Curtis Sorrells

Vice President of Regulatory Affairs
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Current News:

January 1, 2017

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

 

 

Recent Events:

 

 

Curtis N. Sorrells, Vice President of Broker/Dealer Regulatory Affairs, joined MGL Consulting LLC in 2001. His responsibilities include consulting with clients regarding the structure and documentation of supervisory systems and procedures, conducting compliance examinations of broker/dealer operations, compliance and trading systems, financing and structural issues, coordination with FINRA staff members in various Districts to review, negotiate and modify Clients’ Membership Agreements, and expert witness and legal support services.

Prior to joining MGL, Mr. Sorrells was a Field Supervisor with FINRA District 7 (New Orleans). As a Field Supervisor, his responsibilities included conducting field examinations and audits of broker/dealers for compliance with securities laws and regulations. Mr. Sorrells conducted audits of financial capitalization, customer protection rule compliance, sales practice and underwriting activities, and evaluated Member Firms’ supervisory systems and procedures.

Prior to joining FINRA (formerly NASD), Mr. Sorrells was Treasurer for a non-profit organization. He also operated his own firm as an Investment Analyst where he performed fundamental and technical analysis of the stock and bond markets. Mr. Sorrells analyzed international mutual funds for currency risk, country risk, and capital gains distribution risk.

Mr. Sorrells has been actively involved in the financial services and accounting fields for more than 23 years, and holds a Master of Business Administration from Southern Methodist University, Dallas, Texas, and a Bachelor of Business Administration from Principia College, Elsah, Illinois.