Howard Spindel

Howard 037 copyHoward Spindel is one of the founders of Integrated Solutions ℠ and a member of the firm’s management since 1985. During his tenure, he oversaw the growth of the firm from a three person office in lower Manhattan to the multifaceted organization that it is today. Howard spent most of his professional career advising broker-dealers and financial institutions on a range of complex regulatory, transactional and accounting matters. He currently serves as the Financial and Operations Principal, Registered Options Principal, General Securities Principal or Chief Compliance Officer of over two dozen FINRA members.

Howard serves on the Board of Directors of the Financial Management Society of the Securities Industry and Financial Markets Association (SIFMA), on the Board of Directors of the National Association of independent Broker Dealers, and as chair of the Audit Committee of the Boards of Directors of several publicly-held companies. He has served as the elected member of Financial Industry Regulatory Authority’s Small Firms Advisory Board, representing the New York region, and on SIFMA’s Capital Committee. He has testified as an expert witness in securities industry matters at disciplinary proceedings, civil and criminal court cases, arbitrations, and the United States Congress. He has also served as a featured speaker at various NASD/FINRA and American Institute of Certified Public Accountants sponsored conferences, in each case dealing with issues involving the applicability of rules, procedures and controls to the business of broker-dealers, especially small ones.

Howard began his career in the Technical Research and Review Department and on the audit staff of Oppenheim, Appel, Dixon & Co. In 1974, he became associated with Coopers & Lybrand as an audit supervisor. In 1975, he was with the New York Stock Exchange (NYSE) where he served as manager of the Capital and Operational Standards Section of its Regulation and Surveillance Group. In 1977, Howard became the comptroller and then financial and operations partner of three different NYSE member firms.

Howard graduated from Hunter College of the City University of New York, where he earned a B.S degree in Accounting in 1968. He is a Certified Public Accountant and is a member of the American Institute of Certified Public Accountants and the New York State Society of Certified Public Accountants.

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