Managing Director, Chief Compliance Officer, Prime Brokerage
Rep Poppell is Managing Director, Chief Compliance Officer of Cowen Prime Brokerage, LLC. Prior to the acquisition of Concept Capital Markets, LLC by Cowen Group, Inc., Mr. Poppell served as Chief Compliance Officer of Concept. Mr. Poppell has more than 24 years of securities industry experience with an emphasis in compliance, operations, and administrative activities. Mr. Poppell became affiliated with the company’s predecessor in August 2009 as a Senior Vice-President, Institutional Compliance, and previously served that entity as a compliance consultant through his Regulatory Compliance Solutions, LLC.
Mr. Poppell brings to his position a wealth of experience in a wide range of compliance issues. From 1997 through 2009, Mr. Poppell served as a Senior Vice-President and Director of Compliance at Stanford Group Company including in its Institutional division from 2006 through 2009, where his duties included implementing, directing and managing the compliance program respective to the Institutional Division Products and Services, Institutional Sales and Sales Trading, Market Making, Fixed Income Trading, Investment Banking, Equity Capital Markets, and Research (Equity and Policy). Between 1985 and 1997, Mr. Poppell was employed by Lehman Brothers, Inc. where he directed and supervised Lehman’s South Region registered and non-registered employees, served as Syndicate Manager, Product Liaison and Sales Supervisor. In addition, Mr. Poppell directed all processing of customer complaints, conducted quarterly business reviews with investment representatives and supervised all security trading activities.
Mr. Poppell graduated from University of Georgia in 1983 with a Bachelor of Science in Microbiology/Biology, and from Georgia State University in 1986 with an M.B.A. in International Business/Finance. Mr. Poppell also is a Certified Regulatory and Compliance Professional (CRCP), FINRA Institute at Wharton Certificate Program, May 2003.
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