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Compliance Officer to Sit on FINRA Panel

FINRA invites SCF Chief Compliance Officer to serve on discussion panel

SCF Securities, an independent boutique broker-dealer headquartered in California, announced today that Rick Almaguer, SCF’s chief compliance officer, has been invited to serve on a panel alongside FINRA and SEC officials on May 8, 2012.

The panel will hold its presentation at FINRA’s district office in San Francisco, California. The discussion will probe items related to branch supervision and inspections.

“I feel very honored that FINRA has invited me to serve on this panel. This topic is a very significant matters in compliance departments throughout our industry today. I hope my insight can add value to the conversation and I look forward to how our discussion might shape the future.”

Other panelists include Arash Etemad, examination manager in FINRA’s San Francisco District Office; Kathleen Hart, examination manager in FINRA’s San Francisco District Office; and Jeff Lyttle, examiner with the U.S. Securities and Exchange Commission.


SCF Securities is a full-service, independent broker-dealer who chooses to work with a select group of successful financial professionals. SCF has provided comprehensive financial service solutions for our advisors and their clients nationwide since 1992, constantly evaluating feedback from clients and advisors to ensure that its representatives are always positioned for success. Its intentionally-designed boutique broker-dealer culture empowers financial advisors by ensuring the Diamond Standard of service in every area of the firm. SCF operates within a culture of teamwork, respect, integrity, and commitment to excellence. Each member of the firm’s management team has experience working as an advisor and understands what is needed to empower financial advisors and their clients. The SCF group of companies is headquartered in California’s central valley and has a carefully-selected group of approximately 200 financial professionals. For more information, please visit

Securities offered through SCF Securities, Inc., Member FINRA/SIPC
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Written by Grant Cox | Google+

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