Share This Profile
Share this profile on Facebook.
Link to this profile on LinkedIn.
Tweet this profile on Twitter.
Email a link to this profile.
See other services through which you can share this profile.
This profile was last updated on 2/11/15  and contains information from public web pages and contributions from the ZoomInfo community.

Ms. Christina R. Fillhart

Wrong Christina R. Fillhart?
 
Background

Employment History

Education

  • Bachelor's degree , Psychology
    California State University , Los Angeles
6 Total References
Web References
Clearing & Execution Leadership | Wedbush
www.wedbush.com, 23 Mar 2014 [cached]
Christina Fillhart Senior Vice President, Correspondent Services Division
Christina Fillhart is a Senior Vice President in Wedbush's Correspondent Services Division. With thirty-one years of experience, she oversees the Correspondent Services Division's operations, accounting, compliance and regulatory departments. Prior to joining the team at Wedbush, Ms. Fillhart was a principal with several fully disclosed broker-dealers, some of which utilized Wedbush's clearing services. Additionally, she was an Operations Manager with Thomson McKinnon Securities, and worked in various capacities with E.F. Hutton & Co., and in First Interstate Bank's trust division. Ms. Fillhart earned her Bachelor's degree in Psychology from California State University, Los Angeles and holds the Series 7, 63, 24, 27 and 53 licenses with FINRA. In her spare time, she enjoys travelling, spending time with friends and family, reading and knitting. Ms. Fillhart is the proud mother of two daughters.
The Enforcement Division ...
vigilantllc.com [cached]
The Enforcement Division alleges that the firm's violations of the market access rule were caused by Jeffrey Bell, the former executive vice president in charge of Wedbush's market access business, and Christina Fillhart, a senior vice president in the market access division.
...
Fillhart also had responsibility for overseeing Wedbush's market access business and received inquiries by exchanges about potential violations by Wedbush and its customers. Despite these red flags, Fillhart did not take adequate steps to prompt the firm to adopt reasonably designed risk management controls.
According to the SEC's order, in addition to violating the market access rule (Securities Exchange Act Rule 15c3-5), Wedbush violated other regulatory requirements as a result of trading by its market access customers. These violations include Rule 203(b)(1) of Regulation SHO relating to short sales, Rule 611(c) of Regulation NMS related to intermarket sweep orders, Rule 17a-8 concerning anti-money laundering requirements, and Rule 17a-4(b)(4) concerning the preservation of records.
The proceeding before an administrative law judge will determine whether Wedbush willfully violated these provisions of the federal securities laws, and whether Bell and Fillhart were causes of the firm's violations of the market access rule.
In the Wedbush case, the SEC ...
www.nwherald.com, 6 June 2014 [cached]
In the Wedbush case, the SEC also charged Jeffrey Bell, a former executive vice president of the firm, and Christina Fillhart, a senior vice president.
...
A Wedbush spokesman and attorneys for the firm, Fillhart and Bell didnt immediately return telephone calls and messages seeking comment.
Financial Firms :: Institutional Investor Securities Blog
www.institutionalinvestorsecuritiesblog.com [cached]
In June, the Securities and Exchange Commission filed similar charges against Wedbush, Jeffrey Bell, who is ex-EVP in charge of market access, and Christina Fillhart, a market access division Sr. VP.
...
His agency says that Jeffrey Bell, one of the firm's ex-EVPs, and Christina Fillhart, a Wedbush market access division Sr. VP, are to blame for causing the market access violations.
About Us
www.successionsys.com, 11 June 2014 [cached]
The Enforcement Division blames the violations on Jeffrey Bell, the former EVP in charge of Wedbush's market access business, and Christina Fillhart, SVP in the market access division.
Other People with the name "Fillhart":
Accelerate your business with the industry's most comprehensive profiles on business people and companies.
Find business contacts by city, industry and title. Our B2B directory has just-verified and in-depth profiles, plus the market's top tools for searching, targeting and tracking.
Atlanta | Boston | Chicago | Houston | Los Angeles | New York
Browse ZoomInfo's business people directory. Our professional profiles include verified contact information, biography, work history, affiliations and more.
Browse ZoomInfo's company directory. Our company profiles include corporate background information, detailed descriptions, and links to comprehensive employee profiles with verified contact information.
zirhbt201304