Gina Bokios

Senior Vice President General Counsel Corporate Secretary @Regal Securities, Inc

Chicago, IL, US

Provide legal counsel and support to CEO and upper management. • Work closely with the firm’s compliance department. • As a Senior Vice President and member of the management team, involved in setting business strategy and significant business decisions affecting the firm. Collaborate with all of the firm’s departments, including compliance, business development, finance, IT, marketing, HR, operations, trading, syndicate, and fixed income desk. • Review/draft all incoming and outgoing contracts, selling agreements, registered representative and investment advisor agreements, operations and information technology related documents, consulting agreements, employment agreements, E&O insurance contracts, leases, and website disclosures. • Handle correspondence/negotiations with regulators, including FINRA, SEC, and state securities divisions. Responsible for all corporate governance matters.• Provide legal counsel and defense for FINRA arbitration claims, litigations, and mediations. • Hire/manage outside legal counsel throughout the country. Negotiate billing rates, flat fee arrangements, and review legal bills for maximum cost savings. • Served on FINRA District 8 Committee for 3 years - worked closely with FINRA executive team and staff to promote broker-dealers’ interests and discuss current issues affecting the securities industry.

Northwestern University - Kellogg School of Management

Master of Business Administration - MBA

Northwestern University

Bachelor of Science - BS

Northwestern University Pritzker School of Law

JD, Law