| Thursday, November 17, 2004
Nancy Condon 202-728-8379
Herb Perone 202-728-8464
NASD Names Top Officials For New Florida District Office
Washington DC – NASD announced today that Long Island Office Associate Director Mitchell C. Atkins will assume new duties as the Director of NASD’s new Florida District Office in January, 2005.
The Florida District Office, located in Boca Raton, will open in the spring of 2005 and will have a permanent staff of more than 40.
“Throughout his career, Mitch has demonstrated exceptional leadership, teamwork and commitment to the work of NASD,” said Robert C. Errico, NASD’s Executive Vice President for Member Regulation. “Florida has a huge presence in the securities industry – with approximately 280 securities firms now located there, it trails only California and New York in the number of registered representatives and branches. Under Mitch’s leadership, our new Florida District Office will make NASD more accessible to Florida’s firms and investors, and will make them more accessible to us.”
Since October, 2003, Atkins has headed up NASD’s Long Island office. Prior to that, he served as Supervisor in the New Orleans District Office. He has been with NASD since 1993.
Also joining the Florida District Staff as Associate Director will be Lisa Stepuszek, who is currently Associate Director of NASD’s Chicago District Office. She began her career with NASD in 1987.
NASD’s new Florida District Office will be located in the Crystal Corporate Center, at 2500 North Military Trail, Suite 302, Boca Raton, FL, 33431. Until the new office officially opens, permanent staff are working out of temporary office space located at 433 Plaza Real, Suite 275, Boca Raton, FL, 33432.
NASD also announced the recent promotion of Daniel J. Stefek, formerly Associate Director of the Los Angeles District Office, to Director of the Atlanta District Office. Stefek has been with NASD since 1983.
New York Deputy Regional Chief Counsel David Jaffe has been promoted to the Enforcement Department’s Regional Chief Counsel post. Jaffe began his career with NASD in 1997.
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 securities firms. For more information, please visit our Web Site at www.nasd.com.