CONSORTIUM - Key Persons

John brings an extensive legal background that has spanned over 25+ years. As the founding owner of the Carr Butterfield, LLC law firm, John represents financial service professionals throughout the country in matters with the SEC, FINRA, DOL, state securities and insurance agencies and various courts. He understands the legal/regulatory environment of the industry including a deep knowledge of ERISA matters.

With over 25+ years of legal experience, Lisanne represents and assists small and closely-held businesses, financial services firms, and other licensed professionals through multiple jurisdictions, including federal court and FINRA, with litigation, arbitration, internal investigations, regulatory enforcement defense, recruiting matters and business transactions. She also represents RIA firms and their IARs in regulatory/governmental investigations of misconduct, and general exit strategy advice.

Todd brings 20+ years of experience in the financial services industry ranging from compliance and operations to business development and relationship management. His last 12 years has focused on independent registered investment advisory firms. Over his career, he has worked with independent broker-dealer advisors and bank investment programs as well.