6
Total Mentions
6
Documents
86
Connected Entities
Surname or name fragment in documents
EFTA00069181_email_003
ll leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA's Sales Practice Examination, Risk Monitoring
EFTA00102264_email_002
ll leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA's Sales Practice Examination, Risk Monitoring
EFTA00086291_email_002
ll leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA's Sales Practice Examination, Risk Monitoring
EFTA00090355_email_003
ll leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA's Sales Practice Examination, Risk Monitoring
EFTA00040401
ll leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA's Sales Practice Examination, Risk Monitoring
ll leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRAs Sales Practice Examination, Risk Monitoring a
Janey
PersonRefers to Janey, an SEC Office of the Whistleblower staff member repeatedly addressed in SEC whistleblower complaint emails

Julie K. Brown
PersonAmerican journalist
Berger
PersonSurname reference to multiple individuals: Bill Berger (victims attorney), Yvonne Berger (Brad Wechsler associate), and references in SEC whistleblower complaints
the Securities and Exchange Commission
OrganizationU.S. Securities and Exchange Commission
Brown Brothers Harriman & Co.
OrganizationOrganization referenced in documents

Clayton
LocationCity in and county seat of St. Louis County, Missouri, United States
Chris Dilorio
PersonIndividual referenced in Epstein documents
SEC NY
OrganizationSEC regional office in New York
BBH AML
OrganizationBrown Brothers Harriman AML compliance division
Norberg
PersonRefers to SEC OWB Chief Norberg, referenced in whistleblower complaint documents
Mckessy
OrganizationEntity referenced in documents
Richard Best
PersonPerson referenced in documents
Mr Berger
PersonPerson referenced in documents
Bobby Sollazzo
PersonPerson referenced in documents
Robert A. Sollazzo
PersonPerson referenced in documents
Sollazzo
PersonSurname or name fragment in documents
Lourdes Caballes
PersonPerson referenced in documents
Michael Rufino
PersonPerson referenced in documents
Ms Caballes
PersonPerson referenced in documents
Mikey Rufino
PersonPerson referenced in documents