Anne Larkin

About Anne Larkin

Forty-year career of extensive legal, compliance and financial risk expertise to assist others in addressing elder financial exploitation and abuse. History of working within an individual organization as well as externally collaborate to make better progress resolving issues. Diverse background in banking, securities, litigation, regulatory and arbitration skills across all 50 states and some international work impacts ability with negotiation and facilitation; customer complaint resolution and litigation assessments; compliance policy and procedure drafting for implementation across numerous lines of business; and daily advising and managing multiple parties as implement change and observe progress. Passionate regarding consulting and advising management, employees, families and older adults regarding financial fraud risks and events. Seek to help avoid financial abuse and scams permit others to age with dignity while maintaining independence and autonomy as long as possible. Enjoy training, writing and speaker opportunities as well as mentoring and teaching about dispute resolution, financial policies and procedures and family aging issues. Continue seeking opportunities to collaborate with academia and various multi-disciplinary groups regarding elder issues including legislative initiatives and building consensus from diverse points of view. Through working side by side with elder law attorneys, financial industry associations and representatives, non-profits service providers and government agencies, ability to implement workable, cost-effective programs can become a priority. Providing assistance with organizational design and program implementation as well as galvanizing understanding of this societal issue combats the organized criminal and civil fraud that occurs daily against the rising population of those over 65 and have limited opportunities to re-make their savings.Hold law licenses in good standing in Virginia, Ohio, Washington, D.C, Texas and Oklahoma. Formerly worked with Certified Senior Advisor designation as well as Securities Registrations Series 7 (general) and 24 (supervisory) registrations. Additionally, 30-plus years working as a third-party neutral in consensus/facilitation, mediation and arbitration of securities and other consumer and commercial disputes.

Experience

1. Arbitrator

   FINRA

   Jul 1990 — Present

   Act as independent third party neutral for FINRA (formerly NASD), handling variety of customer cases and broker employment cases. Cases range from disclipinary referrals to simplified arbitrations to multi-million dollar cases involving complex securities issues. Additionally train neutrals when requested. Suspended availability while worked as Hearing Officer for FINRA (see below).

Education

• Texas Christian University

  BA Magna Cum Laude, Political Science; Business minor

  1978 — 1981

• University of Oklahoma College of Law

  JD with highest honors, law

  1982 — 1985

Skills

• Legal Services
• Arbitration
• Alternative Dispute Resolution
• Securities
• Securities Regulation
• Litigation
• Finra
• Mediation
• Commercial Litigation
• Dispute Resolution
• Corporate Law
• Aml
• Civil Litigation
• Legal Research
• Corporate Governance
• Policy
• Financial Services
• Licensing
• Legal Writing
• Legal Assistance
• Anti Money Laundering