InvestmentNews has ranked SCF Securities as the 10th fastest-growing independent broker-dealer of 2017. The industry-leading news source published the ranking in its annual broker-dealer survey last week. The annual ranking showcases the growth and decline of the 3,726 broker-dealers active in the financial services industry.
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.