UBS / FINRA New York / Portware LLC / American Portfolios Holdings Inc. / /
Organization
FINRA New York District Office / U.S. Securities and Exchange Commission / New York Regional Office / FINRA / /
Person
Irfan Gilani / Frank Tauches / Michael Solomon / Andrew Calamari / Robert Sollazzo / Vincent Aniello / Dennis Dickstein / Dan Sibears / Tracy Calder / /
Position
Regional Director / Regional Director / National Exam / Executive Vice President & Counsel / Global Head / Executive Vice President / General Counsel and Chief Risk Officer / Director / National Exam Program / Information Security Officer / Director / Vice President / Senior Technology Officer / Managing Director / Associate District Director / Director / JPMorgan Chase / Counsel / Regulatory Operations/Shared Services / Chief / Global Head of Infrastructure / /
Compliance Outreach Program for Broker-Dealers New York, New York June 30, 2014 Agenda