Comings & Goings

James Shorris has been promoted as the NASD's executive vice president and head of enforcement. Shorris joined the NASD in November 2003 and has been responsible for the operational management of the Enforcement Department, supervising a staff of more than 200 legal and investigative professionals nationwide. Robert Rands, CFA, of Vanguard Morgan Growth Fund, will retire on Dec. 31. Rands is a senior

James Shorris has been promoted as the NASD's executive vice president and head of enforcement. Shorris joined the NASD in November 2003 and has been responsible for the operational management of the Enforcement Department, supervising a staff of more than 200 legal and investigative professionals nationwide.

Robert Rands, CFA, of Vanguard Morgan Growth Fund, will retire on Dec. 31. Rands is a senior vice president at Wellington Management Company, which provides investment-advisory services for roughly one-third of the $6.4 billion fund.

Andrew “Buddy” Donohue will be sworn in as the SEC's director of the Division of Investment Management on May 15. Donohue is currently global general counsel for Merrill Lynch Investment Managers.

Morgan Stanley has picked up Roger Stephens and Ted Fisher, a former UBS team with over $530 million in assets under management and $2.2 million in production.

Jeanne DeBoer, a $600,000 producer, has joined UBS' Atlanta office. DeBoer was formerly with A.G. Edwards for 23 years.

Jeffrey Macelli, Gregory Thompson and Robert Winston, with over $500 million in assets under management, have joined Morgan Stanley's La Jolla, Calif., office. The former Smith Barney team has $2 million in production.

Hide comments

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Publish