TESTIMONIALS

All businesses are defined by their leadership or lack thereof. Over the years, clients and professional colleagues have given their opinions about Regulatory Compliance Specialists, LLC as a firm and/or its CEO and Managing Member. Some of those testimonials are reflected below:

"I recently made the decision to start transitioning my firm to a fee-based model. The many rules, regulations, and oversight requirements of making this change were daunting. Thankfully, a trusted advisor and friend passed on Regulatory Compliance Specialists' ("CI") contact information to me. CI has built an internal structure for my transition process, has updated and re-filed my existing documents, performed an extensive audit of my firm and, in some cases, has put entirely new processes in place. CI' guidance and extensive knowledge of the securities industry took the compliance burden of this process off of my shoulders."

Bonnie Wusz, CFP
President
BW & Associates, Inc.
Orange, California

"Your compliance knowledge has really saved me time and effort. Prompt and valuable advice. It has always been a pleasure working with you. "

Antonella Spaventa
Nordic Partners, Inc.
New York, NY

"I have known Mr Kessel many years in both a personal and professional capacity. He is a person of high intellect and integrity. He is very familiar with the Federal Securities Laws. He would provide valuable services to any organization in the Financial services sector."

Stanley Sporkin
Washington, DC
US Federal Judge (Ret.)

" It has been my privilege to have been associated with Mr. Kessel for the past four years. During that time, he has served as Chief of Compliance for my broker/dealer, and more recently as private counsel on matters of securities law and compliance for Jolliffe Capital, Inc.

As an SEC registered Investment Advisory firm, we have experienced rapid growth in our first 18 months of business. During that time, I have engaged the services of two other firms for the purposes of serving our compliance and regulatory requirements. I have chosen to engage Keith [Regulatory Compliance Specialists, LLC / Procopé & Hornborg Ltd.] as private counsel in response to my need for focused expertise and straight answers. Keith has that uncanny commitment to tell it like it is and then suggest the solutions that he is also more than capable to implement. His value in this regard is obvious.

As you may read from his numerous other recommendations, Keith's pedigree, made up of his education and industry experience, uniquely positions him as an industry-leading expert in the ever-changing study of securities law and compliance regulations. I have always done well in heeding his advice and counsel; hence his addition to our team of consultants. "

Patrick S. Jolliffe, CFP®, ChFC
President & CEO
Jolliffe Capital, Inc.
Scottsbluff, NE

" Keith is a tenacious problem solver and solution provider."

Donald C. Hurwitz
President AFS Investment Advisors, Inc.
Austin, Texas

"It was a pleasure to serve with you on the NASD District committee and I must say I learned a lot from your insight and knowledge regarding the compliance issues. You would be a natural for this business as your ability to decipher complicated rules and regulations is outstanding."

"You picked the right field as this arena can use your talent since there is a huge void for services you can provide."

Mansoor Kisat
Financial Planning Specialist
Senior Vice President- Wealth Management
Smith Barney, a division of Citigroup Global Markets Inc.
Las Vegas Nevada

"Keith interfaced with all of the representatives and corporate personnel on a regular basis and advised, directed and counseled them on proper procedures and regulations. He is extremely detail oriented and well organized. He is a decision maker and very focused on corporate objectives."

Larry Graham
President
AFS Brokerage, Inc.
Greenwood Village, Colorado

"Based upon my experiences with Mr. Kessel, I believe that he possesses the professionalism and work ethic to make a positive contribution to his employers and the securities industry generally."

Brandon Becker
Partner
Wilmer, Cutler & Pickering
Washington, DC

"I have the highest regard for his legal acumen, temperament, character and integrity."

D. Elizabeth Wills
Rothgerber, Johnson & Lyons, LLP
Denver, Colorado

"[Mr. Kessel] has the practical and academic abilities that enable him to grasp issues in the securities industry quickly. Mr. Kessel is a person with the highest integrity. He deals with people openly, honestly and fairly."

Reid A. Godbolt
Partner
Jones & Keller
Denver, Colorado

"Keith is objective oriented, a self-starter and has a zest for hard work. I can always count on Keith getting the job done on a timely basis. His consistent, quality work product is unsurpassed. … Keith is personable and a great professional and team player."

William Uchimoto
General Counsel
Philadelphia Stock Exchange, Inc.
Philadelphia, Pennsylvania

"Keith demonstrated from early in his tenure that he understood what business is all about. He is well-organized. He keeps a sharp eye on the bottom line, but also realizes that customer satisfaction is what makes or breaks a business. I suppose doing well in business is easy if you are, as he is, driven in equal measure by both quality and efficiency."

Ken Shade
Chief Compliance Officer
AFS Brokerage, Inc.
Austin, Texas

"Mr. Kessel has demonstrated a high level of intelligence, good character and work ethic. … I found [Mr. Kessel's] approach as no nonsense, direct and to the point. His advice was sound and based on legal facts, not opinions. He has many times kept me on a straight line with my legal relationship with my clients."

Peter Kalman
PJ Kalman & Associates, LLC
Chandler, Arizona