ProEquities, Inc. has awarded the 2012 Compliance Award to HK Financial Services Office of Supervisory Jurisdiction (OSJ).
ProEquities, Inc. has awarded the 2012 Compliance Award to HK Financial Services Office of Supervisory Jurisdiction (OSJ), headed by Jim Herrig, J.D., executive vice president & chief compliance officer for its overall supervision of its Registered Representatives. ProEquities has over 1,100 active Registered Representatives supervised by approximately 45 OSJs. HKFS supervises over 80 of these representatives.
Award candidates are proposed by the ProEquities staff. The award is based on votes cast by members of the ProEquities Compliance Team considering a variety of factors, including but not limited to, attention to detail, completion of regulatory requirements for the group, responsiveness and more. Jim Herrig commented, “I am delighted to receive this award on behalf of HKFS, especially our compliance staff, including our compliance officer, Janice LaBonne, and our compliance and licensing specialist, Karen Turner. It reflects the care we take in delivering high-quality, suitable financial services of every kind to our clients while adhering to both the spirit and the legal requirements of regulatory standards. This is vitally important to our clients and our affiliate firms. Our goal is to advance their financial success while protecting the interests of everyone with whom we do business.” HK Financial Services delivers brokerage, asset management, insurance and retirement plan services to CPAs and their clients throughout the United States.