About Mimi

Mimi serves as President of MGL where she serves as a senior regulatory liaison on behalf of our clients and she is responsible for consulting with clients regarding strategic organizational issues, broker/dealer and investment advisor formation, business expansions, compliance and supervisory efforts, financial compliance, FINRA regulations and membership requirements, as well as providing regulatory and litigation support services. She has worked in the securities industry for almost 40 years, having held the positions of President, Chief Compliance Officer, Financial & Operations Principal and Municipal Securities Principal. Mimi holds or has held the Series 3, 7, 22, 24, 27, 39, 53, 63, 79 and 99 registration categories. Having served as an independent consultant, expert witness and litigation consultant on numerous regulatory enforcement actions (formal, administrative & investigative), and civil complaints. Mimi has spoken at numerous industry programs on topics ranging from compliance issues effecting independent broker/dealers, best practices in due diligence, and most recently “Crowdfunding for Real Estate”. Investment Programs”. Ms. LeGaye currently serves as a Small Firm Member on FINRA’s South East Regional Committee and is a member of SMARSH’s Client Advisory Board.