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Commodities Broker-Dealer Expert

Commodity Broker Compliance Expert | Operational Principal

David Oulvey - Commodity Expert.jpg

David E. Oulvey

David Oulvey is an accomplished financial executive with over 40 years in the Financial Services industry. Experience in accounting, finance, compliance, operations, liquidity, financial reporting, regulatory reporting, accounting system design and exchange interface. His employment history includes work with FCMs and broker/dealers on both a clearing and non-clearing basis as well as a stint as a regulatory auditor.  Time was spent engaging and completing a myriad of consulting projects that included tax return preparation, financial analysis, operational reviews and business start-ups.

Mr. Oulvey has worked for firms as the Chief Financial Officer that have included proprietary trading firms, local/market maker operations as well as retail and institutional customer-based firms. Some of these firms were under extreme regulatory and/or operational stresses which were successfully relieved. 

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Experience and responsibilities have included executive oversight of accounting, financial reporting, regulatory reporting, banking, compliance, anti-money laundering (AML), liquidity, 401k, payroll, tax issues, payroll, legal issues communications and internal control.  Mr. Oulvey has successfully guided firms through both financial and regulatory crises. 

Professional Experience

  

  • ​Barrington Financial Consulting Group, Inc. – Expert Witness & Consultant  (March 2024 - Present)​​​

  • Prime Trading, LLC – Consultant  (January 2023 - Present)

  • SMW Trading Company, Inc. (Formerly Singer/Wenger Trading Company, Inc.) – Consultant  (January 2011 – Present)

  • Prime Trading, LLC – Chief Financial Officer  (November 2021 – December 2022)​

  • X-Change Financial Access, LLC – Chief Financial Officer  (May 2014 – April 2021)

  • Quiet Light Securities, LLC – Chief Financial Officer  (March 2012 – May 2014)

  • High Tower Advisors, LLC – Consultant  (July 2011 – November 2011)

  • SMW Trading Company, Inc. (Formerly Singer/Wenger Trading Company, Inc.) – Chief Financial Officer  (July 1995 – December 2010)

  • Geldermann, Inc. & ConAgra, Inc. – Executive Vice President, Chief Financial Officer and Consultant  (March 1993 – June 1996)

  • Linnco Futures Group, Inc. (Formerly Argus Corporation) – Senior Vice President, Finance  (May 1990 – March 1993)

  • Singer/Wenger Trading Company, Inc. – Manager of Corporate Finance and Compliance Officer  (September 1986 – April 1990)

  • Chicago Board of Trade, Office of Investigations and Audits – Supervisor, Audit Department  (September 1982 – October 1986)

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Education& Certifications

 

  • DePaul University - Bachelor of Science, Accountancy (1980)

  • Certified Public Accountant – Registered in Illinois

  • Chartered Global Managerial Accountant

  • Series 27 – Financial and Operations Principal

  • Registered Tax Return Preparer – IRS

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References

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  • Available upon request

Mr. Oulvey is retained as a
Consultant & Expert Witness for the following:
Court

  • Broker-Dealer Compliance

  • Brokerage Operations

  • Corporate Financial Statements

  • Anti-Money Laundering (AML)

  • Futures Commission Merchant (FCM)

  • Executive Oversight of Accounting

  • Accounting Procedures

  • Audit Reports

  • Proprietary Trading Firms

  • Regulatory Reporting

  • Retail and Institutional Firms

  • Market Maker Operations

Modern Office Building

For general inquiries or a complimentary case analysis by Mr. Oulvey, please use our contact form:

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