| Title | Company |
|---|---|
| Managing Director and the Head of Compliance of the Private Client Services Division Bear Stearns | J.P. Morgan & Co. |
| Vice President and the Private Client Services Compliance Officer | Jefferies & Company , Inc. |
| CLIENT SERVICE QUALITY, SAFETY and OPERATIONS MANAGER | Weston Solutions , Inc. |
| Senior Vice President, Regulatory and Client Services | AltaLink L.P |
| Manager of Client Services and Regulatory Supervision of Investment Management Group | Southwest Securities , Inc. |
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BBeachHead-2008-12-03_RC001.1 OM17 TD00003a Compliance