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People in The News < Back Compliance : Sarbanes Oxley : Law : Sarbanes Oxley Steve Urcia Joins Capital Forensics
“Steve’s command of industry standards and extensive hands-on compliance and supervisory experience exemplifies the standards required to be part of the CFI team,” said Vadim Khavinson, president of CFI. As a member of the Bear Stearns’s compliance technology group, Urcia developed strategies to upgrade surveillance programs to comply with new NASD and Patriot Act reporting requirements for option, fixed income and mutual fund trading. He also served jointly as a managing director and compliance officer of the company’s New York-based home office, supervising a large retail sales force, developing surveillance tools and procedures to ensure compliance with trading regulations, and representing private client services as a member of Bear Stearns’s Compliance Committee. Urcia frequently assisted legal counsel with preparations for arbitration cases and often testified as an in-house expert. Urcia holds ten securities industry licenses, including the Series 24 – General Securities Principal and Series 14 – NYSE Compliance Officer. Capital Forensics, Inc. (CFI) provides expert testimony and litigation support, compliance consulting and data solutions for securities and ERISA-related matters. CFI’s seasoned experts have experience in all venues, ranging from mediations and arbitrations to state and federal court. For more than a decade, parties in legal matters have retained CFI for successful resolution of thousands of cases, as well as regulatory issues and data mining and analysis. Every case has a story to tell supported by analysis and exhibits. This is where CFI excels. |
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