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By Melanie Waddell, AdvisorOne |
April 22, 2013
FINRA announced Monday that Susan Axelrod would become executive vice president of regulatory operations, a newly created position.
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By Melanie Waddell, AdvisorOne |
January 22, 2013
The SEC announced Tuesday that Vincente L. Martinez has been named Chief of the Enforcement Division’s Office of Market Intelligence, which collects and evaluates the tips, complaints and referrals that come into the agency.
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By Marlene Y. Satter, AdvisorOne |
November 9, 2012
Mark Gillis, the CEO of New York-based Hudson Valley Capital Management, was barred and his company expelled from the securities industry for defrauding its clearing firm and customers.