SALT LAKE CITY, Utah – October 12, 2015 – DFPG Investments, Inc. (DFPG: www.dfpg.com), a national, independent broker-dealer, announced during their 2015 Annual Rep Conference in San Diego, California, that former FINRA counsel, Allison Blais, will be joining the Salt Lake City based broker-dealer as Chief Risk Officer (CRO).
Mike Bendix, DFPG’s CEO, says that Blais’ industry experience will help deepen the firm’s ongoing commitment to compliance. “Allison is a uniquely qualified individual,” says Bendix. “She has experience working at both the private and regulatory level in our industry, and we’re excited about the capabilities she adds to our risk and compliance efforts.”
Bendix, who is also currently serving as President-elect of the Alternative & Direct Investments Securities Association (ADISA: www.adisa.org), says that DFPG infuses a commitment to compliance in the firm’s strong culture and values.
“In addition to being recognized as an industry leader for alternative investments and, in particular investment real estate,” says Bendix, “we also want to be known for conducting ourselves, both as individuals and as an organization, with the highest level of integrity.”
Prior to joining DFPG, Blais worked as counsel to FINRA’s Office of Oversight Liaison and Counsel, where she managed a team of attorneys responsible for drafting and coordinating FINRA’s responses to all oversight exam and inspection requests from the Securities and Exchange Commission (SEC). Prior to her work at FINRA, Blais worked in the private sector for several law firms.
“My time with FINRA was exceptionally rewarding, and I’m very fortunate to have worked with such great people in such an important capacity,” says Blais.
Blais continues, “The decision to leave [FINRA] wasn’t easy, but I am thrilled to put that experience to work for an organization that shares my core values and philosophy. I also didn’t want to miss the opportunity to join a company that’s on such an exciting growth trajectory.”
DFPG Investments, Inc. is a national, full-service, independent broker-dealer and dually-registered RIA that specializes in working with registered representatives and investment advisor representatives who want to incorporate alternative investments, with emphasis in investment real estate, into their business. More information about DFPG, including media inquiries, can be directed to Nick Hansen (email@example.com).
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