Trisha Cram joined the firm in 2017 and focuses on assisting broker-dealers, investment advisors and their associated persons in mitigating litigation and regulatory risks. Trisha addresses the compliance challenges faced by the firm’s clients and seeks to develop strategies to implement effective solutions suitable for each client’s individual business operation. She also works with clients to effectively manage regulatory inquiries, examinations, and investigations by the various agencies that regulate the securities industry, including FINRA, the SEC, and state regulatory agencies.
Prior to joining the firm, Trisha spent over seventeen years in the financial services industry, including as Chief Compliance Officer for Transamerica Financial Advisors, Inc., and J.W. Cole Financial, Inc. and J.W. Cole Advisors, Inc.
Trisha has been involved in the community having served on the Board of Directors for the Florida Securities Dealers Association and the American Cancer Society’s Making Strides Against Breast Cancer event in Pinellas County. Trisha also volunteers with Keep Pinellas Beautiful and Feeding Children Everywhere.
Trisha is currently working to earn her law degree from the Stetson University College of Law. She received an Academic Excellence Merit-Based Scholarship, was inducted into Phi Delta Phi, an international legal honor society, and was awarded a spot to compete in the Phelps Dunbar First-Year Appellate Advocacy Competition. Trisha earned a degree in accounting from the University of South Florida.
Trisha has extensive experience in many areas of compliance, including:
- Regulatory Matters (e.g., FINRA 8210 requests, regulatory examinations, etc.)
- FINRA 3120 Review
- SEC Rule 206(4)-7 Annual Review
- Development and Implementation of Written Supervisory Procedures
- Complaint Handling
- Monitoring and Surveillance
- Disclosure Requirements
- Anti-Money Laundering
- FINRA Membership Agreements
- Compliance Technology Implementation
- Training and Continuing Education Programs
- Securities and Financial Services Consulting
- FINRA and SEC Compliance
- Candidate for Juris Doctor, Stetson University College of Law, 2017
- B.S., Accounting, University of South Florida, 2009
- American Bar Association
- Hillsborough County Bar Association
- Clearwater Bar Association
- National Society of Compliance Professionals
- Southeastern Women in Financial Services
- Phi Delta Phi International Legal Honor Society
- Recipient, Academic Excellence Merit-Based Scholarship, Stetson University College of Law, 2014-2017
- Competed in the Phelps Dunbar First-Year Appellate Advocacy Competition