Diles ConsultingBest FINRA Compliance & Regulatory Advisory - California 2026

The Diles Consulting mission is to help registered broker-dealer and investment advisory clients achieve their business goals while maintaining the highest standards of integrity and professionalism.

As the President and Founding Principal, specializing in expert witness and independent regulatory consulting services, Colleen helps clients navigate the complex and dynamic regulatory environment of the financial industry. With 30+ years of experience in this industry, she has developed a deep understanding of the challenges and opportunities facing broker-dealers and registered investment advisers.

Colleen’s core competencies include strategic planning, risk monitoring, and compliance, which enables her to provide effective and efficient solutions that address clients' needs. She handles FINRA membership applications (NMA/CMA), enforcement undertakings, independent testing, and compliance support. Colleen also serves as an expert witness and arbitrator, leveraging her extensive knowledge and experience to resolve disputes and provide impartial and credible opinions.