MGL CONSULTING - Key Persons
Job Titles:
- Chief Executive Officer
- Chief Executive Officer of MGL
Bernie serves as Chief Executive Officer of MGL where he is responsible for consulting with clients regarding broker/dealer and investment advisor compliance; oversite of MGL's audit teams; and acts as a senior regulatory liaison on behalf of our clients. He has worked in the securities industry for more than 37 years, including roughly 20 years on the regulatory side with NASD (nka FINRA), and more than 10 years on the industry side. Bernie began his career with FINRA in 1986 as an Examiner and worked his way up the ranks to the position of District Director where he served for 5 years. During his tenure at NASD, he was awarded the Excellence in Service Award twice, once as a District Director, an accomplishment no one prior to him had achieved, and very few have achieved since him. Bernie received this award in recognition of his outstanding service quality contribution, performance, leadership abilities and commitment to goals of the organization. After leaving NASD, Bernie opened Bernerd Young & Associates under which he provided regulatory consulting services and served as an independent distribution consultant at the request of the Securities Exchange Commission from 2004 until 2010. Additionally, he provided expert witness and litigation consultant services on numerous regulatory enforcement actions. In fall of 2006, he joined Stanford Group Company as Director of Compliance. After FINRA granted him full waivers of the Series 7 and 24 licenses (based upon his depth of knowledge and experience), he became Chief Compliance Officer for the U.S. broker/dealer. Mr. Young left Stanford Group Company in February of 2009 and joined MGL shortly thereafter. He has also served as Chief Compliance Officer of an alternative investment broker/dealer where he held the Series 7, 24, 79, 99 and 66 registrations.
Job Titles:
- Legal / Executive Assistant
Ms. Seman has 20 years experience in the securities industry having worked with full service international brokerage firms, she holds the Series 7, 24, 65 and 99 registrations. Ms. Seman provides operations and compliance consulting services to MGL clients. In addition to English, Ms. Seman is fluent in Spanish, French, Portuguese and Italian.