- Broker-Dealer Litigation and Consulting
- Broker-Dealer Compliance
- Regulatory and Internal Investigations
- Insurance and Annuities
- Employment and HR Issues
- Fiduciary Duty – DOL and Investment Adviser
Wesley Ringo (Wes), Esq.Expert Witness
Wes Ringo brings more than 40 years of Regulatory, Legal and Compliance expertise to CFI. He is a highly respected compliance and legal professional who, for 11 years, led J.J.B. Hilliard Lyons’ broker-dealer, investment adviser, municipal adviser and Trust Company compliance effort.
In earlier roles, Wes held Senior positions in Legal and Compliance capacities, including Director of Compliance for Northern Trust Securities, Inc. of Chicago IL, Assistant General Counsel and Director of Regulatory Affairs at U.S. Bancorp Piper Jaffray in Minneapolis, MN, and Director of Compliance for Stifel, Nicolaus in St. Louis, MO.
Wes also held highly visible Regulatory roles earlier in his career, including the Senior Financial and Sales Practice Examiner with the CBOE, and the Commissioner of Securities for the state of Wisconsin.
Wes holds an AB Degree from St. Louis University, an MBA Degree from Loyola University of Chicago and a Law Degree from the University of Wisconsin Law School.
He holds his Series 3, 4, 8, 14, 24, 63 and 65 securities industry licenses