BROWSE BY TOPIC
Stories of Interest
- Goldman's Lloyd Blankfein Seems to be Making a Habit Out of Trolling Trump
- Goldman on Hunt for Star Traders to Revive Struggling Commodities Unit
- Yahoo Owes Millions for Busting NCAA Tourney Bracket Deal
- JPMorgan Joins 21st Century Fox in Fighting 'Deep Divisions Across Our Country'
- Please, God, Save Gary Cohn From Himself: The Case for Resigning
- Regulatory Considerations When Bringing on a New Advisor
- Why Deutsche Bank is at Mercy of Regulators
- U.S. Treasury Auction Class-Action – Federal Judge Causes Interminable Delay
- Mnuchin Rejects Calls to Resign and Defends Trump
- Best Time to Go to the U.S. (Tennis) Open Tourney - Before It Starts on August 28
- Stifel Prevails in Arbitration But Ex-Hilltop Employees Hit with Awards - Bill Singer
- Banca IMI Securities to Pay $35Mn for Improper Handling of ADRs in Continuing SEC Crackdown
- Members of White House ‘Arts Panel’ Resign En Masse in Protest of Trump
- FINRA Whiffs on Disciplinary Sanction: Bill Singer's 'Negligent Market Manipulation in OTC Stock Promotion'
- Heather Heyer’s Mother Says, ‘I’m Not Talking to the President’
- Goldman Sachs May Have Lost $100Mn on Energy Bet Gone Wrong
- SEC Drops Case Against Ex-JPMorgan Traders Over 'London Whale'
- Financial Advisers That Invest in Technology Need to Accomplish These Two Things
- FINRA Amends Codes Regarding Expedited Arbitrator List Selection
- FINRA July 2017 Quarterly Disciplinary Review (Podcast)
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
MSRB Has New Line-Up of Officers & Board Members
[Photo: Lucy Hooper and Arthur Miller / MSRB ]
The MSRB announced a line-up of new officers and members of its Board of Directors for the 2018 fiscal year. Lucy Hooper, EVP at Davenport & Company, will serve as Board Chairperson, while Arthur Miller, a Managing Director at Goldman, Sachs, will serve a 2nd term as Vice Chair.
New members joining the Board for 4-year terms beginning 10/1/17 are:
- William Fitzgerald, Sr., Founder, Fitzgerald Asset Management
- Manju Ganeriwala, Treasurer, Commonwealth of Virginia
- Seema Mohanty, Founder / MD, Mohanty Gargiulo, LLC
- Donna Simonetti, former Executive Director at JP Morgan
- Beth Wolchock, MD, Oppenheimer & Co.
The MSRB also announced that Board member Gary Hall, whose term was set to expire September 30, 2017, will serve an additional two years on the Board to complete the term of Pat Sweeney, who recently resigned from the Board due to a job change.
The Board, which has 11 independent public members and 10 members from firms regulated by the MSRB, including broker-dealers, banks and municipal advisors, establishes regulatory policies and oversees the operations of the MSRB. All Board members must be knowledgeable about the municipal securities market and were selected from more than 90 applicants.
Other Board members are: Anthony Beard, Renee Boicourt, Robert Brown, Julia Cooper, Ron Dieckman, Richard Ellis, Jerry Ford, Richard Froehlich, Lakshmi Kommi, Kemp Lewis, Chris Ryon, Edward Sisk and Dale Turnipseed.
BIOS - MSRB OFFICERS, NEW BOARD MEMBERS
► Chair-Elect Lucy Hooper. MSRB Board member since 2014, she is EVP at Davenport & Company where she has served as Director of Fixed Income Sales and Trading since 2000. She joined the firm in 1981 and has held various fixed-income positions. Earlier she worked as a trader and in fixed income sales for First and Merchant National Bank.
► Vice Chair-Elect Arthur Miller. MSRB Board member since 2014, he is MD of the Public Sector & Infrastructure Group in the Investment Banking Division of Goldman, Sachs & Co. Miller joined Goldman Sachs in 1985, where he serves as Co-head of the Public Finance Strategies and Analytics Group. He has previously worked in the firm’s New Product Development Group, and the Fixed Income Research Group. He started his career as an associate attorney at Mudge Rose Guthrie Alexander & Ferdon.
► William Fitzgerald, Sr. Founder of Fitzgerald Asset Management where he manages debt portfolios for institutional and high-net worth investors. He also serves as the Founder and CIO at Global Infrastructure Asset Management. where he manages investment vehicles that finance infrastructure projects with equity and debt. Prior to his current role,
► Manju Ganeriwala. Treasurer of the Commonwealth of Virginia where she is responsible for overseeing the management of the Commonwealth’s investment portfolio, issuance of general obligation bonds and appropriation-backed bonds for debt-issuing authorities, management of outstanding debt, and administration of the State’s insurance and unclaimed property programs. She is chair of the Commonwealth’s Treasury Board and serves on 10 other public boards, including the Virginia Housing Development Authority, the Virginia Port Authority, the Virginia Resources Authority, and the Virginia College Savings Plan.
► Seema Mohanty. Founder and MD of Mohanty Gargiulo, LLC, where she oversees client development, relationship management and daily operations of the capital markets advisory business, including derivatives and municipal bond pricing. She serves as swap advisor for sophisticated municipal securities issuers, including government and non-profit clients with large and complex derivatives portfolios. Prior to her current role, Ms. Mohanty was MD and head of municipal derivatives and structured products at UBS.
► Donna Simonetti. Former Exec. Director at JPMorgan, where she was director of fixed income compliance. In that capacity, she advised the firm’s public finance department on compliance issues regarding the sales, trading, underwriting and investment banking of municipal securities. Prior to joining JP Morgan in 2008, Ms. Simonetti was managing director principal at Bear Stearns and Co.
► Beth Wolchock. MD and Muni Principal at Oppenheimer where she leads the firm’s municipal securities underwriting activities. In a career spanning more than 40 years, Ms. Wolchock has undertaken a progression of roles and responsibilities in underwriting and public investment banking arenas. Prior to joining Oppenheimer in 2013, Ms. Wolchock held positions at CastleOak Securities where she created the firm’s municipal department and established its underwriting business