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Miriam Lefkowitz

Miriam Lefkowitz is securities and regulatory compliance attorney who serves as the chief legal officer of a broker dealer/investment adviser based in New Jersey.  Previously, she served as general counsel and chief compliance officer of firms in NY and in NJ. Prior to going in-house, Miriam served in the Enforcement Division of the Securities & Exchange Commission and practiced law at a firm in Miami.  Miriam graduated from Columbia Law School, where she was the executive editor of the Columbia Human Rights Law Review and published a chapter on recent changes in federal habeas corpus procedures in A Jailhouse Lawyer’s Manual, and Columbia College.


She is a frequent speaker and publisher on a range of securities and compliance topics and is active in professional associations.  In 2014, Miriam joined the board of directors of the National Society of Compliance Professionals (NSCP) and is presently the Chair-Elect.  In 2015-16, Miriam served as the Chair of the Financial Services Committee of the Association of Corporate Counsel (ACC).  She recently was elected to serve as a Small Firm Member of FINRA’s District Committee.  In addition, Miriam also serves as an expert witness in matters involving brokers and dually registered BD/IAs.  She lives in South Orange.

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