Greg is a member of CRC Oyster’s Leadership Team, and provides regulatory compliance consulting and, through his law practice, legal counsel to the broker-dealer industry, guiding firms through FINRA New Member Applications and amendments to existing business models, as well as the purchase and sale of broker-dealers and the FINRA approval process for changes in ownership.
Prior to joining the firm, he spent {X} years at Modern Regulatory Services, LLC, where he supported the formation or ongoing compliance efforts of more than 200 financial services firms, with work spanning Written Supervisory Procedures and Compliance Manuals, AML compliance plans and audits, continuing education plans and needs analyses, business continuity planning, annual compliance meetings, corporate formation and governance, business operations review, and SRO examination preparation.
Greg received his J.D. from New York Law School and a B.S. in Political Science from Richard Stockton College. He is admitted to practice law in New York and Tennessee.
