Who We Are
Lori Neidel, JD
Founder and Managing Member
Drawing from a wealth of securities industry experience, Lori founded the Law Office of Lori J. Neidel, LLC in 2010 to provide legal and compliance-related services to independent RIA firms.
In 2012, Lori also founded Adviser Compliance Services to provide outsourced Chief Compliance Officer (CCO) care for RIAs. In addition to her current role as a securities attorney, Lori’s securities industry experience includes:
- A solid “insider” perspective as a former Missouri state securities chief enforcement counsel
- Familiarity with institutional assets as a past board member of the Missouri State Employees Retirement System
- Frequent speaker on compliance topics for national adviser organizations
Lori received her law and undergraduate degrees from Saint Louis University. In 2009, she earned the CRCP designation from the FINRA Wharton Institute for Certified Regulatory and Compliance Professionals. She is currently active in her Columbia, Missouri community as an engaged member in the local Rotary. When not involved in charitable activities, Lori can be found kayaking the many rivers of Missouri.
Scott Snipkie, JD
Scott joined the law office and our affiliated Adviser Compliance Services in January 2019 as an accomplished securities enforcement attorney, former assistant attorney general, and Navy veteran. With his deep and broad bench of experience, he soon become an invaluable member of the team:
- Missouri Securities Division Enforcement Counsel, working closely with examiners and investigators to enforce state securities law
- Member of the North American Securities Administrators Association (NASAA) enforcement working group
- Missouri Attorney General’s Office Assistant Attorney General, 2017–2019, handling complex regulatory and administrative matters on behalf of state agencies
- 2018 recipient of the Attorney General’s Award for Excellence in Litigation
Scott received his law and graduate journalism degrees from the University of Missouri-Columbia, and his undergraduate degree from Penn State University. From 1998–2004, he served as a nuclear operator for the United States Navy, onboard the submarine USS Dallas. He keeps busy outside of the office chasing around his young son and, in the sliver of time that remains, watching Penn State football.