On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser […]
Roland is responsible for the business development and execution of CRC’s compliance engagements. Most recently, he was Director at Wells Fargo Securities, LLC’s Compliance Department. He was responsible for overseeing the Equity Derivatives compliance program covering Structured Products, Corporate and Equity Derivatives, Convertible Securities, and Equity Finance sales and trading desks.
Roland has the 7, 63, 4, 24, 55, 3, 8 securities licenses. Roland graduated with a B.A. in Economics from Hunter College, CUNY.
Prior to Wells Fargo, Roland was at Bear Stearns covering its Equity Derivatives Sales and Trading Desks and JP Morgan’s Compliance Surveillance unit covering its listed options activity. Prior to JP Morgan, Roland worked at Salomon Smith Barney’s Retail Compliance Department helping in the coverage of the company’s large retail options business.