Our team of talented and dedicated people are always available to lend their expertise to provide your firm with, insight and direction, to navigate today’s turbulent regulatory environment…
January 1, 2017
FINRA District 6 Committee: Melinda ("Mimi") LeGaye has been appointed as a small firm representative on FINRA's District 6 Committee.
Since 1984, MGL Consulting, LLC has been committed to the compliance consulting business. We extend our highly responsive, personal service team to you, our customer. As a client of MGL you will be assigned a dedicated Relationship Manager from our team of highly experienced securities industry professionals. Your Relationship Manager will provide you with hands-on, day-to-day compliance assistance permitting you to focus on your business. Through our team of seasoned compliance professionals, MGL brings considerable resources to your business at a fraction of the cost.
- Broker/Dealer Services
- 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.
- Investment Advisor Services
- In today’s fast changing regulatory environment, MGL is uniquely position to provide a full range of compliance and risk management services to investment advisors, municipal advisors and private equity fund managers who are having to grapple with changing registration requirements and new compliance obligations. Our team of professionals have both senior regulatory and industry experience to help your firm not only stay abreast of new regulations and to help your interpret pending regulations and develop a functional compliance program to fit your business and your budget needs.
- Professional Development Services
- As business owners and compliance professionals, at MGL we recognize that well trained, highly qualified and motivated people are the cornerstones of building any strong organization. Well trained staff, are the foundation every firm needs to build effective supervisory and compliance systems which are strong enough to manage an organization’s growth and minimize regulatory risks. Through our affiliate, MGLU.com, we provide a variety of focused training opportunities flexible enough to not only accommodate a busy life-style, but to also priced to meet even the smaller firm's budget.
- Litigation Support
- MGL is uniquely qualified to provide litigation support to attorneys seeking assistance in the areas of securities regulation, FINRA Internal Operations, FINRA Examination Process, FINRA Disciplinary Process, Risk Identification/ Management, Investigation and Analysis. Our firm and its principals have experience providing not only expert witness testimony but providing strategic litigation and independent consultant services on behalf of broker/dealers facing arbitrations, enforcement actions and or civil claims. Our firm has worked on projects providing strategic advice on FINRA, SEC and state regulations concerning sales practices, customer identification practices, due diligence, obligations of wholesales of publicly registered non-traded REITs, record maintenance and retention requirements, and other supervisory issues related to their defense of broker/dealer and investment advisors.