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Roberto Moreiro
also known as Robert Moreiro
About Roberto
Biography
Robert has over 20 years of considerable experience in financial services, advising Registered Investment Advisers and Broker-Dealers regarding regulatory and compliance issues. With a deep understanding of the federal securities laws, Robert provides Registered Investment Advisers and Broker-Dealers comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML regulations. He has represented Registered Investment Advisers, Broker-Dealers, and associated persons being examined, investigated, and prosecuted by the SEC, FINRA, other self-regulatory organizations and state regulators. He has assisted several Registered Investment Advisers in establishing SEC and/or state registration including drafting and filing all of the required documentation plus creating required compliance policies and procedures.
Practice Areas
2
Practice Areas
Financial Markets and Services
50%
25 years
Securities and Investment Fraud
50%
25 years
Fees and Rates
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Chat withLicenses
Licensed in New York for 17 years
State: New York
Acquired: 2008
No misconduct found
Licensed in District of Columbia for 22 years
State: District of Columbia
Acquired: 2003
No misconduct found
Location
Practus LLP
2001 L Street N.W., Suite 500, Washington, DC, 20036
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Experience
Work Experience
2021 - Present
Partner, Practus LLp
2014 - 2019
Advisory Manager - AML Practice Group, Deloitte
2009 - 2021
Managing Attorney, Robert Moreiro PLLC
2004 - 2014
Senior Counsel, Financial Industry Regulatory Authority (Finra)
2003 - 2003
Legal Intern, NASD
2003 - 2004
Attorney, Legal Source
2002 - 2002
Legal Intern, U.S. Commodity Futures Trading Commission
2001 - 2001
Legal Intern, U.S. Securities and Exchange Commission
2000 - 2000
Legal Intern, New York Stock Exchange (Nyse)
Education
2003
Georgetown University Law Center
LLM
2002
University of Miami School of Law
JD - Juris Doctor
1999
University of Miami
MPAcc
1997
University of Miami
MBA
1991
University of Florida
BSBA
Languages
English