For Immediate Release
December 21, 2018
SAN DIEGO, CA – WBB Securities’ Chief Compliance Officer / Chief Financial Officer, Michelle Thomas, has been elected and confirmed by the Board to the National Adjudicatory Council (NAC). She will serve a four-year term beginning January 1, 2019. FINRA’s elections came to an end in November and the results were confirmed at the December Board of Governors meeting held in Washington DC.
Ms. Thomas has been with WBB since 2013 and brings nearly three decades of experience as both a former business owner and a former member of senior management at Jack White & Co., TD Waterhouse and Allstate Financial Services. Ms. Thomas has expertise in financial operations and compliance in both brokerage and managed accounts. Beginning her career in 1991, Ms. Thomas has served in a financial control capacity and has been instrumental in creating solutions and enhancing written procedures mitigating both regulatory and financial risk. Ms. Thomas holds Series 7, 66, and 24 licenses and is a graduate of the Certified Regulatory and Compliance Professional Program (CRCP) through the FINRA Institute at Wharton School of Business, a program tailored to securities laws and regulations.
About WBB Securities
WBB Securities is a leading investment management, investment banking, and equity research firm. Established in 2001 and headquartered in San Diego, California, WBB Securities is a registered independent broker dealer and investment advisor with proprietary trading desks that have market-making capabilities.
WBB Securities has built a nationwide team of respected senior investment and research professionals with a network of branches throughout the US serving institutional and high net worth clients. The firm also maintains an investment banking, equity research, and asset management practice focused exclusively in the life sciences
FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers. FINRA is not part of the government. They are not a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. FINRA’s mission is to safeguard the investing public against fraud and bad practices. They pursue that mission by writing and enforcing rules and regulations for every single brokerage firm and broker in the United States, and by examining broker-dealers for compliance with their own rules, federal securities laws and rules of the Municipal Securities Rulemaking Board.