Books-A-Million, an Internet book retailer and seller, has appointed Tyler Novak as general counsel. Novak will be responsible for overseeing all the company’s legal affairs, including general corporate legal matters, intellectual property and corporate compliance. She will report to Chairman and Chief Executive Officer, Clyde Anderson. Novak joins Books-A-Million from Bradley Arant Boult and Cummings. She […]
Jaclyn Jaeger
Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal, enforcement, technology, and more. Prior to joining CW, she spent four years as a legal reporter for Lawyer’s Weekly. Jaclyn attended undergraduate school at St. Joseph’s College of Maine and graduate school at Emerson College, earning degrees in journalism.
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Goldman Sachs Names New Board Member
The Goldman Sachs Group, a global investment banking, securities and investment management firm, has elected M. Michele Burns as an independent director. She will join the firm’s audit; risk; compensation; and corporate governance and nominating committees. Burns was chairman and chief executive officer of Mercer, a subsidiary of Marsh & McLennan Companies, from September 2006 […]
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Ameris Bancorp Names EVP and Chief Risk Officer
Ameris Bancorp has appointed Stephen Melton as executive vice president and chief risk officer of the company and its wholly-owned banking subsidiary, Ameris Bank. Prior to joining the company, Melton’s banking career included executive positions as chief executive officer, president, and chief operating officer of Columbus Bank and Trust Company; regional CEO of Synovus; chair […]
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Patriot Coal Names Chief Accounting Officer
Patriot Coal Corporations, a producer and marketer of coal in the eastern United States, has promoted Christopher Knibb to chief accounting officer, in addition to his current roles as vice president and controller. In his new position, Knibb will have primary responsibility for Patriot’s accounting and financial reporting in addition to the tax, internal audit […]
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The Hartford Appoints New Chief Risk Officer
The Hartford, a provider of insurance and wealth management services, has appointed Robert Rupp executive vice president and chief risk officer. He will report to Chairman, President, and CEO Liam McGee. Rupp will assume the role on Nov. 2 from Lizabeth Zlatkus, who is retiring on Oct. 31, as previously announced. Rupp joins The Hartford […]
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Report Faults Investment Advisers for Lack of Compliance Oversight
A new report from a group that represents state securities commissioners takes investment advisers to task for compliance deficiencies in “a number of significant problem areas.” As state securities regulators prepare to assume increased oversight over a larger group of investment advisers, the report finds industry-wide compliance deficiencies in the United States and Canada that […]
Posted inRegulatory Enforcement
Landmark Ruling Limits SROs’ Authority to Collect Fines
A recent federal appeals court ruling that halted the Financial Industry Regulatory Authority’s power to collect old disciplinary fines through judicial proceedings has effectively called into question the power all self-regulatory organizations have in enforcing fines through court action. “It’s a landmark decision to stop regulatory expansion of authority FINRA doesn’t have,” says Martin Kaplan, […]
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TCF Financial Realigns Management Team
TCF Financial Corporation, a national bank holding company with $18.8 billion in total assets, has elected Executive Vice Presidents Craig Dahl and Thomas Jasper to the board of directors, effective January 1, 2012. Dahl will take on the new role of vice chairman, Lending. Jasper’s new role will be vice chairman, funding, operations and finance. […]
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FDIC Appoints New Director of FDIC’s Finance Division
The Federal Deposit Insurance Corporation (FDIC) has appointed Craig Jarvill as the director of the Division of Finance. In this role, he will oversee the day-to-day financial operations of the FDIC. Jarvill, who came to the Division of Finance in 1992, has been acting director since January 2011 and deputy director of financial operations since […]
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Echelon Appoints New Board Chairman
Echelon Corporation, an open-standard energy control networking company, has elected Ron Sege to the role of board chairman, in addition to his current role as president and chief executive officer. Sege assumes the post from M. Kenneth Oshman, who passed away in August 2011. Robert Finocchio will continue to serve as the lead independent director […]
