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Rosie Weeks
Rosie Weeks is Senior Vice President, Administration. In this role, Ms. Weeks is responsible for Corporate Real Estate and Security, Corporate Risk & Resilience, Information Operations—which encompasses entitlement, fingerprint and records management—and Meetings, Conference & Corporate Travel. She also serves as Treasurer for the FINRA Investor Education Foundation.
Daniel Rambert
Mr. Rambert is Vice President, Treasury & Investments. In this role, he leads FINRA's Investment Office, overseeing the organization's various retirement plan assets, the FINRA Investor Education Foundation portfolio and corporate assets. Mr. Rambert provides comprehensive strategic direction and oversight across investment strategy, investment operations, risk management and treasury functions, ensuring disciplined capital stewardship and alignment with FINRA's long-term financial objectives.
Lloyd Fenton
Lloyd Fenton is Vice President, Financial Planning & Analytics. In this role, he provides strategic financial guidance and support to FINRA’s senior leaders. Serving as a trusted advisor to key business unit stakeholders, Mr. Fenton helps business leaders optimize financial performance, identify risks and opportunities, and make financially sound decisions that align with FINRA's overall financial strategy.
2021070498107 WestPark Capital, Inc. CRD 39914 AWC ks.pdf
Between at least March 2019 and the present, WestPark violated FINRA Rules 3110 and 2010, and, between June 30, 2020, and the present, willfully violated Regulation Best Interest (Reg Bl), by failing to establish, maintain, and enforce a supervisory system, including written procedures, reasonably designed to achieve compliance with Reg Bi'sCare Obligation and FINRA Rule 2111. As a result, WestPark failed to reasonably supervise recommendations of GWG L Bonds to 10 retail customers that were not in the best interests of or suitable for the customers.
2022073414901 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC lp.pdf
Between January 2021 and September 2023, Merrill Lynch failed to provide material
disclosures regarding municipal securities purchased with market discounts for 4,181
transactions involving 1,072 self-directed customer accounts.
During this same period, Merrill Lynch failed to establish and maintain a supervisory
system, including written procedures, reasonably designed to achieve compliance with
the firm’s obligation to provide self-directed customers with all material information
concerning municipal securities transactions subject to a market discount at or prior to the
time of trade.
As a
2019060647601 Reid & Rudiger LLC CRD 47263_Edward J. Rudiger, Jr. CRD 2118724_Clifford R. Reid CRD 1905920_Kelli A. Mezzatesta CRD 4701170_Marc Harrison CRD 1605568 Order Accepting Offer of Settlement ks.pdf
It has been determined that the Offer be accepted and that findings be made as follows: For nearly six years, Reid & Rudiger LLC churned and/or excessively traded 20 customers' accounts, causing significant harm to those customers while generating millions in revenue for the firm. The two representatives whose trading resulted in this egregious customer harm have their names on the firm's door-Respondents Edward J. Rudiger Jr. and Clifford R. Reid. They were supervised by the firm's majority owner, Respondent Marc Harrison, and by Respondent Kelli A.