Based in Southampton, New York
System availability and response times may be subject to market conditions.
Preston Haxo is Chief Compliance Officer at Mondeum Capital, where he oversees compliance, trade surveillance and client services. He brings an extensive background in securities regulation, supervisory controls, risk identification and brokerage rules. Before joining Mondeum, he spent over six years working in Member Supervision at FINRA, where he continues to serve as a Dispute Resolution Arbitrator. Preston holds a B.A. from Trinity College, an MBA from Villanova University and a CRCP from Georgetown University.