Finra/Sec Compliance Expert Witness Listings

Welcome to our Finra/Sec Compliance experts directory. Browse the profiles below to find the right expert witness in Finra/Sec Compliance for your case. Our SEAK Expert Witness Database is always free to search.

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Carrie Wisniewski B/D Compliance Associates, Inc.

Lilburn, Georgia
Financial Expert Witness, Securities & Investments Expert Witness - Broker/Dealer Compliance, Regulatory Compliance, FINRA/Sec Compliance
Carrie Wisniewski has 32+ years of securities industry experience and has earned her MBA degree in Finance and holds numerous industry designations including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance Professional! , Certified Securities Compliance Professional! and Certified Financial Planner™. She also maintains several FINRA licenses including the 4, 7, 24, 27, 28, 53, 63, 79 and 99 and is qualified as an Industry Arbitrator for FINRA Dispute Resolution. Carrie's career accomplishments include employment as a registered representative and also as a member of the Compliance Department of Merrill Lynch. She was formerly employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned several awards for outstanding achievements. Carrie was recently elected to serve a 2nd term on the FINRA District 7 Committee. She is currently a member of the Forensic Expert Witness Association and the National S...
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