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David A. Himes joined MGL in 2007 as Associate General Counsel and is a graduate of the Hamline University School of Law. He has more than 20 years experience in the financial services industry starting as a stockbroker with Bache & Co. He gained experience in back-office broker operations with Robert W. Baird & Co. and First Wisconsin Discount Brokerage Services where he worked in trading, trade reconciliation, client services and marketing support. Mr. Himes has also consulted on trust operations projects, discount brokerage start ups, and retail-client financial plans. After graduation from law school in 1998, Mr. Himes served as a regional compliance officer for Washington Square Securities in Minneapolis where he was responsible for the oversight and inspection of 12 offices of supervisory jurisdiction located throughout the southeast region of the U.S. In this capacity, he performed on-site inspections of the OSJ’s and larger branch offices, delivered annual compliance lectures, researched regulatory issues, reviewed and revised firm procedures, conducted suitability review of client transactions and responded to daily OSJ regulatory issues. Mr. Himes has also consulted with the investment advisory firm of RSM McGladrey in direct support of the chief compliance officer. While with RSM, he updated the firm’s written supervisory procedures, drafted an updated version of the firm’s anti-money laundering manual, reviewed advisor advertising, performed on-site inspections of investment advisory offices, developed a trade-review system to ensure suitability of client transactions along with other projects as required by the CCO. Mr. Himes additionally has experience in FINRA arbitration and is a FINRA arbitrator. He has worked as a contract attorney with the law firm of Edgerton, Weaver and Irwin, which specializes in the defense of broker/dealers in FINRA arbitration matters. He has participated in the legal discovery process, drafted responses to claims filed through FINRA Dispute Resolution, Inc., interviewed representatives regarding disputes and provided first-chair representation to clients in FINRA arbitration proceedings in Richmond and Tampa. A graduate of Drew University in Madison, N.J., Mr. Himes earned his Bachelors degree in Economics. After graduation from college, he joined the Marine Corps and was later promoted to the rank of Major in the Marine Corps Reserve. | 