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New Hire Roundup: Murphy, Fredrickson Move Up at SEC

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This week in personnel announcements and new hires, the SEC announced new roles for Elizabeth Murphy and David Fredrickson, and Deutsche Asset & Wealth Management welcomed Simon Mendelson.

Also, Arbor Point Advisors added Jeffrey Schmaltz and Justin Neuberg joined Convergence Investment Partners.

Murphy, Fredrickson Move Up at SEC

The SEC has announced that Elizabeth Murphy has been named an associate director and David Fredrickson has been named associate director and chief counsel, both in its division of corporation finance. In her new role, Murphy will oversee the work of three offices within the division: the office of rulemaking, office of small business policy and office of enforcement liaision. Fredrickson, who will assume his new position in March, will oversee the work of the division’s office of chief counsel and office of capital markets trends.

For the past five years, Murphy has served as the secretary of the Commission, heading the office that prepares, reviews, and maintains records of Commission action and advises the Commission and the SEC staff on administrative practices and procedures. From 2000 to 2009, she was the chief of the division of corporation finance’s office of rulemaking. She first joined the division in 1986 as an attorney-advisor and was promoted to special counsel in 1987. She was made a special counsel in the division’s office of the chief counsel in 1996 and later served as counsel to Commissioner Laura Unger.

Since 1998, Fredrickson has been assistant general counsel in the SEC’s office of general counsel, where he is responsible for providing legal and policy advice to the division of corporation finance. Before joining the office of general counsel in 1997, he spent three years as an enforcement attorney in the SEC’s San Francisco regional office. Prior to that, he spent eight years in private law practice, where he specialized in commercial and civil litigation.

Simon Mendelson Joins Deutsche Asset & Wealth Management

Deutsche Asset & Wealth Management has announced that Simon Mendelson has joined the firm as a managing director and head of product management and development in the Americas. In this newly created position, he will be responsible for overseeing the development, implementation and positioning of the firm’s investment products and solutions in the Americas. Based in New York, Mendelson reports to Jerry Miller, head of Deutsche Asset & Wealth Management, Americas.

Mendelson has more than two decades of leadership and operating experience, having spent nine years at BlackRock and 14 years at McKinsey & Co. He was most recently global head of product development at BlackRock, which he joined in 2005. From 1990 to 2005, he was a senior partner in the financial institutions practice at McKinsey & Co., where he focused on insurance, brokerage and asset management.

Arbor Point Advisors Welcomes Jeffrey Schmaltz

Arbor Point Advisors LLC, a joint venture of Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc., and NorthStar Financial Services Group, has hired Jeffrey Schmaltz as a regional sales director based in Fort Worth, Texas.

With more than 28 years of experience in the financial services industry, Schmaltz began in 1986 as a Fidelity Investments representative out of Dallas before moving to Bear Stearns in 1989. He returned to Fidelity Investments in 1995 and in January 2001 moved to the firm’s institutional division.

Read more about Schmaltz on ThinkAdvisor.

Justin Neuberg Joins Convergence Investment Partners

Convergence Investment Partners has announced that Justin Neuberg has joined as a senior analyst. He will be responsible for data management and data integrity, empirical research and portfolio management for each of the firm’s products. He will also focus on risk assessment and risk management within the firm’s portfolios.

With more than a decade of experience in the financial services industry, Neuberg joins from Mariner Wealth Advisors, where he was a member of the firm’s asset allocation committee. He also served as the primary analyst supporting CBIZ Wealth Management’s national investment platform and model portfolios.


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