Rodman & Renshaw Capital Group announced the appointment of Kevin Lupowitz as chief executive officer of the company, effective September 1, 2012. He will succeed Edward Rubin. He will become a member of the company’s board of directors, effective immediately.
Lupowitz presently is the chief executive officer of direct markets. -Business Wire
Cantor Fitzgerald & Co. announced that it is strengthening its international equities and fixed income sales and trading business with several key appointments.
Diego Baez, formerly of Terra Futuros, has been named managing director of Latin American equities.
Baez will focus on building the team and form strategic joint ventures and DMA Connectivity in Latin American markets. He was the head of electronic trading at Terra Futuros where he helped build the company’s electronic trading business.
George Medina, formerly of S.J. Levinson & Sons, has been named director of Latin American sales.
Medina was previously was managing director with S.J. Levinson & Sons where he managed a portfolio of sales teams and accounts.
Jose Berges, formerly of Interacciones Casa de Bolsa, has been named director of Latin American sales.
Berges was director at Interacciones Casa de Bolsa where he developed the company’s international institutional client base.
Mauro Orefice, formerly of Interbolsa Securities, joins as director of Brazilian sales.
Orefice was most recently was head of sales and trading for Interbolsa Securities where he participated in setting up the institutional trading desk covering clients from the U.S., Europe and Latin America.
These individuals will report to Jarred Kessler, global head of equities. Baez and Medina will be located in New York; Berges and Orefice will be located in Miami.
In addition, Francisco Romero, formerly of Macquarie Capital, has been named managing director of emerging markets, joining Charles Cortellesi and Erich Bauer-Rowe, recently named co-heads of the debt capital markets’ emerging markets division.
Romero previously was associate director at Macquarie Capital in the emerging markets trading division focused on Central American and Caribbean credits, and a vice president in the Latin American sales team at Refco Securities. -PR Newswire
JMP Group announced that John W. Stilmar will join JMP Securities as a director and senior research analyst. He is due to begin his employment in July.
Stilmar, who follows financial services, including commercial and specialty finance companies, has spent nearly four years as a director and senior research analyst at SunTrust Robinson Humphrey, where he covered a variety of financial services companies, including commercial banks, commercial finance companies, business development companies and other specialty lenders. He formerly served as a vice president and senior equity analyst at Friedman, Billings, Ramsey & Co., covering transportation finance and other commercial lenders after initially following consumer finance companies, mortgage banks and mortgage REITs as a research associate. He began his career as an analyst in the corporate planning group at Capital One Financial Corporation. -Business Wire
Perella Weinberg Partners announced that Sandra Haas has joined the firm as a partner and deputy head of the firm’s asset management business.
Based in New York, Haas will work closely with all functional areas within asset management, and will join the firm’s management committee.
Prior to joining Perella Weinberg Partners, Haas was a managing director and head of the pensions, endowments and foundations coverage team at Morgan Stanley. -Business Wire
The PrinceRidge Group announced that it has added Mike Grady and Ryan Fischer as managing directors in investment banking. They will be located in Charlotte, North Carolina and report to John McNicholas, managing director, head of investment banking and co-head of corporate finance and Lee Harrs, managing director and co-head of corporate finance.
Grady comes to PrinceRidge from Morgan Keegan & Company where he was managing director and head of the retail investment banking group.
Fischer joins PrinceRidge from Morgan Keegan & Company where he served as senior vice president in charge of the restaurant banking group. -Business Wire
The PrinceRidge Group announced it has added 5 new directors to its growing RMBS group.
Jeff Hingst, Tony Mun and Jeff Weaver bring nearly 60 years of combined experience to PrinceRidge’s RMBS sales effort.
Hingst has 19 years of experience selling RMBS at FTN, Barclays, and Bear Stearns prior to joining PrinceRidge in early April.
Mun comes to PrinceRidge with 14 years of experience as a salesperson in RMBS. He was previously with Ally Securities, Deutsche Bank and Credit Suisse.
Weaver has more than 25 years of experience selling RMBS, and held sales positions at Ally Securities, Robert Baird and RBS.
Brendan Kissane and Ken Perschetz are seasoned RMBS traders expected to further solidify PrinceRidge’s place in the RMBS space.
Kissane has over 12 years of trading experience with a specialization in trading specified pool mortgages. Prior to joining PrinceRidge he was with Ally Securities, Mizuho Securities and Nomura Securities.
Perschetz is a seasoned ARMs (adjustable rate mortgages) trader who gained over 25 years of trading experience with Oppenheimer, Nomura Securities, Sandler O’Neil and Bear Stearns before joining PrinceRidge in early April. -Business Wire
Oppenheimer & Co. announced that John Stoltzfus has joined Oppenheimer as managing director and chief market strategist.
Stoltzfus will work with his associate, Matthew Naidorf, to create and produce a weekly market strategy piece along with other market commentary as required by the markets. He also expects to work closely with OAM’s chief market technician Carter Worth and Oppenheimer’s fundamental sector analysts in developing new collaborative and thematic pieces. He will be the firm’s media spokesperson for market strategy.
Stoltzfus joins OAM from his prior position as senior market strategist at Ticonderoga Securities where he provided all macroeconomic, market outlook and strategy ideas to the firm and its clients. -PR Newswire
LPL Financial, a wholly owned subsidiary of LPL Investment Holdings announced that PTC Holdings appointed Bethany J. Bryant as president of its subsidiary The Private Trust Company (PTC), as of May 1, 2012.
Prior to her time at PTC, Bryant began her career as an independent auditor with Ernst & Young, specializing in audits of financial institutions. -PR Newswire
Southwest Securities announced that Victor Rick Perretti has been named senior vice president, director of national business development for the firm’s taxable fixed income division. He will also serve as manager of the division’s New York City office.
Perretti is an industry veteran with more than three decades of experience in the fixed income wholesale and regional dealer community. He spent 29 years with Merrill Lynch, overseeing dealer sales in North and South America as managing director. He joins Southwest Securities from Advisors Asset Management, where he served as executive vice president and co-head of the firm’s institutional fixed income sales and trading initiative. -PR Newswire
Canadian Stock Transfer Company and AST Fund Solutions announced that Julian Clark is joining the firm as managing director of Canada and executive vice president of business development and strategy for all of North America.
Clark will manage the Canadian business and oversee Canadian Stock Transfer’s delivery of a full suite of comprehensive and integrated global solutions to clients and shareholders. He will also be responsible for working with the growing number of businesses in the CST and AST enterprise to develop and execute strategic initiatives that continue to provide top-tier offerings and superior service to clients.
Clark has more than 25 years of experience in providing equity services to the issuer community in Canada, the U.S. and Europe. Prior to that position, he served as president and CEO of Mellon Investor Services and president and CEO of the RM Trust Company – a predecessor company to CST. -Market Wire
Gleacher & Company Securities announced that Perrin Arturi and Donald Ullmann will join the firm as executive managing directors and will co-head the firm’s MBS/ABS & rates division. Arturi and Ullmann bring to Gleacher & Company more than five decades of combined experience in fixed income research, sales and trading.
Arturi will join Gleacher & Company from The Royal Bank of Scotland, where he was a managing director specializing in the trading of pass-through securities.
Ullmann most recently worked for Keefe, Bruyette and Woods for more than eight years, where he ultimately served as head of fixed income trading and co-head of fixed income sales. -Business Wire
RBC Capital Markets has added Michael Lexton to lead RBC’s transportation finance business. He started work at RBC on April 23.
Lexton works in the U.S. municipal finance section of RBC’s New York City office as a managing director and the manager of the municipal transportation sector, overseeing transportation transactions for the entire country. He will pursue bond underwriting business from transportation issuers – toll roads, highways, airports, bridges, tunnels and ports as well as other projects.
Lexton reports to Jim Tricolli, head of RBC’s munil finance for the Eastern region. -The Bond Buyer
Knight Capital Group announced the appointment of Albert C. Maasland as senior managing director, head of international.
Maasland will be responsible for the development and growth of operations in the UK, continental Europe and Asia. He will report to chairman and chief executive officer Tom Joyce and join the firm’s executive committee.
Maasland has more than 25 years’ experience in the global capital markets. He is the former chairman of Saxo Capital Markets U.K. and Saxo Capital Markets South Africa. He joined Saxo Bank in 2007 as head of Europe, the Middle East and Americas and was charged with expanding international operations, solidifying processes and procedures, and strengthening regional management. -PR Newswire
Jefferies Group has named Steven Latimer, a former banker at Switzerland’s Credit Suisse Group AG, to lead a new Canadian investment-banking business. He will be based in Toronto and will join Jefferies following his ‘garden leave,’ – the period of time when an employee has agreed to join a new firm, but is still under contract to his old company.
Latimer, who was most recently a director at the Swiss bank, will also lead Jefferies’ natural resources and mining investment-banking practice, and will report to Peter Bacchus, global head of metals and mining at the firm. He will also work with the US-based firm’s energy team, led by Ralph Eads. -Global Banking News
Perella Weinberg Partners announced that Michael McGrath has joined the firm as a partner in its asset management business.
Based in New York, McGrath will work with the marketing group and the portfolio management teams on product development, with a particular focus on growing the firm’s presence in the private client market segment. To better position company’s asset management platform, he will be responsible for making its products more accessible to the underserved individual investor marketplace.
Most recently, McGrath was a managing director and global head of the alternative investments group at Morgan Stanley Smith Barney. -Business Wire
Oppenheimer & Co. announced that Brian Schwartz has joined the firm as managing director and senior analyst, covering SaaS (software as a service)/applications software. He will report to John Parks, Oppenheimer’s director of equity research.
Schwartz is accompanied by his associate, Greg Lazar, both of whom will work out of the San Francisco office. -PR Newswire
QuantumWave Capital has announced the appointment of Aamer Hai as managing director and head of transaction services.
Headquartered in the firm’s Silicon Valley office, Hai is tasked with the development of the firm’s transaction services team and capability worldwide, heading up engagement with the leading technology, media and telecoms of the world.
Hai is a highly-technical TMT investment banker with nearly 20 years of Silicon Valley experience and an impressive deal-record that includes many of the great names in the sector. Before joining QuantumWave, Hai was a managing director at Morgan Keegan technology group. -PR Newswire
Centerline Capital Group Inc. announced that it has named Michael P. Larsen the new Chief Financial Officer.
Robert Levy, Centerline’s President and Chief Operating Officer, continued to serve as CFO when he was named and assumed the Presidency in 2010. Mr. Levy steps down from his role as CFO and will remain as President and COO.
Mr. Larsen is currently the Treasurer and Director of Corporate Finance responsible for: cash management operations, debt management, corporate capital raising, budgeting, management reporting and coordinating Centerline’s new business development initiatives.
In his new capacity as CFO, he continues with these responsibilities and his role expands to include: all treasury, corporate finance, accounting, tax and risk functions. Mr. Larsen will continue reporting to Mr. Levy, becomes a Managing Director and joins Centerline’s Executive Committee. -Other
MSCI Inc. announced that Tae Jong (TJ) Um has joined the firm as Head of Korea, with overall responsibility for driving the future development of MSCI’s business in that market.
Dr. Um joins MSCI as a Managing Director, reporting to Deborah Yang, Managing Director and Head of Asia ex Japan, and will be based in the company’s Seoul office.
Prior to joining MSCI, Dr. Um worked at Samsung Asset Management where he was most recently Chief Investment Officer for Public & Pension Investment and Chief Marketing Officer for Global Business Development. -TendersInfo
GDV Resources Inc. announced that Chris Carmichael has been appointed chairman and CEO of the company. Andrew Hilton replaces Carmichael as CFO and corporate treasury. Prior to joining GDV Resources, Hilton was CFO of GC Global Capital Corp. -Market Wire
Oppenheimer & Co. announced that Gordon Morse has joined the firm as managing director, investments and branch manager in its Atlanta, Georgia office.
Gordon reports to Bob Okin, executive vice president, national sales. -PR Newswire
Morgan Joseph TriArtisan named Stephen M. Clarke a managing director in the firm’s industrial investment banking group. Jo-Ku Tang was also named a managing director and chief financial officer.
In addition, Michael Manocchio, in the healthcare investment banking group, and Matthew McLeod, a member of the technology investment banking group, were both promoted to vice president.
As a member of the industrial investment banking group, Clarke focuses on infrastructure, transportation, logistics, environmental and facilities services sectors.
Previously, Clarke was a director of investment banking at CapitalKey Advisors & Capital, advising small to mid-sized companies and helping develop the Capital software platform.
Berkery, Noyes & Co. announced that Peter Yoon has joined the firm as managing director in the education group.
Yoon has approximately 15 years of investment banking and principal investing experience, mainly in education. As managing director, he will specialize in advising companies in the education and training sector, including the post-secondary, preK-12, childcare services and corporate training areas.
Yoon was most recently a principal at Epic Partners, where he provided corporate finance and strategic advice to privately held firms across the entire education and training spectrum. Previously, he worked in the investment banking groups at the Bank of Montreal and UBS. -PR Newswire
Brookwood Financial Partners has announced that Stephen W. Garvey has joined Brookwood Securities Partners as a managing director.
Garvey previously worked for Brookwood Securities from 1994 to 1997. -Wireless News
FBR & Co. announced that James C. Neuhauser has been named executive vice president and chief investment officer for FBR & Co.
In his new role, Neuhauser’s responsibilities will encompass all aspects of the company’s capital allocation and investment processes. He will continue to serve on the company’s executive committee and as chairman of its commitment committee for investment banking.
Additionally, Kenneth P. Slosser will succeed Neuhauser as head of investment banking.
Slosser will be responsible for managing the company’s investment banking operations across all its sectors and product groups.
Slosser has led the company’s financial institutions and insurance banking teams for the past five years. He previously managed the company’s West Coast investment banking operations and has been a key member of FBR’s investment banking team. -PrimeNewswire
Keefe, Bruyette & Woods (KBW) announced the appointment of Charles Lucas as head of European equity capital markets (ECM).
In this role, Lucas will oversee public and private placements of common stock and other hybrid equity securities. He will be based in London and report directly to Vasco Moreno, CEO, KBW Limited.
Lucas, 48, comes to Keefe, Bruyette & Woods with more than 25 years of relevant experience. Most recently, he was the managing director of equity capital markets at Royal Bank of Scotland, where he was responsible for leading its pan-European ECM financial institutions group. Prior to that he specialized in emerging markets M&A and ECM at ABN AMRO and developed its financial exchanges advisory franchise. -Business Wire
The Depository Trust Company announced that Michael C. Bodson has been appointed as chief executive officer of the company.
Bodson has also been appointed president and chief executive officer of the Depository Trust & Clearing Corporation, effective July 1. He succeeds Donald F. Donahue. He is currently chief operating officer of that company.
Bodson has also been apponted chief executive officer of National Securities Clearing Corporation and Fixed Income Clearing Corporation. -Business Wire
Signal Hill Capital Group announced that Alexander (Alex) Hart and Robert (Bob) Berstein have joined the firm as managing director and senior vice president, respectively, and will head its new Boston-based, internet and digital media practice.
Hart and Berstein come to Signal Hill from Morgan Keegan, where Hart headed its internet and digital media practice. Together they have over 30 years of industry experience advising a wide range of public and private companies, including Vistaprint, TravelClick, Yahoo, All Web Leads, Cardlytics, comScore and Dice.
Hart has more than 17 years of investment banking experience advising a wide range of public and private companies, and has led transactions both domestically and internationally including mergers and acquisitions, private financings, initial public offerings, follow-on offerings, and debt financings.
Berstein has more than 15 years of financial experience with both investment banking and venture capital firms, with a focus on digital media. In addition, he was co-founder and previous chairman of the New York Private Equity Network.
Chartwell Capital Solutions announced the appointment of Thomas K. Peterson as co-head of the firm’s capital markets group.
Peterson will be principally responsible for debt capital market products. He will be co-head along with Will Bloom, reporting to Chartwell’s corporate finance lead, Greg Fresh.
Prior to joining Chartwell’s corporate finance team, Peterson was with ABN AMRO Bank, at its headquarters in Amsterdam and later North America in Chicago, where he originated, structured, and closed public and private debt transactions on behalf of bank clients in North America, Europe, and Asia. In addition, he was responsible for running ABN AMRO’s aviation portfolio. -Company Website
Mizuho Securities USA (MSUSA) announced the appointment of Jon Bass as managing director in the newly created position of head of high yield sales in its fixed income division. In his new role, Bass will focus on strengthening and expanding MSUSA’s high yield sales platform and will report to Jerry Rizzieri, executive managing director and head of fixed income for MSUSA.
Bass has more than two decades of sales experience in financial services. Prior to joining MSUSA, he served as global head of distribution for MF Global, and before that as global head of fixed income at BTIG. -Market Wire
LPL Financial Corporation and LPL Investment Holdings announced that Robert Moore has been named president and COO for LPL Financial and LPL Investment Holdings, effective May 1, 2012. He will remain CFO as the company undertakes a thorough executive search process to fill the role.
Moore, 50, joined the company in September 2008 as chief financial officer. Esther Stearns has been named CEO of a new LPL subsidiary, LPL New Venture, and will be stepping down from her current role as president and COO of LPL Financial, effective May 1, 2012. -PR Newswire
Infinium Capital Management announced that Chris Neylon is assuming responsibility as head of the firm’s natural gas business, where he will be responsible for managing the firm’s natural gas trading operations.
In addition to his responsibilities in the natural gas business, Neylon will continue to serve as the asset class head for energies where he is responsible for managing all existing energies groups and overseeing the firm’s global expansion in energy products.
Neylon joined the company in 2003, and has served in numerous trading and leadership positions across the firm. In 2006, he moved to the company’s New York location to build out the firm’s east coast presence and lead the firm’s Energies business. In 2009, he was promoted to the energies asset class head. -Business Wire
Greenhill & Co. announced it is transitioning the chief financial officer role from Richard J. Lieb to Christopher T. Grubb, effective May 1, 2012.
Grubb is a principal of the firm, who joined six years ago from UBS. He has advised clients on a variety of M&A and restructuring transactions and also played a variety of administrative roles in the firm. As was the case with Lieb, he will continue to work on selected client matters while also serving as chief financial officer.
He had also recently become head of North American corporate advisory, and will return to a full-time focus on client advisory activities. -PR Newswire; Transcript Collection
Evercore Partners announced that Steve Wellington has agreed to join the firm’s investment banking business as a senior managing director based in London, focusing on financial restructuring, distressed M&A and debt advisory.
Wellington will work closely with industry coverage bankers, as well as the restructuring team in New York, which is led by David Ying.
Wellington has specialised in financial restructuring advisory and leveraged finance underwriting for the past 16 years. Prior to that he was co-head of European leveraged finance and was a senior member of the financial sponsors group. -Business Wire
Evercore Partners also announced that Randolph Sesson has agreed to join the firm’s investment banking business as a senior managing director based in London, where he will be head of European transportation.
Sesson will focus on providing strategic and financial advice to companies in the transportation and related infrastructure sectors.
Sesson was most recently a managing director and head of European transportation and infrastructure within the investment banking division at Morgan Stanley & Co.’s London office. -Business Wire
Healthios Capital Markets announced that Ellen S. Baron, Ph.D., has joined the firm as a managing director.
Baron will lead the firm’s biopharmaceutical practice and will be based Boston, MA. -PR Newswire
Ladenburg Thalmann Financial Services announced that James Hansen, a senior investment banker in the energy space, has joined Ladenburg Thalmann & Co. as managing director, head of energy investment banking, effective immediately.
Hansen will be based in Houston, Texas, and will be responsible for overseeing the strategic growth of the firm’s investment banking practice serving the energy and utility sectors, including MLP’s, exploration and production companies, royalty trusts and utilities.
Hansen joins the firm from Morgan Keegan & Company, where he served as managing director, co-head of energy investment banking, and was responsible for initiating and coordinating investment banking assignments. -Business Wire
Marco Polo Network announced that Lee Fensterstock has joined the firm as chief executive officer and a member of the company’s board of directors.
Fensterstock is an experienced securities industry executive with a track record of establishing and transforming securities firms.
Sagent Advisors announced that Nils Nilsen, the company’s founding partner, has rejoined the firm as a managing director. He will spearhead, along with Donato de Donato, the firm’s financial sponsors coverage efforts.
Nilsen had managed the private equity coverage and strategic opportunities groups at the company from 2004 through 2009. He has held several senior positions in his career including Donaldson, Lufkin & Jenrette’s M&A business development group. He was also the co-head of DLJ’s financial sponsors group. Most recently, he was an independent advisor to American Securities Corporation, and also previously served as a partner at First Atlantic Capital, a managing director at Merrill Lynch and spent nine years at American Can Company/Primerica Corporation. -PR Newswire
Capital Institutional Services announced that David Lee has been promoted to the head of the company’s fixed income trading desk.
Prior to joining the company in 2009, Lee worked for eight years at SunTrust Robinson Humphrey as director of mortgage trading. -Business Wire
Penserra Securities, a U.S. based financial services firm that specializes in global institutional trading and related brokerage services, announced that it is bolstering its fixed income capital markets presence and capabilities with the addition of a corporate bond team led by Donald Chisholm and Robert Wade.
Chisholm joins Penserra as co-head of debt capital markets, where he will spearhead the continued expansion of the fixed income business including strategic planning, product development, trading, and investment banking.
Wade, also named co-head, will lead the trading team responsible for distressed, high yield, and investment grade debt.
Joshua Deitch, managing director, will lead the fixed income credit sales team.
Arnold Palatnek will be a senior bond trader focused on investment grade debt.
S. Francisco Ghiglino is a highly seasoned desk analyst providing fundamental and relative value analysis in credit.
Fred Schrodt was named senior vice president in fixed income sales.
The entire team has a long history of working together in senior positions at VCG Securities, Cantor Fitzgerald and Raymond James.
