2025, 4b Holly Orefice 5/19/24 2025, 4b Holly Orefice 5/19/24 Katrina Berishaj CounselStradley Ronon Read More 2025, 2b Holly Orefice 5/18/24 2025, 2b Holly Orefice 5/18/24 Frank Sensenbrenner Senior Specialized ExaminerU.S. Securities & Exchange Commission Read More 2025, 3f Holly Orefice 5/17/24 2025, 3f Holly Orefice 5/17/24 Kurt Lofgren Chief Compliance Officer J.W. Cole Financial and J.W. Cole Advisors Read More 2025, 3c Holly Orefice 5/17/24 2025, 3c Holly Orefice 5/17/24 Robin Freeman Chief Compliance OfficerLaSalle Investment Management Read More 2025, 1f Holly Orefice 5/17/24 2025, 1f Holly Orefice 5/17/24 Margaret Dubil Director of PCG SurveillanceStifel Read More 2025, 5e Holly Orefice 5/16/24 2025, 5e Holly Orefice 5/16/24 Margarita Pérez Senior Compliance OfficerCity National Bank Read More 2025, 7d Holly Orefice 5/15/24 2025, 7d Holly Orefice 5/15/24 Cesar Alvarez Chief Compliance OfficerLighthouse Investment Partners Read More New Attendee/New Member, 2025 Holly Orefice 5/11/24 New Attendee/New Member, 2025 Holly Orefice 5/11/24 Norm Ashkenas Chief Compliance Officer Robinhood Markets Read More 2025, 9e Holly Orefice 5/10/24 2025, 9e Holly Orefice 5/10/24 Shawn Bostic AVP Regulatory ComplianceKestra Financial Read More 2025, 6f Holly Orefice 5/9/24 2025, 6f Holly Orefice 5/9/24 Issa Hanna PartnerEversheds Sutherland Read More 2025, 9d Holly Orefice 5/8/24 2025, 9d Holly Orefice 5/8/24 Bao Nguyen PrincipalKaufman Rossin Read More 2025, 7b Holly Orefice 5/8/24 2025, 7b Holly Orefice 5/8/24 Matthew Fitzgerald Vice President, CompliancePGIM Fixed Income Read More 2025, 8c Holly Orefice 5/8/24 2025, 8c Holly Orefice 5/8/24 Jarrett Jacobs Chief Compliance OfficerFifth Third Securities, Inc. Read More 2025, 5h Holly Orefice 5/8/24 2025, 5h Holly Orefice 5/8/24 Takesha Pollock Executive Director, Sr. Compliance Manager Wells Fargo Read More 2025, 1b Holly Orefice 5/8/24 2025, 1b Holly Orefice 5/8/24 Jon Simone Sr. Sales EngineerMCO Read More 2025, 1b Holly Orefice 5/3/24 2025, 1b Holly Orefice 5/3/24 Jennifer DiValerio Sr. Regulatory Response SpecialistVanguard Read More 6b, 2025 Holly Orefice 5/3/24 6b, 2025 Holly Orefice 5/3/24 Rosa Licea-Mailloux Head of Compliance Americas; MFS Funds CCOMFS Investment Management Read More 2025, 4e Holly Orefice 5/2/24 2025, 4e Holly Orefice 5/2/24 John Nave Managing Director & Co-Head of Compliance ServicesSoftek Compliance Read More New Attendee/New Member, 2025 Holly Orefice 5/2/24 New Attendee/New Member, 2025 Holly Orefice 5/2/24 Leeza Shurtz Financial Reporting ManagerRenaissance Regulatory Services Read More 2025, 9b Holly Orefice 5/2/24 2025, 9b Holly Orefice 5/2/24 Bryan Jacobsen DirectorOyster Consulting Read More Newer Posts Older Posts
2025, 4b Holly Orefice 5/19/24 2025, 4b Holly Orefice 5/19/24 Katrina Berishaj CounselStradley Ronon Read More
2025, 2b Holly Orefice 5/18/24 2025, 2b Holly Orefice 5/18/24 Frank Sensenbrenner Senior Specialized ExaminerU.S. Securities & Exchange Commission Read More
2025, 3f Holly Orefice 5/17/24 2025, 3f Holly Orefice 5/17/24 Kurt Lofgren Chief Compliance Officer J.W. Cole Financial and J.W. Cole Advisors Read More
2025, 3c Holly Orefice 5/17/24 2025, 3c Holly Orefice 5/17/24 Robin Freeman Chief Compliance OfficerLaSalle Investment Management Read More
2025, 1f Holly Orefice 5/17/24 2025, 1f Holly Orefice 5/17/24 Margaret Dubil Director of PCG SurveillanceStifel Read More
2025, 5e Holly Orefice 5/16/24 2025, 5e Holly Orefice 5/16/24 Margarita Pérez Senior Compliance OfficerCity National Bank Read More
2025, 7d Holly Orefice 5/15/24 2025, 7d Holly Orefice 5/15/24 Cesar Alvarez Chief Compliance OfficerLighthouse Investment Partners Read More
New Attendee/New Member, 2025 Holly Orefice 5/11/24 New Attendee/New Member, 2025 Holly Orefice 5/11/24 Norm Ashkenas Chief Compliance Officer Robinhood Markets Read More
2025, 9e Holly Orefice 5/10/24 2025, 9e Holly Orefice 5/10/24 Shawn Bostic AVP Regulatory ComplianceKestra Financial Read More
2025, 6f Holly Orefice 5/9/24 2025, 6f Holly Orefice 5/9/24 Issa Hanna PartnerEversheds Sutherland Read More
2025, 9d Holly Orefice 5/8/24 2025, 9d Holly Orefice 5/8/24 Bao Nguyen PrincipalKaufman Rossin Read More
2025, 7b Holly Orefice 5/8/24 2025, 7b Holly Orefice 5/8/24 Matthew Fitzgerald Vice President, CompliancePGIM Fixed Income Read More
2025, 8c Holly Orefice 5/8/24 2025, 8c Holly Orefice 5/8/24 Jarrett Jacobs Chief Compliance OfficerFifth Third Securities, Inc. Read More
2025, 5h Holly Orefice 5/8/24 2025, 5h Holly Orefice 5/8/24 Takesha Pollock Executive Director, Sr. Compliance Manager Wells Fargo Read More
2025, 1b Holly Orefice 5/8/24 2025, 1b Holly Orefice 5/8/24 Jon Simone Sr. Sales EngineerMCO Read More
2025, 1b Holly Orefice 5/3/24 2025, 1b Holly Orefice 5/3/24 Jennifer DiValerio Sr. Regulatory Response SpecialistVanguard Read More
6b, 2025 Holly Orefice 5/3/24 6b, 2025 Holly Orefice 5/3/24 Rosa Licea-Mailloux Head of Compliance Americas; MFS Funds CCOMFS Investment Management Read More
2025, 4e Holly Orefice 5/2/24 2025, 4e Holly Orefice 5/2/24 John Nave Managing Director & Co-Head of Compliance ServicesSoftek Compliance Read More
New Attendee/New Member, 2025 Holly Orefice 5/2/24 New Attendee/New Member, 2025 Holly Orefice 5/2/24 Leeza Shurtz Financial Reporting ManagerRenaissance Regulatory Services Read More
2025, 9b Holly Orefice 5/2/24 2025, 9b Holly Orefice 5/2/24 Bryan Jacobsen DirectorOyster Consulting Read More
