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Cheevers & Company Bolsters Compliance Team

Advanced Trading

Business Wire
August 22, 2011

Cheevers & Company, Inc., an agency-only brokerage providing execution services for a diverse range of institutional clients and asset managers in both domestic and international equities, today announced the addition of John Barone to their trading desk. As the Vice President of Institutional Sales and Trading, Mr. Barone will lead the trading execution, sales and client service efforts of the firm’s trading desk.

 

Mr. Peterson, who comes to Cheevers & Company from Fox River Execution Technology, LLC, where he also served as Chief Compliance Officer, now leads Cheevers & Company’s compliance staff. Unlike many other agency brokers in their space, Cheevers & Company has a team exclusively dedicated to compliance. The compliance team oversees risk management parameters and monitors the firm’s trading activities. They ensure firm best practices, which are in place to help avoid “fat finger” errors, review the order audit trails (OATs), and fulfill industry regulations. The group also leads Cheevers & Company’s quarterly attestations and annual compliance meetings.

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