Our Team

President
With over thirty years in the compliance industry, Michael’s experience provides the breadth, depth, guidance and direction to all other staff members and our clients. His expertise stems from a broad range of industry positions including Chief Compliance Officer, Chief Financial Officer, and Director of Operations. He starting his compliance career as a NASD examiner in the Atlanta office. Michael also has professional experience in software development for Internet Banking and brokerage applications.

Compliance Areas of Specialty:

• Expert Witness Testimony
• Litigation Support
• Strategic Management Consulting
• Compliance Structure Consulting
• Technology Platform Consulting

Title

Bengie’s background in Political Science and International Law help him ensure that all regulatory submissions essential to the FINRA membership process adequately satisfy the standards for membership. Aside from being the broker/dealer registration expert, Bengie is also an expert in CRD filing and navigation. Bengie also manages and operates the broker/dealer registration process within all 52 jurisdictions.

Areas of Specialty:

• Broker/Dealer Start-ups
• State Registrations for Broker/Dealers
• State Registrations for Representatives
• FINRA Branch Office Registration
• State Branch Office Registration
• CRD Navigation

Title

Currently Updating

Title

Currently Updating