Richard W Barry

Strategic Development

Mr. Barry is an expert in the examination of broker dealers, securities issuers, and investment advisers with over 30 years of forensic review and investigative experience. Prior to his work with TL2Q, Mr. Barry served as the Enforcement Chief and Chief Investigator for the State of New Jersey’s Bureau of Securities. He has conducted and supervised hundreds of examinations of broker dealers of virtually every size and description, including his participation in joint national examinations of major broker dealers that recovered hundreds of millions of dollars in penalties and billions of dollars in recoveries for victims. Additionally, Mr. Barry helped draft changes to the books and records rules adopted by the Securities and Exchange Commission for broker dealers, and has trained securities investigators and examiners on behalf of state regulators, the SEC, FINRA, CBOE and other agencies.

Mr. Barry has also been appointed a Trustee by the Federal Bankruptcy Court (Delaware) and as a receiver and fiscal agent in securities-related cases by various New Jersey and Connecticut courts. In those capacities, Mr. Barry has investigated broker dealers and other financial institutions in cases that resulted in the recovery of millions of dollars in awards.

As part of TL2Q’s unclaimed property group, Mr. Barry is responsible primarily for assisting with government and holder communications, examination and settlement advisory, and strategic guidance on various other exam- and business-related matters.

Education:

  • Graduate School of Business,
    Monmouth University
  • Bachelors of Business Administration,
    Monmouth University

Affiliations& Achievements:

  • National Association of State Treasurers, Corporate Affiliate Representative
  • Member of North American Securities Administrators Association (NASAA)
  • Panelist/NASAA Winter Enforcement Conference 2009; Speaker /NASAA CRD/IARD Training 2009
  • Guest Lecturer in various sponsored training programs for NASAA/NASD (FINRA)/SEC
  • FBI/ U.S. Postal IS – Citation for investigation of F.D. Robert Securities, Inc. and Robert E. Brennan
  • New Jersey State Legislature - Testified on behalf of the legislative recommendations of the Attorney General In the wake of the Lehman Brothers failure

Contact:

  • Richard.Barry@tl2q.nyc