Frank Skinner

Since 1998, Frank Skinner has successfully practiced as a commercial litigator and as "out-sourced" general counsel to several small to mid-sized firms. Frank most recently served as General Counsel and Chief Compliance Officer for an independent-model broker-dealer and registered investment adviser for eight years, where he provided regulatory compliance and legal guidance to the firm and its employees. Frank managed the firms' regulatory SEC, FINRA, and state examinations, and, as General Counsel to the firm, managed the litigation of the firms' legal matters.

Using his experience from private practice and in-house experience in the securities industry, Frank provides litigation support, counsel, and guidance to broker-dealers, investment advisers, and their representatives concerning compliance with federal securities laws and regulations, and the securities laws of Pennsylvania and New Jersey.

Frank is a member of the New Jersey and Pennsylvania State Bars.

2e. IA/PF - Annual Review of Policies and Procedures (Intermediate)