Our Clients: Law Firms

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We have the industry experts that you and your clients can depend on.

Oyster Consulting offers law firms a collaboration with the regulatory compliance and operational experts your clients need for registration, clearing contract review, remediation and expert witness services.  We are the compliance experts your clients need when starting an Investment Advisor or Broker-Dealer. Oyster consultants are former regulators, C-suite Executives, Managers and Supervisors who use their collective knowledge and experience to help your clients achieve compliance and remediate exam findings. Our team and subject matter experts will work collaboratively with the client and law firm to engage stake holders in the project process.

Expert Witness and Independent Consultant

We can act as an Expert Witness, Independent Consultant, or conduct independent, third-party reviews in pre- and post-settlement phases of an investigation. Our compliance and operations consultants have the knowledge, skill, experience, training and education that is needed for complex wealth management cases or regulatory actions. Our Law Firm Consultants understand evidence and testimony is based on their experience in the financial services industry. Because Oyster professionals come from a variety of backgrounds, their expertise and expert opinion is valued by adjudicators.

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Operational and Compliance Efficiency

Oyster Consulting has the multi-disciplined team your clients need. Whether the firm consists of a few employees or thousands, our experts will assess the firm’s current operating model and provide insights into marketplace options, alternative business models and how your clients can get the best value from their assets. Oyster can also help create and update Business Continuity Plans to include succession planning.

Our consultants have run and participated in some of the largest mergers and acquisitions in the industry’s history. We know what it takes to have a successful transition. From strategic planning and finding the right partner to the integration of firm cultures and systems, Oyster is the partner your clients need to create future value.

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The Oyster Difference

Oyster’s experts have decades of experience with FINRA and SEC regulators. Our employees are former regulators, compliance officers and C-Suite executives that have addressed an array of regulatory challenges. Our consultants leverage their collective knowledge and experience to help your clients achieve a reasonable compliance program or remediate exam findings.

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