Rita G. Dew
The focus of Ms. Dew’s legal practice is on investment management and representing investment advisers and broker-dealers on issues dealing with corporate and securities law in the financial markets.
Ms. Dew is also the founder and President of National Compliance Services, Inc. (NCS), a compliance consulting firm servicing both state and federally registered investment advisers, hedge funds, mutual funds and broker dealers nationwide. Ms. Dew has over 20 years of experience in the compliance and regulatory side of the industry.
Prior to forming NCS, Ms. Dew established a software development company, ProFormware, Inc. that developed and provided specialized products to the financial securities industry. Ms. Dew received her undergraduate degree with a dual major in Finance and Computer Information Systems. She went on to earn her Juris Doctor from Nova Southeastern University School of Law. Ms. Dew was among the first to earn the designation of Certified Regulatory and Compliance Professional (CRCP) by the Wharton School of the University of Pennsylvania. Ms. Dew also held the FINRA Series 27, Financial and Operations Principal exam, and served as the FINOP for several FINRA member firms. Throughout Ms. Dew’s career she has been involved in a broad diversity of experiences with investment adviser and broker dealer firms.
DeeAnn M. Dempsey
Ms. Dempsey’s legal practice focuses on corporate and securities law. Ms. Dempsey received a bachelor’s degree in Political Science from Stetson University and a Juris Doctor from Florida A&M University, College of Law. She has been a member of the Florida Bar since 2010. Prior to joining Dew, Foxman & Haugh, PLLC, Ms. Dempsey’s legal practice focused on commercial and civil litigation.
Alan J. Foxman
Mr. Foxman’s legal practice focuses on corporate and securities law. Mr. Foxman received his BA in Criminal Justice from the University of Florida in 1984 and received his Juris Doctorate degree in May 1988 from Nova Southeastern University School of Law. He has been a member of the Florida Bar since October 7, 1988. Mr. Foxman is a past Chairman of the Government and Regulatory Committee of the National Association of Investment Professionals (NAIP) and writes the monthly “Compliance” column for “On Wall Street Magazine.” From April 1989 through June 1997 Mr. Foxman was employed as a staff attorney with the National Association of Securities Dealers, Inc. (“NASD” n/k/a The Financial Industry Regulatory Authority or “FINRA”) in their Office of Dispute Resolution. After leaving the NASD, Mr. Foxman owned his own law practice, concentrating on securities law, from October 1998 to November 2007.
Kelli A. Haugh
Ms. Haugh’s legal practice focuses on corporate and securities law. Ms. Haugh received her B.A. degree from the University of Miami and Juris Doctorate degree from Nova Southeastern University School of Law. She has been a member of the Florida Bar since 2005 and has over a decade of experience with compliance and regulatory matters in the securities industry, with an emphasis on investment advisers. She holds an Accredited Investment Fiduciary® (AIF®) designation, a Certified Securities Compliance Professional® (CSCP®) designation, and has held the FINRA Series 65 exam.
Craig D. Moreshead
Mr. Moreshead’s legal practice focuses on corporate and securities law. From 1998 to 2011 Mr. Moreshead served as Senior Counsel and Assistant Vice President to Lincoln Financial Group. His principal responsibilities included providing legal advice under the Investment Advisers Act and Investment Company Act to Lincoln’s registered investment advisers and mutual funds. Mr. Moreshead developed compliance policies and procedures for the advisers under Rule 206(4)-7 and the funds under Rule 38a-1. He was responsible with the CCO for oversight and testing of the compliance program, and for quarterly reporting to the Board of Directors. As counsel and corporate secretary, Mr. Moreshead worked closely with Board of Directors and sat on the firm’s Investment, Compliance, and Governance Committees. Mr. Moreshead also served as the Chief Ethics Officer, counsel to the Privacy Officer and to the firm’s broker-dealer on issues related to compliance, operations, and litigation. He was primarily responsible for representing the company with the SEC, FINRA, and state regulatory authorities on advisory and broker-dealer issues related to disclosures, complaints, litigation, information requests and examinations. Mr. Moreshead has served as a conference speaker on topics including cybersecurity, custody rule, Form PF, social media, advertising, and SEC exam priorities. Mr. Moreshead received his BA in Economics and Political Science from Hofstra University in 1990 and his Juris Doctorate degree in 1996 from Capital University Law School. He has been a member of the Maine Bar since 1996.
Erika A. Subieta
Ms. Subieta’s legal practice focuses on corporate and securities law. Ms. Subieta received her bachelor’s degree in Finance from the University of Florida and her Juris Doctorate degree from South Texas College of Law. She has been a member of the Florida Bar since 2007 and has extensive experience with compliance and regulatory matters in the securities industry, with an emphasis on broker dealers and investment advisers. Ms. Subieta has completed several FINRA broker-dealer new member applications as well as continuing membership applications. She also assists broker-dealer firms with net capital computations, financial reporting, regulatory filings, and other regulatory issues. She is currently a member of the Florida bar and has also obtained the FINRA Series 27 License.