TRADING UP: SEC Alum Schapiro To Bloomberg10.29.2018
Cowen hired Frederic Seegal as Managing Director, Vice Chairman of Investment Banking. In this role, the 35 year veteran will help expand the Company’s relationships with a particular focus on the technology, media and telecom, and consumer sectors. Prior to Cowen, he served as Senior Advisor and Vice-Chairman at PJ Solomon, where he played a key role strengthening its media, entertainment, communications and technology practices. He’s also served at Wasserstein Perella and in various roles at Salomon Brothers and Lehman Brothers, concentrating primarily on major traditional and digital media and telecom clients. Seegal is based in New York and will report to Larry Wieseneck, Co-President, Cowen and Company.
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Forner SEC Chair Mary Schapiro has resigned from her position as a non-executive director at the LSEG and has joined Bloomberg. Schapiro has been appointed vice chair for global public policy and special advisor to the founder and chairman at Bloomberg, overseeing the company’s public policy and regulatory priorities globally. Shapiro was the first woman to serve as chair of the SEC, a position she held for three years between 2009 and 2012. She is also the only person to have served as both chair of the SEC and the CFTC.
Exegy promoted Robert Anderson to its team of senior account managers and the addition of John Faulkner to its London sales team. Anderson has global responsibilities to lead Exegy Hosted and Data Solutions sales, reporting directly to chief operating officer Rod Arbaugh. Faulkner is focused on sales of Exegy products and services in Europe and Asia and will report directly to the sales director for those regions, Carlos Lopez Lansdowne.
Broadridge Financial Solutions has upped Tom Carey to President of its Global Technology and Operations (GTO) segment. Previously President of Broadridge International, the 25-year veteran, previously led the rapid growth of the company’s technology and operations solutions in EMEA and APAC for nearly a decade. Carey reports directly to Tim Gokey, who will become CEO of Broadridge in January 2019. As President of GTO, Carey will oversee the growth of Broadridge’s core technology business globally across Capital Markets and Wealth and Investment Management. He will continue to serve on Broadridge’s Executive Committee.
Malta Digital Exchange has landed Johan Ditz Lemche as its new CEO. Lemche holds multiple board positions within the financial markets. He is a committee member of the Financial Markets Association Malta (FMAM) and authored educational documentation on best practices in the financial industry. With an international background working for some of Europe’s major specialized banks, advanced technical knowledge and management capabilities, Johan brings the requisite expertise to manage MDX. He will work with local regulators to bring MDX online, focusing on achieving their Virtual Financial Asset (VFA) Exchange and Multilateral Trading Facility (MTF) licenses and spearhead MDX’s growth.
eStruxture, a prominent pan-Canadian provider of network and cloud-neutral data center solutions, landed Annie Corbeil as Senior Vice President (SVP) and Chief Financial Officer (CFO). With over 20 years of experience, Corbeil brings a fresh perspective to eStruxture, positioning the company for further expansion and new initiatives across Canada.
LiquidityBook, the Software-as-a-Service (SaaS)-based provider of trading solutions, added Ryan Canfield as Lead Product Analyst. Canfield comes to LiquidityBook from Broadridge Financial Solutions, where he spent seven years after joining the firm following its 2012 acquisition of Paladyne Systems. Most recently he served as Senior Director of Product Management and headed a global team of 40 developers and product specialists. Prior to Paladyne he served as a Senior Business Consultant for Eze Software, working with its hedge fund client base to develop the firm’s long-term strategic product road map.
Travis Kellman joined NEXT Financial Group, a Texas-based financial services firm. Kellman, a 12 year pro, comes from Ameriprise Financial. Kellman has joined Lynn Barnes, formerly of Wright and Barnes Investments, to form Kellman Barnes Financial Planning. With their combined 49 years of service to the Schenectady community, they have partnered to continue serving the area for years to come.
Stephen Hammond, MP, and Member of the UK Treasury Select Committee joined regulated Crypto Exchange IronX to advise on Government Relations. Prior to becoming an MP, Hammond worked in the financial markets for twenty years with leading Fund Managers and major Investment Banks.
BNP Paribas Asset Management hired Adam Kanzer as Head of Stewardship, Americas, within its Sustainability Center. In this newly-created role, Kanzer will lead BNPP AM’s stewardship activities in North America, including researching key corporate governance issues, undertaking direct and collaborative corporate engagement, and working with policymakers on key issues relating to sustainable finance and investment. He joined from Domini Impact Investments in New York, where he was Managing Director of Corporate Engagement. During his 20 years at Domini he built a corporate engagement program focused on improving the ESG performance of major US corporations, as well as developing Domini’s public policy advocacy programme and proxy voting policies. He began his career as a Litigation Associate at New York law firm Cahill, Gordon & Reindel. Based in New York, Kanzer reports to Helena Viñes Fiestas, BNPP AM’s Global Head of Sustainability Research and Policy.
ERI Scientific Beta, a smart beta index provider, snagged Alain Dubois as a Senior Advisor. Dubois was Managing Director and Global Head of Product Management for MSCI’s index business, after having been Executive Chairman of Lyxor for ten years.
BTIG added John Gramins and Paul Arena to its Fixed Income Credit division. Gramins joins BTIG as a Managing Director within Bank Debt Sales in New York, while Arena joins as a Director, focused on high-yield and distressed-debt sales in Los Angeles. Prior to BTIG, Gramins held similar roles at Capital One, RBC Capital Markets, Oppenheimer & Co. and Lehman Brothers. He has more than 20 years of experience in bank debt sales and trading, specializing in leverage loans and focused on stressed debt, distressed debt, off the run securities, trade claims, litigation and restructured equities. Arena spent thirteen years at Imperial Capital, most recently as Vice President within Institutional Capital Structure Sales and Trading in Los Angeles.Both will both report into Drew Doscher and Darren Haines, Managing Directors and Co-Heads of Fixed Income Credit at BTIG.
Stephen Kaminsky joined Jump trading in liquidity sales. Kaminsky, a pro with seven years of trading and sales experience comes from RBC where was a Vice President in FICC Electronic Sales. Prior to this he spent five years at Goldman Sachs in various sales roles.
The new office will also house a Payments Innovation Lab.
New committee highlights FINRA’s commitment to improving DEI in the securities industry.
There are 80 new partners, up from 60 in 2020.
14 of the 20 FTSE 100 companies in financial service have a higher than average gender pay gap.
Core of the new model will be wealth management, the Swiss bank and asset management.