Management

Franklin I. Ogele (Principal)


Mr. Ogele holds degrees in accounting, economics and law. He earned his baccalaureate degree in accounting and economics from The State University of New York at Geneseo, NY in 1982 and graduated from Rutgers Law School in 1989. He is admitted to practice law New York and New Jersey and in the Federal District Court of the Southern District of New York and the Federal District Court of New Jersey.

Mr. Ogele started his financial services career in 1984 when he joined the FINRA as an examiner. He subsequently took a job as General Counsel and Chief Compliance Officer with ABN Amro Securities (USA) Inc. and ABN Amro Asset Management, Inc. After leaving ABN Amro, Mr. Ogele joined Santander Investment Securities Inc. (a unit of Grupo Santander) as Legal Counsel and Chief Compliance Officer. Subsequently, Mr. Ogele joined the law firm of Singer, Zamansky, Ogele and Selengut LLP as the Broker-Dealer Partner. Mr. Ogele was also a former Associate General Counsel and Chief Compliance Officer for All-Tech Direct, Inc., an early pioneer of electronic day trading and operator of The ATTAIN ECN, and a former Associate General Counsel and Chief Compliance Officer for Domestic Securities, Inc. Mr. Ogele has also served as CEO of several broker-dealers and FINRA member firms.

Mr. Ogele has represented broker-dealers and registered representatives before the FINRA, the NYSE, the SEC, the New York Federal Reserve Board and various state regulatory agencies. He has also acted as Counsel for several companies in filing SEC Registration Statements and served as defense counsel in FINRA arbitration cases and civil litigations in federal and state courts.

Mr. Ogele acted as counsel In the Matter of On-Site Trading, Inc. March 17, 1998 FINRA Rule Interpretation, which aided the growth of direct access electronic trading industry by establishing the concept of Order Entry and Account Access Centers, which allowed direct access electronic trading firms to establish limited branch operations without the time-consuming process of obtaining prior regulatory approval. Mr. Ogele holds the following securities industry registrations: Series 7, 24, 27, 63, 79 and 99.

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