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- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA's Introduces Its Newest Industry Governors
August 14, 2012
[ by Melanie Gretchen ]
FINRA announced the election of 3 industry governors to its Board following the vote at the 2012 Annual Meeting in Washington D.C. this week. In accordance with the agency's By-Laws, 1 from among the small firms, 1 from among its mid-size firms, and 1 from among the large firms will begin their terms immediately. Each will serve a 3-year term and may not serve more than 3 consecutive terms.
The Governors-Elect are:
- Small Firm Governor: Kevin Carreno, General Counsel, International Assets Advisory, LLC
- Mid-Size Firm Governor: W. Dennis Ferguson, Executive Vice President and Director of Clearing, Sterne, Agee & Leach, Inc.
- Large Firm Governor: Seth Waugh, CEO, Deutsche Bank Americas.
- Independent Dealer/Insurance Affiliate: Mark Casady, Chairman and CEO, LPL Financial
- Public Governors: Richard S. Pechter, retired, and Joel Seligman, President, University of Rochester
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