“The need for comprehensive yet effective control functions is at an all time high. I am committed to helping firms ensure they have a “best in class” control program that not only exists on paper, but is working, has been embedded in the firm's culture and is sustainable. ”
Patricia Solfaro has been assisting broker-dealers and investment advisers for the past 20 years with compliance matters and compliance programs, new business and product development and distribution, disputes, litigation, inquiries, investigations and regulatory enforcement matters. She has served as a trusted advisor to senior management at various financial services firms over the years. Prior to joining Bressler, Patricia was Managing Director and Head of Compliance for Barclays Wealth and Investment Management US. She was also a member of the Executive Committee.
Prior to Barclays, Patricia worked for nearly 10 years at Credit Suisse Securities LLC, where she held a number of senior roles in the Legal and Compliance Department.
Prior to Credit Suisse, Patricia served as an attorney and Assistant Manager of the Early Dispute Resolution Group at UBS Financial Services Inc.
Patricia began her career in 1998 as a law clerk to the Honorable William A. D’Annunzio of the N.J. Appellate Division. She then went into private practice with Bressler and focused on employment, securities and regulatory matters. Patricia is a member of Bressler's Senior Issues: Counseling and Litigation Defense group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.
- October 11, 2018ABA SRO Regulatory Forum on Senior Investor Issues
The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its upcoming program, "Regulatory Forum on Senior Investor Issues."… Read more
- June 20, 2017SIFMA Compliance and Legal Society St. Louis Regional Seminar
Bressler, Amery & Ross is a proud sponsor of the 2017 SIFMA Compliance and Legal Society St. Louis Regional Seminar. The seminar will feature presentations by leadin… Read more
- November 6, 2017Protecting Your Senior Clients: Compliance in Advance of the February 5 FINRA Deadline . . . and Beyond
It is projected that the number of Americans 65 years of age or older will double to 71.5 million by 2030.… Read more