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December 10, 2014 at 01:47 PM
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.
