Broker Dealer Services

MGL provides comprehensive compliance and risk management solutions to broker dealers to enhance their compliance programs and reduce their regulatory exposure.

 

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Current News:

January 1, 2017

FINRA District 6 Committee: Melinda ("Mimi") LeGaye has been appointed as a small firm representative on FINRA's District 6 Committee.

 

 

Recent Events:

 

 

 

MGL offers a full range of compliance and risk management services, designed to fit a wide range of broker/dealer’s needs, from the small boutique firm engaged in private placements, investment banking or wholesaling activities, to a full service retail brokerage firm conducting business on-shore or off-shore, to a full service clearing firm. Our team of dedicated professionals bring more than 300 years combined industry and regulatory experience to your finger tips, encompassing hands on senior regulatory, compliance, investigative, accounting, risk management, legal and litigation consulting experience to help you manage both your firm’s regulatory risk and your budget needs.