WR Hambrecht + Co Ahead of the Curve with Subserveo’s Automated Financial Compliance Technology

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WR Hambrecht + Co, a leader in financial services, today announced its agreement with Subserveo Inc., the only provider of automated financial compliance and surveillance solutions in North America offering a pay-as-you-go, software as a service (SaaS) solution.

Subserveo’s online dashboard provides our compliance team with critical insight into trade issues at a glance, allowing them to quickly drill down to the details and focus on resolution, rather than on manual identification.”

WR Hambrecht + Co, a leader in financial services, today announced its agreement with Subserveo Inc., the only provider of automated financial compliance and surveillance solutions in North America offering a pay-as-you-go, software as a service (SaaS) solution.

“We chose Subserveo’s solution for a number of reasons, the most compelling being their pay-as-you-go model with no capital investment required, and their ability to connect with multiple clearing firms, providing the flexibility we require,” said Matthew Regan, Managing Director, Retail Brokerage at WR Hambrecht + Co. “With its advanced surveillance capabilities, Subserveo’s online dashboard provides our compliance team with critical insight into trade issues at a glance, allowing them to quickly drill down to the details and focus on resolution, rather than on manual identification.”

“We are pleased to be working closely with WR Hambrecht + Co to augment their compliance needs through our automated compliance solution,” said Shannon Susko, Subserveo’s President & CEO. “Their organization is highly regarded in the financial industry and is staying ahead of the curve by embracing our leading-edge technology to perform what has traditionally been an expensive, time-consuming and manual process, and can now be done far more efficiently and accurately at a fraction of the cost.”

About WR Hambrecht + Co
WR Hambrecht + Co is a financial services firm committed to using technology and auction processes to provide open and fair access to financial markets for all its clients. The firm’s impartial auctions have dramatically changed the traditional investment banking landscape by allowing the market to determine pricing and allocations. WRH+Co provides underwriting and advisory services for technology and emerging growth companies, as well as technology driven institutional agency brokerage and a fully electronic retail brokerage platform for individual investors. WRH+Co is headquartered in San Francisco with offices in New York, Los Angeles, and Philadelphia. Visit http://www.wrhambrecht.com/index.html.

About Subserveo
Subserveo provides complete automated compliance and surveillance solutions to financial services organizations throughout the U.S. and Canada. Installed in days, trained in hours, and accessed online in seconds, Subserveo’s pay-as-you-go, software as a service (SaaS) model enables any sized firm to stay ahead of compliance issues through industry-leading technology. Its patented offering is relied on by broker/dealers and investment advisors for all aspects of daily compliance supervision, risk management and reporting. Visit http://www.subserveo.com.

Media Contacts:

Sharon Smith
WR Hambrecht + Co
415-551-8606
ssmith(at)wrhambrecht(dot)com

Bob Neudecker
Subserveo Inc.
604-960-1378
bob.neudecker(at)subserveo(dot)com

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