Strategic Partners

Joseph Sabatino – Florida

Joe brings over 20 years of internal audit and compliance experience in the financial services industry. Joe is actively involved with several financial services associations and provides expert guidance and support that our financial services clients expect and deserve. Prior to joining Premier Consulting Partners, Joe was a Director at KPMG in its Risk and Advisory Group where he supervised and executed several internal audits and regulatory engagements including AML/BSA independent testing, consumer compliance, asset and liability management, and various operations areas. Joe also worked for several top-tier banks including Lazard, the Bank of New York, JPMorgan Chase, Goldman Sachs, Morgan Stanley and SMBC. Throughout his career, Joe has had extensive experience interacting with bank examiners and regulators. Joe holds a Bachelors of Science in Accounting from Saint John’s University, is CAMS certified and successfully passed the CPA examination in 1993.

Maya Drutau- Florida

As President/Owner of the Brokerage Financial Solutions, Inc., Maya Drutau provides outsourced FINOP services to FINRA broker/dealers since 2004. Ms. Drutau worked at BISYS Regulatory Services from 1999 to 2004 and has been active in the area of financial reporting since 2002. She performed all of the bookkeeping and accounting functions that a FINOP would handle for a fully disclosed broker/dealer. Ms. Drutau was a supervisor in the Financial Reporting Division. In this capacity, she reviewed and prepared financial statements and regulatory reports, communicated with regulatory examiners and clientele on net capital and broker/dealer compliance issues, analyzed net capital fluctuations from prior reporting periods and provided training for new employees. Ms. Drutau passed the NASD Series 27 examination and obtained her FINOP license in August of 2003.

Prior to her transfer to the Financial Reporting Department at BISYS Regulatory Services, Ms. Drutau was a supervisor for Investment Adviser Registrations. Ms. Drutau’s responsibilities included, but were not limited to, initial registration and set up, ADV amendments, registration of investment adviser representatives and renewal of investment adviser and broker/dealer state registrations. By nature of her responsibilities, Ms. Drutau has been involved in frequent communications with FINRA examiners. Ms. Drutau processed over 40 new investment adviser applications annually.

BISYS Regulatory Services handled financial reporting for over 130 different broker/dealer firms and provided these firms with all the necessary schedules, ledgers and computations to allow broker/dealers to meet their necessary FINRA
filing requirements. BISYS also filed FOCUS reports on behalf of these clients. At one time or another, Maya has worked with each one of these clients.

Larry Halpern – New York

Larry has more than 34 years of experience in the financial services industry working with broker/dealers and registered investment advisers. He has 24 years of hands-on sales supervisory and field management experience, with major firms including but not limited to Merrill Lynch, Lehman Brothers and Morgan Stanley. His supervisory responsibilities at broker/dealers have included sales management, product and compliance at local branch and divisional levels. While at Morgan Stanley, he was on the firm-wide committee that oversaw the installation of the Actiimize surveillance software. He has held the following FINRA registrations: 3,4,5,7,12,14,15,24,53,55,63,65.

As a consultant to attorneys and their clients in arbitration and trials, Mr. Halpern has acted as an expert witness representing both claimants and respondents. His areas of expertise include Broker/Dealer/Client Disputes; Industry disputes; Securities Fraud; Supervision; Suitability; Sales practices; SRO regulations; Industry Standards and Practices (including best practices); Equities; Fixed Income, Equity and Index Options, Mutual Funds; Product development. Mr. Halpern is also a Certified Fraud Examiner (CFE) as accredited by the Association of Certified Fraud Examiners (ACFE). In order to become a CFE, he has met a stringent set of criteria and passed a rigorous exam administered by the ACFE. He has successfully met the ACFE’s character, experience, and education requirements for the CFE credential, and has demonstrated knowledge in four areas critical to the fight against fraud: Fraudulent Financial Transactions, Criminology & Ethics, Legal Elements of Fraud and Fraud Investigation. CFEs have the ability to: examine data and records to detect and trace fraudulent transactions; interview suspects to obtain information and confessions; write investigation reports, advise clients as to their findings and testify at trial; be well-versed in the law as it relates to fraud and fraud investigations; and understand the underlying factors that motivate individuals to commit fraud.