A BETTER WAY.
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 or accounting 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.
Building expert teams for clients.
With extensive industry experience and excellent relationships, FirstMark Solutions can build the right team to help you solve complex problems. 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 fit for each 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.
Expert insights.
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 Compliance Podcasts
- Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
- Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry
- The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health
- The Latest Research: Why Do Targets Engage with Scams?
- The Victim Experience: When Romance Leads to a Crypto Scam
- Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
- FINRA’s Examination Program: Optimizing for the Future
SEC News
- SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
- SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud
- SEC Announces Enforcement Results for Fiscal Year 2024
- SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports
- UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit
- SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud
- SEC Chair Gensler to Depart Agency on January 20