Miriam Lefkowitz
Miriam Lefkowitz is the principal of Miriam Lefkowitz, LLC and Coda Advisory Group LLC. She serves as a subject matter expert on compliance programs and as an expert witness in regulatory and civil matters. She served as the Chief Legal Officer of Summit Equities, Inc./Summit Financial Resources, Inc. from 2014-2019 and as its Chief Compliance Officer from 2014-2015. The NJ-based regional BD/IA specialized in financial planning and model portfolio asset management. Previously, Miriam served as General Counsel of Shufro, Rose & Co., a NY-based BD/IA that provided discretionary fee- and commission-based asset management in individually managed accounts to retail clients. Prior to joining Shufro, Miriam served as General Counsel/Chief Compliance Officer, and Member of the Board of Directors of J.B. Hanauer & Co., a full service, retail BD/IA which specialized in municipal bonds. Before going in-house, Miriam served as Senior Counsel in the Enforcement Division of the Securities & Exchange Commission and practiced law at a firm in Miami. Miriam graduated from Columbia Law School and Columbia College. She is a regular speaker and author on securities and compliance topics and industry conferences and law schools. She was on the Board of Directors of the National Society of Compliance Professionals (NSCP) from 2014-2019, serving as its Chair in 2018. She served as the Chair of the Financial Services Committee of the Association of Corporate Counsel (ACC) in 2016 and as a member of the FINRA’s District 9 and North Region Committees from 2017-2019.
3d. ALL – Responding to Regulatory Investigations and Inquiries (Advanced - OPEN)