Latest Breaking News On - Mark seffinger - Page 1 : comparemela.com

LPL Hires Wells Fargo Alum Jim McHale as CCO

McHale succeeds Mark Seffinger, who is leaving the firm; he'll report to Executive Vice President and Chief Risk Officer Brent Simonich.

Mark seffingerJim mchaleBrent simonichExchange commissionInvestment management divisionDivision of tradingWells fargoUniversity of south carolina law schoolSecurities industry financial markets associationInvestment managementChief risk officer brentBusiness riskControl leaderJuris doctorSouth carolina law

Another month to comment on FINRA remote work proposal

Another month to comment on FINRA remote work proposal
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

United statesDee oneillMark seffingerRaymond jamesHugh berksonFinancial industry regulatory authorityPublic investors advocate bar associationExchange commission on augAmerican securities administrators associationExchange commission

State regulators, PIABA still resist Finra remote supervision plan

State regulators and plaintiffs' attorneys continue to resist a Finra plan to allow brokerages to conduct remote supervision of reps.

United statesMark seffingerGail merkenHugh berksonAndrew hartnettPublic investors advocate bar associationFidelity brokerage servicesExchange commissionAmerican securities administrators associationFinancial industry regulatory authority incFinancial industry regulatory authority