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.

 Prior to joining MGL, Curtis was a Field Supervisor with FINRA District 5 (New Orleans). As a Field Supervisor, his responsibilities included  conducting  field   examinations   and audits of broker/dealers for   compliance with  securities  laws   and  regulations.   Curtis conducted audits of financial capitalization, customer protection rule compliance, sales practice and underwriting activities, and evaluated Member Firms’ supervisory systems and procedures.

 Prior to joining FINRA (formerly NASD), Curtis was Treasurer For a non-profit organization. He also operated his own firm as an Investment Analyst where he performed fundamental and technical analysis of the stock and bond markets. Curtis analyzed international mutual funds for currency risk, country risk, and capital gains distribution risk.

 Curtis has been actively involved in the financial services and Accounting fields for more than 23 years and  holds a Master of Business Administration from Southern Methodist University, Dallas, Texas, and a Bachelor of Business Administration from Principia College, Elsah, Illinois.