GOLD MOUNTAIN CONSULTING, LLC

Gold Mountain Consulting offers a broad spectrum of consulting services to financial services industry professionals and participants including broker-dealer/RIA management, compliance professionals, financial consultants, investment adviser representatives, securities regulators and in-house and outside legal counsel. Gold Mountain Consulting is run by John Chung, a lawyer and consultant with more than 30 years of experience in the securities industry. Mr. Chung has been qualified as an expert in the following areas: suitability, know-your-customer, concentration, unauthorized trading, churning/excessive trading, supervision, due diligence (acquisition of brokerage assets, investment banking (underwriting) commitments, new product origination and development, complex products), BD/RIA regulatory rules/requirements, asset allocation, research-investment banking conflicts of interest, CRD reporting requirements, use/enforceability of pledge agreements, damage calculations, options, structured products, Variable Annuity/Universal Life products, prospectus delivery and PPM disclosure...