Robert Moreiro is a Partner with Practus LLP. With a deep understanding of the federal securities laws, Robert provides registered investment advisers, broker-dealers, and other financial institutions comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML and OFAC regulations. He has represented registered investment advisers, broker-dealers, and individuals being examined, investigated, and prosecuted by the SEC, FINRA, other self-regulatory organizations and state regulators.
Prior to joining Practus, Robert was an Advisory Manager for Deloitte where he advised clients regarding BSA/AML and OFAC compliance issues. Robert also spent over ten years at FINRA where he served as Senior Counsel in the Department of Enforcement. While at FINRA, Robert lead many complex investigations and prosecutions involving, among other things, securities fraud, market manipulation, AML and supervision failures, and sales practice violations. He also serves as an outsourced Chief Compliance Officer/AML Compliance Officer for a fintech broker-dealer.
Robert is a Certified Anti-Money Laundering Specialists (CAMS), Certified Fraud Examiner (CFE), Anti-Money Laundering Certified Associate (AMLCA) and Certified Securities Compliance Professional (CSCP). Moreover, he is a member of the New York Bar and District of Columbia Bar. Robert also holds the Series 7 (General Securities Representative) and 24 (General Securities Principal) licenses. Robert received a Master of Laws in Securities & Financial Regulation from Georgetown University Law Center, Juris Doctor from University of Miami School of Law, Master of Professional Accounting from University of Miami School of Business, Master of Business Administration in Finance & Management from University of Miami School of Business, and Bachelor of Science in Business Administration from University of Florida.