Former FINRA Counsel Allison Blais Joins DFPG Investments

Independent broker-dealer DFPG Investments, Inc. has hired Allison Blais as chief risk officer.

Prior to joining DFPG, Blais worked as counsel to FINRA’s Office of Oversight Liaison and Counsel, where she managed a team of attorneys responsible for drafting and coordinating FINRA’s responses to all oversight exam and inspection requests from the Securities and Exchange Commission. She previously worked in private practice with Snyder Kearney LLC and Robinson & Cole LLP prior to joining FINRA in 2010.

DFPG CEO Mike Bendix remarked that Blais’ industry experience will “help deepen the firm’s ongoing commitment to compliance.”

“In addition to being recognized as an industry leader for alternative investments and, in particular investment real estate,” said Bendix, “we also want to be known for conducting ourselves, both as individuals and as an organization, with the highest level of integrity.”

DFPG Investments, Inc. is a national, full-service, independent broker-dealer and dually-registered RIA that specializes in working with registered representatives and investment advisor representatives who want to incorporate alternative investments, with emphasis in investment real estate, into their business.