Close Close

Industry Spotlight > Broker Dealers


Your article was successfully shared with the contacts you provided.

Commissioner Roel Campos of the Securities and Exchange Commission announced August 9 that he intends to leave the Commission in a month’s time to return to the private sector. Currently serving his second term, Campos was first appointed by President George W. Bush in August 2002. Before joining the SEC, Campos was a principal with the radio broadcasting firm El Dorado Communications based in Houston.

Keith Gregg has been named president and co-CEO of independent broker/dealer First Allied Securities, sharing the co-CEO role with Adam Antoniades, president of First Allied’s parent, Advanced Eqities Financial Corp. Gregg is currently the chief sales and marketing officers of Dunham & Associates Investment Counsel, a wealth management firm based in San Diego. Gregg is also chairman of the Wealth Advisor Institute, a trade association of wealth managers.

Karen McMillan has been named general counsel of the Investment Company Institute, where she will be responsible for the full range of legal and regulatory matters affecting the Institute and its members. McMillan is presently a partner in the Asset Management Group at Willkie Farr & Gallagher LLP.

George Biancardi joined National Financial Partners Corp. (NFP) as senior VP of NFP and CEO of Preferred Services Group of N.Y., LTD., an NFP property and casualty operation. He succeeds Michael Liebowitz at Preferred, who remains a principal of another NFP firm specializing in property and casualty consulting.

The CFP Board named Michael Shaw to the newly-created position of managing director, Public Policy & Legal. Shaw comes to CFP Board with more than 13 years of experience as a legal practitioner, particularly in the areas of public policy formulation and execution. In his new role, Shaw will develop plans for CFP Board’s public policy and legal activities, and work to ensure the organization’s visibility and credibility with legislators and regulators. He was most recently Senior Counsel in the Office of Regulatory Policy at NASD.

Securities and Exchange Commission Chairman Christopher Cox announced that Kristin Kaepplein, VP for Global Compliance Operations at Goldman Sachs, will join the SEC as director of the Office of Investor Education and Advocacy, effective August 6, 2007. Prior to joining Goldman Sachs in 2004, Kaepplein worked with many of the financial services industry’s broker-dealers and investment managers as a management consultant with PricewaterhouseCoopers and TIAA-CREF, and as a self-employed contractor.