properly.

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Ph: 607-738-5058

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2843 County Line Dr.
Big Flats, NY 14814