David Rozenson Esq. is Legal Counsel and Senior Consultant for Boston Compliance Associates. David also has his own law practice where he provides separate legal services.
David is an investment management attorney with over 30 years of experience representing a wide range of financial institutions including investment advisers, hedge funds, broker dealers, mutual funds, private equity funds, private banks, trust companies and ERISA plan administrators. David has acted as Chief Legal Officer of funds and counsel to the fund's advisor and/or distributor. He also represents investment firms in all securities-related aspects of their business, including organization, trading and operations, compliance with Federal and state laws, private placements and 1940 Act-registered securities crowdsourcing, offerings, management of institutional assets, distribution arrangements, and implementation of Dodd-Frank He is a former Associate General Counsel of Bank of America and Columbia Management Group, and associate attorney at Dechert. He also writes about developments in financial regulation at his website ia-bd.com. David has spoken at various industry events including Trade PMR National Conference and the BD IA Compliance Officers LinkedIn Group Annual Evening Event.
David is a member of the Massachusetts Bar and the Boston Bar Association. David is a graduate of Brown University and received his Juris Doctorate from Boston College Law School. He is a three-time Jeopardy contestant and champion and has participated in the tournament of champions. LinkedIn Profile
Tina Petruzziello is the Founder and Compliance Principal of Boston Compliance Associates, providing customized regulatory solutions focusing on small to mid-sized investment professionals.
Tina has over 25 years of experience in financial services in various capacities including sales, technology, project management with an 18-year focus in compliance and regulatory requirements. Her clients have included hedge funds, investment advisors, broker dealers and state government. Tina's prior experience includes holding the following positions: Compliance Vice President at Bank of America, Senior Compliance Consultant at Protiviti and Deloitte and Touché. During her eight years at Fidelity Investments Tina has held various positions including mutual fund sales, stockbroker, analyst, and compliance consultant. Tina also organizes industry conferences and co-manages one of the largest regulatory communities for compliance and legal professionals via the LinkedIn group and learning seminars for industry professionals.
Tina co-authored an article on Massachusetts Data Protection Law, which was published in 2010, and keeps abreast of state and Federal regulations and requirements. Tina also assisted in providing detailed analysis and policy recommendations to Federal regulators regarding questionable mortgage investment practices at select financial services organizations, contributing to Title IV of the Dodd Frank Act. Tina has also spoken at various industry events including Schwab's Compliance11 Regional Conference, TradePMR National Conference, NAPFA National Conference, Thomson Reuters Accelus Regional Conference.
Tina received her bachelors degree from Northeastern University and a Master's in Business Administration from Boston University. LinkedIn Profile
Deborah has over 30 years of Broker Dealer operational and regulatory experience and is a receipient of the FINRA President's Award. She has a Bachelors of Arts, Economics from Rutgers and a Masters in Business Administration from Northeastern University. LinkedIn Profile
Boston Compliance Associates understands the opportunities and challenges with managing a small to mid-sized investment business in the financial services industry. That's why we offer seamless access to compliance and legal professionals who understand your business and provide clarity regarding your company's regulatory obligations. We realize that a detailed course of action outlining the client's regulatory requirements is a critical component in meeting long term business goals.
We take a holistic approach when addressing your compliance and legal needs. All our client engagements include one senior compliance consultant and one investment management attorney.
Our pricing model has been scaled to meet the budgetary needs of our clients. Clients expect one-on-one personalized attention and we deliver with an all-inclusive, flat fee pricing schedule with no additional hidden costs.
Exceptional service and value for the independent investment professional.
Dalkis D. Muir, Esq. received her LL.M., in Banking and Financial Law from Boston University School of Law, JD/MPA from Suffolk University Law School, and her B.S from Salem State University. She is admitted to the Massachusetts bar. Dalkis is a member of the National Society of Compliance Professionals.
Prior to establishing the Dalkis D. Muir Law Offices, Dalkis worked at a law firm in Boston with a specialized practice in corporate and securities law. She has extensive experience in corporate, securities. Dalkis has experience in drafting private placement memoranda and related documents for Regulation D, Rule 506 offerings of equity and debt securities, and prepared Blue Sky law filings. Her background also includes developing private securities offerings both onshore and offshore, and drafting various types of agreements.
Dalkis has extensive experience as a consultant for a New England based compliance consulting firm. Her work in this area includes counseling management personnel in the establishment of registered advisers. In this capacity, she drafts and reviews Form ADV and code of ethics, registers SEC and state investment advisers, customizes policies and procedures, drafts necessary agreements, and acts as an intermediary between clients and regulators.
Geoff Chalmers, Esq.is an attorney and FINRA-licensed compliance supervisor. He is engaged in private practice in Boston, MA, as a securities law specialist and broker-dealer – investment adviser compliance consultant. He is a member of the bar in Massachusetts and New York and also holds FINRA Series 7, 24, 63 and 65 licenses. Geoff has over 40 years of experience and specializes in legal aspects of public and private securities offerings, including hedge funds, venture capital firms and emerging companies. He counsels a number of brokerage firms, investment advisers, banking and other financial institutions on securities law and compliance issues.
Geoff was Vice President, General Counsel and Director of Compliance for Commonwealth Financial Network, Inc. Prior to Commonwealth, Mr. Chalmers served in a variety of counsel positions, including Vice President and General Counsel to Liberty Real Estate Management, Inc., a subsidiary of Liberty Financial Services, engaged in the sponsorship of real estate limited partnerships and the management of partnership operations, partner of Gray, Wendell, Chalmers & Dahlen, engaged in securities law practice and General Counsel, to Continental Investment Corporation a diversified financial services company. Before moving to Boston in 1972, Mr. Chalmers had practiced in New York City, starting with Cravath, Swaine & Moore, and moving briefly to Washington, D.C. as an attorney in the Division of Corporation Finance of the U.S. Securities Exchange Commission. Mr. Chalmers is a graduate of Harvard College, Columbia Law School and New York University.
Boston Compliance Associates