VIDEO
Client Testimonial: Neon Money
As an innovative new financial services company, Neon Money needed help navigating the complex registration process with FINRA.

Kaufman Rossin's risk advisory services team worked with Neon Money's chief compliance officer, Sam Santiago, to help the broker-dealer with their New Member Application. Following registration, our team continues to assist the firm with regulatory compliance while delivering tailored solutions to address their changing needs.

Client Testimonial:

Neon Money

Frequently Asked Questions

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Key Contacts

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Bao Nguyen, CAMS, CFE, CRCP

Principal, Broker-Dealer and Investment Adviser Practice Leader, Risk Advisory Services

Boca Raton

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Stephanie Richards, CAMS

Principal, Broker-Dealer & Investment Adviser Services

Boca Raton