Paul Carroll
President, Sententia LLC
Over 30+ years of experience in the Financial Services Industry with expertise in operational controls, processes and procedures.
Since 2011 he has been providing expert consulting, expert witness and testimony working with industry regulators, regulated brokers/dealers, attorneys and private parties in connection with investigations, trials, arbitration and mediation.
- FRB Regulation-T, FINRA Maintenance and Customer Portfolio margin
- ‘House’ risk margin
- Written Supervisory Procedures
- Suspicious activity and ‘Red Flags'
- Account Documentation requirements
- Security clearance & settlement
- Asset custody and control