With more than 17 years of experience in the financial services industry, Mr. Nuñez provides JLG attorneys with research and assistance on intricate regulatory issues involving investment advisers, investment companies and broker-dealers. In addition, Mr. Nuñez provides support on corporate compliance issues and risk management practices involving financial institutions. Mr. Nuñez has extensive experience with broker-dealer registrations and applications, investment company board reports and support during regulatory examinations.
Prior to joining JLG, Mr. Nuñez served as Chief Compliance Officer, Director of Client Services, and Securities Business Manager for Dunham & Associates Investment Counsel, Inc., a dually registered broker-dealer, federally registered investment adviser and investment company. Utilizing this diverse experience, Mr. Nuñez is able to assist counsel in many facets of our client's business needs.
- Investment company and investment adviser regulatory research
- Broker-dealer registrations and applications
- Mutual fund board and regulatory reporting
- Support for SEC, FINRA and state regulatory matters
Legal Risk Management Tips
- Editorial Advisors Corner: Risk Management Update April 2015 – Regulatory Pitfalls Regarding Fee Based AccountsWolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 07.2015
- Thomson Reuters Accelus , 03.30.2015
B.S., Political Science, Excelsior College
FINRA Series 4, 7, 24, (active), 9, 10, 53, 66 licenses (inactive)