Richard Nummi Esq.
Director-Financial Services and Compliance
Mr. Nummi has over 20 years of progressively broad-based executive regulatory and compliance experience, including service as a Senior Enforcement Attorney at the United States Securities & Exchange Commission in Washington, D.C. Prior to GSS, he was GunnAllen’s Chief Compliance Officer, Executive Vice President and Corporate Counsel. Preceding GunnAllen, he served as a Senior Attorney at the United States Securities Exchange Commission, where he was instrumental in the development of numerous examinations and sweeps. He served as the Chief Compliance Officer at INVEST Financial Corporation. While at the Commission, he represented the SEC at various industry conferences. His presentations were widely acclaimed as being “In touch with reality,” and “Not the usual fair from a regulator,” While with the Commission, he also acted as oversight for various SEC Regional offices, the NASD and NYSE. Prior to the SEC, his career included various increasingly responsible positions in senior management, consulting and of-counsel engagements for several of the world’s pre-eminent financial services firms including: National Regulatory Services (Executive Consultant), NAPA (Nummi & Associates, P.A.) (Managing Partner and Chief Executive Officer ), GAH Holdings (Director, Board Member, Chief Compliance Officer, Corporate Counsel), Jefferson-Pilot financial (Chief Compliance Officer and Vice President ), IFC Holdings (Chief Compliance Officer, Vice President and Associate General Counsel). Mr. Nummi was a Co-Founder of the largest regulatory accounting and compliance consulting firm on Wall Street (ACI) and has extensive consulting experience with most of the major financial firms in the US. He served as President, Executive Vice President, Chief Compliance Officer, General Counsel and Business Analyst for several top wall street firms; a securities regulator with the U.S. Securities and Exchange Commission and served in the U.S. Navy in Naval Aviation and Naval Intelligence for 12 years. Mr. Nummi has regularly appeared on television and in other media as a general securities industry commentator, has been extensively quoted in the financial press, is a published author and a nationally recognized expert in securities regulation and governance. He has been a Director of Trans-Lux Corporation since March 6, 2012. He serves as an Editorial Board Member of Complinet Group Ltd. He served as an Editorial Board Member of Complinet Ltd. His professional education includes a Doctorate from The Stetson University College of Law where he completed one of the nation’s preeminent trial-practice programs and his Undergraduate work included degrees from Virginia and Columbia.