Dennis Ferguson

Dennis is the retired vice chairman of sterne agee clearing. Sterne Agee, member New York Stock Exchange, and its affiliates is engaged in processing, securities transactions for correspondent broker dealers (introducing firms) and provides securities brokerage, custody services, investment banking and other financial services to individual, corporate and public clients.

Dennis has extensive experience serving the securities industry through the SIA/SIFMA and NASD/FINRA. Positions include member FINRA Board of Governors, Chairman Regulatory Policy Committee, Chairman National Adjudicatory Council, Chairman SIFMA Clearing Firms Committee, President Florida Securities Dealers Association as well as numerous other regulatory activities.

As an industry professional, Dennis evolved through supervisory and management roles with regional mid-size firms starting in 1970 culminating with 30 years of experience creating, developing and managing clearing/carrying firm services holding the most senior positions.

Industry knowledge and experience enhanced by regulatory service gives Dennis a unique capability to opine and present expert testimony on all facets of the securities industry with emphasis on customer protection, introducing firm/clearing firm relationship and carrying firm processes.

Dennis works from RRS’ Boca Raton offices and is available for consulting and expert witness services.

(561) 368-2245
DFerguson@RRSCompliance.com