MICAH A. TAYLOR, ESQ.
Co-Founder
With over 25 years of experience in the securities industry, Micah has cultivated strong relationships with the regulatory bodies working on behalf of numerous foreign and domestic financial firms including Hedge Funds, Private Equity firms and Broker-Dealers. His proficiency with FINRA, SEC and NFA protocols make him well-positioned to approach compliance from a pro-active as well as a preventative stance; his expertise on regulatory rules allows him to efficiently negotiate an optimal resolution to any issue that may arise.
J. CLARKE GRAY, CPA
Co-Founder
Clarke is respected as a hands-on Financial, Operations, and Administrative Executive with a depth of knowledge in trading as well as a comprehensive understanding of operational controls and financial reporting. His expertise in public and private regulatory compliance encompasses technical financial and tax requirements. Clarke's leadership and management skills enable him to adroitly interact with regulators, investors, boards and other key constituencies.
ERIN BASKETT
Compliance Consulting
Erin is a financial, compliance and operational executive with significant experience in accounting, auditing, business consulting, capital markets and financial services, with a solid knowledge of U.S. GAAP, IRS, IFRS, FINRA and SEC rules in companies with both domestic and international presence. She is a forward-thinking business leader with strategic vision, deep understanding of company operations, strong financial planning and analysis with the ability to communicate plans that drive results.
AMY ROOT
Accounting & Finance
Amy brings a wealth of experience and expertise from her career in bank international supervision at the Federal Reserve Bank of New York. She is active in her community, serving as Vice President on her town’s Board of Education, to which she was recently re-elected for a second three-year term. She also sits on the Board's Finance and Negotiations committees and chairs the Curriculum and Long Range Planning committees.
GLORIA SCHEIMAN
Compliance Consulting
Gloria brings over 30 years of extensive experience in Securities Regulatory Compliance, Management, Trading, Operations, and Fiscal Disciplines. Along the way serving in senior, high-ranking executive positions at many US/Global investment banking and brokerage firms; in the areas of compliance, financial, operations, securities trading, investment banking and branch management. Gloria is a member of the National Association for Female Executive (NAFE). She has also been listed in the Strathmore’s Directory of Who’s Who in American Business and Finance and named to Manchester’s Who’s Who Among Executive and Professional Women.
VIVIAN LEE
Compliance Consulting
Vivian has nearly 30 years of experience in the financial services industry, primarily in Equity Capital Markets. More recently, she has been instrumental in establishing and maintaining regulatory compliance practices and assisting in due diligence. She has also been engaged in corporate finance at early-stage and micro-cap companies.