Ex-FINRA Lawyer Takes Legal Helm at Financial Firm Cetera
David A. Greene, the former head of the Financial Industry Regulatory Authority in Los Angeles, replaces Brian A. Stern, who will be leaving the company at the end of the year.
September 12, 2019 at 05:33 PM
2 minute read
The original version of this story was published on Corporate Counsel
David A. Greene, the former head of the Financial Industry Regulatory Authority in Los Angeles, has accepted the role of general counsel at Cetera Financial Group Inc.
The El Segundo, California-based financial services firm announced Greene as the replacement earlier this week for Brian A. Stern, who will be leaving the company at the end of the year and helping with the transition, per the company statement.
Greene most recently held the role of Los Angeles district office director at FINRA. According to his LinkedIn profile, he had worked at FINRA for 19 years. Other positions he held include deputy and regional chief counsel for FINRA's West Region, where he supervised in-house counsel and legal processes in Los Angeles, San Francisco, Denver and Seattle. He is a graduate of Southwestern Law School in Los Angeles.
In the statement, Greene said he was "thrilled" to join Cetera as it's "at the forefront of financial services."
"Cetera's collaborative culture, proven leadership, and unique model have earned it great respect and recognition in the industry," Greene said in the statement. "I am looking forward to working with the executive team and our network of advisers to continue the company's legacy of leadership in financial advice."
Interim CEO and board chairman Ben Brigeman said Greene's knowledge and experience in the broker-dealer space, especially at FINRA, will help Cetera build their legal and compliance functions.
"In an era of unprecedented regulatory complexity, the ability to anticipate and prepare for the unexpected is increasingly at the heart of a successful corporate strategy," Brigeman said in the statement. "Firms that have access to the industry's top legal talent are the ones best positioned to thrive in the years ahead. The addition of David to our leadership team highlights our ability to attract the best talent."
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