U.S. Compliance Consultants Joins TD Ameritrade Institutional Affinity Services Program

(January 2009) U.S. Compliance Consultants is pleased to announce that the Company has been added to the TD Ameritrade Institutional Affinity Services Program.

Scott Gottlieb, President of U.S. Compliance Consultants, Writes Featured Article for Schwab Institutional on the Impact of the New Massachusetts Data Security Regulations

(December 2008) Schwab Institutional published a special edition of its Compliance Review periodical that was authored by Scott Gottlieb, president of U.S. Compliance Consultants. It provided an in-depth look at many of the new data security regulations applicable to investment advisers.

U.S. Compliance Consultants Selected to Provide Compliance Commentary for Reuters AdvicePoint

(September 2007) U.S. Compliance Consultants is pleased to announce that Reuters, the global information company, has selected the Company to provide ongoing compliance content for its new online investment adviser community. In addition, Scott Gottlieb, President of U.S. Compliance Consultants, will serve as a designated AdvicePointä “expert” and offer insight and advice on the key compliance issues confronting investment advisers. 

Scott Gottlieb, President of U.S. Compliance Consultants, Selected to Participate in Schwab Institutional On-Line Advisor Community

(August 2007) Schwab Institutional has selected Scott Gottlieb to serve as the exclusive compliance consultant to an online community of independent investment advisers.  Mr. Gottlieb will be providing insight on a wide-range of compliance topics of interest to both state and SEC registered investment advisors.

Scott Gottlieb, President of U.S. Compliance Consultants, Quoted in Bob Veres’ Inside Information

(April 2007) In a recent e-column, Bob Veres, the highly influential editor of Inside Information, relied extensively on the legal and compliance expertise of Scott Gottlieb for insight into the hidden perils in the new TD Ameritrade Advisor Services Agreement. Mr. Veres lauded Mr. Gottlieb’s value as a compliance resource:

“To give ME a closer look, I turned to attorney Scott Gottlieb, of U.S. Compliance Consultants in Greenwich, CT, who did a wonderful job of walking me through the document and giving me some insight into what advisors are, and should be, concerned about.”

U.S. Compliance Consultants Selected to Represent TD Ameritrade Advisor Group 

(April 2007) U.S. Compliance Consultants successfully represented a group of TD Ameritrade-affiliated investments advisors (total assets under management in excess of $2 billion) in their efforts to have TD Ameritrade rescind its new Advisor Services Agreement. U.S. Compliance Consultants will continue to serve as an advisor representative on the TD Ameritrade committee formed to draft the revised agreement.

U.S. Compliance Consultants Joins Schwab Institutional Preferred Compliance Vendor Program

(January 2007) U.S. Compliance Consultants is pleased to announce that the Company has been added to the Schwab Institutional preferred compliance vendor program.

Schwab Institutional Requests U.S. Compliance Consultants Write Monthly Column

(January 2007) U.S. Compliance Consultants is pleased to announce that Schwab Institutional has requested that the Company write a monthly compliance column as a resource for Schwab-affiliated investment advisors. While the column will focus primarily on compliance issues facing state-registered investment advisers, U.S. Compliance Consultants will write on a wide-range of topical compliance matters.

U.S. Compliance Consultants Joins Elite Group of Raymond James Service Providers

(October 2006) U.S. Compliance Consultants is pleased to announce that the company has been added to the Raymond James Financial Services’ preferred compliance vendor program. U.S. Compliance Consultants is only one of three (National Regulatory Services and National Compliance Services being the others) compliance consulting companies selected to provide services to investment advisors affiliated with Raymond James Financial Services.

U.S. Compliance Consultants Becomes a Scottrade Compliance Service Provider

(October 2006) U.S. Compliance Consultants is pleased to announce that the company has been added to the Scottrade Affinity Program as a preferred compliance service provider.

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