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Regulation and Compliance > Federal Regulation > FINRA

New Hire Roundup: FINRA Names New Corporate Communications Head

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New Hires logoThis week in new hires, FINRA announced that Greg Ahern will be its new head of corporate communications; Neuberger & Berman welcomed Brendan Gill; Ed Holliday and Leanne Sindell went to L&S Advisors; and the Hedge Fund Association made three new appointments.

Also, JHS Capital Advisors welcomed Tim Forsman; MDRT announced new leaders for 2012–’13; FASB added three new members to its emerging issues task force; and Debbie Klis joined Ballard Spahr.

FINRA Announces New Head of Corporate Communications

The Financial Industry Regulatory Authority (FINRA) announced Tuesday that effective Oct. 15, Greg Ahern will join as executive vice president for corporate communications and government relations. In this role, he will be responsible for media, government relations and investor education programs, and oversee editorial production, design and multimedia communications services. He will also assume oversight responsibilities for the member relations group.

Ahern is currently chief public communications officer for the Investment Company Institute (ICI), where he has been responsible for all strategic communications for the past seven years. Prior to joining ICI, he worked for institutional money management firms in a variety of roles with increasing responsibility, heading up marketing and communications. These jobs included eight years at State Street Corp. and seven years at the Boston Co., both in Boston.

Neuberger Berman Appoints Brendan Gill

Neuberger Berman Group has appointed Brendan Gill as a senior vice president and head of national accounts in the firm’s advisor solutions group, effective Aug. 30.

In his new position, he leads a five-person relationship management team for all wirehouse and independent broker-dealers and will have primary responsibility for the Morgan Stanley Smith Barney relationship. Gill reports to Jason Ainsworth, managing director and head of the advisor solutions group.

Gill has approximately 19 years of financial services experience. Before joining Neuberger Berman, he served as director of national accounts at MFS Investment Management since July 2008. Previously, he was a sales executive at firms including John A. Levin & Co., Lincoln Financial and Delaware Capital, and Pioneer Group. Gill began his financial services career as an account representative at MetLife in 1993.

Holliday and Sindell Join L&S Advisors

L&S Advisors announced recently that it has hired Ed Holliday as managing director, client development and Leanne Sindell as managing director, business development. In their new roles, they focus on developing the firm’s relationships with financial advisors and educating them about its portfolio management services for separately managed accounts (SMAs).

Each brings more than three decades of experience within the financial industry to their roles, and both came from Shinnecock Partners, where Holliday previously served as director of client development and Sindell served as director, business development. Holliday spent 12 years representing Campbell & Co. Prior to entering the investment industry in 1980, he worked in private and corporate aircraft sales. Sindell’s career in the financial world commenced as a retail broker with Paine Webber and Wedbush Morgan Securities. Hedge Fund Association Expands Leadership Team

The Hedge Fund Association announced three new appointments on Monday.

Don Steinbrugge, chairman and founder of Agecroft Partners, was named to HFA’s board of directors, and will join the segment of the board that represents the interests of hedge fund investors. Prior to forming Agecroft, he was head of sales and a founding principal of Andor Capital Management. Earlier, he was head of institutional sales for Merrill Lynch Investment Managers (now part of BlackRock) and head of institutional sales for NationsBank (now Bank of America Capital Management).

Joel Schwab, managing director of Hedge Fund Research (HFR), was chosen to be the new midwest chapter director. Prior to joining HFR, Schwab launched and developed the commercial business of the hedge fund database for Channel Capital Group. He also practiced law in the corporate department of the law firm Katten Muchin Zavis (now Katten Muchin Rosenman) in Chicago.

Kislay (Sal) Shah of McGladrey will fill the newly created role of Connecticut chapter director. Shah also continues to serve on the board of directors representing the interests of hedge fund service providers. Prior to joining McGladrey, he served for 14 years with a “big four” accounting firm.

JHS Capital Advisors Appoints New Senior Vice President

JHS Capital Advisors announced Monday that it has appointed Tim Forsman as a senior vice president, fixed-income investments. He is based in St. Petersburg, Fla., and represents institutional clients such as banks, insurance companies, foundations and money managers.

Forsman, who has spent 16 years in the financial services industry, most recently worked for Sterne Agee as a principal. He previously served as executive vice president of fixed income at the Royal Bank of Canada.

MDRT Announces New 2012–’13 Executive Committee Leadership

The Million Dollar Round Table (MDRT) recently announced the appointment of D. Scott Brennan as president and Brian D. Heckert as secretary of the organization’s executive committee.

Brennan, who has been a member of MDRT for 29 years, will lead the association for a one-year term that began Sept. 1. He succeeds 24-year MDRT member Jennifer A. Borislow. Michelle L. Hoesly, a 33-year member, will serve as first vice president, and Caroline A. Banks, a 23-year member, will serve as second vice president. Heckert is a 24-year member of the association.

FASB Names Three to Task Force

The Financial Accounting Standards Board (FASB) announced Monday the appointment of three new members, Terri Campbell, Jackson Day and Larry Salva, to the emerging issues task force (EITF), which assists in improving financial reporting through timely identification, discussion and resolution of financial accounting issues. Members are appointed to staggered five-year terms, renewable at the discretion of the EITF chairman. Campbell and Day began their terms on Tuesday. Campbell is a managing director with Liberty Mutual Group Asset Management and is responsible for the public equity investments of the company. Prior to joining Liberty Mutual, she managed a U.S. large-cap core fund for Eastern Investment Advisors, a division of Eastern Bank in Boston. She also held analyst positions covering information technology stocks at The Boston Co. Asset Management and energy stocks at Independence Investment Associates, a subsidiary of John Hancock Life Insurance.

Day is the Americas director of accounting standards setting for Ernst & Young. From 1997 to 1999, he was an FASB practice fellow. He also has been both an acting chief accountant and a deputy chief accountant of the Securities and Exchange Commission (SEC), as well as chairman of the International Organization of Securities Commissions’ standing committee on accounting, auditing and disclosure.

Salva is senior vice president, chief accounting officer and controller of Comcast Corp. Prior to joining Comcast in January 2000, he was a partner with PricewaterhouseCoopers for more than 12 years. He also served as a professional accounting fellow with the SEC’s Office of the Chief Accountant. He will begin his term on Nov. 1.

Debbie Klis Joins Ballard Spahr

Debbie Klis has joined Ballard Spahr as counsel in the firm’s Bethesda office, Chairman Mark Stewart announced Monday.

Klis, who advises investment management companies, equity sponsors, their portfolio companies, and registered and unregistered funds, also represents broker-dealers. She is a member of the firm’s business and finance department and its investment management, mergers and acquisitions/private equity, securities and tax groups.

Read the Sept. 5 New Hire Roundup at AdvisorOne.


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