In a career spanning more than 30 years, Dave Paulukaitis has been actively involved in virtually every aspect of broker/dealer compliance. He began as an examiner with NASD (now known as FINRA) conducting financial/operational and sales practice examinations on a wide variety of broker/dealers. He then spent a number of years conducting and supervising sales practice investigations before being promoted to Associate Director of the Atlanta District Office, where he was responsible for overseeing all of the District’s regulatory programs. During his NASD career, Dave served on a number of national NASD committees and task forces, was an instructor in NASD’s accredited examiner training program for ten years, and was a two-time recipient of NASD’s Excellence in Service Award.
Since 2005, Dave has served as a Managing Director with ASN’s parent company, Mainstay Capital Markets Consultants, Inc. Dave provides regulatory and compliance consulting services to securities broker/dealers and registered investment advisers throughout the United States, focusing on the areas of supervision, supervisory controls, sales practices, and regulatory risk management. Dave frequently testifies as an expert witness in securities-related arbitrations and litigation and has served as an expert in various investigations and administrative proceedings initiated by the SEC and state regulatory authorities (both on behalf of and adverse to the SEC and the states). He has also conducted a number of regulator-mandated undertakings of broker/dealers in conjunction with the resolution of SEC, state and FINRA enforcement proceedings. Dave’s work with ASN focuses primarily on risk management. He works closely with ASN’s Chief Compliance Officer and with ASN’s advisers in identifying and addressing potential conflicts of interest.
Dave is a graduate of the University of Alabama in Huntsville.