Wells Fargo’s Mack Taps 2 Deputies
Bob Vorlop is set to focus on products and advice, while Joe Nadreau will be in charge of business strategy and innovation.
LPL, Wells’ FiNet Tap New Execs
LPL FINANCIAL SAID IN EARLY JUNE THAT Dan Arnold, currently head of strategy for the largest independent broker-dealer, had been named chief financial officer of the company, the latest step in a management reorganization that has played out over the last few months.
Wells Fargo Names New FiNet Chief
Wells Fargo Advisors said Tuesday that Kent Christian is the new president of FiNet, the firm’s independent channel.
New Hire Roundup: Hedge Fund Association Announces Officers; Carlyle Names Board
This week in new hires, Hedge Fund Association announced newly elected officers; Carlyle Group named new board members; Altegris welcomed Amy Bennett; Sanjay Puri joined Zephyr Associates.
Former SEC Exam Chief Walsh: SEC Whistleblower Program 'Showing Traction'
The former chief counsel at the SEC's exam division, John Walsh, has formed a Whistleblower Response Team with several of his colleagues to help firms develop whistleblower response programs as the SEC’s 'initiative is beginning to show traction.'
SEC's Top Compliance Officer Leaving for Private Sector
John Walsh, associate director and chief counsel in the SEC's Office of Compliance Inspections and Examinations (OCIE), plans to retire from the agency at the end of September.