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$15/h
1st lesson free!
Verified teacher profile
Response Time 24h
Lessons offered by Judith
  • Individual
The lessons will be held
Taught subjects
  • Corporate Law
  • Constitutional law
  • Financial Law
Levels
  • All Levels

Recently retired lawyer with teaching experience offers tutoring in constitutional and financial law

Methodology

I tend to talk on the subject matter and to encourage questions. I will work with anyone working in any of these areas. My approach is to, in effect, allow the student to govern the pace and the necessary content.

Background

I am a recently retired lawyer who worked in financial services and corporate law for many years. I am a high honors graduate of law school, and taught and published in church and state law.
As an in-compliance professional, I have, in essence, been training people for decades.

Rates

Rate for online lessons : $15/h
Rate for 5 hours of lessons : $13
Rate for 10 hours of lessons : $12

Details

Rates may vary depending upon specific needs of the student or particular project.

Lessons offered by Judith
Individual
The lessons will be held
Taught subjects
  • Corporate Law
  • Constitutional law
  • Financial Law
Levels
  • All Levels

Judith's resume

Work Experience

Consultant, Freelance Editor & Writer
Self-Employed - Gladwin, MI
May 2020 to Present
Provide expertise and consultation in full range of financial services compliance: securities, futures, options, banking, and insurance.
Consultant
Financial Services Compliance - May, Michigan, US
May 2020 to Present
Provide compliance advice throughout range of financial services industry, with particular expertise in advertising compliance, anti-money laundering, correspondence review, and securities and insurance.
Freelance Writer and Editor
Self-employed - Gladwin, MI
May 2020 to Present
Self-employed freelance writer and editor working in a number of fields, particularly legal, financial services, and academic fields. Writing academic materials, training materials, and blog posts. Editing advertising materials, blog posts and book-length materials including masters theses and doctoral dissertations, as well as non-fiction books.
Attorney admitted to Practice Michigan
Self employed - Gladwin, MI
May 2006 to Present
FINRA Licenses Previously Held: Series SIE, 4, 7, 9, 10, 14, 24, 53, 55, 63, 65, 79, 87, 99 Numerous LOMA certificates; CAMS, CRCM, CIPP/US; HubSpot Content Marketing Certification
Attorney at Law
CRCM - Southeifld, MI
2006 to Present
Professional
SVP, General Counsel & Chief Compliance Officer; AML Officer; Privacy Officer
CoreCap Investments, LLC and CoreCap Advisors, LLC - Southfield, MI
April 2012 to May 2020
Southfield, Michigan (April 2012 to May 2020): Senior Vice President, General Counsel, and Chief
Compliance Officer; AML Compliance Officer, Privacy Officer of registered broker-dealer and affiliated registered investment advisor; also Compliance Counsel to affiliated Field Marketing Organization in insurance. Handle all legal and compliance matters, advertising review and copy editing, email supervision, registration, options and municipal bond principal; general legal matters; HR law; liaison with outside counsel; contract review; liaison and coordinate with outside regulators; handled two Continuing Membership Applications with firm; currently handling DOL Special Financial Institution application for affiliated FMO. Cybersecurity and privacy; liaison with IT. Provided outside counsel services during formation of BD and RIA during 2011 and 2012. Keep track of judicial, legal and regulatory developments, analyzing and writing about same for compliance and training purposes.
Chief Compliance Officer and General Counsel of SEC-registered
Altin Holdings, LLC - Rochester, MI October 2009 to September 2011 investment adviser and commodity pool operator; branch office manager of independent branch of broker-dealer used by RIA/CPO; all legal and compliance matters; registration of firm and individuals; insurance licensed; engaged in process of obtaining broker-dealer, transfer agent, and insurance agency licensing for the firm.
Senior Vice President and Compliance Counsel
Central Pacific Bank - Honolulu, HI April 2007 to September 2009 previously Director of Corporate Compliance provide legal counsel on compliance and regulatory issues work with Compliance Department, draft compliance policies, procedures, and training materials track legislative and regulatory developments in all relevant areas serve on Management Compliance Committee and Trust Administration Committee prepare articles for employee and consumer publications draft customer agreements and contracts review customer documents, including trust instruments serve on brokerage division Product Review Committee review and advise on corporate contracts serve as compliance counsel, in particular to trust, investments, brokerage, BSA/AML and service quality respond to regulatory customer complaints and enforcement matters develop and implement enterprise-wide complaints handling system, identity theft prevention program, and vendor management system.
General Counsel & Chief Compliance Officer
Leonard & Company - Troy, MI September 2005 to April 2007 for Broker/Dealer, Registered Investment Adviser, Insurance Agency, Guaranteed Introducing Broker in futures); AML and Privacy Compliance Officer (for same); securities and futures law and compliance; draft and maintain various compliance manuals; prepare and perform Rule 3010 & 3012 testing, policies, procedures and certifications; perform RIA annual compliance review; review and approve promotional materials; write and conduct firm-element and ethics training programs; liaison with outside counsel and regulatory authorities; review employee personal trading accounts; review and approve new accounts; perform due diligence on private offerings; engage in general corporate, employment and contract law.
Deputy General Counsel; CCO
Man Financial Inc - Chicago, IL August 2000 to August 2005
Chicago, Illinois (August 2000 to August 2005): Senior Vice President, Deputy General Counsel,
Compliance & Regulatory Affairs; Chief Compliance Officer, Securities BD and Futures FCM; Compliance Registered Options Principal; AML and Privacy Compliance Officer (for all U.S. financial institutions in Man Group); securities law and compliance; draft and maintain compliance manuals; review and approve all promotional materials; write and conduct firm-wide continuing education programs; liaison with outside counsel and with regulatory examiners and bodies; review of employee trading accounts; draft and review contracts; foreign exchange dealer law and compliance; human resources and employment law matters; supervise Chicago Legal, Compliance and New Accounts staff of 12-15.
Senior Vice President & Compliance Office (PCIS); Vice President Regulatory Affairs
Pacific Century Investment Services/Bank of Hawaii - Honolulu, HI
February 1997 to July 2000
Honolulu, Hawaii (February 1997 to July 2000): Senior Vice President & Compliance Office (PCIS); Vice President Regulatory Affairs (BOH); Chief Compliance Officer for BD; compliance counsel for subsidiary insurance agencies, proprietary mutual funds, trust area and private banking; private client services area; wrote and conducted bank-wide compliance training programs; developed, wrote and implemented BD's continuing education program; wrote and implemented BD compliance manual; reviewed and approved all securities-related promotional materials; administered registration and regulatory continuing education process for BD with 100+ registered representatives.
Self-Employed
Chicago - Chicago, IL
November 1993 to January 1997
Self-employed attorney and consultant; practice concentrated in financial services law.
Associate in Market Regulation
Schiff Hardin & Waite - Chicago, IL February 1990 to November 1993 practice group; clients for whom work performed included banks, broker-dealers, futures commission merchants; registered investment advisers; commodity pool operators, commodity trading advisors, individual exchange members.
Law Student
Chicago-Kent College - Chicago, IL
August 1986 to January 1990
Graduated High Honors; second in class; 3.84/4.00
Vice President of FCM; Principal of Commodity Pool Operator
Index Futures Group, Inc - Chicago, IL March 1986 to December 1989
Chicago, Illinois (March 1986 to December 1989): Vice President of FCM; principal of commodity pool operator; compliance and new accounts matters; special projects for president and chief operating officer; reparations and arbitrations responses; liaison with outside counsel; corporate minutes for eight corporations; developed and implemented customer service department. Attended evening division law school from August 1986 through December 1989; prepared for bar exam from December 1989 through February 1990.
Education

Doctorate in History, Language, Law
Chicago Kent College of Law - Chicago, IL
August 1986 to January 1990
Skills

• Bank Secrecy Act
• Copy Editing
• Cybersecurity
• Information Security
• Legal Drafting
• Legal Research
• Research
• Writing Skills
• Securities Compliance
• Insurance Advertising Compliance
• Banking Consumer Compliance
• Reg BI & DOL Rule Compliance
• Privacy Compliance
• Futures Compliance
• Options Compliance
• Private Placements Law & Compliance
• Microsoft SharePoint
• Proofreading
• Financial Services
• Presentation Skills
• Administrative Experience
• Negotiation
• Business Continuity Planning
• Business Continuity Planning
• Risk Management
• Disaster Recovery
• Change Management
Certifications and Licenses

Bar, Michigan, Hawaii & Illinois, inactive

Assessments

Written Communication — Highly Proficient
August 2020
Best practices for writing, including grammar, style, clarity, and brevity.
Full results: Highly Proficient
Proofreading — Proficient
August 2020
Proofreading written texts. Full results: Proficient
Search Engine Optimization — Proficient
October 2020
Interpreting online website performance metrics and understanding search engine optimization tactics.
Full results: Proficient
Indeed Assessments provides skills tests that are not indicative of a license or certification, or continued development in any professional field.
Publications

God and Darwin in the Classroom
(concealed information) 1990
Law review article on history of creation evolution controversy.

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