Paul J. Nockels

Paul is the leader of RSM’s Great Lakes financial services practice, which provides assurance, tax, and consulting services to various market participants. These include broker-dealers, futures commission merchants, proprietary trading firms, investment advisors, financial institutions, and various public and private alternative investment vehicles (including hedge funds, fund of funds, private equity funds, business development companies, and commodity pools).

Paul is also RSM’s capital markets leader focused on services to broker-dealers, futures commission merchants, exchanges, clearing organizations and proprietary trading firms. He brings more than 29 years of experience serving clients, including assisting with interpretations and applications of SEC and CFTC net capital guidelines, CFTC segregation and secured rules, and SEC customer protection regulations.

Paul is a frequent moderator and speaker at industry seminars on accounting and regulatory matters and served on several external and internal peer reviews of financial services practices.