Bringing you live news and features since 2006 

Rockefeller Capital Management appoints General Counsel of broker-dealer


Rockefeller Capital Management has appointed Michael Solomon as General Counsel of Rockefeller Financial, the firm’s broker-dealer.

As General Counsel of the broker-dealer, Solomon will lead the legal and compliance efforts across the Private Wealth Management and Strategic Advisory businesses. In this role, he will provide legal advice, address regulatory examinations and inquiries, and enhance the firm’s compliance and surveillance systems.
“We are building a world-class broker-dealer, and that requires a world-class legal and compliance team,” says Gregory J Fleming (pictured), President & CEO of Rockefeller Capital Management. “Michael is a proven leader who brings a wealth of experience as a senior regulator and gifted lawyer, and is committed to the highest legal and ethical standards.”
Prior to joining Rockefeller in March, Solomon will have spent more than seven years at FINRA, most recently as the senior regional director of FINRA’s New York, Philadelphia, Boston, and Woodbridge-NJ District Offices, responsible for the Examination and Surveillance Programs in the Northeast and overseeing a staff of 350 people. Prior to joining FINRA in 2011, he served as General Counsel for Litigation, Regulatory and Employment law at Jefferies & Co, and before that held senior positions with UBS Financial Services and Merrill Lynch.
At Rockefeller, Solomon will report to Jon Eisenberg, the General Counsel of Rockefeller Capital Management. He has a JD from New York University School of Law and an undergraduate degree from Wesleyan University.

Latest News

Morningstar has published a review of the European ETF market for the first quarter 2024, which finds that it gathered..
US ETF issuers of active ETFs are facing an increase in fees from the big custodian firms, such as Charles..
ETF data consultant ETFGI reports that assets invested in the global ETF industry reached a new record of USD12.71 trillion..
Calastone has published an ETF white paper which examines several of the processes that take place across the lifecycle of..

Related Articles

Taylor Krystkowiak, Themes ETFs
Themes ETFs opened its doors in December 2023, with an introductory suite of 11 ETFs – seven thematic and four...
Konrad Sippel, Solactive
At the end of March, financial index specialist, Solactive, published its 2024 annual report on future trends.  ...
Lorraine Sereyjol-Garros, BNP Paribas
Following changes to the French Monetary and Financial Code and of the French market authority AMF’s General Regulation, it is...
Ed Rosenberg, Texas Capital
Texas Capital Bank first opened its doors back in December 1998 and nowadays offers wealth-management services, as well as commercial,...
Subscribe to the ETF Express newsletter

Subscribe for access to our weekly newsletter, newsletter archive, updates on the site and exclusive email content.

Marketing by