Ken is President of RND Compliance and Managing Director of Luxor Financial Group, a nationally recognized leader in Broker Dealer regulation with an emphasis on Merger & Acquisitions of Broker Dealers, and New Membership Applications.

Ken also has deep brokerage experience in day-to-day operations, compliance and responding to regulatory examinations and inquiries from FINRA, the SEC and state regulators 

Ken brings over 15 years of experience in representing a broad spectrum of Broker Dealers in virtually all areas of operation and provides services in the following areas:

Additionally, Ken is a former member of the FINRA Board of Governors and was on the following committees and subcommittees:

• Regulatory Policy;
• Emerging Regulatory issues;
• Finance, Operations and Technology;
• Pricing;
• Communications and;
• Small Firms Advisory Board (SFAB).