Financial Services Litigation Consultant and Expert Witness
Hingham, Massachusetts 02043
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David has been providing arbitration, litigation and expert witness services at varying degrees since 2000 when David left Wachovia Securities to start Protegent, Inc. Protegent was the first company to automate the process of broker-dealer exception reporting, analysis, risk management and audit.
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Articles Published by Tilkin Group
The Landscape of Broker-Dealer Compliance and Exception Reporting Systems
The landscape of compliance and exception reporting has changed significantly since 2002. Many brokerage firms were resistant to advancing their compliance and supervision efforts for years based on two factors: that the regulatory “bar” would be raised for firms using advanced compliance systems, and that the data, notes and documentation of the system would be discoverable. As it turns out, both of these facts have come to pass.Read Article