Daily Brief Broker-Dealer Monday

Finleet Broker-Dealer Daily Brief — March 23, 2026

A comprehensive daily roundup of broker-dealer activity across personnel changes, enforcement actions, registrations, and regulatory filings. Data sourced from FINRA BrokerCheck, SEC EDGAR, FOCUS filings.

By Cassandra Troy · Finleet BD Daily Brief

March 23, 2026

Personnel Changes 5 events

Causesway Securities LLC (CRD #315829) announced a leadership reshuffle with the departure of Donald Thomas Brudie Jr. from his role as CEO. The firm has appointed Allan Whittfield Waddell as the new COO and Conor Hugh O'Donnell as the new CEO, effective immediately. Both Waddell and O'Donnell bring fresh perspectives to the executive team, according to the firm.

HCC Securities Group, Inc. (CRD #16861) reported a change in direct ownership with the departure of Cathy Holding Group Co., Ltd. from its position as DIRECT OWNER. The firm has also welcomed Cathay Holding Group Co., Ltd. into the same role. These changes reflect a shift in the ownership structure, said HCC Securities Group, Inc.

Entities Referenced

190-016-861 190-315-829

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