BROWSE BY TOPIC
Stories of Interest
- 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)
- Senior Exec in Citigroup's Equities Unit Has Left
- Prudential Plotting its Escape From Fed's Tough Oversight
- Why CEOs Spurned Trump's Business Councils, in Their Own Words
- A Stockbroker, Her LLC, and Her Customers' Loans (Or Investment?) - Bill Singer
- Brian Quintenz Sworn In as CFTC Commissioner
- A Gary Cohn Resignation Would 'Crash the Markets' – Mgmt Guru Jeffrey Sonnenfeld
- Trading Firm DRW to Buy RGM Advisors - As Low Volatility Forces Out Weak HFT Players (subsc reqd)
- Reputational Damage - Rajat Gupta on Hard Road to Recovery
- 7th Circuit Affirms Spoofing Conviction - Bill Singer
- Wells Fargo Announces Board Changes
- Judge Rules Against Ex-Goldman Employee in Fed Leak Case
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NEWSLETTERS & ALERTS
New CLO and CFO Join Advisor Group of B/Ds, RIAs
Phoenix-based Advisor Group has a new CLO (Chief Legal Officer) and a new CFO/GC (Chief Financial Officer) – Nina McKenna and Greg Stockett, respectively. Both will report to Jamie Price, Advisor Group President and CEO.
Nina McKenna’s Credentials. Prior to joining Advisor Group, Ms. McKenna served was consultant to Cetera Financial Group (2016-2017), CLO and GC of Cetera Financial Group (2010-2016), Chief Counsel of ING Nederland (2003-2010), Counsel at Sonnenschein Nath (201-2003), and Regional Chief Counsel for NASD Regulation. (1985-2000).
Greg Stockett’s Credentials. Prior to joining Advisor Group, Mr. Stockett was CFO of REDI Global Technologies (2015-2017), CFO and COO of BondDesk (2008-2013), CFO of GoldenSource (2007-2008), and CFO of GlobeOp Financial Services (2005-2007).
Advisor Group is one of the nation’s largest networks of independent financial advisors, serving over 5,000 advisors and overseeing approximately $160 billion in client assets. The firm offers securities and investment advisory services through its B/D and RIA subsidiaries: FSC Securities, Royal Alliance Associates, SagePoint Financial, and Woodbury Financial Services.
Lightyear Capital, a PE firm, and PSP Investments, a pension investment manager, are majority owners of Advisor Group.