About Ken Norensberg

Ken NorensbergKen 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;
  • Pricing;
  • Communications and;
  • Small Firms Advisory Board (SFAB).