About Ken Norensberg
Ken is the Managing Director of Luxor Financial Group, a nationally recognized leader in Broker Dealer regulation with an emphasis on Merger & Acquisitions of Broker Dealers, New Membership Applications as well as day-to-day operations, compliance and contending with regulatory issues from FINRA, the SEC and State Regulators.
Ken brings over 15 years of experience in representing a broad spectrum of Broker Dealers in virtually all areas of operation and provides services in the following areas:
- New and Continuing Membership Applications including expansions of personnel and business lines;
- Written Supervisory Procedures, Anti Money Laundering Procedures, Business Continuity Planning, Firm Element Continuing Education;
- Branch Office Audits, CEO/CCO Certifications, AML Independent Testing;
- Responding to Regulatory Audits, Wells Letters and other disciplinary proceedings;
- Conflict Resolution with Regulatory Bodies and Enforcement Agencies;
- Expert Witness.
Additionally, he is a former member of the FINRA Board of Governors and was on the following committees and subcommittees:
- Regulatory Policy;
- Emerging Regulatory issues;
- Finance, Operations and Technology;
- Communications and;
- Small Firms Advisory Board (SFAB).