Sign In

Louis Dempsey

President, Renaissance Regulatory Services, Inc.

Louis Dempsey is a seasoned professional with more than three decades of experience in public/private sector regulatory, compliance, and operations. He possesses a unique skill set in advising and auditing broker-dealers, investment advisors, and bank holding companies on federal, state, and self-regulatory rules and regulations. Louis has an extensive background in serving as an Independent Examiner, Compliance Consultant, and expert witness in SEC, FINRA, and State regulatory matters, as well as in litigation and arbitration proceedings related to sales practice violations. His specialties include SEC, FINRA, and State Regulatory Matters, Regulatory Mandated Independent Compliance Consulting, and Expert Witness services. Louis holds a BS in International Economics & Management from Florida State University.

L
Add to my network

Location

Boca Raton, Florida