RALPH COSTANZA NAMED SENIOR COMPLIANCE OFFICER FOR TRADING DEPARTMENT AT SMITH BARNEY HARRIS UPHAM & CO.
RALPH COSTANZA NAMED SENIOR COMPLIANCE OFFICER FOR TRADING DEPARTMENT AT SMITH BARNEY HARRIS UPHAM & CO. NEW YORK, July 21 /PRNewswire/ -- Ralph J. Costanza, managing director, has been named senior officer for compliance and internal affairs supervision in the Capital Markets Division at Smith Barney, Harris Upham & Co., the company announced today. Costanza's principal function in this new position will be to oversee all compliance and internal policy matters relating to the firm's debt, equity, and derivatives trading units, said Steven D. Black, senior executive vice president in charge of the Capital Markets Division, to whom Costanza reports,. "The complexity of today's trading products and regulation has created the need to establish this type of oversight in addition to our current compliance procedures," said Black in announcing the appointment. "We are very conscious of maintaining our high standards of trading practices and the integrity of our relationships with clients." Costanza has 24 years of experience in the industry, since beginning his career at Merrill Lynch in 1968 as an account executive. He joined Smith Barney in 1976 as head of marketing for the Over-the-Counter Department and most recently was manager of the unit. Smith Barney is a wholly owned subsidiary of Primerica Corporation (NYSE: PA), the diversified financial services company. -0- 7/21/92 /CONTACT: Bob Connor of Smith Barney, Harris Upham & Co., 212-698-3123/ (PA) CO: Smith Barney, Harris Upham & Co. ST: New York IN: FIN SU: PER
TQ-TS -- NY032 -- 1212 07/21/92 10:27 EDT
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|Date:||Jul 21, 1992|
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