Catherine Mustico is the founder and Managing Director of Fundamental Compliance Consulting, LLC. She is responsible for ensuring that the Firm's clients receive a high-level of intimate quality service by offering Broker/Dealers compliance guidance and support for small to moderate sized firms.
Ms. Mustico has extensive experience in conducting sales practice examinations of FINRA member Broker/Dealers. Prior to Fundamental Compliance Consulting, Ms. Mustico enjoyed eight years as an Associate Principal Examiner, with the FINRA District Offices in DC and New York. She has led and collaborated on examinations of large investment banks as well as small to mid-sized firms. During her tenure, she acted as the New York District Office resident expert for fraud and financial crimes, private placement transactions, Anti-Money Laundering and was also responsible for providing national training to Member Regulation staff.
Ms. Mustico has vast knowledge of all aspects of brokerage operations and compliance requirements, and was responsible for determining member firms' compliance with FINRA, SEC, and NYSE.
Ms. Mustico earned her Bachelor of Arts in Economics from University of Buffalo. She is also a Certified Fraud Examiner and a Certified Anti-Money Laundering Specialist.