Has FINRA or the SEC contacted you regarding a customer complaint, arbitration or Form U-5 filing related to your firm? Are you unsure about how to respond to a Letter of Caution or recent examination findings?
Bring in MCD Consulting to handle the research and response of regulatory matters. We have years of handling and investigating cycle, finop and cause examiinations both as a regulator and compliance professional. Let MCD's experience help your firm resolve regulatory inquires quickly.
Sensible Solutions. Exceptional Service.