Louis Dempsey

West Palm Beach, Florida Area, Florida United States

President, Renaissance Regulatory Services, Inc.

Finance / Banking / Insurance

Louis Dempsey has over twenty years of public/private sector regulatory, compliance and operations experience, which includes a unique combination of experience in advising and auditing broker-dealers, investment advisors and bank holding companies relative to federal, state, and self-regulatory rules and regulations. Louis has served as the Independent Examiner and Compliance Consultant on several SEC, FINRA, and State regulatory matters, and as an expert witness in litigation and arbitration proceedings related to sales practice violations. Specialties: SEC, FINRA and State Regulatory Matters. Regulatory Mandated Independent Compliance Consultant. Expert Witness.