Dionne Fajardo’s practice includes representation of broker-dealers, investment advisors and their associated persons in addressing the compliance challenges they face and developing strategies to implement effective solutions suitable for each client’s individual business operation. Her practice area also works with clients to successfully manage regulatory inquiries, examinations, and investigations by state and federal regulatory agencies and self-regulatory organizations from initial regulatory contact to resolution.

Dionne has a seventeen year career in the financial services industry with extensive experience covering many areas: