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FINRA

 

 

FOR RELEASE:
CONTACTS:
Friday, March 12, 2004
Nancy A. Condon 202-728-8379
Michael Shokouhi 202-728-8304

 



NASD Names Hans Reich Head of its New York Region

Washington, D.C.—NASD announced today that Hans Reich will join NASD as Senior Vice President and Director of its New York Region. As Director, Reich will manage District operations, as well as oversee its membership application and examination programs and will report to Robert C. Errico, NASD's Executive Vice President of Member Regulation. The New York Region includes the five boroughs of New York City, and Long Island.

 

Reich comes to NASD from Goldman Sachs where he most recently served as Vice President in Global Compliance, advising compliance departments on regulatory issues, requirements and trends along with strategic global compliance technology projects. Upon joining Goldman in 1988, he was tasked with creating a Central Compliance Department to focus on investment banking information barriers, regulatory inquiries, internal investigations and other compliance policy issues. Before joining Goldman, Reich was the Managing Director and Director of Compliance at Smith Barney where he acted as the Chief Compliance Officer for the firm and its international branch offices. Before Smith Barney, Reich spent 12 years with Dean Witter Reynolds serving in multiple compliance related positions.

 

Reich earned a B.A. degree from Fordham University and graduated from Seton Hall University School of Law with a J.D. He is a member of the New Jersey Bar.

 

NASD is the leading private-sector provider of financial regulatory services, dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. NASD touches virtually every aspect of the securities business—from registering and educating all industry participants, to examining securities firms, enforcing both NASD rules and the federal securities laws, and administering the largest dispute resolution forum for investors and member firms. For more information, please visit our Web Site at www.nasd.com.