- Broker-Dealer Litigation and Consulting
- Broker-Dealer Compliance
- Regulatory and Internal Investigations
- Employment and HR Issues
Kamran FotouhiManaging Director
Kamran brings over 20 years of financial industry experience, focusing on compliance and supervisory related matters for FINRA and major financial institutions. He has extensive experience handling complex matters including product compliance, supervision, financial and operational reviews, clearing firm matters, AML, and advisory program oversight. He is also proficient in conducting internal investigations, client remediations and managing regulatory examinations.
Prior to joining CFI, he served as a Surveillance Director at FINRA, where he identified and addressed current and emerging risks in conjunction with monitoring the oversight of 265 broker-dealer firms’ compliance with industry rules and regulations. He has also served as Compliance Liaison for First Clearing LLC. (a Division Wells Fargo) where he was the direct point of contact for Chief Compliance Officers and Principals of over 100 introducing broker-dealers regarding compliance and risk matters.
Kamran is a Chartered Financial Analyst, and previously held Series 7, 24, 63 and 65 securities industry licenses.
Address: 1530 East Dundee Road, Palatine, IL 60074