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Name
Emil Ali
Title
Partner, McCabe & Ali
Bio
Emil J. Ali is a partner at McCabe & Ali, LLP where he represents registered investment advisors and broker dealers in complying with SEC, State, and FINRA obligations. He also helps advisors break away from wire houses and form their own advisory firms, while ensuring compliance with the Broker Protocol, negotiation of promissory notes, and any FINRA arbitrations.
Emil routinely represents investment advisors in examinations before the SEC and state securities regulators. McCabe & Ali LLP's national practice allows them to service advisors of all sizes across the U.S. Emil previously worked for the United States Department of Labor (DOL), Employee Benefits Security Administration where he focused his time on issues related to the Employee Retirement Income Security Act (ERISA). His experience at the DOL allows him to help clients understand the complex provisions of ERISA, including fiduciary obligations.
Emil routinely represents investment advisors in examinations before the SEC and state securities regulators. McCabe & Ali LLP's national practice allows them to service advisors of all sizes across the U.S. Emil previously worked for the United States Department of Labor (DOL), Employee Benefits Security Administration where he focused his time on issues related to the Employee Retirement Income Security Act (ERISA). His experience at the DOL allows him to help clients understand the complex provisions of ERISA, including fiduciary obligations.
