Areas of Practice:
- Financial Services Regulation
- Investment Adviser and Broker-Dealer Compliance
- Securities Law
- Stetson University College of Law, J, Cum Laude
- World College West, BA, International Business and Management (Minor Chinese Studies)
- Florida – all courts
- Advises, consults, and aids broker-dealers and investment advisers in maintaining compliance
with federal and state regulations.
- Performs industry mandated compliance reviews and risk and conflict assessments, including
Investment Advisers Act Rule 206(4)-7 and FINRA Rule 3130.
- Drafts and revises investment advisers and broker-dealer policies and procedures for compliance
with industry rules, regulations and best practices.
- Represents clients in Securities and Exchange Commission (SEC), Financial Industry and
- Regulatory Authority (FINRA), and state securities and insurance department inquiries, routine
examinations, for cause investigations, and enforcement proceedings.
- Assists clients with initial and continuing registration and membership applications and reporting
- Performs internal investigations
- Assists clients with cybersecurity incident response.
Publications and Speaking Engagements
- Evolving Custody Responsibilities, Co-Author, National Society of Compliance Professionals
Currents, November 2021
- Evolving Custody Responsibilities, Panelist, National Society of Compliance Professionals
Annual Conference, November 2021
- Cryptocurrency, Moderator, Financial Markets Association Annual Compliance Conference,
- New Report on Broker-Dealer Cybersecurity Practices, Panelist, American Bar Association
Securities Regional Meeting, February 2019
- Regulatory Panel Discussion, Moderator, Hillsborough County Bar Association, January 2019
- Discussion About BICE to Regulation Best Interest – Where Are We Going?, Presenter,
Independent Broker Dealer Consortium 2018 Conference, October 2018
- CCO Liability, Presenter, Financial Markets Association, April 2018
- Don’t Get Caught Flat-Footed; Preparing for the Implementation of the Revised Form ADV,
Presenter, Financial Services Institute, August 2017
- The DOL Fiduciary Rule and BIC Exemption – What Next, Panelist, Financial Services Institute
One Voice Conference, January 2017
- Current Issues in Investment Advisory Compliance, Presenter, Financial Services Institute,
- Written Supervisory Procedures: A Roadmap to Victory (for Claimants), Presenter, Independent
Broker Dealer Consortium Annual Conference, September 2016
- Spotlight on Variable Annuity L Shares, Presenter, Financial Services Institute, September 2015
- A Penny for Your Thoughts; Recent AML Enforcement Cases, Presenter, Financial Services
Institute, January 2015
Professional and Civic Activities
Girls Inc. of Greater Miami, Board Member & Secretary
CHIEF (Executive Women’s Network), Member
Florida Securities Dealers Association, Member
National Society of Compliance Professionals, Member
Southeastern Women in Financial Services, Member
Lived in Florida since 1993
Married with two adult children.
Chief Compliance Officer & General Counsel, Element Pointe Advisors, LLC
Attorney & Shareholder, Wiand Guerra King P.A.
Chief Compliance Officer & Vice President, Transamerica Financial Advisors, Inc.
Financial Industry Consultant, Self-employed
Surveillance Manager & Asst. Vice President, InterSecurities, Inc.
Shareholder Services Manager & Asst. Vice President, William R. Hough & Co. & Hough
Group of Funds