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Margining & Liquidation at US Broker-Dealers
May 15, 2023

ROUNDTABLE NEWS - Many thanks to members Andrew Auslander and Paul Carroll for their webcast on "Margining and Liquidations at U.S. Broker Dealers." Andrew is a financial consultant and expert witness who has more than a decade of experience in secured financing including repo trading and securities lending. He has provided expert consulting in risk management, derivatives and suitability cases and has provided expert advice on margin and liquidation of brokerage accounts. Paul has over 35 years of experience in the Financial Services Industry, primarily in financial services operational control processes and supervisory best practices inclusive of trade capture, settlement, custody and margin lending. Paul served as Vice President in Global Operations for Goldman Sachs & Co., Limited Partner at Spear Leeds & Kellogg, Past-President of SIFMA’s Credit and Margin Society and former member of the SEC/FINRA Portfolio Margin Sub-Committee.The Webcast Committee is proud to broadcast these events to SER members. If you missed today's broadcast, you will be able to find the recording in our Library shortly. 


 


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