Dionne Fajardo

Dionne Fajardo
Attorney
721 First Avenue North
St. Petersburg, Florida 33701
(727) 898-7210
Paralegal: April Bogert
abogert@eflegal.com

Areas of Practice:

• Financial Services Regulation
• Investment Adviser and Broker-Dealer Compliance
• Securities Law

Education:

• Stetson University College of Law, J, Cum Laude
• World College West, BA, International Business and Management (Minor Chinese Studies)

Bar Admissions:

• Florida Bar
  

Court Admissions:

• Florida – all courts

Representative Cases

• 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
  with regulators.
• 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,
  May 2019
• 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,
  December 2016
• 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

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Background

Lived in Florida since 1993
Married with two adult children.
Former Positions:
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

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