David Caruso

Chief Executive Officer

David Caruso, CEO of the Dominion Advisory Group, has more than 15 years of experience creating and implementing comprehensive Anti-Money Laundering (AML) programs. As CEO, David is responsible for providing strategic leadership and industry expertise to ensure clients receive the best possible solution for regulatory compliance issues.

David is an expert on AML regulatory compliance programs for financial institutions. He is known for his deep banking industry expertise and knowledge and has spoken at numerous conferences on topics ranging from conducting proper internal investigations to performing effective audits.

Prior to forming the Dominion Advisory Group in May 2005, David was the Executive Vice President, Compliance & Security of Riggs Bank NA. In 2003, he was hired to build a regulatory compliance, investigations, and security department in response to the 2003 enforcement actions against Riggs. David led the development and implementation of a Bank Secrecy Act (BSA)/AML program across all consumer, commercial, investment and international business lines. He was also responsible for reporting on the bank's efforts to resolve its regulatory challenges to the Board of Directors, senior examination and headquarters staff of the Office of the Comptroller of the Currency (OCC) and Federal Reserve Bank, senior Department of Justice officials and the staff of several Congressional committees.

While at Riggs, David also oversaw the investigations of several notorious Politically Exposed Persons (PEPs) for money laundering and corruption.

David began his career as a Special Agent with the U.S. Secret Service before being hired to manage the anti-money laundering and enhanced due diligence group at JP Morgan & Company. David subsequently served as a director at two "Big Four" accounting firms, where he led anti-money laundering compliance and fraud investigations. David received his B.A. from George Washington University.

Jonathan Glass

Chief Operations Officer

Jon Glass, COO of the Dominion Advisory Group, has a diverse background in developing of fraud detection and investigation departments across multiple industries. Jon brings more than 10 years of experience assisting financial institutions and corporations with internal investigations and fraud detection. As COO, Jon is responsible for management and execution of all engagements, ensuring the efficient completion of all projects.

Prior to joining the Dominion Advisory Group, Jon served as the Director of Fraud and Security at AT&T Wireless and as the Vice President of Monitoring and Investigations at Riggs Bank. Jon joined Riggs Bank in 2003 and was tasked with building the components of the Riggs Bank BSA/AML program centered on transaction monitoring, case management and investigations. Jon was responsible for developing comprehensive processes and leveraging technology to meet the requirements of the USA PATRIOT Act, BSA, and the requirements of multiple enforcement actions from the OCC and Federal Reserve Bank. These requirements focused on developing and implementing systems and processes to monitor, detect, investigate, and report to the government, suspicious financial transactions indicative of money laundering, terror financing, and fraud.

Jon began his career at the largest affiliate of AT&T Wireless Services with markets in 16 states and Puerto Rico where he was responsible for creating and managing the Fraud and Security Department. During his time at AT&T Wireless, he developed strategies designed to address internal and external fraud and security that covered more than 3,000 employees, 200 retail stores, 11 regional offices, 11 telecommunication facilities, three customer care call centers, and one million customers.

Pete Balint

Chief Financial Officer

Pete Balint, CFO of the Dominion Advisory Group, also leads the firm's transaction monitoring and suspicious activity identification programs. Pete has extensive experience in the design and implementation of automated systems used to detect unusual patterns of transaction activity. Pete focuses on assisting clients in properly setting alert thresholds and the business processes that enable institutions to adequately document transaction analysis as called for by regulators.

Prior to co-founding the Dominion Advisory Group, Peter was an officer of Riggs Bank where he was responsible for developing the bank's program to detect and analyze suspicious activity for all products and services offered by retail, corporate, international, and wealth management banking groups. While at Riggs, he devised comprehensive transaction monitoring programs, including policies, procedures, software, and methods to detect potential money laundering and terror financing. Among his key contributions at Riggs was the creation of a system to identify, monitor, and track the transactions of high risk customers including PEPs, money service businesses, and cash intensive businesses. Pete served as Riggs' primary point of contact on transaction monitoring matters with OCC examiners. He also managed several retrospective projects where Riggs was required to employ large teams to review transaction activity of hundreds of thousands of bank accounts and millions of transactions to uncover previously unreported suspicious activity.

Pete began his career working with Arthur Andersen's Financial Advisory Services group and later with KPMG's Investigative and Integrity Assurance Services group. He has a B.S. from Georgetown University.

Harry Tafe

Director, Suspicious Activity Reporting Services

Harry has over 25 years experience conducting and managing complex investigations. For the past eight years Harry has managed Financial Investigations Units (FIU) in the banking and telecommunications industry.

Harry is the co-leader of Dominion’s FIU advisory team. He has assisted multiple banks under regulatory enforcement action design and implement policies, procedures and processes to identify, investigate and report suspicious activity. Harry specializes in training analysts and investigators as well as overseeing daily operations of an FIU with particular focus on providing management support and guidance on the determination of SAR filings and the quality review of investigations. Harry leads Dominion teams retained by clients to conduct large scale AML investigations projects, including "look backs."

Harry was hired by Riggs Bank in 2004 to manage the suspicious activity reporting group and help lead Riggs through its numerous enforcement actions. Harry was instrumental in the successful sale of Riggs to PNC.

Harry has extensive experience working with regulatory examiners and internal auditors on suspicious activity reporting matters and FIU processes.

Mr. Tafe graduated from The American University and spent over 20 years as an officer with the Washington DC Metropolitan Police Department, retiring as a Detective Sergeant.

Greg Haga

Director, Suspicious Activity Reporting Services

Greg is the co-leader of the Dominion FIU advisory Team. For the past three years Greg has assisted clients in developing, implementing and managing AML investigation and reporting operations.

Greg brings twenty-eight years of experience as a Special Agent with the Criminal Investigation Division of the IRS where he conducted money laundering investigations and managed teams of other Special Agents.

Greg oversaw the development and implementation of FIU’s for two $50+ billion banks under regulatory enforcement action, where he directed the day to day activities of over 50 investigators and analysts.

Greg’s responsibilities include providing guidance to FIU managers on reviewing investigation case files and SAR decision making. Greg also oversees much of Dominion’s FIU training services provided to transaction monitoring and investigative staff.

Greg has extensive experience working with regulatory examiners and internal auditors on suspicious activity reporting matters and FIU processes.

He graduated from the University of Baltimore with a Bachelor of Science Degree in Business Administration.

Robyn Gerrits

Director, AML Compliance Services

Robyn assists clients in developing and enhancing AML policy, procedures and processes. She focuses on providing clients with solutions on how to best manage high risk customers, products, and services. She leads Dominion teams that design and implement enhanced due diligence programs.

Prior to joining Dominion, Robyn served as a Compliance Officer at two large international banks where she developed global policies for AML/BSA and Office of Foreign Asset Control laws, regulations and guidance. Robyn has also managed asset management and securities compliance groups and coordinated all regulatory examinations, internal audit responses and reporting to the Board of Directors on AML and OFAC issues.

Robyn began her career as a Trust Administrator and client service officer. An attorney, Robyn is a member of the Illinois and Washington, DC bar.

Jason Truax

Director, AML Compliance Services

Jason assists clients with developing and implementing AML/BSA procedures, particularly procedures that address the identification and management of high risk customers, products, and services. Jason has extensive experience working for and with banks addressing regulatory enforcement actions. As requirements around enhanced due diligence increase, Jason is part of a Dominion team at the forefront of developing processes and procedures to satisfy these mandates

Jason began his career in financial services as an international banking group operations officer and later became a credit officer maintaining international and domestic portfolios.

Using his experience from operations and credit, Jason became a compliance officer where he wrote and implemented comprehensive compliance policies, procedures and controls for international private banking, foreign government and politically exposed persons accounts. He also developed and implemented compliance testing and risk based review processes for customer due diligence programs, currency transaction reporting and transaction monitoring systems.

Jason graduated from Washington College and is a Certified Anti-Money Laundering Specialist.

Lawrence I. Hebert

Chairman, Board of Advisors

Mr. Hebert is the Chairman of the Board of Advisors for the Dominion Advisory Group where he provides strategic advice and direction to the executive team. Mr. Hebert also provides advice and consultation to Dominion’s clients on matters relating to regulatory enforcement action, Board of Director reporting, and compliance management.

Mr. Hebert was a director and President and Chief Executive Officer of Riggs Bank N.A., a subsidiary of Riggs National Corporation, from 2001 to 2005 during which time he led Riggs and its board through several BSA regulatory enforcement actions and was instrumental in the successful integration of Riggs into PNC Bank, where he remained until 2007 as a Senior Advisor.

Since 1989, Mr. Hebert has been a director of Allied Capital Corporation (NYSE), a leader in the private finance industry that provides debt and equity financing to primarily private, middle market companies.

Mr. Hebert previously served as Vice Chairman from 1983 to 1998, President from 1984 to 1998, and Chairman and Chief Executive Officer from 1998 to 2001 of Allbritton Communications Company.