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Special Investigations

As former NASD examiners, we are experienced professionals who are qualified to conduct special investigations on a variety of regulatory issues.

Our goal is to identify, prevent, and/or provide guidance in respect to the following:
  • Examination of rogue/statutorily disqualified registered representatives.
  • Resolve Net Capital violations and accounting reconciliation.
  • Investigate allegations of sales practice violations such as: churning, suitability, misrepresentation, and unauthorized transactions.
  • Conduct internal audits and reviews of books & records.
  • InvestmentCare Consulting Group can save you time and money, as well as reduce your risk exposure through our special investigation program. For more information regarding our special investigation program, please contact us at 818-386-6900.

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