COMPLIANCE ADMINISTRATION

Business Services > Administration Services

Donna J. Lewis is the founding member of Compliance Administration, LLC and has been working in securities compliance for over 30 years. She began her career in compliance in 1979 at the American Stock Exchange as the Assistant Director of Membership, Legal, and Regulatory Policy Division. She garnered additional legal and compliance expertise working in conjunction with the practices of securities attorneys Stephen Wallenstein, Esq. and Richard Herzfeld, Esq., and as an office manager for Parallax Fund LP, a former broker-dealer and hedge fund. She founded Compliance Administration in 2000 and has provided compliance services to hundreds of registered broker-dealers. She is a certified paralegal and received a B.A. from Rutgers University.

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