Trisha L. Cram Joins Wiand Guerra King P.A.’s Compliance and Regulatory Consulting Group
Tampa, FL – August 10, 2017 – Trisha L. Cram has joined the law firm of Wiand Guerra King as a Senior Regulatory Consultant in the Compliance and Regulatory Consulting Group. Ms. Cram has over seventeen years of broker-dealer and investment adviser compliance and operations experience, including serving as Chief Compliance Officer of two national financial services firms. Ms. Cram earned a degree in accounting from the University of South Florida and will graduate with a law degree from Stetson University College of Law in December 2017.
Since its founding in 2009, the lawyers and staff of Wiand Guerra King have provided representation throughout the United States in complex litigation and regulatory matters with a focus on the securities and financial services industries. The Firm formed its Compliance and Regulatory Consulting Group to focus on providing legal and compliance support to registered investment advisors, broker-dealers and their associated representatives to help mitigate litigation and regulatory risks. The Compliance and Regulatory Consulting Group helps clients comply with their ongoing regulatory obligations and works with them to identify their specific needs to design and implement tailored compliance programs. In addition, the Group works with clients to effectively manage and defend regulatory inquiries, examinations, and investigations by the various agencies that regulate the securities industry, including FINRA, the SEC, and state regulatory agencies.