- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Securities broker-dealer Ausdal Financial Partners (AFP) announced Dan Hetzel as its new general counsel.
In his role as general counsel, Hetzel will lead corporate legal initiatives, manage ongoing legal matters, and support AFP’s advisers through consultations and education.
Hetzel is a veteran in financial services litigation and regulatory compliance, with more than 20 years of experience.
Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact the CW Editor.
The Federal Communications Commission fined telecommunications giants T-Mobile, Sprint, AT&T, and Verizon a total of approximately $196 million for allegedly selling customers’ location data to third parties without consent.
A notice of proposed rulemaking to modify the Federal Deposit Insurance Corporation’s Change in Bank Control Act was withdrawn after receiving mixed reviews among the agency’s board of directors.
Online brokerage services provider TD Ameritrade agreed to pay a $600,000 fine for violations of Financial Industry Regulatory Authority rules over its automated approval system that allegedly allowed inexperienced traders to engage in options trading.
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