Helping clients navigate
the complexities of our industry.
FirstMark’s founder, Mitchell Atkins, has the unique perspective of having held various staff and senior management positions over the years at the securities industry’s self-regulatory body, the Financial Industry Regulatory Authority (FINRA). As FINRA’s Regional Director for its South Region, he maintained overall responsibility for examinations and investigations in that Region. He frequently collaborated with other high-level staff in all areas of the organization. Known for his thoroughness and effectiveness in dealing with complex scenarios and crisis situations, Atkins is uniquely positioned to navigate his client’s most challenging issues. Those operating in a complex, highly-regulated industry benefit immeasurably by having strong working relationships with their regulators.
At FINRA, Mitchell Atkins was known and respected for his ability to forge excellent relationships. In response to a request by FINRA members for more direct interaction with their regulator, Atkins founded FINRA South Region Focus Groups. He was praised by many industry members for his willingness to understand and effectively respond to their concerns. Atkins will offer these skills to help clients build and manage effective relationships with regulators, even if there have been challenges in the past. Atkins has both the underlying technical expertise as well as the extensive experience necessary to help clients navigate even the most difficult regulatory and business situations.
Experience makes all the difference.
In today’s regulatory environment, it is not unusual to receive an official inquiry from a regulator. How a firm handles such an inquiry can make all the difference in the outcome. What you may think is a simple inquiry could be much more. In this environment, it is critically important to contact an experienced professional to help provide insights as to the best approach to handling a regulatory inquiry, investigation, or enforcement proceeding. While FirstMark Solutions does not provide legal services, its professionals can help you prepare responses to a regulatory inquiry. FirstMark’s founder, Mitch Atkins, has 20 years of experience working at the industry regulator, FINRA. In his role there as Senior Vice President and Regional Director oversaw thousands of examinations and investigations over the years. FirstMark clients benefit from Atkins’ experience and knowledge. Also, while FirstMark Solutions does not offer legal services, it maintains excellent relationships with top defense lawyers in the industry. FirstMark Solutions can also work with your counsel to provide support an expertise as needed.
Building expert teams for clients.
With extensive industry experience and excellent relationships, FirstMark Solutions can build the right team to help you solve virtually any problem. FirstMark maintains relationships with industry experts in virtually every area of the securities industry. Whether it is a financial expert or defense counsel, FirstMark Solutions can arrange for the right team to work towards your solution.
Even among experts, there is usually a perfect, single fit for each unique situation. FirstMark Solutions can help you build a highly effective team to most effectively address regulatory examinations, investigations, enforcement matters, OTRs, regulatory undertakings, membership applications, technology conversions, and more.
One of the single most unfortunate situations that occurs in any complex regulatory situation is the failure to identify the right resources and experts to help resolve the matter in the most effective manner. FirstMark’s principal, Mitch Atkins, has observed hundreds of professionals handle complex situations over the years and maintains excellent relationships with a wide variety of resource providers.
FirstMark Regulatory Solutions was founded to provide expert guidance and insight to those in the financial services industry – one of the most heavily regulated in the world. The breadth and scope of the ever-changing and sometimes overlapping regulatory requirements often prompts organizations in this industry to seek expert assistance. Navigating these complexities is our business and our passion. So much so that FirstMark Solutions does not offer some of the standard, more routine broker-dealer consulting services offered by other firms. This ensures that FirstMark Solutions is free to focus on matters which require immediate, creative and specialized attention.
- FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities
- FINRA Releases Report on the Rise of RegTech
- CE Council and FINRA Request Comment on Potential Enhancements for the Securities Industry Continuing Education Program
- FINRA Announces Governor Elections
- FINRA Fines Interactive Brokers $5.5 Million for Regulation SHO Violations and Supervisory Failures
- FINRA Publishes First Annual Industry Snapshot
- Military Spouses Receive Fellowships to Conduct Financial Counseling
- SEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud
- Biopharmaceutical Company, Executives Charged With Misleading Investors About Cancer Drug
- SeaWorld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges
- SEC and NYU to Host Sept. 21 Forum on High-Frequency Trading and Liquidity Resiliency
- Mark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices
- SEC Charges Investment Advisers With Defrauding Retail Advisory Clients
- Whistleblower Receives Award of Approximately $1.5 Million
- Atkins Discusses FinCEN CDD Rule on FINRA AML Panel
- AML Surveillance – Major FINRA AML Case
- Mitch Atkins Presenting at FINRA South Region Conference
- Epic BD AML Compliance Failure Yields Another Record Fine
- FINRA Tolerance for AML Compliance Failures Fading
- Atkins in Forbes: Email and Social Media Compliance