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January 29, 2015 at 04:28 AM
This week in personnel announcements and new hires, Dan Farley was promoted at the Private Client Reserve; Philip Herzberg joined the Lubitz Financial Group; Homrich Berg appointed new principals; Mariner Consulting welcomed three; and Tom Coté joined Equis Capital.
Also, Erin E. Schneider has been named the associate regional director for enforcement in the San Francisco office; Scivantage added two; Cozen O’Connor welcomed Ellen Grady; SignatureFD promoted Heather Fortner; the chief counsel to SEC Chairwoman Mary Jo White resigned; and Advisor Software added Erik Jepson.
Schneider Named Associate Director of SEC San Francisco Office
The Securities and Exchange Commission announced that Erin E. Schneider has been named the Associate Regional Director for enforcement in the San Francisco office.
Schneider began working in the San Francisco office in 2005 as a staff attorney and became an Assistant Regional Director in 2012. She has served as a member of the Division of Enforcement’s Asset Management Unit since its inception in 2010. In her new role, Schneider will oversee the San Francisco office’s enforcement efforts for northern California and the Pacific Northwest.
Chief Counsel to SEC Chair White Resigns
Robert E. Rice, Chief Counsel to SEC Chairwoman Mary Jo White, will leave the agency at the end of February.
Chair White named Mr. Rice her Chief Counsel in June 2013. In that position, Mr. Rice has been a senior legal and policy advisor to Chair White and has provided advice and counsel on a wide range of regulatory matters.
Before coming to the SEC, Mr. Rice worked from 2004 to 2013 at Deutsche Bank AG in New York, where he oversaw all regulatory and criminal enforcement, litigation and governance matters in the Americas. From 2000 to 2004, Mr. Rice was a partner at McDermott, Will & Emery in New York.
Before joining McDermott, Will & Emery, Mr. Rice spent almost 10 years in public service in the Criminal Division of the U.S. Attorney’s Office for the Southern District of New York.
Private Client Reserve Names Farley
U.S. Bank has announced that Dan Farley has been named regional investment director at the Private Client Reserve. He will be based in Minneapolis. In addition to his new duties, primarily supporting the east region, he will continue to be involved with the Twin Cities investment team and continue to work with Margaret Paddock, Twin Cities market leader.
With more than 13 years of experience, Farley joined the firm in 2010 as a senior portfolio manager. He was subsequently promoted to the position of portfolio manager/player coach before being promoted to his most recent position as Twin Cities investment lead. Prior to joining, he was a vice president with Dougherty Commercial Properties and also worked as a management consultant in Deloitte Consulting’s strategy practice. Earlier he was commissioned as a combat engineer officer in the U.S. Army, serving more than five years on both active duty and in the Minnesota National Guard.
Herzberg Joins Lubitz Financial Group
The Lubitz Financial Group has announced that Philip Herzberg has joined as a client advisor.
Prior to joining, Herzberg was a relationship manager at United Capital in the Boca Raton area and client services manager in Miami with Ladenberg Thalmann.
Homrich Berg Names New Principals
Wealth management firm Homrich Berg has appointed five new principals: Stephanie Lang, Wayne Moss, Tricia Mulcare, Paul Ribes and Frank Waterson.
Lang joined in 2005 and serves as chief investment officer. Moss joined in 2008 after spending 10 years at Creative Financial Group and serves as a relationship manager. Mulcare joined in 2003 after four years with Ernst & Young. She oversees a client service team and also serves as the firm’s divorce specialist. Ribes joined in 2013 as chief operating officer; previously, he was the director of financial planning and analysis for Invesco in Atlanta. Waterson joined in 2004 after beginning his career advising Fortune 500 executives at Ayco, a Goldman Sachs company.
