We know the financial services industry.
We understand the pressures of regulatory compliance, new disclosure requirements and stricter accounting standards. Our team has extensive experience helping financial institutions comply with the Bank Secrecy Act (BSA), USA PATRIOT Act, Office of Foreign Assets Control (OFAC), the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
And we understand regulatory and reputational risk. We help financial institutions evaluate their anti-money laundering compliance programs, and we provide comprehensive, practical solutions. Our team is experienced in investigating complex money laundering and fraud schemes in North America, Central and South America and the Caribbean. Our banking team also has extensive experience helping financial institutions mitigate cybersecurity risk.
Finally, we understand the need to focus on the bottom line. We can help financial institutions identify opportunities to streamline processes, maximize return on IT investments, and leverage innovative solutions such as robotic process automation (RPA).
Our Professionals










Peter Smith, CVA
Principal, Forensic, Advisory and Valuation Services
Miami
Peter assists businesses and individuals with valuation services in the areas of family law, litigation and shareholder disputes, transaction consulting, tax matters, shareholder agreements, financial reporting, employee stock ownership plans.
Peter has served both public and private businesse…Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
In addition to traditional assurance and tax services, Nick leads engagements for investment advisors related to performance reporting. He also works with investment advisors on compliance with the SEC Custody Rule by performing surprise examinations, trust company internal control examinations and …
Avelino Rodrigues, CPA, CFF
Principal, Forensic, Advisory and Valuation Services
Miami
He provides advisory services including FCPA violations consulting, fraud investigations, financial due diligence, litigation consulting, complex accounting, auditor malpractice and audit defense, anti-money laundering (AML) investigations and evaluation of related programs and regulatory complia…
Robert A. Stone, CPA, ABV, CFF, AICPA
Principal, Senior Client Services
Miami
When providing litigation support, Robert brings his understanding of the real-world issues his clients face to their business disputes. He has provided expert testimony in numerous commercial and marital cases. He has been qualified as an accounting and valuation expert in U.S. District Courts, …
Keith S. Sharkey, CPA
Principal, Financial Services
Miami
Keith joined Kaufman Rossin in 1986 and his diverse expertise in the financial services practice ranges from broker-dealers in securities and commodities to investment companies and mutual funds throughout the international securities markets. He co-founded and led the previous award-winning…
Daniel Wagner
Associate Principal, State and Local Tax
Boca Raton
He spent 15 years with the Florida Department of Revenue, where he drafted many of the sales tax rules, regulations, rulings, and legislative analyses. He has shared his exceptional sales/use tax experience in presentations around the state and authored many articles for publication.
His …
James Wolcott
Principal, Business Consulting Services
Miami
Since joining Kaufman Rossin in 2016, James has advised clients in a variety of industries, including technology, retail, wholesale distribution, manufacturing, real estate and construction, insurance and healthcare. Focusing primarily on core BCS practice areas, which include performance improvemen…
Henry W. Schade, CPA
Principal, Entrepreneurial Services
Boca Raton
Henry concentrates on tax planning and compliance issues while assisting with tax audits and governmental relations.
Chandrasekar Venkataraman, CITP, CFF, ABV, CIA, CISA, CFE, CIRA, CM&AA
Director of Corporate Governance, Risk Advisory Services
Miami
Chandra has managed large-scale, cross-national, and international compliance projects. His expertise spans more than 20 industries, including financial services, banking, hedge funds, information technology, internet services, manufacturing, media and non-profits. He also provides guidance to e-…
Maria Toledo, CPA, MST
Principal, International Tax
Miami
A leader of the firm’s offshore voluntary disclosure and streamlined procedures program, Maria has counseled more than 100 clients with undisclosed income from offshore accounts to minimize their tax and reduce penalties. She also provides international tax planning and structuring services to …










Peter Smith, CVA
Principal, Forensic, Advisory and Valuation Services
Miami
Peter assists businesses and individuals with valuation services in the areas of family law, litigation and shareholder disputes, transaction consulting, tax matters, shareholder agreements, financial reporting, employee stock ownership plans.
Peter has served both public and private businesse…Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
In addition to traditional assurance and tax services, Nick leads engagements for investment advisors related to performance reporting. He also works with investment advisors on compliance with the SEC Custody Rule by performing surprise examinations, trust company internal control examinations and …
Avelino Rodrigues, CPA, CFF
Principal, Forensic, Advisory and Valuation Services
Miami
He provides advisory services including FCPA violations consulting, fraud investigations, financial due diligence, litigation consulting, complex accounting, auditor malpractice and audit defense, anti-money laundering (AML) investigations and evaluation of related programs and regulatory complia…
Robert A. Stone, CPA, ABV, CFF, AICPA
Principal, Senior Client Services
Miami
When providing litigation support, Robert brings his understanding of the real-world issues his clients face to their business disputes. He has provided expert testimony in numerous commercial and marital cases. He has been qualified as an accounting and valuation expert in U.S. District Courts, …
Keith S. Sharkey, CPA
Principal, Financial Services
Miami
Keith joined Kaufman Rossin in 1986 and his diverse expertise in the financial services practice ranges from broker-dealers in securities and commodities to investment companies and mutual funds throughout the international securities markets. He co-founded and led the previous award-winning…
Daniel Wagner
Associate Principal, State and Local Tax
Boca Raton
He spent 15 years with the Florida Department of Revenue, where he drafted many of the sales tax rules, regulations, rulings, and legislative analyses. He has shared his exceptional sales/use tax experience in presentations around the state and authored many articles for publication.
His …
James Wolcott
Principal, Business Consulting Services
Miami
Since joining Kaufman Rossin in 2016, James has advised clients in a variety of industries, including technology, retail, wholesale distribution, manufacturing, real estate and construction, insurance and healthcare. Focusing primarily on core BCS practice areas, which include performance improvemen…
Henry W. Schade, CPA
Principal, Entrepreneurial Services
Boca Raton
Henry concentrates on tax planning and compliance issues while assisting with tax audits and governmental relations.
Chandrasekar Venkataraman, CITP, CFF, ABV, CIA, CISA, CFE, CIRA, CM&AA
Director of Corporate Governance, Risk Advisory Services
Miami
Chandra has managed large-scale, cross-national, and international compliance projects. His expertise spans more than 20 industries, including financial services, banking, hedge funds, information technology, internet services, manufacturing, media and non-profits. He also provides guidance to e-…
Maria Toledo, CPA, MST
Principal, International Tax
Miami
A leader of the firm’s offshore voluntary disclosure and streamlined procedures program, Maria has counseled more than 100 clients with undisclosed income from offshore accounts to minimize their tax and reduce penalties. She also provides international tax planning and structuring services to …










Peter Smith, CVA
Principal, Forensic, Advisory and Valuation Services
Miami
Peter assists businesses and individuals with valuation services in the areas of family law, litigation and shareholder disputes, transaction consulting, tax matters, shareholder agreements, financial reporting, employee stock ownership plans.
Peter has served both public and private businesse…Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
In addition to traditional assurance and tax services, Nick leads engagements for investment advisors related to performance reporting. He also works with investment advisors on compliance with the SEC Custody Rule by performing surprise examinations, trust company internal control examinations and …
Avelino Rodrigues, CPA, CFF
Principal, Forensic, Advisory and Valuation Services
Miami
He provides advisory services including FCPA violations consulting, fraud investigations, financial due diligence, litigation consulting, complex accounting, auditor malpractice and audit defense, anti-money laundering (AML) investigations and evaluation of related programs and regulatory complia…
Robert A. Stone, CPA, ABV, CFF, AICPA
Principal, Senior Client Services
Miami
When providing litigation support, Robert brings his understanding of the real-world issues his clients face to their business disputes. He has provided expert testimony in numerous commercial and marital cases. He has been qualified as an accounting and valuation expert in U.S. District Courts, …
Keith S. Sharkey, CPA
Principal, Financial Services
Miami
Keith joined Kaufman Rossin in 1986 and his diverse expertise in the financial services practice ranges from broker-dealers in securities and commodities to investment companies and mutual funds throughout the international securities markets. He co-founded and led the previous award-winning…
Daniel Wagner
Associate Principal, State and Local Tax
Boca Raton
He spent 15 years with the Florida Department of Revenue, where he drafted many of the sales tax rules, regulations, rulings, and legislative analyses. He has shared his exceptional sales/use tax experience in presentations around the state and authored many articles for publication.
His …
James Wolcott
Principal, Business Consulting Services
Miami
Since joining Kaufman Rossin in 2016, James has advised clients in a variety of industries, including technology, retail, wholesale distribution, manufacturing, real estate and construction, insurance and healthcare. Focusing primarily on core BCS practice areas, which include performance improvemen…
Henry W. Schade, CPA
Principal, Entrepreneurial Services
Boca Raton
Henry concentrates on tax planning and compliance issues while assisting with tax audits and governmental relations.
Chandrasekar Venkataraman, CITP, CFF, ABV, CIA, CISA, CFE, CIRA, CM&AA
Director of Corporate Governance, Risk Advisory Services
Miami
Chandra has managed large-scale, cross-national, and international compliance projects. His expertise spans more than 20 industries, including financial services, banking, hedge funds, information technology, internet services, manufacturing, media and non-profits. He also provides guidance to e-…
Maria Toledo, CPA, MST
Principal, International Tax
Miami
A leader of the firm’s offshore voluntary disclosure and streamlined procedures program, Maria has counseled more than 100 clients with undisclosed income from offshore accounts to minimize their tax and reduce penalties. She also provides international tax planning and structuring services to …










Peter Smith, CVA
Principal, Forensic, Advisory and Valuation Services
Miami
Peter assists businesses and individuals with valuation services in the areas of family law, litigation and shareholder disputes, transaction consulting, tax matters, shareholder agreements, financial reporting, employee stock ownership plans.
Peter has served both public and private businesse…Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
In addition to traditional assurance and tax services, Nick leads engagements for investment advisors related to performance reporting. He also works with investment advisors on compliance with the SEC Custody Rule by performing surprise examinations, trust company internal control examinations and …
Avelino Rodrigues, CPA, CFF
Principal, Forensic, Advisory and Valuation Services
Miami
He provides advisory services including FCPA violations consulting, fraud investigations, financial due diligence, litigation consulting, complex accounting, auditor malpractice and audit defense, anti-money laundering (AML) investigations and evaluation of related programs and regulatory complia…
Robert A. Stone, CPA, ABV, CFF, AICPA
Principal, Senior Client Services
Miami
When providing litigation support, Robert brings his understanding of the real-world issues his clients face to their business disputes. He has provided expert testimony in numerous commercial and marital cases. He has been qualified as an accounting and valuation expert in U.S. District Courts, …
Keith S. Sharkey, CPA
Principal, Financial Services
Miami
Keith joined Kaufman Rossin in 1986 and his diverse expertise in the financial services practice ranges from broker-dealers in securities and commodities to investment companies and mutual funds throughout the international securities markets. He co-founded and led the previous award-winning…
Daniel Wagner
Associate Principal, State and Local Tax
Boca Raton
He spent 15 years with the Florida Department of Revenue, where he drafted many of the sales tax rules, regulations, rulings, and legislative analyses. He has shared his exceptional sales/use tax experience in presentations around the state and authored many articles for publication.
His …
James Wolcott
Principal, Business Consulting Services
Miami
Since joining Kaufman Rossin in 2016, James has advised clients in a variety of industries, including technology, retail, wholesale distribution, manufacturing, real estate and construction, insurance and healthcare. Focusing primarily on core BCS practice areas, which include performance improvemen…
Henry W. Schade, CPA
Principal, Entrepreneurial Services
Boca Raton
Henry concentrates on tax planning and compliance issues while assisting with tax audits and governmental relations.
Chandrasekar Venkataraman, CITP, CFF, ABV, CIA, CISA, CFE, CIRA, CM&AA
Director of Corporate Governance, Risk Advisory Services
Miami
Chandra has managed large-scale, cross-national, and international compliance projects. His expertise spans more than 20 industries, including financial services, banking, hedge funds, information technology, internet services, manufacturing, media and non-profits. He also provides guidance to e-…
Maria Toledo, CPA, MST
Principal, International Tax
Miami
A leader of the firm’s offshore voluntary disclosure and streamlined procedures program, Maria has counseled more than 100 clients with undisclosed income from offshore accounts to minimize their tax and reduce penalties. She also provides international tax planning and structuring services to …