Tel:   281-367-0380

Providing insight and direction!

Richard (“Rick”) M. Nummi

General Counsel

About Rick

Mr. Nummi has more than 20 years of progressively broad-based executive regulatory compliance experience encompassing project management, supervision and performance management, business liaison relations, systems analysis conversions, policies and procedures, problem solving, and change management. Mr. Nummi’s experience encompasses Financial Industry Defense, specializing in SEC, FINRA and state regulatory actions, investigations, as well as civil and criminal litigation. He is also a frequent Financial Industry Media commentator, published author, nationally recognized expert in securities regulation and governance and fully versed in all aspects of financial industry regulation and oversight. Mr. Nummi is formerly Senior Attorney with SEC Office of Compliance Inspections and Examinations (‘33, ‘34 and ’40 Act). Prior to joining the SEC, Mr. Nummi served as CCO and Corporate Counsel for large broker/dealer. Notable assignments have included: Mutual Fund Governance Sweep, Asian Markets, Mutual Fund Breakpoint Sweep, Variable Annuity Bonus Sweep, Independent Contractor / Registered Representative Supervisory Sweep, Developer and Senior Attorney – Bank Branch Examinations, Instructor SEC Phase I, II and III Examiner Training.

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