Bringing Experienced Consultation to Financial Professionals and Institutions

Sander j. Ressler

For more than 20 years, Sander Ressler has provided experienced consulting in the areas of financial services compliance. His experience is across the industry, providing financial institutions with the hands-on assistance they need as they meet the challenges of this volatile field.

Mr. Ressler also works with securities attorneys as they prepare their cases, and he also provides expert testimony in a wide range of cases.

Sander Ressler began his career from inside some of the top financial institutions in America. At American Express, American General Life Insurance, AIG, ING, and Societe Generale, Ressler worked in senior compliance positions.

He has also led many regulatory examinations for a number of state agencies as well as the Securities and Exchange Commission.

He provides a number of services for brokers and dealers including anti-money laundering measures and regulatory services including:

• Advertising Reviews
• Business Continuity Plans
• Compliance Technology Reviews
• Due Diligence Reviews
• FINOP Accounting
• Mock Regulatory Examinations
• Recordkeeping Reviews
• Surveillance Risk and Analysis
• Training and Education
• Written Supervisory Procedures

He also has extensive experience working with legal professionals on cases involving finance. He is available as an expert witness on many subjects including:

• Misrepresentation and omissions
• Overconcentration
• Churning
• Failure to execute trades
• Breach of fiduciary duty
• Margin account abuse
• Unauthorized trading
• Industry best practices

Sander Ressler stays ahead of the latest from the SEC and FINRA.

Mr. Ressler’s consulting practice combines customer service and results at a reasonable cost. Over the years as the industry has become more complex, compliance has become an expensive aspect of the financial sector. Sander Ressler offers financial institutions an alternative to hiring in-house positions for what is a niche part of the finance industry. His firm offers flexibility to suit the precise needs of every client.

By building a relationship with Sander Ressler, financial institutions have a source for all of their compliance needs. Mr. Ressler works with a number or regulatory agencies like the SEC and FINRA to make sure that the institution’s regulatory needs are in line with the latest in industry standards.