Podcast Center
Video Center
Webcasts
Resource Center
Events
August 14, 2014 at 05:10 AM
This week in personnel announcements and new hires, Thomas Piccone was named by the SEC to lead the national exam program in its Denver regional office; Ernest McNeill Jr. joined the Phoenix Cos.; and WBI Investments promoted Matt Woehnker.
Also, David Brierwood joined Preqin’s board of directors and CAPTRUST hired Drew McCorkle.
Piccone to Head SEC Exam Program
The SEC has announced that Thomas Piccone will lead the national exam program in its Denver regional office. As associate regional director for examinations, he will now oversee examinations of broker-dealers and transfer agents as well as investment advisors and investment companies throughout an eight-state region.
Piccone joined the SEC’s Denver office staff in 1997, beginning as an enforcement attorney, and later held positions of branch chief, trial counsel, and special counsel before transitioning to the examination program. He later became the assistant director for the office’s examination program overseeing investment advisors and investment companies. Earlier he practiced law with Gibson, Dunn & Crutcher LLP. He previously served as a law clerk for U.S. District Court Judge Alfred Arraj, and prior to law school he was employed as a member of the management information consulting division of Arthur Andersen & Co.
McNeill to Join Phoenix Cos.
The Phoenix Cos. announced that Ernest McNeill Jr. will join the firm as senior vice president and accounting officer. He will report to Bonnie Malley, executive vice president and chief financial officer.
McNeill most recently served as senior vice president, corporate accounting, for the financial services businesses of Fidelity Investments. Previously, he held various senior finance roles at the Hartford Financial Services Group, including serving as chief accounting officer, Hartford Life, Inc., and as vice president and director, the Hartford Investment Management Co. Earlier in his career he was chief financial officer and assistant treasurer at Connecticut’s Office of the State Treasurer, vice president and controller at Advest Bank and an audit manager at Coopers & Lybrand.
WBI Promotes Woehnker
WBI Investments announced that Matt Woehnker has been promoted to director of business development.
