As a securities litigation consultant, Greg Amoroso serves broker-dealers and insurance companies by working with the firm’s attorneys to develop compliance and business strategies in securities litigation, arbitration and regulatory matters. He evaluates the business models, operations and compliance systems and policies and procedures of clients to identify and recommend modifications to reduce or eliminate future litigation and/or regulatory risk. Greg also provides project management and implementation services to clients for the recommended modifications.
Greg offers more than 25 years of broker-dealer regulatory experience and he is certified as a Certified Anti-Money Laundering Specialist (CAMS). Prior to joining Sutherland, he was a supervisor of examiners with NASD’s District Office in Atlanta. While with NASD, Greg was not only responsible for the oversight of both routine and cause examinations, he participated in numerous national initiatives and sweep examinations.