Kathy VanNoy Pineda provides expert witness services specific to Broker Dealer compliance and standards, registered representative and investment advisor behavior, financial investments and products, and the adequacy of financial services firms' compliance, supervision and risk programs. Kathy, an attorney admitted to practice in New York, has over 30 years of industry experience, including roles as Chief Compliance Officer and Compliance Counsel. She has a thorough understanding of FINRA and SEC rules and has designed, developed and run large broker-dealer compliance and supervisory programs. Specialty areas include: Suitability, Financial Advisor Hiring, Training and Supervision, Selling Away, Outside Business Activities, Churning, Unauthorized Trading, Misrepresentation, Fraud, Broker/Dealer Standards, Compliance Policies/Procedures, Product Due Diligence, FINRA Form U-5, Investments Products, Annuities and Alternatives.
Areas of Expertise
- Financial Planning
- Fraud Investigation
- Risk Management
- Stocks & Bonds
- Q: Please list your professional accreditations, degrees, licenses, and certificates granted:
- A: - Juris Doctor, St. John's University School of Law
- FINRA Series 6, 7, 24, 26, 52, 65
- Certified Regulatory and Compliance Professional, FINRA Institute at Wharton
- Q: Please list your affiliations or memberships in any professional and/or industry organizations:
- A: • FINRA District Committee: Member, District 2, first term: elected to term beginning 2012; second term: elected to term beginning January 2016.
• FINRA Hearing Panels: May 2013, May 2014, July 2016, August 2016.
• National Association of Corporate Directors: Member since 2016.
• MSRB Professional Qualifications Test Writing Committee and Advisory Committee, S51 Examination, 2003-2006.
• SIFMA: Member, Compliance and Regulatory Policy Committee (while at LPL).
• FSI Compliance Committee (while at LPL).
• National Society of Compliance Professionals: Member, first joined in 1993; Board of Directors, 2003-2006; served as Board Chair, 2005.
• Compliance Forum: Member since 2009.
- Q: Please list any teaching or speaking experience you have had, including subject matter:
- A: • FINRA 2016 Annual Conference, Panel: Suitability: What You Need to Know, Washington, D.C., May 23, 2016.
• NSCP Regional Conference, Panel: Putting Compliance in Understandable Terms, San Francisco, California, March 7, 2016.
• SIFMA Compliance and Legal Regional Seminar, Panel Moderator: Navigating Senior Investor Issues, Denver, Colorado, January 28, 2016.
• FINRA 2015 Annual Conference, Panel: Suitability: What You Need to Know, Washington, D.C., May 28, 2015.
• SIFMA Compliance and Legal Annual Seminar, Panel: Ethics and the Role of the Compliance Department Lawyer, Phoenix, Arizona, March 18, 2015.
• FINRA Webinar, New Supervision Rules, February 26, 2014.
• Insured Retirement Institute (IRI), Government Legal and Regulatory Conference, Panel Moderator: Broker-Dealer Issues, Washington, D.C., June 17, 2013.
• Money Management Institute (MMI), Compliance and Legal Seminar, Panel: Chief Compliance Officer Panel, New York, New York, June 12, 2013.
• SEC CCOutreach BD National Seminar, Panel: Examination Priorities and Process, Washington, D.C., February 8, 2011.
• IRI Government, Legal and Regulatory Conference, Program Co-Chair and Conference Moderator, Washington, D.C., June 27-28, 2011.
• Bank Insurance and Securities Association (BISA), Fall Symposium, Panel: Fiduciary Standard, Washington, D.C., November 3, 2011.
• FINRA Annual Conference, Plenary Session: Sustaining a Broker-Dealer Compliance Program, Washington, D.C., May 26, 2010.
- Q: Have any of your accreditations ever been investigated, suspended or removed? (if yes, explain)
- A: No
- Q: On how many occasions have you had your deposition taken?
- A: >20
- Q: When was the last time you had your deposition taken?
- A: November 2016
Available Upon Request