About Us

Catherine Ladnier brings to her role as a consultant more than thirty years experience in the retail securities industry. Catherine began her career as an Account Executive with Merrill Lynch.

In 1990, Catherine was appointed to the Panel of Arbitrators of the NASD and the New York Stock Exchange. As an industry arbitrator, she has handled cases involving firm-client and firm-employee disputes. She is qualified to chair hearings as well as qualified to hear large and complex cases. She has experience in a wide range of legal issues including evaluation of complicated fact patterns and legal issues.

As a Compliance Principal for broker-dealers, she performed a range of compliance functions including branch inspections, conducted the needs assessment and developed the continuing education programs, reviewed and approved client account documentation.

As an independent compliance consultant, Catherine brings this experience to the job. She has performed branch inspections for firms around the country. Working with firms, Catherine will assist in the development of the inspection program, tailored to the needs of the firm.

The Joint Guidance, issued November, 2011, makes very clear that novice or unseasoned branch office examiners lack the depth of experience and understanding of the business do be effective. Bringing gravitas to the process is critical to instilling a culture of compliance and the independent consultant can add to the gravitas to this most important of the Compliance Department’s duties.

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