Dionne C. Fajardo Named Shareholder at Guerra King
Tampa, FL, August 10, 2017 — The law firm of Guerra King is pleased to announce that Dionne C. Fajardo has been named a shareholder of the Firm. Since 2010, Ms. Fajardo has led the development of Guerra King’s Compliance and Regulatory Consulting Group. She counsels financial services firms and their associated persons regarding compliance with federal and state securities laws and industry rules, and represents them before all securities regulatory entities. Ms. Fajardo has 25 years’ experience in the financial services industry serving as an officer of William R. Hough & Co., Hough Group of Funds, InterSecurities, Inc. and Transamerica Financial Services, Inc. prior to joining Guerra King in 2010. She is a cum laude graduate of the Stetson University College of Law and obtained her Bachelors of Arts degree in International Business and Management from World College West.
Since its founding in 2009, the lawyers and staff of Guerra King have provided representation throughout the United States in complex litigation and regulatory matters with a focus on the securities and financial services industries. The Firm formed its Compliance and Regulatory Consulting Group to focus on providing legal and compliance support to registered investment advisors, broker-dealers and their associated representatives to help mitigate litigation and regulatory risks. The Compliance and Regulatory Consulting Group helps clients comply with their ongoing regulatory obligations and works with them to identify their specific needs to design and implement tailored compliance programs. In addition, the Group works with clients to effectively manage and defend regulatory inquiries, examinations, and investigations by the various agencies that regulate the securities industry, including FINRA, the SEC, and state regulatory agencies.