FRANK J. BIRGFELD

Frank has 36 years of direct involvement in the securities markets and the brokerage firm community. He has been employed for over 32 years with the National Association of Securities Dealers (NASD).  He has had responsibility for regulatory compliance issues of registered persons, branch offices and brokerage firms in the western United States.  He was also a stockbroker and branch manager with large New York Stock Exchange member firms.  Some of his areas are:

• Regulations and rules of the Securities Industry

• Ethical standards of the Securities Industry

• Supervision requirements and practices

• The broker-client relationship

• Suitability and churning issues

• Equity, debt, and derivative products

   

  Resume

  Case Histories