Sapirstein, branch office manager
for the Boca Raton office of Smith Barney.
She serves as a resource to all branch office managers
and other company officers regarding all financial business matters.
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Wellmann joined Allianz earlier this year as vice president of Branch Office Development, working closely with Questar Capital, a division of Allianz Life, and its branch office managers
at each Allianz Distribution Group (wholly-owned) Field Marketing Office (FMO) to maximize recruiting and sales development efforts.
The firm's system assigned front line supervisory responsibility to branch office managers
, even though the Long Island managers were inexperienced or had previously been disciplined for failure to supervise.
She will be working with all four of our branch office managers
to further expand the marketing and delivery of our entire range of business banking products and services.
Sweeney will be responsible for daily communication with Janney's branch office managers
, Financial Consultants and department associates regarding all Private Client Group administrative issues in order to streamline current and implement new and more efficient branch operations policies and procedures.
A demonstration of the Navigator system before WGS branch office managers
previewed the comprehensive paperless office platform that offers automated account processing, web-based document management and automated compliance review.
In addition, FINRA found that MSDW failed to provide updates to the firm's supervisory manual for branch office managers
to claimants in numerous arbitration proceedings over a period of years.
Drea was previously associated with Montauk Financial Group (OTCBB:FMFK) where he was responsible for the direct supervision of many of the retail brokers, advisors, institutional traders and branch office managers
as a Regional Supervisor.