JP Turner Independent Brokerage Firm
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Feb 27, 2009 -
J.P Turner’s Chief Compliance Officer, Michael Isaac, was selected by The National Society of Compliance Professionals to moderate a workshop panel “BD – Supervisory Responsibilities.”
The workshop explored the delegation of supervisory duties, supervision of branch offices and producing managers, supervisory red flag review: follow up and documentation, and supervisory controls and certification. Mr. Isaac was joined by panel member Scott N. Sherman of Alston and Bird, LLP.
The workshop was part of the National Society of Compliance Professionals’
Southern Regional Membership Meeting held in Atlanta on February 23, 2009.
J.P. Turner & Company, LLC, is a full-service independent investment banking and securities brokerage firm headquartered in Atlanta with some 150 branch offices nationwide. Its affiliate company, J.P. Turner & Company Capital Management, LLC offers investment planning and advisory services. For additional information on J.P. Turner & Company visit
http://www.jpturner.com. For information on J.P. Turner Capital Management visit
http://www.jpturnercm.com.
About J.P. Turner: J.P. Turner was founded in 1997 by Bill Mello and Tim McAfee, who have assembled a strong leadership team composed of seasoned financial brokers and advisors, like themselves, that truly understand the challenges faced by independent representatives in the field. The company is a member of SIPC, TICA and the National Investment Banking Association. J.P. Turner is consistently voted one of the top independent broker/dealers by Investment News.
