Time to meet the team!

Having originally founded MGL Consulting (“MGL”) in 1984, Mimi serves as Chief Executive Officer and 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.

Mr. Berry joined MGL Consulting in 2018 as the CFO. In this role he was responsible for the financial and administrative functions including finance, human resources, risk management and vendor relationships. He provided support in the preparation of client financial statements and the calculation of net capital positions for regulatory filings. 

As Chief Technology and Information Officer at MGL Consulting, LLC, David LeGaye leads the strategic vision and execution of technology initiatives that empower the MGL Consulting team to achieve regulatory compliance and operational excellence. With roughly 20 years of experience in IT leadership, digital transformation, and risk management, David plays a pivotal role in aligning innovative technology solutions with the firm’s mission to deliver trusted compliance consulting services.

Randy is an attorney with over 45 years of experience in the financial services industry specializing in SEC, FINRA and State regulatory actions. He has a strong background in civil and criminal litigation and serves as an advisor to broker/dealers and investment advisors regarding government investigations and customer litigation/arbitrations.

Executive Vice President of the Broker/Dealer Division, joined MGL Consulting in September of 2000. His responsibilities include consulting with clients regarding financial reporting, development and implementation of financial accounting, and reporting and budgeting systems for broker/dealer entities. Prior to joining MGL, Riichard was Chief Financial Officer for GBM International, Inc. where he developed and implemented financial accounting, reporting and budgeting systems for a $10,000,000 start-up U.S. broker/dealer subsidiary of a Mexican financial conglomerate.

Mike Hebert joined MGL Consulting, LLC (“MGL”) in 2008 and now serves as a Executive Vice President Regulatory Affairs where his responsibilities include consulting with clients regarding the structure and documentation of their supervisory systems and procedures, and business continuity programs to comply with current regulatory requirements.

Vice President of Broker/Dealer Regulatory Affairs joined MGL Consulting in 2001. His responsibilities include consulting with clients regarding the structure and documentation of supervisory systems and procedures, conducting compliance examinations of broker/dealer operations, compliance and trading systems, financing and structural issues, coordination with FINRA staff members in various Districts to review, negotiate and modify Clients’ Membership Agreements.

Shannon W. Rast is a seasoned senior compliance consultant with extensive expertise in broker-dealer regulatory filings and registration management. With over 26 years of experience in the financial services industry, Shannon provides strategic compliance support to firms navigating complex regulatory landscapes governed by FINRA, the SEC, and state securities regulators.

Kelly Schmalhausen joined MGL Consulting, LLC (“MGL”) in November 2025 as Vice President Regulatory Affairs where his responsibilities include the management of client relationships and professional consulting services to assist clients to comply with current regulatory requirements.

Kristy K. Johnson has over 23 years of experience in the field of accounting and financial statement preparation and over 20 years of experience as a FINOP. She has served as a FINOP for broker/dealers with statutory net capital requirements of $5,000 to $250,000. These broker/dealers have consisted of, but are not limited to, full-service broker/dealers engaged in retail activities, broker/dealers that offer private placements, broker/dealers that are engaged in mergers and acquisitions, and broker/dealers that specialize in real estate. 

Mr. de Blanc joined MGL Consulting in 2023, where he serves as Vice President Regulatory Affairs. In this role, he serves as a Financial and Operations Principal (FinOp) for Financial Industry Regulatory Authority (FINRA) member firms performing reviews of financial reports and regulatory filings. He also collaborates on a multitude of projects relating to SEC registered and FINRA member broker-dealer regulatory compliance matters including: new member applications, continuing membership applications, examination support, and regulatory and litigation support.

Soledad is a seasoned securities compliance and operations consultant with 30+ years of experience in the financial services industry. She has worked with full-service international brokerage firms, providing expertise in regulatory compliance, operational efficiency, and risk management. Soledad holds multiple FINRA registrations, including Series 7, 14, 24, 65, 63 and 99, reflecting her deep knowledge of broker-dealer and investment adviser requirements.

Janet LeGaye is a seasoned systems administrator and compliance specialist with more than seven years of experience in the financial services industry. She brings a unique blend of technical expertise and regulatory knowledge, specializing in system configurations, firm and agent onboarding, and workflow optimization. Janet has a proven track record of designing and implementing compliant forms and supervisory workflows that enhance operational productivity and ensure compliance with industry standards.