Deals & People February 15, 2012

Aequitas Appoints Two Executives

Aequitas Capital Management added two executives at its Portland headquarters.
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Jonathan Wease was appointed vice president of portfolio management, where he will oversee the firm’s existing group of portfolios and provide leadership on new portfolio acquisition strategies. He brings more than 25 years of financial experience, including the last 15 years with Portfolio Financial Servicing Company. He was also with U.S. Bancorp and U.S. Bank, providing management support in accounting, tax and portfolio administration. Wease has an MBA from Marylhurst University and a bachelor’s degree in business management from Concordia University.

Brian Zeck was appointed managing director in the asset management business unit, where he will engage with RIAs across the U.S. Zeck has experience devising and executing targeted sales marketing and business development strategies to drive business growth in the financial products and services arena. He was previously executive vice president of Leader Capital Corp., a fixed-income mutual fund company, and he brings institutional experience from Barclays Global Investors and Morgan Stanley Smith Barney. He has a degree in finance from San Diego State University.

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Deals & People February 15, 2012

Erado Provides Social Media Services to M Securities

Erado announced a multi-year agreement to provide social media compliance services to M Holdings Securities Inc. (M Securities), the broker/dealer of M Financial Group.
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With the implementation of Erado’s social media services, M Member Firms can use social networking sites such as LinkedIn, Facebook and Twitter—within the compliance guidelines set forth by the Financial Industry Regulatory Authority (FINRA)—to engage with clients and expand their presence on the Internet.

“We are just now starting to see the financial services industry begin to use social networking sites,” said Craig Brauff, CEO of Erado. “Once you decide to move into social media, you need to get compliance involved, and compliance concerns are real. FINRA’s regulatory notice 11-39 requires diligent capture, record keeping, and supervision of social media content, especially posts and updates made from mobile devices.”

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