Upcoming Webinar

Expanding the Sphere of Supervision Value

September 29 • 10:00am PDT

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Join us on September 29th as Robert Cruz from Smarsh, Mimi LeGaye from MGL Consulting LLC, and Scott Nelson from Hunton Andrews Kurth LLP as they discuss:

  • Common supervision challenges faced by large and small firms in today's environment
  • How to extend the reach of existing supervisory investments
  • The benefits to staying ahead of your information risk

The inspection of business-related employee communications is a well-established compliance business practice for every financial services firm. The purpose of this is not solely to protect investors and adhere to industry regulations. Being diligent with these processes can help organizations identify and remediate information risk.

Panelists

Robert Cruz

Senior Director of Information Governance, Smarsh
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Robert Cruz

Senior Director of Information Governance, Smarsh

Robert Cruz is Senior Director of Information Governance for Smarsh and Actiance. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and Discovery cost and risk reduction.

Scott Nelson

Partner, Hunton Andrews Kurth LLP
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Scott Nelson

Partner, Hunton Andrews Kurth LLP

With nearly 25 years of experience, Scott has dealt with most employment law matters companies face. His mastery of the subject matter allows him to get to the heart of the issue quickly and provide sound, practical advice clients can trust. This, along with his drive to win, gives him a critical edge in the courtroom. Among his more notable cases, Scott successfully defended multinational chemical companies in one of the largest employee trade secrets cases to go to a jury trial, a case in which plaintiffs sought $800 million through economic espionage-type trade secrets claims. He also achieved a total bench trial victory for a multinational mining and chemical company in a large ERISA class action in which plaintiffs sought in excess of $200 million. In arbitration, he recently won more than $3.2 million, including $1.2 million in attorneys' fees, for an employer seeking to claw back signing bonuses from energy traders.

Melinda (Mimi) G. LeGaye

President, MGL Consulting, LLC
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Melinda (Mimi) G. LeGaye

President, MGL Consulting, LLC

Melinda (Mimi) G. LeGaye, serves as President of MGL Consulting, LLC. Ms. LeGaye has 30 plus years’ experience representing the interests of small broker-dealers having held the positions of president, CCO and FINOP for several small broker-dealers over the years. In addition to her role at MGL, she currently serves as President and CCO of Moody Securities, LLC and as FINOP and a registered principal for RCX Capital Group, LLC. Ms. LeGaye also serves as a Small Firm Member on FINRA’s SE Regional Committee.

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