Ryan Murphy

Ryan Murphy has extensive experience in the financial services industry developing and testing brokerage industry compliance and risk management systems. Ryan has experience in broker/dealer compliance, supervision and conduct standards, branch office inspections, fraud detection and escalation systems, operational and compliance system controls, and registration of branch offices and associated persons.

Given his robust securities industry expertise, he assists our Forensics and Compliance practice with investigative and litigation matters involving branch office compliance and operational standards, registered investment advisor sales practices, communications with the public, licensing, registration, and disclosure obligations. Ryan also assists Disputes, Claims, & Investigation teams in developing corrective action plans for our clients, including those related to regulatory reporting, trade and account monitoring, supervision, advertising, and other communications with the public.

Before joining, Ryan supervised branch office examinations and compliance testing teams and served in various other compliance and operational related functions at large financial institutions like TD Ameritrade, Morgan Stanley, and Wells Fargo.