Internal Controls Expert Witnesses

Los Angeles, California

Securities & Investments, Risk Management - Reg BI, Regulation Best Interest, FINRA Programs, FINRA Risk Hierarchy, Sales Practice Issues, FINRA Rules, SEC Rules, Internal Controls, Broker-Dealer Compliance, Broker-Dealer Supervision, Broker-Dealer Regulatory Issue, Written Supervisory Procedures, WSP, Risk Monitoring, Risk Mitigation

President and Founding Principal of Diles Consulting, Colleen has 25 + years of experience in the securities industry. Colleen worked at the Financial Industry Regulatory Authority (FINRA) for 22 years supervising both Examination and Risk Monitoring teams. Most recently, at FINRA, Colleen served as Risk Monitoring Director and Los Angeles Office Senior Leader. Prior to joining FINRA, Colleen held the position of Mutual Fund Administration Supervisor at Chase Global Fund Service Company in Boston, Massachusetts. During her tenure at FINRA, Colleen developed and enhanced company programs and processes and successfully worked with technology partners to create solutions to advance Risk Monitoring business needs. Additionally, Colleen served as the Los Angeles Regulatory Point of Contact and established relationships with federal and state regulators through stakeholder forums. This included regular interaction with national and regional SEC offices, State securities regulators, NAASA...

Massachusetts

Accounting, Fraud - Financial Fraud, SEC Investigations, SEC Accounting and Reporting and Disclosures, Whistleblowers, Accounting and Auditing Malpractice, Bank Loan Loss Allowances, Bank Accounting and Auditing, Internal Controls, GAAP, GAAS, SEC Former Senior Assistant Chief Accountant, Accounting Professor

Currently providing litigation support and testifying services in civil and criminal matters regarding SEC accounting and reporting, financial fraud, internal control certification, Graham- Leach-Bliley and Sarbanes-Oxley and Dodd-Frank matters, bank and loan accounting, MD&A, whistleblower matters, revenue recognition, and accounting and auditing malpractice. Recently testified in Federal District Court criminal fraud case regarding SEC banking GAAP and MD&A disclosures and SEC procedures. Deposed in whistleblower case and have provided expert reports in whistleblower cases. Advising counsel and companies on SEC inquiries and investigations and civil litigation over accounting and disclosure matters including bank loan loss reserve controversies. Providing services in all US states. Co-author of SEC Staff Accounting Bulletin 102. Provided expert opinions related to internal controls and internal audit function of financial institution, applications of GAAS and GAAP. FTI Co...

Bedford, New Hampshire

Accounting, Fraud - Financial Fraud, SEC Investigations, SEC Accounting and Reporting and Disclosures, Whistleblowers, Accounting and Auditing Malpractice, Bank Loan Loss Allowances, Bank Accounting and Auditing, Internal Controls, GAAP, GAAS, SEC Former Senior Assistant Chief Accountant, Accounting Professor

Currently providing litigation support and testifying services in civil and criminal matters regarding SEC accounting and reporting, financial fraud, internal control certification, Graham- Leach-Bliley and Sarbanes-Oxley and Dodd-Frank matters, bank and loan accounting, MD&A, whistleblower matters, revenue recognition, and accounting and auditing malpractice. Recently testified in Federal District Court criminal fraud case regarding SEC banking GAAP and MD&A disclosures and SEC procedures. Deposed in whistleblower case and have provided expert reports in whistleblower cases. Advising counsel and companies on SEC inquiries and investigations and civil litigation over accounting and disclosure matters including bank loan loss reserve controversies. Providing services in all US states. Co-author of SEC Staff Accounting Bulletin 102. Provided expert opinions related to internal controls and internal audit function of financial institution, applications of GAAS and GAAP. FTI Co...