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Barbara Gettenberg, President
Barbara Gettenberg co-founded Gettenberg Consulting, the predecessor to ACI, in 1984. Prior to 1984, Barbara spent nine years in finance, accounting and management for Fortune 500 companies. She currently acts in the capacity of CFO (Financial and Operations Principal) for a number of NYSE broker dealer firms. Barbara's areas of expertise include regulatory reporting and both personal and corporate income taxation. Barbara received a Master of Science Degree from C.W. Post School of Professional Accountancy.
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Gary Gettenberg, Principal
Prior to establishing Gettenberg Consulting, Gary was associated with a Wall Street CPA firm for nine years, three as a partner. He was additionally affiliated with a NYSE specialist firm for five years. Gary acts in the capacity of CFO (Financial and Operations Principal) for multiple broker dealer clients. His areas of expertise include regulatory reporting and both personal and corporate income taxation. Gary Gettenberg received a Bachelor of Science Degree in Accounting from New York University in 1974. |
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Richard Nummi, Esq, Executive Consultant
Regulatory Compliance Speaker
Rick is a Former Senior Attorney with the United States Securities and Exchange Commission with expertise in both Enforcement and Regulatory Defense and Compliance. He is a nationally recognized authority in securities law, regulation and compliance and a featured speaker/educator at multiple industry trade conferences. Rick is also an experienced executive with a strong track record of helping registered representatives and broker-dealers succeed in a highly regulated industry. Rick has an extensive background in guiding broker dealers through development and/or recovery from regulatory findings. View Rick's upcoming speaking engagements. |
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Daniel C. Rome, Esq, Executive Consultant
Mr. Rome is an attorney with over fourteen years (14) of practical experience in the securities industry. His experience includes sales and client services as well as compliance and litigation. He has a true understanding of the sales oriented nature of the financial services industry. Mr. Rome has a BA in Psychology and his Juris Doctorate. In addition, Mr. Rome is a Certified Six-Sigma Green Belt with DFSS, a FINRA Arbitrator and a member of SIFMA-CL and the AML Strategic Leadership Group. He maintains the following FINRA licenses: 7,24,55,66.
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Jay Gettenberg, CPA and FINOP
Jay Gettenberg is a Certified Public Accountant and Financial & Operations Principal at ACI, the largest provider of accounting and compliance services on Wall Street. He currently manages ACI's world class team of accountants and serves as the registered FINOP for more than half a dozen broker dealers. Prior to starting at ACI, Jay was employed at both Ernst & Young and Reznick Group LLC, where he gained invaluable accounting experience and industry perspective. Jay's professional experience is complimented by the Series 7, Series 24, and Series 27 licenses and a Bachelor's and Master's Degree in Accountancy from Wake Forest University.
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Ron Nummi, Sales Consultant
Ron brings to ACI a half decade of first-hand broker dealer experience, having worked as a retail broker at GunnAllen Financial and as a financial consultant at Laidlaw & Company (UK) Ltd. He joined ACI in 2009 as a sales consultant and works with prospective clients to develop customized programs to meet their compliance and accounting needs. In addition to serving as a conduit to ACI's compliance and accounting experts, Ron works side by side with our management team to update programs for ACI's existing client base. He has earned his Series 7, Series 6 and Series 63 licenses and not only survived Bear markets but also Pamplona's running of the Bulls.
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Diana Kearns, Director of Marketing and Public Relations
Diana heads ACI’s marketing and public relations operations and oversees development and execution of all media campaigns, event presence, speaking engagements, affiliations, brand building, press, and marketing collateral. Diana is experienced in financial publishing and PR for financial clients and has worked at some of the leading media and communications corporations, including the WPP Group, the Omnicom Group and Crain Communications. She holds a Master’s Degree from Fordham University.
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| NEW JERSEY |
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Aldo J. Martinez, Esq, Executive Consultant
Prior to joining ACI, Aldo served as the Vice President of Market Surveillance for the NYSE, where he was responsible for all MKS regulatory/legal matters including representation in all trading investigations conducted by MKS involving federal securities laws and NYSE rules; coordinating/participating regulatory merger task force and special projects. Prior to that, Aldo served as the VP of Market Trading analysis II for the NYSE for 15 years., where he headed a department responsible for detection and investigation of insider trading and market manipulation. Aldo specialize in regulatory consulting in the following areas: trading market rules; trading market surveillances and investigation functions; regulatory auditing; staffing analyses; merger integration; procedures, regulatory structures; compliance; enforcement; expert witness; management practices, strategic planning and staff training.
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Judy Bryngil, Esq, Executive Consultant
Judy has more than 20 years of experience as an attorney and senior manager with the New York Stock Exchange (NYSE), where she was an active leader in developing surveillances and conducting investigations to detect possible insider trading, market manipulation, and other fraudulent activities. Ms. Bryngil championed the development of cutting-edge automated technology and an insider trading analytical tool for investigations, as well as the enhancement of an artificial intelligence system for real-time surveillance of trading. She also was a leader in delivering effective training and development programs for staff and in creating manual modules to facilitate understanding of surveillance, investigations, and documentation responsibilities. The NYSE is the world’s largest stock exchange, and the combined value of its traded companies exceeds $10 trillion. The NYSE establishes trading policies, supervises member activities, oversees trading, and protects the investing public. In addition to those areas of expertise, Ms. Bryngil is an accomplished instructor and recognized speaker.
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| NEW YORK STATE |
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Nancy Leo, Esq, Executive Consultant
Nancy is a regulatory compliance professional with 25 years of experience in the financial industry. Her previous employers include The Depository Trust and Clearing Corporation, Painewebber Inc, Kidder, Peabody & Company Inc, and E.F. Hutton & Company. Nancy has extensive knowledge in securities law, developing and maintaining compliance programs, broker dealer regulation, and auditing of year-end financial statements. She is a certified anti-money laundering specialist, a member of the New York State Bar, and received her MBA in Finance.
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James S. Altschul, Esq, Executive Consultant
Jim Altschul brings to bear wide-ranging experience in law, corporate finance, compliance, and international business. He practiced law with Davis Polk and Wardwell in New York. Jim ran a financial consulting firm and served as President, Chief Compliance Officer, and FINOP of a broker-dealer. Jim’s broker-dealer experience encompasses both managing the compliance and accounting functions and designing and building out the compliance infrastructure. Jim received an A.B. in East Asian Studies from Harvard and J.D. and M.B.A. degrees from Columbia, where he was a Harlan Fiske Stone Scholar. He holds Series 7, 24, 27, 63, 65 licenses. Jim has written and lectured extensively on financial topics, including the regulation of financial institutions in the U.S. and abroad. He speaks French and Japanese. Jim is a member of the Corporate Advisory Board of The Doe Fund, which helps homeless men get back into society.
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Mark Simonetti, Consultant
Mark has been in the securities industry since the early 1990's. He received his Series 7, 24, and 63 in 1992. In less than three years after becoming a licensed professional, he became not only a respected producer for the firm but was promoted to the position of manager, overseeing daily activities for the firm. The following year, he became President of his own branch while unilaterally creating his own broker dealer. He has been CEO as well as CCO throughout all of the regulatory changes within the securities industry since the mid 1990's. Mark brings 20 years of "hands on experience" to ACI, not only as a producing manager, but more importantly, as a Chief Executive Officer and Chief Compliance Officer of his own FINRA member firm since 1996.
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| CONNECTICUT |
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Jared D. Schneid, Executive Consultant
Jared has over 30 years of experience in the securities industry as a floor broker, exchange member, equities and options trader, managing director and company officer. Mr. Schneid served as the CCO for Concept Capital division of SMH Capital Inc. and is currently qualified as an Options Principal (Series 4), a General Securities Registered Representative (Series 7), a General Securities Principal (Series 24), a Limited Representative - Equity Trader (Series 55), and a Uniform Securities Agent (Series 63).
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Dick Jennings, Consultant
Dick Jennings brings 14 years of experience in developing tailored compliance program proposals for investment companies, broker dealers, investment advisors, and hedge funds. Previous employment at a leading compliance services firm has provided him with invaluable knowledge of SEC regulations and compliance best practices. In addition to his expertise in compliance program development, Dick previously worked as a registered representative for a major national wire-house firm, where he held the Series 6 and 63 licenses. He brings 35 years of sales and business experience to ACI.
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| TEXAS |
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Yvette Leslie, Executive Consultant
Yvette Leslie offers 15 years of industry experience. Her registrations include General Securities Representative (Series 7), General Securities Sales Supervisor (Series 9/10), General Securities Principal (Series 24), Registered Investment Advisor (Series 65) and Life, Accident and Health insurance license. Ms. Leslie has experience providing day-to-day compliance supervisory tasks for financial advisors and registered principals. She has conducted branch office inspections, handled complaints and internal investigations, and been responsible for maintaining the WSPs for FINRA member firms. She has extensive educational training and firm element training for various broker/dealers and registered investment advisory firms. She is responsible for ensuring compliance with all required federal and state rules and regulations. In addition to broker/dealer and registered investment advisory experience, Ms. Leslie has extensive banking experience.
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Melissa Barnes, Executive Consultant
Melissa Barnes offers 10 years of industry experience. Her registrations include General Securities Representative (Series 7), General Securities Principal (Series 24) and Uniform Combined State Law Exam (Series 66). Ms. Barnes’ primary responsibilities included monitoring exception reports, responding to regulatory inquiries, monitoring sales practices and addressing RIA and broker/dealer issues. In addition, she is responsible for Anti-Money Laundering review and training, trading reports and Books and Records reporting. In addition, she created procedures manuals for Customer Identification Programs.
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| CALIFORNIA |
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Laura Lang, Executive Consultant
Laura Lang is a former FINRA Member Firm owner, who now consults on a variety of Standard and non-Standard Compliance tasks. She holds multiple Securities Industry licenses and has a first-hand understanding of the balance required between business and compliance. She has overseen FINRA/SEC field exams; annual CPA audits; FOCUS & Schedule I submissions; and the preparation and review of monthly financial reports. She has taken part in the entire Field Exam process, from preparation prior to an exam; to the post-exam tasks of preparing client responses to stated exceptions and participation with the client onFINRA compliance calls and disciplinary conferences. She has experience both preparing/creating and updating all of the standard compliance tasks, including AML, BCP, CRD Submissions, CE Firm Element, FTC Red Flags and WSPs. Laura also has first-hand experience with the CMA (Continuing Membership Application) process, including Change of Ownership and Expansion of Approved Business types.
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| International |
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Keith Kessel, Esq, Consultant (Finland)
Keith Kessel is associated with Procopé & Hornborg, Ltd. and is working with ACI as a consultant. Mr. Kessel specializes in business law and financial industry compliance. He has been a corporate, securities and transactional lawyer and compliance professional in the financial services industry for the past 17 years. Mr. Kessel has served in various executive, legal and compliance roles for broker dealers (independent and bank channel), investment advisers, an investment bank, UCITS, a mutual fund service provider, insurance agencies, a stock exchange, and securities clearing and depository institutions.
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