Michael G. Mullings

Background

About Michael G. Mullings

Michael has been with Continental for over 30 years and is currently their Chief Compliance Officer, Chief AML/BSA Officer and Corporate Secretary. He deals primarily with the executive officers and directors of our clients and their securities counsel and is frequently involved in discussions concerning the interpretation of SEC rules resulting in the opportunity to provide guidance with a commitment to finding solutions to complex problems. He also serves as a Senior Relationship Manager for some of Continental’s most sensitive accounts and has responsibilities involving all aspects of legal restricted transfers, original issuances stemming from initial, secondary and follow-on public offerings, private placements, warrant exercises and employee benefit plans. He is also responsible for the review of all legal agreements to which Continental is a party.Michael is also in charge of overseeing and managing the implementation of procedures to ensure that compliance programs adopted throughout the organization are effective and efficient in identifying, preventing, detecting and correcting non-compliance with applicable rules and regulations. He reports directly to the Company’s President and is required to provide reasonable assurance to the Board of Directors that there are effective internal policies and procedures in place, well understood and respected by all employees, and that the Company is complying with all regulatory requirements.Michael is currently a member of the Securities Transfer Association and the Shareholder Services Association. He holds a Master of Science degree from the New Jersey Institute of Technology. He is married with two daughters and is an avid Mets and Knicks fan.