Audits of Broker-Dealers

Silberstein Ungar, PLLC, a PCAOB registered CPA firm, is one of the Top 20 SEC Audit Firms in the United States and is one of the fastest growing SEC audit firms in the world. The Broker-Dealer group specializes in auditing the financial statements of Broker-Dealers to be filed annually in accordance with the requirements of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Our success, rapid growth, and client satisfaction is largely due to the outstanding service we provide to our clients, the fair fees that we charge, and the high quality experience of our partners and staff, some of whom have gained their expertise at large international accounting firms. SU provide its clients with a high quality, client-specific, non-adversarial audit process.

Broker-dealers love working with us. Companies that have previously had issues with their auditors (especially fee issues or lack of good service issues) love working with us. Companies that have seen their CPA firm merge into a larger CPA firm love working with us. Companies that can't afford the fees of the large CPA firms love working with us. Dealmakers love working with us. Law firms that do SEC and Broker-dealer work love working with us. The efficiency and promptness with which we can get an audit completed, the reasonable fee structure we are known for, and our ability to help add value to the process keeps our referral sources (including law firms and deal firms) sending us more and more new work. In short - we do what we say we'll do when we say we'll do it for the fees that we said we would charge.

We have more than 75 publicly traded clients and others that are getting ready to go public, as well as a rapidly growing Broker-Dealer audit practice. Our clients are located through-out the U.S., Canada, Asia, and Europe - giving us a global presence. Our SEC experience and expertise recently resulted in our being hired to consult with a CPA firm in the Middle East that has publicly traded clients. We're road warriors that travel frequently to service clients, and our clients receive constant and proactive attention from our principals. When needed, our membership in the MSi Global Alliance of Independent Legal and Accounting Firms gives us access to experienced CPA's, auditors, and law firms located all over the world - so no matter where our clients are now or may be expanding to, we can help them. We're available - and put a special emphasis on providing our clients with extraordinary services at fair and often reasonable fees.

We have had clients with revenues ranging from $-0- (development and exploration stage companies) to $200 million. We have worked with clients in a broad range of industries, including alternative energy, biotechnology, construction, entertainment and media (including new media), franchising, high technology, manufacturing, mining and exploration, real estate development, retail, and wholesale distribution.

In order to ensure that our services meet the highest professional quality standards, we regularly attend seminars given by the SEC Institute, PCAOB, and various other CPA continuing education organizations. The combination of experience and continual training ensures that we're up to date on the latest SEC, FASB, PCAOB, FINRA, and AICPA rules, regulations, and initiatives and this translates into more efficient audits, fewer SEC and FINRA comment letters, faster resolution to those SEC and FINRA comment letters that are received, and higher quality financial reporting for our clients.

We regularly work with our clients and their lawyers on a variety of things including prospectuses, Form S-1's, Form 10, 10K's, 10Q's, 8-K's, reverse merger transactions and pro-forma financials. We also assist them with merger and acquisition due diligence and often are hired to audit companies that our clients are attempting to acquire.
Our fees are normally lower than our competitors because we are efficient and we manage our own business well - so we are able to keep our overhead minimal and that results in lower fees for our clients - but not lesser service.

Intrigued? Hopefully - yes, you are. Please call us to discuss your audit and accounting needs, the specifics of your business and your future plans, and/or any issues you may be having with your present auditor. If you deserve more than you are getting - or, just want to get a competitive quote for your audit - you and your company may benefit by talking with us.

Silberstein Ungar, PLLC

Joel M. Ungar - Principal and CPA - Leader, Broker-Dealer Audit Practice
jmungar@sucpas.com
Direct Dial (248)341-1263