Financial Investigations & Regulatory Compliance - INDEPENDENT CONSULTANT - Dallas, TX
(2026-01)
Provide independent investigative, financial crime and regulatory compliance consulting on complex financial and compliance matters.
- Consult on investigative strategy, financial records, regulatory considerations, risk assessment and supporting documentation.
- Recently assisted counsel in evaluating financial and investigative issues arising from civil litigation, providing analysis that supported an agreed mitigation approach and successful resolution.
Principal Examiner and Risk Monitoring Analyst - FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) - Dallas, TX District Office
(2012-01 - 2025-12)
- Performed 100+ risk-based examinations of broker-dealers, evaluating supervisory systems, AML controls, sales practices, books and records, and compliance with FINRA and SEC requirements.
- Identified sales practice and AML risks in 75+ matters, communicated findings, and worked with member firms and registered representatives to address regulatory deficiencies and reduce reputational risk.
- Authored 200+ detailed risk-monitoring reports summarizing findings, risk trends, and potential enforcement issues to support examination planning and timely regulatory action.
- Partnered with Enforcement and Legal teams in 16 examinations, developing remedial guidance and supporting disciplinary actions, including sanctions against five firms.
- Delivered subject matter expertise and training on emerging risk indicators and best practices to dozens of FINRA member firms during 8 district compliance meetings, helping member firms avoid sanctions and curtailment of business operations.
- Participated in 6 on-the-record testimony sessions of FINRA registered representatives, ensuring that broker-dealers with potential rules violations accounted for their actions, including two membership withdrawals.
- Mentored 8 new examiners, reviewing work product and draft reports, challenging conclusions, recommending courses of action, and providing feedback on examination practices.
Private Investigator - PRIVATE INVESTIGATOR - Birmingham, AL
Conducted over 50 corporate, financial, and background investigations for law firms and private clients, delivering expert analysis and due diligence in fraud, embezzlement, and asset recovery cases.
- Prepared comprehensive reports and evidence summaries supporting successful client outcomes.
Special Agent - FEDERAL BUREAU OF INVESTIGATION (FBI) - Dallas, TX and Birmingham, AL Field Offices
- Investigated 150+ complex matters, including terrorism activities, financial crimes, corporate fraud, and public corruption that resulted in dozens of criminal convictions in federal and state courts.
- Collaborated with U.S. and foreign law enforcement and intelligence agencies to build prosecutable cases and ensure inter-agency coordination, resulting in over 30 administrative and legal actions in both United States and abroad.
- Interviewed hundreds of case witnesses and subjects and drafted and executed over 20 white-collar crime search warrants, several of which were organized for other agents.
- Testified over 40 times in federal and state courts, leading to dozens of convictions for crimes ranging from fraud and money laundering to illegal narcotics dealing.
- Coached 7 new FBI agents through their probationary periods and mentored 25+ state and local law-enforcement officers assigned to terrorism task forces.
- Trained groups ranging from several to hundreds of state / local law enforcement officers and corporate entities in counterterrorism and AML investigative techniques, management and ethics, optimizing enforcement of federal laws, and assisting private companies to avoid sanctions related to money laundering and terrorism.
