E. Aaron Cartwright Iii, Attorney At Law
Aaron later transitioned into Compliance where he established standards and implemented procedures to ensure compliance programs throughout the organizations he served were effective and efficient in identifying, preventing, and correcting noncompliance with laws and regulations. He has reviewed FINRA, SEC '34, MSRB, FRB, & OCC (et al) Rules for compliance in Debt/Equity products, Corporate Finance, and Capital Markets lines of business. Aaron has also assisted in launch of private equity and hedge funds. He has studied cross border transactions and international movements of funds and financing.
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Sentiment Analysis
I have kept him on retainer since 2018 for my accounting firm and I refer my clients to him.
His communication with me throughout the process was thorough and he answered any questions that I presented to him.
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