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721 First Avenue North, St. Petersburg, FL 33701 | 727-898-7210

Dionne C. Fajardo

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Lived in Florida since 1993

Married with two adult children.

Former Positions:

  • Chief Compliance Officer & General Counsel, Element Pointe Advisors, LLC
  • Attorney & Shareholder, Wiand Guerra King P.A.
  • Chief Compliance Officer & Vice President, Transamerica Financial Advisors, Inc.
  • Financial Industry Consultant, Self-employed
  • Surveillance Manager & Asst. Vice President, InterSecurities, Inc.
  • Shareholder Services Manager & Asst. Vice President, William R. Hough & Co. & Hough Group of Funds
Areas of Practice
  • Stetson University College of Law, J, cum laude
  • World College West, B.A., International Business and Management (Minor Chinese Studies)
Bar Admissions

Florida Bar

Court Admissions

Florida – all courts

Practice Experience
  • Advises, consults, and aids broker-dealers and investment advisers in maintaining compliance with federal and state regulations. 
  • Performs industry mandated compliance reviews and risk and conflict assessments, including Investment Advisers Act Rule 206(4)-7 and FINRA Rule 3130. 
  • Drafts and revises investment advisers and broker-dealer policies and procedures for compliance with industry rules, regulations and best practices. 
  • Represents clients in Securities and Exchange Commission (SEC), Financial Industry and Regulatory Authority (FINRA), and state securities and insurance department inquiries, routine examinations, for cause investigations, and enforcement proceedings. 
  • Assists clients with initial and continuing registration and membership applications and reporting with regulators. 
  • Performs internal investigations 
  • Assists clients with cybersecurity incident response.
Publications and Speaking Engagements
  • Identifying and Managing Conflicts of Interest, Presenter, National Society of Compliance Professionals Annual Conference, October 2022
  • Evolving Custody Responsibilities, Co-Author, National Society of Compliance Professionals Currents, November 2021 
  • Evolving Custody Responsibilities, Panelist, National Society of Compliance Professionals Annual Conference, November 2021
  • Cryptocurrency, Moderator, Financial Markets Association Annual Compliance Conference, May 2019 
  • New Report on Broker-Dealer Cybersecurity Practices, Panelist, American Bar Association Securities Regional Meeting, February 2019 
  • Regulatory Panel Discussion, Moderator, Hillsborough County Bar Association, January 2019 
  • Discussion About BICE to Regulation Best Interest – Where Are We Going?, Presenter, Independent Broker Dealer Consortium 2018 Conference, October 2018 
  • CCO Liability, Presenter, Financial Markets Association, April 2018 
  • Don’t Get Caught Flat-Footed; Preparing for the Implementation of the Revised Form ADV, Presenter, Financial Services Institute, August 2017 
  • The DOL Fiduciary Rule and BIC Exemption – What Next, Panelist, Financial Services Institute One Voice Conference, January 2017 
  • Current Issues in Investment Advisory Compliance, Presenter, Financial Services Institute, December 2016 
  • Written Supervisory Procedures: A Roadmap to Victory (for Claimants), Presenter, Independent Broker Dealer Consortium Annual Conference, September 2016 
  • Spotlight on Variable Annuity L Shares, Presenter, Financial Services Institute, September 2015 
  • A Penny for Your Thoughts; Recent AML Enforcement Cases, Presenter, Financial Services Institute, January 2015
Professional and Civic Activities
  • Girls Inc. of Greater Miami, Board Member & Secretary
  • CHIEF (Executive Women’s Network), Member
  • Florida Securities Dealers Association, Member
  • National Society of Compliance Professionals, Member
  • Southeastern Women in Financial Services, Member

About Us

We’re a firm committed to guiding any size business through complex business litigation and transactions. 

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