This week in personnel announcements and new hires, the Securities and Exchange Commission named Karol Pollock as the new head of the exam program in Los Angeles; the Financial Industry Regulatory Authority named a new floor member governor; Len Oremland joined OppenheimerFunds; and the Presidio Group opened an office in Washington, D.C.
Also, U.S. Bank promoted Mark Evans and welcomed John Briggs, and the Public Company Accounting Oversight Board (PCAOB) announced 15 new and reappointed members to its standing advisory group.
Pollock New Leader of SEC Exams in Los Angeles
The SEC announced that Karol L.K. Pollock has been named the new leader of the examination program in the Los Angeles Regional Office.
In her new role as associate director of the exam program in the Los Angeles office, Pollock will oversee a staff of approximately 60 examiners, accountants and attorneys responsible for examining firms in Southern California, Nevada, Arizona, Hawaii and Guam.
Pollock has nearly 25 years of experience in securities enforcement and examination regulation at the SEC, FINRA and New Mexico Securities Division as well as in the private sector. She has worked in the SEC’s Los Angeles office for the past 10 years, starting as a staff attorney in the Enforcement Division and later serving as a branch chief.
FINRA Names Mecane Floor Member Governor
The Financial Industry Regulatory Authority has named Joseph Mecane as the floor member governor on FINRA’s Board of Governors. He is currently a managing director of electronic equities and credit products at Barclays. Mecane recently joined Barclays to assist in the further development of the firm’s electronic product offering, with a particular focus on the equities and credit markets.
Mecane is a recognized industry expert in market structure issues and the regulation of markets. Before moving to Barclays, Mecane served as executive vice president of NYSE and Head of U.S. Equities for NYSE at Intercontinental Exchange Group Inc.
Oremland Joins OppenheimerFunds
OppenheimerFunds has announced that Len Oremland has joined as senior vice president, consultant relations, on the institutional consultant relations team. Based in New York, he will report to Steven Paddon, head of the institutional channel.
Most recently, Oremland was a principal at Ares Management. Earlier, he spent 13 years at ING Investment Management.
Presidio Group Opens Washington Office
The Presidio Group LLC has announced the opening of its Washington, D.C., office. Steve Aucamp and Brian Pierson, both formerly of Convergent Wealth Advisors, will co-head the new office; they are joining the firm as managing directors. Joining with them from Convergent are Samantha Dean and Brad Lackey, who will be vice presidents in the new office.
Aucamp has more than 20 years of experience advising ultra-wealthy individuals and family offices. Prior to joining Convergent in 2004, he served as vice president and relationship manager of Atlantic Trust Private Wealth Management. Before that, he practiced law for 11 years, most recently as a partner with a boutique estate planning firm in Florida.
Pierson was a director in the advisory group of Convergent, which he joined in 2000. Prior to that, he worked at NASDAQ.
Dean spent the last nine years at Convergent, most recently as a director in the advisory group.
Lackey began his career at Convergent in 2007, where he most recently served as an associate director.
U.S. Bank Advances Evans, Welcomes Briggs
U.S. Bank Wealth Management has announced that Mark Evans has been named managing director of investments for Ascent Private Capital Management of U.S. Bank in Minneapolis and John Briggs has been hired as a wealth management consultant and entertainment industry specialist for the Private Client Reserve in Nashville.
Evans has more than 19 years of leadership experience in the financial services industry and joins from Slocum, where he served as a principal of the firm. Prior to that, he was a manager at Deloitte.
Prior to joining, Briggs worked for the American Society of Composers, Authors and Publishers (ASCAP) as a vice president and spent 25 years there. He has worked in the entertainment field since 1983 in a variety of roles.
PCAOB Announces New and Reappointed Advisory Group Members
The PCAOB has announced 15 new and reappointed members to its standing advisory group (SAG), which advises the board on the development of auditing and related professional practice standards. The appointments bring the total membership to 42.
The new appointments are: Joan Amble, president, JCA Consulting LLC, public company board member; Sydney Garmong, partner in charge, regulatory competency center, Crowe Horwath LLP; Kenneth Goldman, chief financial officer, Yahoo Inc.; L. Jane Hamblen, chief legal counsel, State of Wisconsin Investment Board; Joyce Joseph, global head of accounting and governance, Standard & Poor’s Rating Services; David Kane, Americas vice chairman, assurance professional practice, Ernst & Young LLP; Sara Grootwassink Lewis, CEO, Lewis Corporate Advisors LLC, public company board member; Jon Lukomnik, executive director, Investor Responsibility Research Center Institute, managing partner, Sinclair Capital LLC; Liz Murrall, director, stewardship and reporting, Investment Management Association; Zach Oleksiuk, Americas head, corporate governance and responsible investment, BlackRock; Jeremy Perler, partner and director of research, Schilit Forensics; Sandra Peters, head of financial reporting policy, CFA Institute; and Jeffrey Tate, chief audit executive, the Dow Chemical Co.
The reappointed members are Robert Herz, CEO, Robert H. Herz LLC, executive-in-residence, Columbia Business School, Columbia University and John White, partner, corporate department, Cravath, Swaine & Moore LLP.
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