Mr. Falkenberg joined the Firm in November 2015 and serves as the primary Regulatory Compliance Officer of Estrada Hinojosa, as designated by the CCO. Mr. Falkenberg is responsible for many of the Firm’s regulatory filings and reporting. Mr. Falkenberg serves as the Firm’s primary regulatory contact. The list of regulators includes the Federal Government (SEC), State Regulators, and Self-Regulatory Organizations (FINRA). Mr. Falkenberg is responsible for the crafting and implementation of Estrada Hinojosa’s current regulatory, compliance, and supervisory system.
Mr. Falkenberg has been in the Financial Services Industry since 1990, beginning his career as regulator with the State of California (13 years) and NASD/FINRA (5 years). Specializing in issuer fraud, excessive trading, and forensic accounting, Mr. Falkenberg headed the complaint assessment function for California Securities Regulation from 1999 through 2003. At NASD/FINRA he performed over 250 examinations “for cause” and later was the primary regulatory coordinator for 120 FINRA Broker-Dealers. From 2008 through 2015, Mr. Falkenberg owned and operated Solid Rock Consulting, a compliance consulting service serving securities brokers and investment advisors. Estrada Hinojosa was one of SRC’s clients from 2009 until hiring him in 2015. As a compliance consultant he specialized in regulatory interactions, annually required independent tests, mock examinations, branch office inspections, training, and procedural revisions. Prior to joining Estrada Hinojosa, Mr. Falkenberg had served as Chief Compliance Officer for other FINRA member broker dealers.