image
ABOUT US

 Why the Tilkin Group as your expert for both litigation support and   compliance software procurement and utilization?

  • Expert in both compliance/sales supervision and compliance technology, efficacy, software and systems.
  • 20+ years in Senior Sales Management in Financial Services at Smith Barney and Wachovia Securities
  • Founder and CEO of Protegent, Inc.
  • Senior Managing Director - SunGard Enterprise Solutions
  • Extensive Strategy, Product, Expert Witness and Procurement Consulting

The Tilkin Group represents the convergence of compliance software and systems experts and financial services practice, policy & procedure expert witness resources.

Providing expert witness, litigation support, strategy consulting, forensics and testimony services.  We are;

  • relevant and contemporary
  • strengthened by expert knowledge of compliance software and systems
  • 20 years of senior sales management hands-on broker-dealer experience supervising 100's of brokers and scores of branch managers

Simply put; if your experts are not expert in broker-dealer compliance software and systems than they simply aren't experts in an industry that has changed the process of supervision, exception reporting and account review.  Technology has changed this at its operational core.

We have unique insight into the financial services community based on many years of "inside" work experience.  As broker, branch manager, regional director, senior managing director and later as designer and developer of the first systems to automate the process of supervision and sales practice review we are potentially your greatest resource in litigation support.  This is complimented by our extensive knowledge of compliance software and systems.  We have the ability to advance the use and efficacy of compliance systems to achieve the most optimum results.

We fully understand what motivates the broker, branch manager, compliance officer, senior management and the investing public.  We also can assure you that our presentation skills will advance your ability to succeed.  Expertise includes;

  • Unsuitability

  • Inappropriate asset allocation/investment objective

  • Breach of Fiduciary Responsibility

  • Churning

  • Unauthorized Trading

  • Misrepresentations/Omissions

  • Overconcentration

  • Fraud or Theft

  • Failure to Supervise

  • Employment Issues

As an advocate for your company, firm and clients you can feel confident in a the most reliable forensic analysis, litigation support and testimony services.

The TilkinGroup™ participates to afford your company the greatest chance of success.

You should always expect rapid, identifiable and measurable success for YOUR firm, division, clients and company.

Nothing less is acceptable or relevant.      

David Tilkin CV

CONTACT
 image