Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
Hugh Simpson
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Hugh Simpson
Hugh Simpson is a skilled professional in the financial services industry, with a deep background in the areas of legal, compliance, internal audit, enterprise risk management, corporate governance and government relations. He recently completed a 33-year stint as Executive Vice President – General Counsel and Corporate Secretary of two significant Fort Worth-based financial services companies. Prior to that he was a partner in the Corporate and Securities Section of one of the oldest and largest law firms in Fort Worth. Hugh now consults on a variety of financial services issues. He has significant experience in managing legal, compliance and regulatory risk in this space and can provide valuable insights for Registered Investment Advisers facing challenges in these areas.
Jeff Thomas
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Jeff Thomas
Jeff Thomas, through his law firm, Thomas Law LLC, defends clients in investigations and litigation by the SEC and other securities regulators and advises investment advisers and others concerning securities regulatory and compliance issues. Jeff earned his law degree from the University of Southern California Law School, where he was member of the Southern California Law Review, and his undergraduate degree in finance from the University of Colorado at Boulder. He spent twelve years as an attorney in the SEC’s Enforcement Division and practiced law at the Denver firm of Holland & Hart and the Los Angeles firm of Musick, Peeler & Garrett.
Services offered to SEC-registered RIAs include:
- Representation in regulatory investigations and litigation
- Contract drafting and review
- Disclosure expungement requests
