Mark Quinn

Senior Vice President and General Counsel
Royal Alliance Associates, Inc.

Mark Quinn is Senior Vice President and General Counsel of Royal Alliance. He joined the firm in 1999, and with the exception of a five-year period that he spent in private law practice, has worked in the financial services industry since 1982. He oversees the Legal Department at Royal, which is responsible for management of litigation and regulatory matters involving the firm and its representatives and employees, formulation of policy and procedures designed to fulfill regulatory requirements, and corporate transactional matters, such as acquisitions and loan agreements. He sits on the Board of Directors and is the Chairman of the Compliance Council of the Financial Services Institute.

Mark is a regular speaker at legal and industry conferences on topics related to law and regulation of broker-dealers and investment advisers. He is an arbitrator and mediator for NASD Dispute Resolution, which handles arbitrations involving broker-dealers, representatives and customers.

Mark has a B.S. in Finance from Arizona State University, and an M.B.A. and J.D. from the University of Denver.