Doug Wilbert | Source | Managing Director - R&C US Operational Resilience Leader / US Capital Markets...

Doug Wilbert

Managing Director - R&C US Operational Resilience Leader / US Capital Markets Le at Protiviti and 2 other companies
On the record
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  • Alpine didn’t put processes and procedures in place needed to satisfy its regulatory burden and it should have acted a lot sooner.

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  • article
    SEC: Your Words Count in Suspicious Activity Reports - FinOps
    Anti-money laundering compliance managers at US clearing brokers will need to take a closer look at their process for when they file suspicious activity reports and what they say in light of a recent court ruling involving penny-stock clearing broker Alpine Securities. In granting summary judgment in favor of the…
Employment
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