Ryan Murphy is an Associate Director in our Investigations Group, located in our Washington, DC office.  Mr. Murphy has more than 17 years of experience in the financial services industry, with more than 10 years spent on developing and testing brokerage industry compliance and risk management systems.

Before joining Secretariat, Mr. Murphy supervised numerous branch office and regulatory examinations and oversaw various other compliance and operational related functions at large financial institutions like Morgan Stanley and Wells Fargo, where he maintained several industry licenses, including the Series 3, 4, 7, 24 and 66.

Given Mr. Murphy’s robust securities industry expertise, he routinely assists our Brokerage Compliance and Dispute Resolutions team with investigative and litigation matters involving, branch office compliance and operational standards, registered investment advisor sales and communication practices, and brokerage licensing, registration and disclosure obligations. Mr. Murphy also assists our Investigations team in developing corrective action plans for our clients, including those related to regulatory reporting, trade and account monitoring, supervision, advertising and other communications with the public.