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David E. Paulukaitis David E. PaulukaitisDavid E. Paulukaitis

David E. PaulukaitisDave joined Mainstay in April 2005 after 23 years with the Atlanta District office of NASD (now known as FINRA). For the last eleven years of his NASD career, Dave served as the Associate District Director responsible for overseeing the District’s membership, examination, investigation and financial/operational surveillance programs. He was actively involved in the District’s enforcement program and was responsible for reviewing and approving all examinations and investigations referred for enforcement action. Among his other duties, Dave was responsible for the Member Outreach and Preventive Compliance initiatives of the Atlanta District Office, including annual Compliance Seminars sponsored by the NASD South Region.

Prior to serving as Associate Director, Dave spent nearly ten years supervising the Atlanta District Office’s Special Investigations section, overseeing the investigation of investor complaints, “terminations for cause”, and other sales practice-related matters. He started his NASD career as an Examiner, conducting routine examinations and “cause” investigations involving a wide variety of broker-dealers throughout the southeastern United States.

During his NASD career, Dave served on a number of national NASD committees and task forces. He was an instructor in NASD's accredited examiner training program for ten years and was a two-time recipient of NASD’s Excellence in Service Award. Dave has been a frequent speaker on regulatory and compliance matters at a variety of industry functions.

As a Managing Director with Mainstay, Dave provides regulatory and compliance consulting services to securities broker/dealers and registered investment advisers throughout the United States. Dave’s practice particularly focuses on the areas of supervision, supervisory controls, sales practices, and regulatory risk management. In addition to his work with broker/dealers, Dave has served as an expert witness in various SEC investigations and administrative proceedings (both on behalf of and adverse to the SEC). He has done similar work on behalf of various state securities regulatory agencies. Dave has also been retained to testify as an expert witness (on behalf of broker/dealers, registered representatives and customers) in a number of securities industry arbitration proceedings and litigation and has been qualified as an expert in areas such as supervision, supervisory procedures, selling away, general sales practices, anti-money laundering compliance, and Regulation S-P.

Dave is a graduate of the University of Alabama in Huntsville.

Mainstay Capital Markets Consultants, Inc. is a consulting firm. We are not attorneys and therefore do not offer legal services. All information contained in this website has been derived from sources that we deem to be reliable but cannot be guaranteed.
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