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Melinda LeGaye, President and CEO of MGL Consulting Corporation founded the firm in 1984. Her responsibilities include consulting with clients regarding capital structures of broker/dealer entities, registration of their firms with FINRA, SEC, NFA, CFTC and various state agencies as broker/dealers. Ms. LeGaye consults with clients regarding the structure and registration of their firms with the SEC and various state agencies as investment advisors. She works with clients to structure and document their supervisory systems and procedures to comply with regulatory requirements. Ms. LeGaye also acts as the primary interface with clearing firms to coordinate their due diligence process, execution of clearing agreements, ACAT transfers, and accounting issues. She interfaces with accountants on preparation of annual audits for submission to FINRA, SEC and states. She oversees the preparation of underwriting calculations, and she has been directly responsible for the documentation and coordination of $114-million worth of subordinated debt loan transactions for clients for use in underwriting and permanent capital transactions with FINRA. Ms. LeGaye oversees the preparation of monthly and quarterly financial reports for FINRA and SEC. She further assists clients' counsel with FINRA arbitration proceedings, reviews of offering documents including private offering memorandums, escrow account agreements, and placing agent agreements. Ms. LeGaye works with FINRA staff members in various Districts to review, negotiate and modify firm’s Membership Agreements to properly address and or expand the business scopes of our clients. She has extensive experience consulting with clients and their legal counsel to determine strategies for handling SEC, FINRA, AMEX and State regulatory enforcement investigations and actions as well as negotiating settlements with FINRA District Offices relating to proposed sanctions and disciplinary actions. Ms. LeGaye also provides litigation support in the form of strategic consulting and expert witness testimony.Ms. LeGaye holds a Bachelor of Business Administration from Sam Houston State University. She holds the General Securities Principal, General Securities Representative, Financial and Operations Principal, the Municipal Securities Principal, Direct Participation Program Principal, Direct Participation Program Representative, the Commodities Representative and the Uniform State Agent Law Examination registrations with the National Association of Securities Dealers, Inc. and the Texas State Securities Board. She is a member of the National Association of Compliance Professionals, the International Association of Financial Planners. | 