September 22, 2022
A Personal Message From Granville A. Ungerleider
Candidate for FINRA 2022 Small Firm Member of the National Adjudicatory Council
FINRA and We Have Skin in the Game
Skin in the Game? Fellow Small Firm Members, to us, this isn't a Game; this is our business, this is our livelihood, this is the way we feed our families, this is the way we put our children thru collage, this is the way we provide for ourselves, this is real life, not a Game.
The decisions of the National Adjudicatory Council ("NAC") are so crucial that Small Firms need an individual on the NAC committed to ensuring that the proceeding of the NAC is conducted in a reasonable, fair, equitable, and dispassionate manner. Quite frankly, we all know the NAC's decisions can "make or break a Firm."
Small Firm Members are fighting for their survival with the ever-rising costs of various elements of regulatory compliance. Therefore, Small Firm Members need a representative on the NAC that understands the high-pressure environment in which we operate.
With almost 20 years of experience in the securities industry as a trader, market maker, salesperson, and investment banker, the last 15 years as the owner of a small Broker/Dealer gives me in-depth knowledge of the industry. I have served as a mediator and arbitrator for the New York Stock Exchange and other industry and professional organizations, authored expert opinions and gave expert testimony in mediations, arbitrations, and courtroom litigations. I have the credentials and experience required to do the job for you.
I pledge to work diligently to ensure that Small Member Firms have an opportunity to be heard. I am asking for your support for my candidacy for a seat on the NAC.
I am available to answer any questions you may have, and please feel free to call me.
Thank you in advance for your consideration.
Granville A. Ungerleider,
Managing Member & President
Whitemarsh Capital Advisors LLC
795 Route 70 East
Marlton, NJ 08053
Direct Tel: 646-450-5587