Patrick M. Dennis has been involved in the securities industry for over 30 years, and is one of the Founding Principals of Oyster Consulting. Patrick not only acts as Oyster’s Legal Counsel, but is also responsible for client and employee engagement, as well as regulatory relations. Patrick’s career has included extensive work as an attorney with the Securities and Exchange Commission in both the Division of Corporation Finance and the Division of Enforcement, where he handled a variety of cases including complex financial fraud, insider trading, broker-dealer and investment advisory issues and revenue recognition. Patrick also served as General Counsel and Corporate Secretary for Banc One Securities Corporation (Bank One Corporation’s bank brokerage firm), and was a member of the firm’s senior management team.
Hank brings over 30 years of securities industry experience in the areas of Legal and Compliance to his role as Managing Director at Oyster. Hank has worked with multiple clients varying in size from national to smaller financial firms. His expertise has been engaged to act as contract Chief Compliance Officer, analyze compliance programs, assess product due diligence, develop a Conflicts of Interest program, testify as an expert witness, act as Independent Consultant on regulatory matters, and consult on a wide variety of issues. Immediately prior to joining Oyster, Hank was with LPL Financial Corporation, where he held Compliance leadership roles as Vice President of Surveillance, Sr. Vice President, and CCO of the nation’s largest independent brokerage firm. For more than 10 years, Hank was a regulator with both the SEC and FINRA. While with the SEC, he was assigned to the SEC’s Division of Market Regulation, working in the Office of Trading Practices, and the Office of Inspections, Options Branch. At FINRA, he served as regional counsel in FINRA Regulation’s Enforcement Department. Hank spent several years in private practice concentrating in broker/dealer compliance matters. He is also a FINRA Arbitrator and frequently speaks at securities industry conferences.
Evan Rosser is an experienced and respected securities industry professional with 25 years of experience managing complex securities investigations for NASD/FINRA and providing compliance expertise to both broker-dealers and investment advisors. As an Oyster consultant, Evan has served as CCO for both investment advisors and broker-dealers, as well as providing CCO support to several additional firms. Evan has also served as both a SEC-approved and a FINRA-approved independent consultant. Evan’s recent broker-dealer engagements have focused on market issues such 15c3-5 compliance, Reg SHO, and order type behavior. Prior to consulting, Evan supervised FINRA Enforcement’s investigative staff of more than 40 supervisors and examiners, and successfully completed hundreds of investigations alleging numerous FINRA and SEC rule violations including NASDAQ and OTCBB trading violations, excessive equity markups , and NASD/FINRA corporate financing and advertising rule violations.
For more information about how Oyster can help your firm, complete our contact form or call us at (804) 965-5400 and one of our Relationship Managers will contact you directly.