Independent Investigations of Misconduct & Regulatory Issues

DuMont Consulting provides independent investigations of misconduct and regulatory issues for broker-dealers, registered investment advisers (RIAs), and other regulated financial services firms. Our investigations address a wide range of matters, including alleged regulatory violations, internal whistleblower complaints, sales practice concerns, supervisory breakdowns, ethical breaches, and failures to adhere to firm policies or regulatory obligations. Conducted with objectivity and discretion, our third-party investigations deliver credibility with regulators, boards of directors, senior management, and external stakeholders.

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Regulatory bodies such as the SEC and FINRA increasingly expect firms to demonstrate that misconduct allegations are handled promptly, independently, and thoroughly. DuMont Consulting applies a structured investigative methodology that includes issue scoping, document and electronic communications review, policy and supervisory analysis, interviews with relevant personnel, and detailed findings documentation. Our approach is designed to uncover root causes, assess regulatory exposure, and determine whether misconduct reflects isolated incidents or broader compliance program weaknesses.

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As part of our outsourced CCO services for investment firms, independent investigations are seamlessly integrated into the firm’s overall compliance framework. We help firms respond to regulatory inquiries, examination findings, customer complaints, and internal reports by delivering clear, defensible investigative outcomes. Our reports outline factual findings, regulatory implications, and practical remediation recommendations that strengthen supervisory controls, enhance training, and improve governance practices.

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DuMont Consulting’s independent investigations also play a critical role in risk mitigation and enforcement prevention. By identifying issues early and implementing corrective actions, firms can reduce the likelihood of regulatory sanctions, enforcement actions, reputational damage, and civil liability. Our investigative services support firms in demonstrating good-faith compliance efforts, effective supervision, and a strong culture of accountability—key factors regulators consider when evaluating firm conduct.

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Whether responding to a specific allegation or proactively reviewing potential areas of concern, DuMont Consulting delivers confidential, regulator-ready investigations that protect firms while reinforcing compliance culture. For organizations relying on outsourced CCO services for investment firms, our independent investigative expertise provides an added layer of assurance, helping leadership navigate complex regulatory challenges with confidence and transparency.