US Securities and Exchange Commission
Industry: Federal agency
DescriptionThe U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Jurisdiction: United States of America Employees: 4,301 (2015) Headquarters: Washington, D.C., United States Founder: Franklin D. Roosevelt Founded: 6 June 1934
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US Securities and Exchange Commission Employees
Employee
Years
Job
Industry
Adé Heyliger Adé Heyliger's US Securities and Exchange Commission Experience 2003 - 2008
Job Counsel at Weil, Gotshal & Manges
Industry Law Practice
Experience
Georgetown University Law Center 2012 - Present
Weil Gotshal and Manges 2008 - Present
US Securities and Exchange Commission 2003 - 2008
Merrill Lynch 2001 - 2002
Shearman & Sterling LLP 1998 - 2000
Arnold & Porter 1997 - 1998
Skills
Mergers, Corporate Governance, Securities Regulation, Corporate Law, securities law, Financial Services, Securities, Capital Markets, Investment Banking, Mergers & Acquisitions, Restructuring, Hedge Funds, Venture Capital, IPO, Equities, Finance, Financial Modeling, Corporate Finance
Education
Harvard Law School
JD, cum laude
THE WHARTON SCHOOL, University of Pennsylvania
Masters of Business Administration, Finance
University of Maryland College Park
BS, Finance, cum laude
Georgetown University Law Center 2012 - Present
Weil Gotshal and Manges 2008 - Present
US Securities and Exchange Commission 2003 - 2008
Merrill Lynch 2001 - 2002
Shearman & Sterling LLP 1998 - 2000
Arnold & Porter 1997 - 1998
Skills
Mergers, Corporate Governance, Securities Regulation, Corporate Law, securities law, Financial Services, Securities, Capital Markets, Investment Banking, Mergers & Acquisitions, Restructuring, Hedge Funds, Venture Capital, IPO, Equities, Finance, Financial Modeling, Corporate Finance
Education
Harvard Law School
JD, cum laude
THE WHARTON SCHOOL, University of Pennsylvania
Masters of Business Administration, Finance
University of Maryland College Park
BS, Finance, cum laude
Jill Ostergaard Jill Ostergaard's US Securities and Exchange Commission Experience August 1992 - August 1995
Job Managing Director & Chief Compliance Officer at Barclays Investment Bank
Industry Financial Services
Experience
Barclays Investment Bank March 2012 - Present
Morgan Stanley February 1998 - March 2012
Pershing, a BNY Mellon company 1995 - 1998
US Securities and Exchange Commission August 1992 - August 1995
Skills
Compliance, Public Speaking, Management, Strategic Policy..., Regulatory Policy, Regulatory Affairs, Procedure Development, Capital Markets, Equities, Derivatives, Investment Banking, Policy, Investment Management, Fixed Income, FINRA, Trading, Securities
Education
Loyola University Chicago School of Law 1989 — 1992
Doctor of Law (JD)
Hope College 1982 — 1986
Bachelor of Arts (BA), History
Lakeshore High School 1978 — 1982
Barclays Investment Bank March 2012 - Present
Morgan Stanley February 1998 - March 2012
Pershing, a BNY Mellon company 1995 - 1998
US Securities and Exchange Commission August 1992 - August 1995
Skills
Compliance, Public Speaking, Management, Strategic Policy..., Regulatory Policy, Regulatory Affairs, Procedure Development, Capital Markets, Equities, Derivatives, Investment Banking, Policy, Investment Management, Fixed Income, FINRA, Trading, Securities
Education
Loyola University Chicago School of Law 1989 — 1992
Doctor of Law (JD)
Hope College 1982 — 1986
Bachelor of Arts (BA), History
Lakeshore High School 1978 — 1982
Eric Showen's US Securities and Exchange Commission Experience 2008 - 2008
Job Consultant at Bain & Company
Industry Management Consulting
Experience
Bain & Company October 2013 - Present
Google June 2012 - August 2012
Bain & Company 2009 - 2011
US Securities and Exchange Commission 2008 - 2008
The White House 2007 - 2007
Education
Harvard Business School 2011 — 2013
Master of Business Administration (MBA)
Stanford University
B.A. with Distinction, Public Policy; Economics
Bain & Company October 2013 - Present
Google June 2012 - August 2012
Bain & Company 2009 - 2011
US Securities and Exchange Commission 2008 - 2008
The White House 2007 - 2007
Education
Harvard Business School 2011 — 2013
Master of Business Administration (MBA)
Stanford University
B.A. with Distinction, Public Policy; Economics
Timothy H Turner Timothy H Turner's US Securities and Exchange Commission Experience November 1985 - November 1986
Job Veteran Investment Banker and Corporate Attorney
Industry Investment Banking
Experience
Eurial USA Holdings, Inc June 2010 - Present
Kings Road Holdings, Inc May 2005 - Present
Trinity Capital, LLC April 2002 - April 2005
McDonald & Company July 1996 - March 2002
Lehman Brothers August 1989 - January 1992
US Securities and Exchange Commission November 1985 - November 1986
Skills
Investment Banking, Corporate Finance, Municipal Finance, Project Finance, Mergers & Acquisitions, Capital Markets, Debt & Equity Financing, Private Placements, Restructuring, Distressed Debt, Bankruptcy, Private Equity, Venture Capital, Family Office, Hedge Funds, Financial Accounting, Corporate Tax, International Tax, Due Diligence, Corporate Law, Contract Law, Banking Law, Securities Regulation, Municipal Law, Employment Law, Tax Law, International Law, Immigration Law, Corporate Governance, Interim Management..., Economic Development, Grants, Tax-exempt, Urban Agriculture
Education
Northwestern University - Kellogg School of Management 1987 — 1989
Master of Business Administration (MBA), International Finance, 3.8/4.0
The John Marshall Law School
Juris Doctor, International Law and Legal Studies, High Honors
Illinois State University
Bachelor of Science (B.S.), Economics, Management
Eurial USA Holdings, Inc June 2010 - Present
Kings Road Holdings, Inc May 2005 - Present
Trinity Capital, LLC April 2002 - April 2005
McDonald & Company July 1996 - March 2002
Lehman Brothers August 1989 - January 1992
US Securities and Exchange Commission November 1985 - November 1986
Skills
Investment Banking, Corporate Finance, Municipal Finance, Project Finance, Mergers & Acquisitions, Capital Markets, Debt & Equity Financing, Private Placements, Restructuring, Distressed Debt, Bankruptcy, Private Equity, Venture Capital, Family Office, Hedge Funds, Financial Accounting, Corporate Tax, International Tax, Due Diligence, Corporate Law, Contract Law, Banking Law, Securities Regulation, Municipal Law, Employment Law, Tax Law, International Law, Immigration Law, Corporate Governance, Interim Management..., Economic Development, Grants, Tax-exempt, Urban Agriculture
Education
Northwestern University - Kellogg School of Management 1987 — 1989
Master of Business Administration (MBA), International Finance, 3.8/4.0
The John Marshall Law School
Juris Doctor, International Law and Legal Studies, High Honors
Illinois State University
Bachelor of Science (B.S.), Economics, Management
Paul Kepple's US Securities and Exchange Commission Experience June 1998 - June 2000
Job Partner, US Chief Accountant at PwC
Industry Accounting
Daniel Morrissette, CPA's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Senior Financial Analyst at Northern Trust
Industry Accounting
Experience
Northern Trust Corporation June 2015 - Present
Northern Trust Corporation July 2013 - June 2015
McGladrey November 2011 - June 2013
US Securities and Exchange Commission June 2010 - August 2010
McGladrey & Pullen January 2010 - March 2010
Silver Cross Hospital May 2009 - July 2009
BroMenn Healthcare January 2009 - May 2009
Joliet Jackhammers Professional Baseball Club June 2008 - August 2008
Chicago 2016 June 2008 - August 2008
Williamson's Restaurant June 2007 - August 2007
Skills
CPA, Accounting, US GAAP, GAAP, Auditing, Financial Reporting, Financial Accounting, Due Diligence, Mergers & Acquisitions, Financial Analysis, Budgets, Assurance, SEC filings, Finance, Financial Statements, External Audit, Tax, Internal Controls, SEC Filings
Education
The University of Chicago Booth School of Business
Master of Business Administration (MBA)
Illinois Wesleyan University 2007 — 2011
Bachelor of Arts, cum laude, Accounting
Providence Catholic High School 2003 — 2007
Northern Trust Corporation June 2015 - Present
Northern Trust Corporation July 2013 - June 2015
McGladrey November 2011 - June 2013
US Securities and Exchange Commission June 2010 - August 2010
McGladrey & Pullen January 2010 - March 2010
Silver Cross Hospital May 2009 - July 2009
BroMenn Healthcare January 2009 - May 2009
Joliet Jackhammers Professional Baseball Club June 2008 - August 2008
Chicago 2016 June 2008 - August 2008
Williamson's Restaurant June 2007 - August 2007
Skills
CPA, Accounting, US GAAP, GAAP, Auditing, Financial Reporting, Financial Accounting, Due Diligence, Mergers & Acquisitions, Financial Analysis, Budgets, Assurance, SEC filings, Finance, Financial Statements, External Audit, Tax, Internal Controls, SEC Filings
Education
The University of Chicago Booth School of Business
Master of Business Administration (MBA)
Illinois Wesleyan University 2007 — 2011
Bachelor of Arts, cum laude, Accounting
Providence Catholic High School 2003 — 2007
Germaal Ross's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Consultant Treliant Risk Advisors
Industry Financial Services
Experience
Treliant Risk Advisors February 2015 - Present
EY November 2013 - February 2015
Consumer Financial Protection Bureau May 2012 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
Howard University Investor Justice Clinic January 2012 - April 2012
Shawn D. Bartley and Associates, LLC May 2011 - November 2011
Northern Trust July 2006 - August 2010
Skills
Estate Planning, Investments, Mediation, Legal Research, Legal Writing, Courts
Education
Howard University School of Law 2010 — 2013
J.D.
Howard University 2002 — 2006
BBA, Finance
Treliant Risk Advisors February 2015 - Present
EY November 2013 - February 2015
Consumer Financial Protection Bureau May 2012 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
Howard University Investor Justice Clinic January 2012 - April 2012
Shawn D. Bartley and Associates, LLC May 2011 - November 2011
Northern Trust July 2006 - August 2010
Skills
Estate Planning, Investments, Mediation, Legal Research, Legal Writing, Courts
Education
Howard University School of Law 2010 — 2013
J.D.
Howard University 2002 — 2006
BBA, Finance
Adam W. Glass Adam W. Glass's US Securities and Exchange Commission Experience May 2013 - October 2013
Job Retired
Industry Public Policy
Experience
Retired and enjoying time to pursue personal interests and visit with friends and family November 2014 - Present
Alison for Kentucky July 2014 - November 2014
Data Transparency Coalition November 2013 - June 2014
US Securities and Exchange Commission May 2013 - October 2013
US Securities and Exchange Commission November 2009 - May 2013
Linklaters (NY) August 2004 - October 2009
Sidley Austin 1997 - July 2004
Orrick, Herrington & Sutcliffe LLP 1991 - 1997
Skills
Structured Finance, Securities, Derivatives, Securities Law, Structured Products, Corporate Governance, Investments, ABS, Securities Regulation, Equity Derivatives, Credit, Hedge Funds, Securitization, Capital Markets, Dodd-Frank, Private Placements, Financial Structuring, Credit Derivatives, Cross-border..., Private Equity, Due Diligence, Financial Markets, Alternative Investments, Finance, Financial Regulation, ISDA, Emerging Markets, Swaps, Fixed Income, Legal Advice, Corporate Finance
Education
Stanford University Law School 1978 — 1981
J.D.
Harvard University 1973 — 1978
A.B., Economics, English Literature
Edgemont High 1968 — 1972
Retired and enjoying time to pursue personal interests and visit with friends and family November 2014 - Present
Alison for Kentucky July 2014 - November 2014
Data Transparency Coalition November 2013 - June 2014
US Securities and Exchange Commission May 2013 - October 2013
US Securities and Exchange Commission November 2009 - May 2013
Linklaters (NY) August 2004 - October 2009
Sidley Austin 1997 - July 2004
Orrick, Herrington & Sutcliffe LLP 1991 - 1997
Skills
Structured Finance, Securities, Derivatives, Securities Law, Structured Products, Corporate Governance, Investments, ABS, Securities Regulation, Equity Derivatives, Credit, Hedge Funds, Securitization, Capital Markets, Dodd-Frank, Private Placements, Financial Structuring, Credit Derivatives, Cross-border..., Private Equity, Due Diligence, Financial Markets, Alternative Investments, Finance, Financial Regulation, ISDA, Emerging Markets, Swaps, Fixed Income, Legal Advice, Corporate Finance
Education
Stanford University Law School 1978 — 1981
J.D.
Harvard University 1973 — 1978
A.B., Economics, English Literature
Edgemont High 1968 — 1972
Elizabeth Shortridge Elizabeth Shortridge's US Securities and Exchange Commission Experience May 2013 - July 2013
Job Associate at Cushing, Morris, Armbruster & Montgomery, LLP
Industry Legal Services
Experience
Cushing, Morris, Armbruster & Montgomery, LLP September 2014 - Present
Georgia State University August 2013 - May 2014
Pro Bono Partnership of Atlanta August 2013 - December 2013
US Securities and Exchange Commission May 2013 - July 2013
Federal Reserve Bank of Atlanta January 2013 - April 2013
The Schenk Law Firm February 2012 - August 2012
WUTS Radio Station May 2010 - May 2011
Inter-Sorority Council March 2010 - April 2011
Metamorphises of Atlanta October 2006 - August 2010
Creative Loafing June 2009 - August 2009
Education
Georgia State University College of Law 2011 — 2014
Doctor of Law (J.D.)
Sewanee-The University of the South 2007 — 2011
Bachelor of Arts (B.A.)
Cushing, Morris, Armbruster & Montgomery, LLP September 2014 - Present
Georgia State University August 2013 - May 2014
Pro Bono Partnership of Atlanta August 2013 - December 2013
US Securities and Exchange Commission May 2013 - July 2013
Federal Reserve Bank of Atlanta January 2013 - April 2013
The Schenk Law Firm February 2012 - August 2012
WUTS Radio Station May 2010 - May 2011
Inter-Sorority Council March 2010 - April 2011
Metamorphises of Atlanta October 2006 - August 2010
Creative Loafing June 2009 - August 2009
Education
Georgia State University College of Law 2011 — 2014
Doctor of Law (J.D.)
Sewanee-The University of the South 2007 — 2011
Bachelor of Arts (B.A.)
Frank M. Schlenter Frank M. Schlenter's US Securities and Exchange Commission Experience December 2008 - August 2015
Job IT Professional PMP, ITIL,
Industry Information Technology and Services
Experience
US Securities and Exchange Commission December 2008 - August 2015
U.S. Securities and Exchange Commission August 2005 - November 2008
Skills
SharePoint, PMP, Project Management, System Administration, Group Policy, Servers, Windows, SharePoint Designer, Requirements Management, Windows 7, IT Operations Management, Small Business Server, Security, Trend Micro, Program Budgeting
Education
Golden Gate University 1992 — 1996
Bachelor of Science (B.Sc.), Management
US Securities and Exchange Commission December 2008 - August 2015
U.S. Securities and Exchange Commission August 2005 - November 2008
Skills
SharePoint, PMP, Project Management, System Administration, Group Policy, Servers, Windows, SharePoint Designer, Requirements Management, Windows 7, IT Operations Management, Small Business Server, Security, Trend Micro, Program Budgeting
Education
Golden Gate University 1992 — 1996
Bachelor of Science (B.Sc.), Management
Troy Candiotti Troy Candiotti's US Securities and Exchange Commission Experience January 2014 - March 2014
Job 1L
Industry Legal Services
Experience
TC Deba West December 2014 - Present
Lisa Moricoli March 2014 - July 2015
Vantress Law Group March 2015 - June 2015
C&M Cafe September 2014 - February 2015
AppleOne Employment Services 2014 - 2015
Law Offices of Steven A. Simons May 2014 - November 2014
Nutrex Hawaii June 2014 - August 2014
Beachwood Market September 2013 - May 2014
US Securities and Exchange Commission January 2014 - March 2014
91.1 WZBT Gettysburg August 2012 - May 2013
Skills
Research, Public Relations, Time Management, Stata, Microsoft Office, Guitar, Percussion, Open Office, Social Media Marketing, Social Networking, PowerPoint, Social Media, Microsoft Excel, Microsoft Word, Editing, Event Planning, Facebook, Community Outreach, Customer Service, Nonprofits, Leadership, Legal Research, Legal Writing, Critical Thinking, Twitter, Communication, Training, Outlook, Marketing, Westlaw
Education
University of California, Los Angeles 2013 — 2014
Paralegal Certificate, Paralegal Training
Gettysburg College 2009 — 2013
Bachelor's degree, Political Science and Government, Business
SIT Jaipur 2011 — 2011
Sustainable Development and Social Change
TC Deba West December 2014 - Present
Lisa Moricoli March 2014 - July 2015
Vantress Law Group March 2015 - June 2015
C&M Cafe September 2014 - February 2015
AppleOne Employment Services 2014 - 2015
Law Offices of Steven A. Simons May 2014 - November 2014
Nutrex Hawaii June 2014 - August 2014
Beachwood Market September 2013 - May 2014
US Securities and Exchange Commission January 2014 - March 2014
91.1 WZBT Gettysburg August 2012 - May 2013
Skills
Research, Public Relations, Time Management, Stata, Microsoft Office, Guitar, Percussion, Open Office, Social Media Marketing, Social Networking, PowerPoint, Social Media, Microsoft Excel, Microsoft Word, Editing, Event Planning, Facebook, Community Outreach, Customer Service, Nonprofits, Leadership, Legal Research, Legal Writing, Critical Thinking, Twitter, Communication, Training, Outlook, Marketing, Westlaw
Education
University of California, Los Angeles 2013 — 2014
Paralegal Certificate, Paralegal Training
Gettysburg College 2009 — 2013
Bachelor's degree, Political Science and Government, Business
SIT Jaipur 2011 — 2011
Sustainable Development and Social Change
Nicole Simon's US Securities and Exchange Commission Experience September 2008 - December 2008
Job Associate at Stradley Ronon
Industry Law Practice
Experience
Stradley Ronon 2010 - Present
United States District Court for the Middle District of Pennsylvania January 2010 - January 2010
Stradley Ronon May 2009 - July 2009
US Securities and Exchange Commission September 2008 - December 2008
Dechert LLP May 2008 - August 2008
Skills
Securities Regulation, Corporate Governance, Legal Writing, Mergers, Investments, SEC, Legal Research, Westlaw, ETFs, Corporate Law, CFTC, Derivatives, Fund Of Funds, Hedge Funds, Mutual Funds, Investment Advisor..., Investment Companies, Investment Management, Securities
Education
Harvard Law School 2007 — 2010
J.D., magna cum laude
Penn State University 2003 — 2007
B.A., with honors and highest distinction, Psychology
Stradley Ronon 2010 - Present
United States District Court for the Middle District of Pennsylvania January 2010 - January 2010
Stradley Ronon May 2009 - July 2009
US Securities and Exchange Commission September 2008 - December 2008
Dechert LLP May 2008 - August 2008
Skills
Securities Regulation, Corporate Governance, Legal Writing, Mergers, Investments, SEC, Legal Research, Westlaw, ETFs, Corporate Law, CFTC, Derivatives, Fund Of Funds, Hedge Funds, Mutual Funds, Investment Advisor..., Investment Companies, Investment Management, Securities
Education
Harvard Law School 2007 — 2010
J.D., magna cum laude
Penn State University 2003 — 2007
B.A., with honors and highest distinction, Psychology
Tyler Kirk's US Securities and Exchange Commission Experience September 2012 - Present
Job Securities Attorney
Industry Law Practice
Experience
US Securities and Exchange Commission September 2012 - Present
US Securities and Exchange Commission June 2011 - August 2011
U.S. Securities and Exchange Commission June 2010 - August 2010
Skills
Securities Litigation, Legal Advice, Investment Advisers Act, Securities Regulation, Legal Writing, Legal Documents, Investment Management..., Investment Company Act, Economics, Financial Economics, Financial Risk..., Westlaw, Criminal Law, Civil Litigation, Securities Fraud, Legal Research, Cryptography, Website Building, Cyber-security, Public Speaking, Securities, Policy, Depositions, Mergers & Acquisitions
Education
University of Miami School of Law 2009 — 2012
Juris Doctor
North Carolina State University 2005 — 2007
Master's in Economics, Economics and Financial Risk
Georgia State University 2002 — 2004
Bachelor's Degree, Economics
US Securities and Exchange Commission September 2012 - Present
US Securities and Exchange Commission June 2011 - August 2011
U.S. Securities and Exchange Commission June 2010 - August 2010
Skills
Securities Litigation, Legal Advice, Investment Advisers Act, Securities Regulation, Legal Writing, Legal Documents, Investment Management..., Investment Company Act, Economics, Financial Economics, Financial Risk..., Westlaw, Criminal Law, Civil Litigation, Securities Fraud, Legal Research, Cryptography, Website Building, Cyber-security, Public Speaking, Securities, Policy, Depositions, Mergers & Acquisitions
Education
University of Miami School of Law 2009 — 2012
Juris Doctor
North Carolina State University 2005 — 2007
Master's in Economics, Economics and Financial Risk
Georgia State University 2002 — 2004
Bachelor's Degree, Economics
Dara Marshall Dara Marshall's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Assistant Professor at Miami University
Industry Higher Education
Experience
Miami University July 2012 - Present
Michigan State University August 2006 - May 2012
US Securities and Exchange Commission June 2010 - August 2010
Grand Valley State University August 2004 - August 2006
Comerica May 2003 - December 2003
Comerica September 2003 - November 2003
University of Michigan June 2000 - July 2001
Skills
Data Analysis, Financial Reporting, Research, Finance, Accounting, Financial Accounting, Economics, Teaching, Higher Education, Statistics, University Teaching, Student Development, Student Affairs
Education
Michigan State University - The Eli Broad College of Business 2007 — 2012
Ph.D, Accounting
Grand Valley State University 2005 — 2006
Master of Science, Accounting
Grand Valley State University 2004 — 2005
Masters, Business Administration
University of Michigan 1999 — 2003
B.S., Actuarial Mathematics
Miami University July 2012 - Present
Michigan State University August 2006 - May 2012
US Securities and Exchange Commission June 2010 - August 2010
Grand Valley State University August 2004 - August 2006
Comerica May 2003 - December 2003
Comerica September 2003 - November 2003
University of Michigan June 2000 - July 2001
Skills
Data Analysis, Financial Reporting, Research, Finance, Accounting, Financial Accounting, Economics, Teaching, Higher Education, Statistics, University Teaching, Student Development, Student Affairs
Education
Michigan State University - The Eli Broad College of Business 2007 — 2012
Ph.D, Accounting
Grand Valley State University 2005 — 2006
Master of Science, Accounting
Grand Valley State University 2004 — 2005
Masters, Business Administration
University of Michigan 1999 — 2003
B.S., Actuarial Mathematics
John Schoettle John Schoettle's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Incoming Associate at Skadden, Arps, Slate, Meagher & Flom
Industry Law Practice
Experience
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates Legal Intern in Division of EnforcementU.S. Securities and Exchange CommissionSeptember 2014 - December 2014
U.S. Department of Justice August 2014 - September 2014
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2014 - July 2014
Illinois Attorney General's Office January 2014 - January 2014
US Securities and Exchange Commission May 2013 - August 2013
University of Michigan May 2012 - August 2012
Michigan Journal of International Affairs September 2010 - April 2012
Swiss Re May 2011 - August 2011
Telemus Capital Partners April 2010 - August 2011
TEDxUofM October 2009 - September 2010
Skills
Financial Modeling, Financial Analysis, Data Analysis, Management, Finance, Mergers & Acquisitions, Legal Research, Legal Writing, Due Diligence, Corporate Finance, Fundraising, Valuation, Bloomberg, Analysis, Economics
Education
Harvard Law School 2012 — 2015
J.D.
Stephen M. Ross School of Business 2009 — 2012
BBA, Business Administration
University of Michigan 2008 — 2012
AB, Economics
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates Legal Intern in Division of EnforcementU.S. Securities and Exchange CommissionSeptember 2014 - December 2014
U.S. Department of Justice August 2014 - September 2014
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2014 - July 2014
Illinois Attorney General's Office January 2014 - January 2014
US Securities and Exchange Commission May 2013 - August 2013
University of Michigan May 2012 - August 2012
Michigan Journal of International Affairs September 2010 - April 2012
Swiss Re May 2011 - August 2011
Telemus Capital Partners April 2010 - August 2011
TEDxUofM October 2009 - September 2010
Skills
Financial Modeling, Financial Analysis, Data Analysis, Management, Finance, Mergers & Acquisitions, Legal Research, Legal Writing, Due Diligence, Corporate Finance, Fundraising, Valuation, Bloomberg, Analysis, Economics
Education
Harvard Law School 2012 — 2015
J.D.
Stephen M. Ross School of Business 2009 — 2012
BBA, Business Administration
University of Michigan 2008 — 2012
AB, Economics
Erik Faussner's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Judge Lee Baxter Fellow in Litigation at Golden Gate University School of Law
Industry Law Practice
Experience
Golden Gate University School of Law August 2015 - Present
Golden Gate University School of Law June 2012 - May 2015
The Jaffe Law Firm August 2014 - April 2015
US Securities and Exchange Commission January 2014 - May 2014
San Francisco Superior Court August 2013 - December 2013
Water Law Symposium 2013 - 2013
The Buckle February 2010 - March 2012
Skills
Sales, Public Speaking, Social Media, Exceptional verbal, Legal Writing, PowerPoint, Microsoft Office, Lexis, Research, ArcGIS, Microsoft Excel, ArcMap, ArcCatalog, Westlaw, Statistics, WestLaw Next, LexisAdvance, Litigation
Education
Golden Gate University 2012 — 2015
Doctor of Law (J.D.), Law
University of Arizona 2006 — 2011
Bachelor of Science, Water, Environment & Soceity
Golden Gate University School of Law August 2015 - Present
Golden Gate University School of Law June 2012 - May 2015
The Jaffe Law Firm August 2014 - April 2015
US Securities and Exchange Commission January 2014 - May 2014
San Francisco Superior Court August 2013 - December 2013
Water Law Symposium 2013 - 2013
The Buckle February 2010 - March 2012
Skills
Sales, Public Speaking, Social Media, Exceptional verbal, Legal Writing, PowerPoint, Microsoft Office, Lexis, Research, ArcGIS, Microsoft Excel, ArcMap, ArcCatalog, Westlaw, Statistics, WestLaw Next, LexisAdvance, Litigation
Education
Golden Gate University 2012 — 2015
Doctor of Law (J.D.), Law
University of Arizona 2006 — 2011
Bachelor of Science, Water, Environment & Soceity
Ezra Pinsky Ezra Pinsky's US Securities and Exchange Commission Experience June 2009 - August 2009
Job National Tax, M&A Senior at Ernst & Young LLP
Industry Law Practice
Experience
Ernst & Young 2012 - Present
Raytheon June 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
District Office of State Senator Eric Schneiderman September 2007 - January 2008
Ernst & Young June 2007 - August 2007
CCSR, Inc. June 2006 - August 2006
Etta Israel Center September 1999 - August 2005
Skills
Due Diligence, Corporate Tax, Tax, Legal Research
Education
Harvard Law School 2008 — 2011
J.D.
Yeshiva University 2005 — 2008
B.S., summa cum laude, Accounting
Ernst & Young 2012 - Present
Raytheon June 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
District Office of State Senator Eric Schneiderman September 2007 - January 2008
Ernst & Young June 2007 - August 2007
CCSR, Inc. June 2006 - August 2006
Etta Israel Center September 1999 - August 2005
Skills
Due Diligence, Corporate Tax, Tax, Legal Research
Education
Harvard Law School 2008 — 2011
J.D.
Yeshiva University 2005 — 2008
B.S., summa cum laude, Accounting
Hans Latta's US Securities and Exchange Commission Experience January 2008 - April 2008
Job A. Duie Pyle, Inc.
Industry Transportation/Trucking/Railroad
Experience
A. Duie Pyle, Inc. January 2012 - Present
Goodwin Procter LLP October 2008 - November 2011
US Securities and Exchange Commission January 2008 - April 2008
Mesirow & Stravitz PLLC February 2007 - August 2007
U.S. Department of Transportation May 2006 - July 2006
Education
The George Washington University Law School 2006 — 2008
J.D., Law, Top 20%
Loyola University of Chicago - Graduate School of Business
Next Generation Leadership Institute
Grove City College 2001 — 2005
BA, English
Grove City College 2001 — 2005
BS, Business/Economics
A. Duie Pyle, Inc. January 2012 - Present
Goodwin Procter LLP October 2008 - November 2011
US Securities and Exchange Commission January 2008 - April 2008
Mesirow & Stravitz PLLC February 2007 - August 2007
U.S. Department of Transportation May 2006 - July 2006
Education
The George Washington University Law School 2006 — 2008
J.D., Law, Top 20%
Loyola University of Chicago - Graduate School of Business
Next Generation Leadership Institute
Grove City College 2001 — 2005
BA, English
Grove City College 2001 — 2005
BS, Business/Economics
Diego Ruiz Diego Ruiz's US Securities and Exchange Commission Experience 2006 - August 2011
Job Vice President, Global Public Policy and Government Affairs at PepsiCo
Industry Food & Beverages
Experience
PepsiCo 2011 - Present
US Securities and Exchange Commission 2006 - August 2011
Federal Communications Commission 2006 - 2006
Univision Communications, Sacramento 2002 - 2006
Univision Online, Miami 2000 - 2002
Violeta Chamorro for President (Nicaragua) 1989 - 1990
Skills
Strategic Planning, Business Strategy, Budget, Television
Education
Harvard Kennedy School of Government 2009 — 2009
Strategic Management of Regulatory and Enforcement Agencies
Harvard Business School 1995 — 1997
MBA
University of Virginia 1984 — 1988
Bachelor of Arts, History and English Literature
PepsiCo 2011 - Present
US Securities and Exchange Commission 2006 - August 2011
Federal Communications Commission 2006 - 2006
Univision Communications, Sacramento 2002 - 2006
Univision Online, Miami 2000 - 2002
Violeta Chamorro for President (Nicaragua) 1989 - 1990
Skills
Strategic Planning, Business Strategy, Budget, Television
Education
Harvard Kennedy School of Government 2009 — 2009
Strategic Management of Regulatory and Enforcement Agencies
Harvard Business School 1995 — 1997
MBA
University of Virginia 1984 — 1988
Bachelor of Arts, History and English Literature
Walter Stahr Walter Stahr's US Securities and Exchange Commission Experience 1990 - 1995
Job Author at Walter Stahr
Industry Publishing
Experience
Walter Stahr 2000 - Present
Phillips Exeter Academy 2009 - 2014
Emerging Markets Partnership 1999 - 2010
Fidelity Investments 1995 - 1998
US Securities and Exchange Commission 1990 - 1995
Cleary Gottlieb 1982 - 1990
Education
Harvard Kennedy School of Government 1979 — 1982
MPP
Havard Law School 1978 — 1982
J.D.
Stanford University 1975 — 1978
AB, Political Science
Phillips Exeter Academy 1972 — 1975
Walter Stahr 2000 - Present
Phillips Exeter Academy 2009 - 2014
Emerging Markets Partnership 1999 - 2010
Fidelity Investments 1995 - 1998
US Securities and Exchange Commission 1990 - 1995
Cleary Gottlieb 1982 - 1990
Education
Harvard Kennedy School of Government 1979 — 1982
MPP
Havard Law School 1978 — 1982
J.D.
Stanford University 1975 — 1978
AB, Political Science
Phillips Exeter Academy 1972 — 1975
Felicia Wynn Felicia Wynn's US Securities and Exchange Commission Experience November 2012 - Present
Job Professional
Industry Legal Services
Experience
US Securities and Exchange Commission November 2012 - Present
Jackie Robinson Foundation 2008 - Present
Education Management Corp January 2010 - November 2012
Education Management Corp May 2004 - January 2010
Immaculata University January 2001 - May 2003
Skills
Microsoft Office, Adobe Acrobat, Mac, PC, Cpr Certified, First Aid, SHRM, Volunteer Organization, Acting, Singing, Public Speaking, Training & Development, Proposal Writing, Employee Counseling, ADP
Education
Immaculata University
Bachelor of Art, Bio-Chemistry
New York Film Academy
One year acting conservatory degree, Acting for Film
Spelman College
Biology
US Securities and Exchange Commission November 2012 - Present
Jackie Robinson Foundation 2008 - Present
Education Management Corp January 2010 - November 2012
Education Management Corp May 2004 - January 2010
Immaculata University January 2001 - May 2003
Skills
Microsoft Office, Adobe Acrobat, Mac, PC, Cpr Certified, First Aid, SHRM, Volunteer Organization, Acting, Singing, Public Speaking, Training & Development, Proposal Writing, Employee Counseling, ADP
Education
Immaculata University
Bachelor of Art, Bio-Chemistry
New York Film Academy
One year acting conservatory degree, Acting for Film
Spelman College
Biology
Brad Darfler's US Securities and Exchange Commission Experience October 2003 - Present
Job Exam Manager at U.S. Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission October 2003 - Present
The NASDAQ Stock Market March 1998 - October 2003
National Association of Securities Dealers August 1994 - March 1998
Braniff International December 1978 - December 1980
The Sandwich State Bank June 1976 - June 1978
Skills
Securities, Investor Relations, Process Improvement, Financial Analysis, SEC filings, FINRA, Mergers & Acquisitions, Corporate Finance, Accounting, Auditing, Capital Markets, Financial Reporting, Investments, Internal Audit, SEC, Strategic Planning, Hedge Funds, Banking, AML, Corporate Governance, Due Diligence, Finance, Sarbanes-Oxley Act, Financial Modeling, Internal Controls, SEC Filings, Anti Money Laundering
Education
Illinois Wesleyan University 1972 — 1976
BA, Business
Strayer College
Accounting
US Securities and Exchange Commission October 2003 - Present
The NASDAQ Stock Market March 1998 - October 2003
National Association of Securities Dealers August 1994 - March 1998
Braniff International December 1978 - December 1980
The Sandwich State Bank June 1976 - June 1978
Skills
Securities, Investor Relations, Process Improvement, Financial Analysis, SEC filings, FINRA, Mergers & Acquisitions, Corporate Finance, Accounting, Auditing, Capital Markets, Financial Reporting, Investments, Internal Audit, SEC, Strategic Planning, Hedge Funds, Banking, AML, Corporate Governance, Due Diligence, Finance, Sarbanes-Oxley Act, Financial Modeling, Internal Controls, SEC Filings, Anti Money Laundering
Education
Illinois Wesleyan University 1972 — 1976
BA, Business
Strayer College
Accounting
Hope Lewis's US Securities and Exchange Commission Experience 1988 - 1991
Job Professor of Law at Northeastern University School of Law
Industry International Affairs
Experience
Northeastern University September 2013 - Present
Northeastern University School of Law September 1991 - Present
American Society of International Law April 2010 - April 2013
U.S. Securities & Exchange Commission September 1988 - June 1991
US Securities and Exchange Commission 1988 - 1991
TransAfrica Forum September 1986 - August 1988
Skills
Human Rights, International Law, Legal Writing, Legal Research, International Human..., Policy, International Relations, Research, Public Policy, Foreign Policy, Public International Law, Politics, Policy Analysis, Mediation, Political Science, International..., International Criminal..., Constitutional Law
Education
Harvard Law School 1983 — 1986
J.D., International Law
Harvard University 1979 — 1983
A.B., cum laude, English & American Literature and Language
Northeastern University September 2013 - Present
Northeastern University School of Law September 1991 - Present
American Society of International Law April 2010 - April 2013
U.S. Securities & Exchange Commission September 1988 - June 1991
US Securities and Exchange Commission 1988 - 1991
TransAfrica Forum September 1986 - August 1988
Skills
Human Rights, International Law, Legal Writing, Legal Research, International Human..., Policy, International Relations, Research, Public Policy, Foreign Policy, Public International Law, Politics, Policy Analysis, Mediation, Political Science, International..., International Criminal..., Constitutional Law
Education
Harvard Law School 1983 — 1986
J.D., International Law
Harvard University 1979 — 1983
A.B., cum laude, English & American Literature and Language
Phil Strazzulla Phil Strazzulla's US Securities and Exchange Commission Experience May 2005 - August 2005
Job Founder at LifeGuides.me Employee defined branding
Industry Internet
Experience
LifeGuides.me 2014 - Present
TaskRabbit June 2013 - August 2013
Bessemer Venture Partners 2010 - 2012
Family Equity Partners, LLC 2009 - 2010
Harris Williams & Co. 2008 - 2009
Liminal Group May 2006 - December 2006
William B. May Real Estate September 2005 - December 2005
US Securities and Exchange Commission May 2005 - August 2005
Skills
Venture Capital, Financial Modeling, Strategy, Valuation, Business Development, Equities, Investment Banking, Entrepreneurship, Mergers, Investments, Mergers & Acquisitions, SaaS, Finance, Start-ups, Corporate Development, Management
Education
Harvard Business School 2012 — 2014
Master of Business Administration (MBA)
New York University 2004 — 2008
BS, Finance and International Business
LifeGuides.me 2014 - Present
TaskRabbit June 2013 - August 2013
Bessemer Venture Partners 2010 - 2012
Family Equity Partners, LLC 2009 - 2010
Harris Williams & Co. 2008 - 2009
Liminal Group May 2006 - December 2006
William B. May Real Estate September 2005 - December 2005
US Securities and Exchange Commission May 2005 - August 2005
Skills
Venture Capital, Financial Modeling, Strategy, Valuation, Business Development, Equities, Investment Banking, Entrepreneurship, Mergers, Investments, Mergers & Acquisitions, SaaS, Finance, Start-ups, Corporate Development, Management
Education
Harvard Business School 2012 — 2014
Master of Business Administration (MBA)
New York University 2004 — 2008
BS, Finance and International Business
Stanislava (Stas) Nikolova Stanislava (Stas) Nikolova's US Securities and Exchange Commission Experience August 2010 - August 2013
Job Assistant Professor of Finance at University of Nebraska–Lincoln
Industry Higher Education
Experience
University of Nebraska–Lincoln August 2013 - Present
US Securities and Exchange Commission August 2010 - August 2013
American University May 2011 - June 2011
US Securities and Exchange Commission August 2008 - August 2010
George Mason University August 2004 - August 2010
Skills
Financial Economics, Corporate Finance, Financial Institutions, Banking, Credit Risk, Fixed Income, Municipal Bonds, Asset-backed..., Credit Rating, Private Equity, Economic Research, Quantitative Finance, Econometrics, Quantitative Analytics, Financial Analysis, Capital Markets, Equities, Structured Finance, Finance, Investments, Securities, Portfolio Management, Financial Risk, Bloomberg, Economics, Derivatives
Education
University of Florida - Warrington College of Business Administration 2000 — 2004
Ph.D.
Georgia State University - J. Mack Robinson College of Business 1998 — 2000
Ph.D. (transferred)
State University of New York College at Geneseo 1994 — 1998
B.S.
University of Nebraska–Lincoln August 2013 - Present
US Securities and Exchange Commission August 2010 - August 2013
American University May 2011 - June 2011
US Securities and Exchange Commission August 2008 - August 2010
George Mason University August 2004 - August 2010
Skills
Financial Economics, Corporate Finance, Financial Institutions, Banking, Credit Risk, Fixed Income, Municipal Bonds, Asset-backed..., Credit Rating, Private Equity, Economic Research, Quantitative Finance, Econometrics, Quantitative Analytics, Financial Analysis, Capital Markets, Equities, Structured Finance, Finance, Investments, Securities, Portfolio Management, Financial Risk, Bloomberg, Economics, Derivatives
Education
University of Florida - Warrington College of Business Administration 2000 — 2004
Ph.D.
Georgia State University - J. Mack Robinson College of Business 1998 — 2000
Ph.D. (transferred)
State University of New York College at Geneseo 1994 — 1998
B.S.
Julia Iodice Julia Iodice's US Securities and Exchange Commission Experience May 2012 - November 2012
Job Senior Examiner at Financial Industry Regulatory Authority
Industry Law Practice
Experience
Financial Industry Regulatory Authority November 2013 - Present
Gana LLP September 2013 - November 2013
NYC Conflicts of Interest Board January 2013 - May 2013
US Securities and Exchange Commission May 2012 - November 2012
New York City Criminal Court, Honorable Felicia Mennin June 2011 - August 2011
AllianceBernstein June 2008 - July 2010
Skills
Legal Writing, Westlaw, Research, Legal Research, Courts, Securities, Lexis, Corporate Law, Commercial Litigation, Corporate Governance, Mediation, Securities Regulation, LexisNexis
Education
St. John's University School of Law 2010 — 2013
Doctor of Law (J.D.)
Haverford College 2004 — 2008
BA, Classics
Financial Industry Regulatory Authority November 2013 - Present
Gana LLP September 2013 - November 2013
NYC Conflicts of Interest Board January 2013 - May 2013
US Securities and Exchange Commission May 2012 - November 2012
New York City Criminal Court, Honorable Felicia Mennin June 2011 - August 2011
AllianceBernstein June 2008 - July 2010
Skills
Legal Writing, Westlaw, Research, Legal Research, Courts, Securities, Lexis, Corporate Law, Commercial Litigation, Corporate Governance, Mediation, Securities Regulation, LexisNexis
Education
St. John's University School of Law 2010 — 2013
Doctor of Law (J.D.)
Haverford College 2004 — 2008
BA, Classics
David Mahaffey David Mahaffey's US Securities and Exchange Commission Experience January 1987 - December 1991
Job Partner at Sullivan & Worcester LLP
Industry Law Practice
Experience
Sullivan & Worcester LLP 1997 - Present
Gibson Dunn & Crutcher LLP January 1992 - October 1997
US Securities and Exchange Commission January 1987 - December 1991
US Securities and Exchange Commission January 1986 - December 1986
US Securities and Exchange Commission June 1984 - December 1985
Kirkpatrick & Lockhart LLP June 1982 - June 1984
Education
Harvard Law School 1979 — 1982
J.D.
Princeton University 1976 — 1979
A.B., History
Sullivan & Worcester LLP 1997 - Present
Gibson Dunn & Crutcher LLP January 1992 - October 1997
US Securities and Exchange Commission January 1987 - December 1991
US Securities and Exchange Commission January 1986 - December 1986
US Securities and Exchange Commission June 1984 - December 1985
Kirkpatrick & Lockhart LLP June 1982 - June 1984
Education
Harvard Law School 1979 — 1982
J.D.
Princeton University 1976 — 1979
A.B., History
Linda Dang's US Securities and Exchange Commission Experience May 2008 - August 2008
Job Associate at Gibson, Dunn & Crutcher LLP
Industry Law Practice
Experience
Gibson, Dunn & Crutcher LLP November 2010 - Present
Gibson, Dunn & Crutcher LLP May 2009 - July 2009
US Securities and Exchange Commission May 2008 - August 2008
Ernst & Young August 2004 - August 2007
Skills
Mergers & Acquisitions, Corporate Law, Corporate Governance, Joint Ventures, Due Diligence
Education
Harvard Law School
J.D.
University of Southern California
M.B.T., Business Taxation
University of Southern California - Marshall School of Business
B.S., Accounting
Gibson, Dunn & Crutcher LLP November 2010 - Present
Gibson, Dunn & Crutcher LLP May 2009 - July 2009
US Securities and Exchange Commission May 2008 - August 2008
Ernst & Young August 2004 - August 2007
Skills
Mergers & Acquisitions, Corporate Law, Corporate Governance, Joint Ventures, Due Diligence
Education
Harvard Law School
J.D.
University of Southern California
M.B.T., Business Taxation
University of Southern California - Marshall School of Business
B.S., Accounting
Sherman Boone Sherman Boone's US Securities and Exchange Commission Experience April 2014 - Present
Job Senior Policy Advisor, Division of Economic and Risk Analysis (DERA) at US Securities and Exchange Commission
Industry International Affairs
Experience
U.S. Securities and Exchange Commission April 2014 - Present
US Securities and Exchange Commission April 2012 - April 2014
US Securities and Exchange Commission May 2004 - April 2012
US Treasury Department, Office of International Banking and Securities Markets June 1998 - April 2004
National Security Council / National Economic Council, The White House March 1997 - June 1998
U.S. Treasury Department, International Affairs April 1992 - March 1997
MR Beal & Company September 1990 - July 1991
DSL Capital Corporation March 1985 - September 1990
Merrill Lynch May 1985 - March 1986
Crocker National Bank September 1981 - July 1984
Skills
Public Policy, International Relations, Economics, Policy, Government, Research, Securities Regulation, Policy Analysis, Corporate Governance, Political Science, Financial Regulation, Economic Development, International..., Public Speaking, Politics, Diplomacy, Analysis, International Economics, Stata, Risk Management
Education
Princeton University 1977 — 1980
Master of Public Administration (MPA), International Relations and Affairs
Grinnell College 1973 — 1977
Bachelor of Arts (B.A.), History
U.S. Securities and Exchange Commission April 2014 - Present
US Securities and Exchange Commission April 2012 - April 2014
US Securities and Exchange Commission May 2004 - April 2012
US Treasury Department, Office of International Banking and Securities Markets June 1998 - April 2004
National Security Council / National Economic Council, The White House March 1997 - June 1998
U.S. Treasury Department, International Affairs April 1992 - March 1997
MR Beal & Company September 1990 - July 1991
DSL Capital Corporation March 1985 - September 1990
Merrill Lynch May 1985 - March 1986
Crocker National Bank September 1981 - July 1984
Skills
Public Policy, International Relations, Economics, Policy, Government, Research, Securities Regulation, Policy Analysis, Corporate Governance, Political Science, Financial Regulation, Economic Development, International..., Public Speaking, Politics, Diplomacy, Analysis, International Economics, Stata, Risk Management
Education
Princeton University 1977 — 1980
Master of Public Administration (MPA), International Relations and Affairs
Grinnell College 1973 — 1977
Bachelor of Arts (B.A.), History
Bob Skrzypczak Bob Skrzypczak's US Securities and Exchange Commission Experience 1990 - 1996
Job Managing Director, KPMG Advisory
Industry Financial Services
Experience
KPMG Advisory 2011 - Present
Credit Suisse 2004 - 2011
UBS Financial Services, Inc. 1996 - 2004
US Securities and Exchange Commission 1990 - 1996
Education
Syracuse University College of Law 1987 — 1990
JD, Law
Gettysburg College 1983 — 1987
BA, History
KPMG Advisory 2011 - Present
Credit Suisse 2004 - 2011
UBS Financial Services, Inc. 1996 - 2004
US Securities and Exchange Commission 1990 - 1996
Education
Syracuse University College of Law 1987 — 1990
JD, Law
Gettysburg College 1983 — 1987
BA, History
Hackenburg Reindorf Hackenburg Reindorf's US Securities and Exchange Commission Experience February 2014 - Present
Job Law Clerk at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission February 2014 - Present
Huron Consulting March 2011 - February 2014
Law Office of Hackenburg Reindorf January 2010 - March 2011
O'Donnell, Schwartz, & Anderson August 2008 - May 2009
Queens County Supreme Court June 2005 - August 2005
Skills
Legal Research, Litigation, Legal Writing, Document Review, Mediation, Personal Injury, Commercial Litigation, Civil Litigation, Legal Assistance, International Law, Westlaw
Education
Saint John's University School of Law 2004 — 2007
Doctor of Law (J.D.)
Hampton University 1999 — 2003
BS, Business
US Securities and Exchange Commission February 2014 - Present
Huron Consulting March 2011 - February 2014
Law Office of Hackenburg Reindorf January 2010 - March 2011
O'Donnell, Schwartz, & Anderson August 2008 - May 2009
Queens County Supreme Court June 2005 - August 2005
Skills
Legal Research, Litigation, Legal Writing, Document Review, Mediation, Personal Injury, Commercial Litigation, Civil Litigation, Legal Assistance, International Law, Westlaw
Education
Saint John's University School of Law 2004 — 2007
Doctor of Law (J.D.)
Hampton University 1999 — 2003
BS, Business
Spence Johnson Spence Johnson's US Securities and Exchange Commission Experience 1999 - 2000
Job Partner at Johnson Marlowe LLP
Industry Law Practice
Experience
Johnson Marlowe LLP June 2013 - Present
Orr Brown Johnson, LLP April 2002 - May 2013
US Securities and Exchange Commission 1999 - 2000
Skills
Litigation, Wrongful Death, Trials, Personal Injury, Civil Litigation, Trial Practice, Appeals, Legal Assistance, Courts, Breach Of Contract, Legal Advice, Torts, Dispute, Commercial Litigation, Legal Research, Product Liability, Business Litigation, Legal Issues, Personal Injury..., Legal Writing
Education
Georgia State University - J. Mack Robinson College of Business 2001 — 2002
MBA
Georgia State University College of Law 1998 — 2002
JD/MBA
The University of Georgia 1994 — 1998
B.B.A., International Business
University of Georgia - Terry College of Business 1994 — 1998
BBA, with honors, International Business
Johnson Marlowe LLP June 2013 - Present
Orr Brown Johnson, LLP April 2002 - May 2013
US Securities and Exchange Commission 1999 - 2000
Skills
Litigation, Wrongful Death, Trials, Personal Injury, Civil Litigation, Trial Practice, Appeals, Legal Assistance, Courts, Breach Of Contract, Legal Advice, Torts, Dispute, Commercial Litigation, Legal Research, Product Liability, Business Litigation, Legal Issues, Personal Injury..., Legal Writing
Education
Georgia State University - J. Mack Robinson College of Business 2001 — 2002
MBA
Georgia State University College of Law 1998 — 2002
JD/MBA
The University of Georgia 1994 — 1998
B.B.A., International Business
University of Georgia - Terry College of Business 1994 — 1998
BBA, with honors, International Business
Sheldon Chan Sheldon Chan's US Securities and Exchange Commission Experience 2011 - 2013
Job Sr. Systems Engineer at Visa
Industry Information Technology and Services
Experience
Visa September 2013 - Present
SAIC August 2011 - September 2013
SAIC August 2011 - September 2013
US Securities and Exchange Commission 2011 - 2013
Ajilon 2007 - 2010
Skills
Linux System..., Active Directory, Windows Server, VMware, Servers, Security, Remedy Administration, Red Hat Linux, DNS, Unix, Solaris, Virtualization, Linux, Disaster Recovery, ITIL, Network Security, Firewalls, Computer Security, System Administration, Network Administration, TCP/IP, System Deployment, Data Center, Operating Systems, High Availability, Enterprise Architecture, Cluster, Troubleshooting, Networking, Information Security, VPN, Perl, Windows 7, RedHat, Integration, Shell Scripting, Technical Support, Computer Hardware, HP
Education
UMUC 1999 — 2001
Howard University 1992 — 1995
Visa September 2013 - Present
SAIC August 2011 - September 2013
SAIC August 2011 - September 2013
US Securities and Exchange Commission 2011 - 2013
Ajilon 2007 - 2010
Skills
Linux System..., Active Directory, Windows Server, VMware, Servers, Security, Remedy Administration, Red Hat Linux, DNS, Unix, Solaris, Virtualization, Linux, Disaster Recovery, ITIL, Network Security, Firewalls, Computer Security, System Administration, Network Administration, TCP/IP, System Deployment, Data Center, Operating Systems, High Availability, Enterprise Architecture, Cluster, Troubleshooting, Networking, Information Security, VPN, Perl, Windows 7, RedHat, Integration, Shell Scripting, Technical Support, Computer Hardware, HP
Education
UMUC 1999 — 2001
Howard University 1992 — 1995
David Medine's US Securities and Exchange Commission Experience April 2012 - May 2013
Job Chairman, Privacy and Civil Liberties Oversight Board
Industry Law Practice
Experience
Privacy and Civil Liberties Oversight Board May 2013 - Present
Consumer Financial Protection Bureau October 2012 - May 2013
US Securities and Exchange Commission April 2012 - May 2013
WilmerHale March 2002 - March 2012
The White House August 2000 - January 2001
Federal Trade Commission June 1989 - August 2000
Indiana University August 1986 - May 1989
Skills
Privacy, Consumer Law, Advertising, Data Security, Compliance
Education
University of Chicago Law School 1975 — 1978
J.D.
Hampshire College 1971 — 1975
B.A., Astronomy and Government
Friends Seminary 1963 — 1971
Privacy and Civil Liberties Oversight Board May 2013 - Present
Consumer Financial Protection Bureau October 2012 - May 2013
US Securities and Exchange Commission April 2012 - May 2013
WilmerHale March 2002 - March 2012
The White House August 2000 - January 2001
Federal Trade Commission June 1989 - August 2000
Indiana University August 1986 - May 1989
Skills
Privacy, Consumer Law, Advertising, Data Security, Compliance
Education
University of Chicago Law School 1975 — 1978
J.D.
Hampshire College 1971 — 1975
B.A., Astronomy and Government
Friends Seminary 1963 — 1971
Dru Taylor Dru Taylor's US Securities and Exchange Commission Experience July 2012 - July 2014
Job Sr. IT Policies and Controls Specialist
Industry Computer & Network Security
Experience
Options Clearing Corporation - OCC July 2014 - Present
US Securities and Exchange Commission July 2012 - July 2014
NIATEC August 2010 - May 2012
US Department of Homeland Security May 2011 - August 2011
EPIC Ventures - Eastern Idaho Entrepreneurial Center September 2009 - December 2010
Skills
Microsoft Excel, Financial Analysis, Competitive Analysis, Investments, Leadership, Project Management, Start-ups, CISSP, Information Security, Analysis, Computer Security, Management, Financial Modeling, Budgets, Finance
Education
Idaho State University 2010 — 2012
Master of Business Administration (MBA), Computer and Information Systems Security/Information Assurance
Brigham Young University - Idaho 2003 — 2009
Bachelor of Science, Business Management; Finance and Engineering
Options Clearing Corporation - OCC July 2014 - Present
US Securities and Exchange Commission July 2012 - July 2014
NIATEC August 2010 - May 2012
US Department of Homeland Security May 2011 - August 2011
EPIC Ventures - Eastern Idaho Entrepreneurial Center September 2009 - December 2010
Skills
Microsoft Excel, Financial Analysis, Competitive Analysis, Investments, Leadership, Project Management, Start-ups, CISSP, Information Security, Analysis, Computer Security, Management, Financial Modeling, Budgets, Finance
Education
Idaho State University 2010 — 2012
Master of Business Administration (MBA), Computer and Information Systems Security/Information Assurance
Brigham Young University - Idaho 2003 — 2009
Bachelor of Science, Business Management; Finance and Engineering
Pierre Whatley's US Securities and Exchange Commission Experience July 2009 - July 2011
Job Manager, Public Policy at BuckleySandler LLP
Industry Law Practice
Experience
BuckleySandler LLP October 2014 - Present
Federal Reserve Bank of Cleveland March 2014 - October 2014
Consumer Financial Protection Bureau July 2012 - March 2014
US Securities and Exchange Commission July 2009 - July 2011
Sellers-Smith Funeral Home March 2003 - July 2009
Skills
SAS, Capital IQ, Bloomberg Terminal, Financial Reporting, Finance, Research, Securities, Equities, Corporate Finance, Due Diligence, Capital Markets, Financial Analysis, Investments, Securities Regulation, Financial Markets, Economics, Financial Modeling, Microsoft Office, Financial Services, Public Speaking
Education
University of Rochester - William E. Simon Graduate School of Business Administration 2011 — 2012
MS, Finance
Howard University 2007 — 2011
BA, Economics/ Political Science
BuckleySandler LLP October 2014 - Present
Federal Reserve Bank of Cleveland March 2014 - October 2014
Consumer Financial Protection Bureau July 2012 - March 2014
US Securities and Exchange Commission July 2009 - July 2011
Sellers-Smith Funeral Home March 2003 - July 2009
Skills
SAS, Capital IQ, Bloomberg Terminal, Financial Reporting, Finance, Research, Securities, Equities, Corporate Finance, Due Diligence, Capital Markets, Financial Analysis, Investments, Securities Regulation, Financial Markets, Economics, Financial Modeling, Microsoft Office, Financial Services, Public Speaking
Education
University of Rochester - William E. Simon Graduate School of Business Administration 2011 — 2012
MS, Finance
Howard University 2007 — 2011
BA, Economics/ Political Science
Robert S. De Leon's US Securities and Exchange Commission Experience 1998 - 2001
Job General Counsel & Chief Compliance Officer at Rimrock Capital Management, LLC
Industry Legal Services
Experience
Rimrock Capital Management, LLC January 2014 - Present
Self-Employed May 2013 - December 2013
Tradewinds Global Investors, LLC November 2010 - September 2012
Covariance Capital Management (a unit of TIAA-CREF) June 2010 - November 2010
TIAA-CREF September 2007 - November 2010
AllianceBernstein June 2002 - September 2007
Hold Brothers On-line Investment Services, LLC 2001 - 2002
US Securities and Exchange Commission 1998 - 2001
Proskauer Rose LLP 1995 - 1998
Pillsbury Winthrop Shaw Pittman 1990 - 1995
Skills
Corporate Law, Securities Regulation, Investment Management, Hedge Funds, Separately Managed..., Mutual Funds, Asset Managment, Investment Company Act, SEC filings, Banking Law, Mergers and Acquisitions, Sales and Marketing..., International..., ERISA, Compliance, UCITS, Brokerage, Securities Litigation, High-Tech Industry, Alternative Investments, Investments, Asset Management, mergers and acquisitions, Equities, SEC Filings, Mergers & Acquisitions, Due Diligence, Securities, Litigation
Education
Harvard Law School 1987 — 1990
J.D., Law
Rutgers College 1983 — 1987
B.A., History/Political Science
Rimrock Capital Management, LLC January 2014 - Present
Self-Employed May 2013 - December 2013
Tradewinds Global Investors, LLC November 2010 - September 2012
Covariance Capital Management (a unit of TIAA-CREF) June 2010 - November 2010
TIAA-CREF September 2007 - November 2010
AllianceBernstein June 2002 - September 2007
Hold Brothers On-line Investment Services, LLC 2001 - 2002
US Securities and Exchange Commission 1998 - 2001
Proskauer Rose LLP 1995 - 1998
Pillsbury Winthrop Shaw Pittman 1990 - 1995
Skills
Corporate Law, Securities Regulation, Investment Management, Hedge Funds, Separately Managed..., Mutual Funds, Asset Managment, Investment Company Act, SEC filings, Banking Law, Mergers and Acquisitions, Sales and Marketing..., International..., ERISA, Compliance, UCITS, Brokerage, Securities Litigation, High-Tech Industry, Alternative Investments, Investments, Asset Management, mergers and acquisitions, Equities, SEC Filings, Mergers & Acquisitions, Due Diligence, Securities, Litigation
Education
Harvard Law School 1987 — 1990
J.D., Law
Rutgers College 1983 — 1987
B.A., History/Political Science
Kristina Staples Kristina Staples's US Securities and Exchange Commission Experience 2000 - 2001
Job Managing Director at ACA Compliance Group
Industry Financial Services
Experience
ACA Compliance Group June 2011 - Present
J.E. Robert Companies 2008 - 2011
ACA Compliance Group 2004 - 2008
Washington State Department of Financial Institutions 2001 - 2004
US Securities and Exchange Commission 2000 - 2001
Washington State Department of Financial Institutions 1998 - 2000
Foreman, Arch Dodge and Volyn 1996 - 1998
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates 1994 - 1995
City of Spokane 1991 - 1994
Merrill Lynch 1989 - 1991
Skills
Securities Regulation, Hedge Funds, Securities, SEC, Series 7, Alternative Investments, Derivatives, Finance, Investment Advisory, Private Equity, Regulatory Examinations
Education
The London School of Economics and Political Science (LSE) 1994 — 1995
LLM, Corporate Finance and Banking
Gonzaga University School of Law 1991 — 1994
JD, Tax Law
University of Washington 1981 — 1983
BA, Business Administration
ACA Compliance Group June 2011 - Present
J.E. Robert Companies 2008 - 2011
ACA Compliance Group 2004 - 2008
Washington State Department of Financial Institutions 2001 - 2004
US Securities and Exchange Commission 2000 - 2001
Washington State Department of Financial Institutions 1998 - 2000
Foreman, Arch Dodge and Volyn 1996 - 1998
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates 1994 - 1995
City of Spokane 1991 - 1994
Merrill Lynch 1989 - 1991
Skills
Securities Regulation, Hedge Funds, Securities, SEC, Series 7, Alternative Investments, Derivatives, Finance, Investment Advisory, Private Equity, Regulatory Examinations
Education
The London School of Economics and Political Science (LSE) 1994 — 1995
LLM, Corporate Finance and Banking
Gonzaga University School of Law 1991 — 1994
JD, Tax Law
University of Washington 1981 — 1983
BA, Business Administration
Scott Paris Scott Paris's US Securities and Exchange Commission Experience August 2009 - December 2009
Job Regulatory Counsel for HomeServe, USA
Industry Insurance
Experience
HomeServe, USA December 2014 - Present
Nelson Brown & Co. October 2011 - September 2014
Price Waterhouse Coopers April 2011 - October 2011
United States House Committee on Financial Services September 2010 - January 2011
Financial Industry Regulatory Authority, Inc January 2010 - April 2010
US Securities and Exchange Commission August 2009 - December 2009
American Insurance Association May 2009 - August 2009
New York State Insurance Department January 2009 - April 2009
ACLI May 2008 - August 2008
MetLife May 2005 - August 2007
Skills
Insurance Regulatory, Legal Compliance, Property & Casualty...
Education
Rutgers University School of Law - Newark 2007 — 2010
J.D.
Gettysburg College 1999 — 2003
B.A., History
HomeServe, USA December 2014 - Present
Nelson Brown & Co. October 2011 - September 2014
Price Waterhouse Coopers April 2011 - October 2011
United States House Committee on Financial Services September 2010 - January 2011
Financial Industry Regulatory Authority, Inc January 2010 - April 2010
US Securities and Exchange Commission August 2009 - December 2009
American Insurance Association May 2009 - August 2009
New York State Insurance Department January 2009 - April 2009
ACLI May 2008 - August 2008
MetLife May 2005 - August 2007
Skills
Insurance Regulatory, Legal Compliance, Property & Casualty...
Education
Rutgers University School of Law - Newark 2007 — 2010
J.D.
Gettysburg College 1999 — 2003
B.A., History
Flavio de Andrade Jr Flavio de Andrade Jr's US Securities and Exchange Commission Experience November 2010 - September 2011
Job Vice President, Senior Investment Analyst at Citi
Industry Financial Services
Experience
Citi 2014 - Present
Merrill Lynch September 2011 - June 2013
US Securities and Exchange Commission November 2010 - September 2011
Goldman Sachs 2010 - 2010
Merrill Lynch June 2008 - August 2008
Skills
Strategy, Financial Modeling, Econometrics, Valuation, Economics, Analytics, Business Strategy, Corporate Finance, Stata, Analysis, Management Consulting, Financial Risk, Derivatives, Statistics, Emerging Markets, Quantitative Analytics, Portfolio Management, Finance, Financial Analysis, Quantitative Finance, Equities, Fixed Income, Hedge Funds, Bloomberg, Investments, Investment Banking, Capital Markets, Financial Markets
Education
Northwestern University - Kellogg School of Management 2003 — 2009
PhD, Financial Economics
The London School of Economics and Political Science (LSE) 2002 — 2003
MS, Econometrics and Mathematical Economics
Institute for Pure and Applied Math - IMPA 2000 — 2002
MA, Mathematics
Ibmec 1996 — 2000
Bachelor's, Economics
Citi 2014 - Present
Merrill Lynch September 2011 - June 2013
US Securities and Exchange Commission November 2010 - September 2011
Goldman Sachs 2010 - 2010
Merrill Lynch June 2008 - August 2008
Skills
Strategy, Financial Modeling, Econometrics, Valuation, Economics, Analytics, Business Strategy, Corporate Finance, Stata, Analysis, Management Consulting, Financial Risk, Derivatives, Statistics, Emerging Markets, Quantitative Analytics, Portfolio Management, Finance, Financial Analysis, Quantitative Finance, Equities, Fixed Income, Hedge Funds, Bloomberg, Investments, Investment Banking, Capital Markets, Financial Markets
Education
Northwestern University - Kellogg School of Management 2003 — 2009
PhD, Financial Economics
The London School of Economics and Political Science (LSE) 2002 — 2003
MS, Econometrics and Mathematical Economics
Institute for Pure and Applied Math - IMPA 2000 — 2002
MA, Mathematics
Ibmec 1996 — 2000
Bachelor's, Economics
Eric Pan Eric Pan's US Securities and Exchange Commission Experience 2011 - Present
Job
Industry International Affairs
Experience
US Securities and Exchange Commission 2011 - Present
Education
Harvard University
AB, Economics
The University of Edinburgh
Master's degree, European and International Politics
Harvard Law School
JD
US Securities and Exchange Commission 2011 - Present
Education
Harvard University
AB, Economics
The University of Edinburgh
Master's degree, European and International Politics
Harvard Law School
JD
Roland St. Paul Roland St. Paul's US Securities and Exchange Commission Experience 1994 - 1999
Job at Gray Haile LLP
Industry Law Practice
Experience
Saints Real Estate Ventures, LLC PartnerGray Haile LLP2009 - Present
Radio One, Inc. February 2005 - August 2007
Dechert LLP 2001 - 2004
K&L Gates 1999 - 2001
US Securities and Exchange Commission 1994 - 1999
Education
University of Virginia School of Law 1989 — 1992
Howard University 1984 — 1986
MBA
University of the West Indies, St. Augustine Campus 1981 — 1984
BSc, Management
Saints Real Estate Ventures, LLC PartnerGray Haile LLP2009 - Present
Radio One, Inc. February 2005 - August 2007
Dechert LLP 2001 - 2004
K&L Gates 1999 - 2001
US Securities and Exchange Commission 1994 - 1999
Education
University of Virginia School of Law 1989 — 1992
Howard University 1984 — 1986
MBA
University of the West Indies, St. Augustine Campus 1981 — 1984
BSc, Management
Vernicka L. Shaw's US Securities and Exchange Commission Experience January 2009 - April 2009
Job Corporate and Securities Attorney
Industry Airlines/Aviation
Experience
United Airlines September 2015 - Present
Zeta Phi Beta Sorority, Inc. - Official August 2015 - Present
Zeta Phi Beta Sorority, Inc. - Official September 2014 - Present
Krieg DeVault LLP April 2013 - September 2015
Indianapolis Bar Association October 2014 - August 2015
Practicing Attorneys for Law Students Program, Inc. (PALS) August 2012 - October 2014
Morrison & Foerster LLP March 2012 - March 2013
Morrison & Foerster LLP October 2011 - March 2013
Cahill Gordon & Reindell, LLP January 2010 - October 2011
US Securities and Exchange Commission January 2009 - April 2009
Skills
Corporate Finance, Corporate Law, Compliance, Securities, Corporate Governance, Securities Regulation, Private Equity, Financial Services, Mergers & Acquisitions, Diversity & Inclusion, Legal Writing, Investments, Research, Legal Research, Due Diligence, Banking, IPO, Strategic Planning, Leveraged Finance, Capital Markets, Mergers, Credit Cards, Commercial Banking, Leadership Development, Organizational..., Diversity Program..., Venture Capital, Contract Negotiation, Drafting Agreements, Document Drafting, Not for Profit
Education
Howard University School of Law 2006 — 2009
Juris Doctor (J.D.), Top 25%
Webster University 2003 — 2005
MBA, Business, 3.33
Fashion Institute of Technology 2012 — 2012
Certificate, Image Consulting
University of Pittsburgh 1998 — 2002
Bachelor of Arts, Hispanic Languages & Cultures, Latin American Studies
United Airlines September 2015 - Present
Zeta Phi Beta Sorority, Inc. - Official August 2015 - Present
Zeta Phi Beta Sorority, Inc. - Official September 2014 - Present
Krieg DeVault LLP April 2013 - September 2015
Indianapolis Bar Association October 2014 - August 2015
Practicing Attorneys for Law Students Program, Inc. (PALS) August 2012 - October 2014
Morrison & Foerster LLP March 2012 - March 2013
Morrison & Foerster LLP October 2011 - March 2013
Cahill Gordon & Reindell, LLP January 2010 - October 2011
US Securities and Exchange Commission January 2009 - April 2009
Skills
Corporate Finance, Corporate Law, Compliance, Securities, Corporate Governance, Securities Regulation, Private Equity, Financial Services, Mergers & Acquisitions, Diversity & Inclusion, Legal Writing, Investments, Research, Legal Research, Due Diligence, Banking, IPO, Strategic Planning, Leveraged Finance, Capital Markets, Mergers, Credit Cards, Commercial Banking, Leadership Development, Organizational..., Diversity Program..., Venture Capital, Contract Negotiation, Drafting Agreements, Document Drafting, Not for Profit
Education
Howard University School of Law 2006 — 2009
Juris Doctor (J.D.), Top 25%
Webster University 2003 — 2005
MBA, Business, 3.33
Fashion Institute of Technology 2012 — 2012
Certificate, Image Consulting
University of Pittsburgh 1998 — 2002
Bachelor of Arts, Hispanic Languages & Cultures, Latin American Studies
Sondra Boddie Sondra Boddie's US Securities and Exchange Commission Experience 2015 - Present
Job Attorney Advisor at U.S. Securities and Exchange Commission
Industry Legal Services
Experience
U.S. Securities and Exchange Commission 2015 - Present
U.S. Securities and Exchange Commission August 2014 - Present
U.S. Department of the Treasury January 2014 - May 2014
Investor Justice Education Clinic at Howard University School of Law August 2013 - April 2014
Federal Trade Commission May 2013 - August 2013
US Securities and Exchange Commission January 2013 - May 2013
Lawyers' Committee for Civil Rights May 2012 - July 2012
U.S. Congress, Office of Congressman Gregory W. Meeks September 2008 - July 2011
Steptoe & Johnson LLP July 2007 - September 2008
Senator Kennedy's Office 2007 - 2007
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Teamwork, Photoshop, Social Media, Public Speaking, English, Westlaw, Lexis, Legislation, Legal Writing, Legal Research, Policy, Public Policy, Policy Analysis, Litigation, LexisNexis, Government
Education
Howard University School of Law 2011 — 2014
Doctor of Law (J.D.), Law
The Johns Hopkins University 2007 — 2009
Master's degree, Political Science and Government
Howard University 2003 — 2007
Bachelor's degree, Political Science and Government, Undergraduate
U.S. Securities and Exchange Commission 2015 - Present
U.S. Securities and Exchange Commission August 2014 - Present
U.S. Department of the Treasury January 2014 - May 2014
Investor Justice Education Clinic at Howard University School of Law August 2013 - April 2014
Federal Trade Commission May 2013 - August 2013
US Securities and Exchange Commission January 2013 - May 2013
Lawyers' Committee for Civil Rights May 2012 - July 2012
U.S. Congress, Office of Congressman Gregory W. Meeks September 2008 - July 2011
Steptoe & Johnson LLP July 2007 - September 2008
Senator Kennedy's Office 2007 - 2007
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Teamwork, Photoshop, Social Media, Public Speaking, English, Westlaw, Lexis, Legislation, Legal Writing, Legal Research, Policy, Public Policy, Policy Analysis, Litigation, LexisNexis, Government
Education
Howard University School of Law 2011 — 2014
Doctor of Law (J.D.), Law
The Johns Hopkins University 2007 — 2009
Master's degree, Political Science and Government
Howard University 2003 — 2007
Bachelor's degree, Political Science and Government, Undergraduate
Izaak Lustgarten Izaak Lustgarten's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Student at the University of Miami
Industry
Experience
Rivo Alto Partners, LLC May 2013 - Present
Collins Capital Investments, LLC May 2014 - August 2014
US Securities and Exchange Commission January 2014 - May 2014
University of Miami School of Business November 2012 - May 2014
University of Miami School of Business February 2013 - September 2013
Education
University of Miami 2012 — 2016
Bachelor of Science in Business Administration, Finance and Business Law
Harvard Business School
Summer Venture in Management Program
Rivo Alto Partners, LLC May 2013 - Present
Collins Capital Investments, LLC May 2014 - August 2014
US Securities and Exchange Commission January 2014 - May 2014
University of Miami School of Business November 2012 - May 2014
University of Miami School of Business February 2013 - September 2013
Education
University of Miami 2012 — 2016
Bachelor of Science in Business Administration, Finance and Business Law
Harvard Business School
Summer Venture in Management Program
Cathy English, CFM's US Securities and Exchange Commission Experience December 2005 - September 2009
Job Director at U.S. Capitol Police
Industry Government Administration
Experience
United States Capitol Police (USCP) September 2009 - Present
U.S Securities and Exchange Commission December 2005 - September 2009
U.S. Patent and Trademark Office January 1989 - December 2005
Skills
Project Planning, Contract Management, Team Building, Government, Program Management, Change Management, Policy, Project Management, Facilities Management, Strategic Planning, Asset Managment, Law Enforcement..., Fleet Management, Occupational Health and..., Union Negotiation, Management, Budgets, Security Clearance, Risk Assessment, Homeland Security, Collective Bargaining, Process Scheduler, Emergency Management, Asset Management, Security, Executive Protection, Enforcement, Security Operations, Physical Security, Counterterrorism, Private Investigations, Security Management, Disaster Response, Training, Public Safety, Supervisory Skills, Crisis Management, Surveillance, National Security, Police, Security Training, Emergency Services, Protection, Criminal Investigations, Leadership Development, Community Outreach, Management Due Diligence, Communication, Team Leadership, Law Enforcement
Education
Harvard University, John F. Kennedy School of Government 2001 — 2001
SES, Senior Executive Service
The George Washington University - School of Business 1989 — 1993
MBA, Management
Marymount University 1985 — 1989
BBA - Summa Cum Laude, Business Administration and Management
United States Capitol Police (USCP) September 2009 - Present
U.S Securities and Exchange Commission December 2005 - September 2009
U.S. Patent and Trademark Office January 1989 - December 2005
Skills
Project Planning, Contract Management, Team Building, Government, Program Management, Change Management, Policy, Project Management, Facilities Management, Strategic Planning, Asset Managment, Law Enforcement..., Fleet Management, Occupational Health and..., Union Negotiation, Management, Budgets, Security Clearance, Risk Assessment, Homeland Security, Collective Bargaining, Process Scheduler, Emergency Management, Asset Management, Security, Executive Protection, Enforcement, Security Operations, Physical Security, Counterterrorism, Private Investigations, Security Management, Disaster Response, Training, Public Safety, Supervisory Skills, Crisis Management, Surveillance, National Security, Police, Security Training, Emergency Services, Protection, Criminal Investigations, Leadership Development, Community Outreach, Management Due Diligence, Communication, Team Leadership, Law Enforcement
Education
Harvard University, John F. Kennedy School of Government 2001 — 2001
SES, Senior Executive Service
The George Washington University - School of Business 1989 — 1993
MBA, Management
Marymount University 1985 — 1989
BBA - Summa Cum Laude, Business Administration and Management
India Kidd-Aaron's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Associate at BlackRock
Industry Financial Services
Experience
BlackRock July 2015 - Present
Denver Public Schools, Office of General Counsel January 2015 - June 2015
University of Colorado Law 2011 - May 2014
Colorado Court of Appeals January 2014 - April 2014
Boulder City Attorney's Office April 2013 - January 2014
US Securities and Exchange Commission January 2013 - April 2013
Kutak Rock June 2012 - July 2012
US Senator Michael Bennet June 2010 - July 2011
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Commercial Litigation, Public Policy, Courts, Policy Analysis, Securities Regulation, Research, Immigration Law, Politics, Public Speaking, Legislative Relations, Personal Injury, Political Campaigns, Nonprofits, Political Science, Editing, Community Outreach, Policy, Administrative Law, Legislation, Microsoft Office, Government, Corporate Law, Civil Litigation, Event Planning
Education
University of Colorado at Boulder Law 2011 — 2014
Doctor of Law (JD)
Howard University 2003 — 2007
BlackRock July 2015 - Present
Denver Public Schools, Office of General Counsel January 2015 - June 2015
University of Colorado Law 2011 - May 2014
Colorado Court of Appeals January 2014 - April 2014
Boulder City Attorney's Office April 2013 - January 2014
US Securities and Exchange Commission January 2013 - April 2013
Kutak Rock June 2012 - July 2012
US Senator Michael Bennet June 2010 - July 2011
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Commercial Litigation, Public Policy, Courts, Policy Analysis, Securities Regulation, Research, Immigration Law, Politics, Public Speaking, Legislative Relations, Personal Injury, Political Campaigns, Nonprofits, Political Science, Editing, Community Outreach, Policy, Administrative Law, Legislation, Microsoft Office, Government, Corporate Law, Civil Litigation, Event Planning
Education
University of Colorado at Boulder Law 2011 — 2014
Doctor of Law (JD)
Howard University 2003 — 2007
Casey Kaplan's US Securities and Exchange Commission Experience December 2013 - May 2015
Job Assistant General Counsel Litigation and Investigations at Nike
Industry Law Practice
Experience
Nike 2015 - Present
US Securities and Exchange Commission December 2013 - May 2015
K&L Gates 2007 - 2013
State Senator Kirk Watson 2007 - 2007
Hughes & Luce (n/k/a K&L Gates) 2006 - 2006
American Civil Liberties Union of Texas 2005 - 2005
Grassroots Solutions 2004 - 2004
Texas Freedom Network 2003 - 2003
Mark Taylor for Lt. Governor 2002 - 2002
Pierpont Communications 1999 - 2002
Education
The University of Texas School of Law 2004 — 2007
J.D.
Houston Baptist University 1995 — 1999
B.A.
The Kinkaid School 1988 — 1994
n/a
Nike 2015 - Present
US Securities and Exchange Commission December 2013 - May 2015
K&L Gates 2007 - 2013
State Senator Kirk Watson 2007 - 2007
Hughes & Luce (n/k/a K&L Gates) 2006 - 2006
American Civil Liberties Union of Texas 2005 - 2005
Grassroots Solutions 2004 - 2004
Texas Freedom Network 2003 - 2003
Mark Taylor for Lt. Governor 2002 - 2002
Pierpont Communications 1999 - 2002
Education
The University of Texas School of Law 2004 — 2007
J.D.
Houston Baptist University 1995 — 1999
B.A.
The Kinkaid School 1988 — 1994
n/a
Amy Greer Amy Greer's US Securities and Exchange Commission Experience July 2003 - August 2008
Job Partner at Morgan, Lewis & Bockius LLP
Industry Law Practice
Experience
Morgan, Lewis & Bockius LLP August 2014 - Present
Reed Smith LLP August 2008 - July 2014
US Securities and Exchange Commission July 2003 - August 2008
Klett Rooney Lieber & Schorling July 2000 - July 2003
Bower Greer & Panzarella, PC December 1997 - July 2000
Eckert Seamans June 1989 - November 1997
Skills
Corporate Law, Trade Secrets, Litigation, Civil Litigation, Commercial Litigation, Securities Regulation, White Collar Criminal..., Class Actions, Legal Writing, Internal Investigations, Fraud, FCPA, Due Diligence, Corporate Governance, Employment Law, Securities Litigation, Securities Fraud
Education
The College of William and Mary - Marshall Wythe Law School 1986 — 1989
JD, Law
Gettysburg College 1984 — 1985
BA, Political Science
Morgan, Lewis & Bockius LLP August 2014 - Present
Reed Smith LLP August 2008 - July 2014
US Securities and Exchange Commission July 2003 - August 2008
Klett Rooney Lieber & Schorling July 2000 - July 2003
Bower Greer & Panzarella, PC December 1997 - July 2000
Eckert Seamans June 1989 - November 1997
Skills
Corporate Law, Trade Secrets, Litigation, Civil Litigation, Commercial Litigation, Securities Regulation, White Collar Criminal..., Class Actions, Legal Writing, Internal Investigations, Fraud, FCPA, Due Diligence, Corporate Governance, Employment Law, Securities Litigation, Securities Fraud
Education
The College of William and Mary - Marshall Wythe Law School 1986 — 1989
JD, Law
Gettysburg College 1984 — 1985
BA, Political Science
Michael Stehlik Michael Stehlik's US Securities and Exchange Commission Experience
Job Assistant Chief Accountant at US Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission
Skills
GAAP, Auditing, SEC filings, Internal Controls, Financial Analysis, Accounting, Financial Reporting, SEC Filings
Education
Gonzaga University
US Securities and Exchange Commission
Skills
GAAP, Auditing, SEC filings, Internal Controls, Financial Analysis, Accounting, Financial Reporting, SEC Filings
Education
Gonzaga University
Chenzi Xu's US Securities and Exchange Commission Experience June 2008 - August 2008
Job Ph.D. student at Harvard University
Industry Research
Experience
National Bureau of Economic Research January 2012 - September 2012
Innova Kapital May 2011 - August 2011
Positive Energy SA September 2010 - January 2011
US Securities and Exchange Commission June 2008 - August 2008
Education
Harvard University 2013 — 2018
Doctor of Philosophy (Ph.D.), Economics
University of Cambridge 2012 — 2013
Master of Philosophy (M.Phil.), Economic and Social History
Harvard University 2007 — 2011
A.B., Economics
Athens Academy 2003 — 2007
National Bureau of Economic Research January 2012 - September 2012
Innova Kapital May 2011 - August 2011
Positive Energy SA September 2010 - January 2011
US Securities and Exchange Commission June 2008 - August 2008
Education
Harvard University 2013 — 2018
Doctor of Philosophy (Ph.D.), Economics
University of Cambridge 2012 — 2013
Master of Philosophy (M.Phil.), Economic and Social History
Harvard University 2007 — 2011
A.B., Economics
Athens Academy 2003 — 2007
Eric Heining Eric Heining's US Securities and Exchange Commission Experience November 2012 - Present
Job Enforcement Attorney at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission November 2012 - Present
Bingham McCutchen September 2005 - November 2012
Education
Harvard Law School 2002 — 2005
Doctor of Law (J.D.)
The Ohio State University 1998 — 2002
Master of Arts (M.A.), Philosophy
Gustavus Adolphus College 1992 — 1996
Bachelor of Arts (B.A.), Philosophy
University of Oxford 1994 — 1995
Philosophy
US Securities and Exchange Commission November 2012 - Present
Bingham McCutchen September 2005 - November 2012
Education
Harvard Law School 2002 — 2005
Doctor of Law (J.D.)
The Ohio State University 1998 — 2002
Master of Arts (M.A.), Philosophy
Gustavus Adolphus College 1992 — 1996
Bachelor of Arts (B.A.), Philosophy
University of Oxford 1994 — 1995
Philosophy
Chen Liang's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Fixed Income Associate at AllianceBernstein
Industry Investment Management
Experience
AllianceBernstein 2014 - Present
AllianceBernstein May 2013 - August 2013
Bloomingdale's 2012 - 2013
US Securities and Exchange Commission September 2012 - December 2012
Investment Company Institute August 2012 - December 2012
City of New York CCRB May 2012 - August 2012
TIAA-CREF June 2011 - August 2011
Skills
Problem Solving, Research, Writing, Databases, Project Management, Client Relations Skills, Administrative Support, Organizational..., Bloomberg Terminal, Economics, Community Outreach, PowerPoint, Microsoft Excel, Recruiting
Education
Grinnell College 2010 — 2013
B.A., Economics
Washington University in St. Louis 2012 — 2012
Off-Campus Study Program in Washington D.C.
CFA Institute
AllianceBernstein 2014 - Present
AllianceBernstein May 2013 - August 2013
Bloomingdale's 2012 - 2013
US Securities and Exchange Commission September 2012 - December 2012
Investment Company Institute August 2012 - December 2012
City of New York CCRB May 2012 - August 2012
TIAA-CREF June 2011 - August 2011
Skills
Problem Solving, Research, Writing, Databases, Project Management, Client Relations Skills, Administrative Support, Organizational..., Bloomberg Terminal, Economics, Community Outreach, PowerPoint, Microsoft Excel, Recruiting
Education
Grinnell College 2010 — 2013
B.A., Economics
Washington University in St. Louis 2012 — 2012
Off-Campus Study Program in Washington D.C.
CFA Institute
Tracy Sivitz Tracy Sivitz's US Securities and Exchange Commission Experience 2010 - Present
Job Senior Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission 2010 - Present
Federal Bar Council Inn or Court 2009 - 2011
Hafetz and Necheles June 1995 - October 2010
People For the American Way 1992 - 1994
Skills
Trial Attorney, Litigation, Securities Litigation, Securities Regulation, Appeals, Civil Litigation, Legal Writing, White Collar Criminal...
Education
Harvard Graduate School of Arts and Sciences 2004 — 2005
M.A., East Asian Studies
Yale Graduate School of Arts and Sciences 1999 — 2005
M.Phil, History
Yale Law School 1985 — 1988
J.D.
Harvard University 1979 — 1983
A.B., Social Studies
US Securities and Exchange Commission 2010 - Present
Federal Bar Council Inn or Court 2009 - 2011
Hafetz and Necheles June 1995 - October 2010
People For the American Way 1992 - 1994
Skills
Trial Attorney, Litigation, Securities Litigation, Securities Regulation, Appeals, Civil Litigation, Legal Writing, White Collar Criminal...
Education
Harvard Graduate School of Arts and Sciences 2004 — 2005
M.A., East Asian Studies
Yale Graduate School of Arts and Sciences 1999 — 2005
M.Phil, History
Yale Law School 1985 — 1988
J.D.
Harvard University 1979 — 1983
A.B., Social Studies
Shayna Richardson Shayna Richardson's US Securities and Exchange Commission Experience February 2007 - April 2007
Job Senior Financial Analyst (Manager) at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority August 2007 - Present
Howard Univesity School of Law September 2006 - May 2007
US Securities and Exchange Commission February 2007 - April 2007
D.C. Office of the Attorney General January 2006 - July 2006
Hogan & Hartson June 2005 - August 2005
International Paper July 2002 - August 2004
Skills
Financial Reporting, Accounting, Litigation, Capital Markets, Financial Analysis, Securities Regulation, Finance
Education
Howard University School of Law 2004 — 2007
JD, Law
Howard University 1998 — 2002
BBA, International Business-Finance
Financial Industry Regulatory Authority August 2007 - Present
Howard Univesity School of Law September 2006 - May 2007
US Securities and Exchange Commission February 2007 - April 2007
D.C. Office of the Attorney General January 2006 - July 2006
Hogan & Hartson June 2005 - August 2005
International Paper July 2002 - August 2004
Skills
Financial Reporting, Accounting, Litigation, Capital Markets, Financial Analysis, Securities Regulation, Finance
Education
Howard University School of Law 2004 — 2007
JD, Law
Howard University 1998 — 2002
BBA, International Business-Finance
Kathyrn Guzner Kathyrn Guzner's US Securities and Exchange Commission Experience January 2012 - May 2012
Job Attorney/Owner, Guzner Law, P.C.
Industry Law Practice
Experience
Bothwell Bracker, P.C. October 2012 - April 2013
Mesirow Financial May 2012 - December 2012
US Securities and Exchange Commission January 2012 - May 2012
Department of the Interior August 2011 - December 2011
David & Rosetti, LLP May 2007 - September 2011
Schklar, Ney & Heim, LLC February 2007 - April 2007
Skills
Legal Research, Legal Writing, Legal Discovery, Fact Investigation, Workers Compensation, Insurance, Bankruptcy law, Corporate Law, Securities Law, Bankruptcy, Securities Regulation, Civil Litigation, Class Actions, Securities Litigation, Appeals, Business Litigation, Alternative Dispute..., Courts, Trials, Westlaw
Education
Georgia State University College of Law 2008 — 2012
J.D., Law
The University of Georgia 2001 — 2005
B.S., Psychology/Pre-Law
Bothwell Bracker, P.C. October 2012 - April 2013
Mesirow Financial May 2012 - December 2012
US Securities and Exchange Commission January 2012 - May 2012
Department of the Interior August 2011 - December 2011
David & Rosetti, LLP May 2007 - September 2011
Schklar, Ney & Heim, LLC February 2007 - April 2007
Skills
Legal Research, Legal Writing, Legal Discovery, Fact Investigation, Workers Compensation, Insurance, Bankruptcy law, Corporate Law, Securities Law, Bankruptcy, Securities Regulation, Civil Litigation, Class Actions, Securities Litigation, Appeals, Business Litigation, Alternative Dispute..., Courts, Trials, Westlaw
Education
Georgia State University College of Law 2008 — 2012
J.D., Law
The University of Georgia 2001 — 2005
B.S., Psychology/Pre-Law
Kapil V. Pandit Kapil V. Pandit's US Securities and Exchange Commission Experience January 2007 - May 2007
Job Investment Funds Attorney (Hedge Funds & Private Equity Funds) / Counsel at Akin Gump Strauss Hauer & Feld LLP
Industry Law Practice
Experience
Akin Gump Strauss Hauer & Feld LLP March 2010 - Present
Alliance of Securities and Financial Educators (ASAFE) February 2009 - Present
AGM India Advisors Private Limited September 2009 - February 2010
LexisNexis August 2008 - April 2009
Howard University September 2007 - April 2009
Lockheed Martin August 2008 - February 2009
Akin Gump Strauss Hauer & Feld LLP May 2008 - August 2008
Proskauer Rose LLP May 2007 - August 2007
US Securities and Exchange Commission January 2007 - May 2007
Lockheed Martin February 2005 - August 2006
Skills
Legal Writing, Legal Research, Corporate Law, Mergers, Program Management, Analysis, Research, Due Diligence, Corporate Governance, Project Management, Risk Management, Contract Negotiation, Intellectual Property, Finance, Mergers & Acquisitions, Management Consulting, Negotiation, Private Equity, Securities, Leadership, Investments, Banking, Nonprofits, Competitive Analysis
Education
Howard University School of Law 2006 — 2009
Juris Doctor, Law
The George Washington University 2004 — 2006
M.S., Project Management
University of Maryland - Robert H. Smith School of Business 1999 — 2003
B.S., Logistics, Transportation & Supply Chain Management
University of Maryland - Robert H. Smith School of Business 1999 — 2003
B.S., Management Science & Statistics
Akin Gump Strauss Hauer & Feld LLP March 2010 - Present
Alliance of Securities and Financial Educators (ASAFE) February 2009 - Present
AGM India Advisors Private Limited September 2009 - February 2010
LexisNexis August 2008 - April 2009
Howard University September 2007 - April 2009
Lockheed Martin August 2008 - February 2009
Akin Gump Strauss Hauer & Feld LLP May 2008 - August 2008
Proskauer Rose LLP May 2007 - August 2007
US Securities and Exchange Commission January 2007 - May 2007
Lockheed Martin February 2005 - August 2006
Skills
Legal Writing, Legal Research, Corporate Law, Mergers, Program Management, Analysis, Research, Due Diligence, Corporate Governance, Project Management, Risk Management, Contract Negotiation, Intellectual Property, Finance, Mergers & Acquisitions, Management Consulting, Negotiation, Private Equity, Securities, Leadership, Investments, Banking, Nonprofits, Competitive Analysis
Education
Howard University School of Law 2006 — 2009
Juris Doctor, Law
The George Washington University 2004 — 2006
M.S., Project Management
University of Maryland - Robert H. Smith School of Business 1999 — 2003
B.S., Logistics, Transportation & Supply Chain Management
University of Maryland - Robert H. Smith School of Business 1999 — 2003
B.S., Management Science & Statistics
Brian Privor's US Securities and Exchange Commission Experience November 2010 - Present
Job Senior Counsel, Division of Enforcement at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission November 2010 - Present
Morgan Lewis & Bockius October 1999 - November 2010
Skills
Litigation, Securities, Securities Regulation, Commercial Litigation, Legal Research
Education
Harvard Law School 1995 — 1998
Tulane University 1991 — 1995
BA, Philosophy and Intellectual History
US Securities and Exchange Commission November 2010 - Present
Morgan Lewis & Bockius October 1999 - November 2010
Skills
Litigation, Securities, Securities Regulation, Commercial Litigation, Legal Research
Education
Harvard Law School 1995 — 1998
Tulane University 1991 — 1995
BA, Philosophy and Intellectual History
Richard Lindsey Richard Lindsey's US Securities and Exchange Commission Experience November 1995 - February 1999
Job Chief Investment Strategist Liquid Alternatives at Janus Capital Group
Industry Financial Services
Experience
Janus Capital Group August 2012 - Present
Lawrence Berkeley National Laboratory January 2010 - Present
Callcott Group January 2007 - Present
Bear, Stearns and Co March 1999 - December 2006
US Securities and Exchange Commission November 1995 - February 1999
Yale School of Management August 1991 - July 1996
US Securities and Exchange Commission August 1995 - April 1996
New York Stock Exchange August 1994 - July 1995
Nikko Securities Company, Tokyo, Japan June 1991 - July 1995
University of California, Berkeley September 1987 - May 1991
Skills
Hedge Funds, Portfolio Management, Risk Management, Investment Strategies, Securities, Trading Strategies, Alternative Investments, Asset Managment, Derivatives, Equities, Fixed Income, Capital Markets, Asset Allocation, Investments, Trading, Financial Modeling, Bloomberg, Investment Banking, Structured Finance, Valuation, Equity Derivatives, Bonds, Options, Quantitative Analytics, Asset Management, Financial Services, Financial Markets, Emerging Markets, Quantitative Finance, Trading Systems, Commodity, Portfolio Optimization, Finance, Private Equity, Credit Derivatives, Electronic Trading, Investment Management
Education
University of California, Berkeley, Haas School of Business 1986 — 1991
PhD, Finance
The University of Texas at Dallas 1984 — 1985
MBA, Finance
University of California, Berkeley 1976 — 1978
MS, Chemical Engineering
Illinois Institute of Technology 1972 — 1976
BS, Chemical Engineering
Janus Capital Group August 2012 - Present
Lawrence Berkeley National Laboratory January 2010 - Present
Callcott Group January 2007 - Present
Bear, Stearns and Co March 1999 - December 2006
US Securities and Exchange Commission November 1995 - February 1999
Yale School of Management August 1991 - July 1996
US Securities and Exchange Commission August 1995 - April 1996
New York Stock Exchange August 1994 - July 1995
Nikko Securities Company, Tokyo, Japan June 1991 - July 1995
University of California, Berkeley September 1987 - May 1991
Skills
Hedge Funds, Portfolio Management, Risk Management, Investment Strategies, Securities, Trading Strategies, Alternative Investments, Asset Managment, Derivatives, Equities, Fixed Income, Capital Markets, Asset Allocation, Investments, Trading, Financial Modeling, Bloomberg, Investment Banking, Structured Finance, Valuation, Equity Derivatives, Bonds, Options, Quantitative Analytics, Asset Management, Financial Services, Financial Markets, Emerging Markets, Quantitative Finance, Trading Systems, Commodity, Portfolio Optimization, Finance, Private Equity, Credit Derivatives, Electronic Trading, Investment Management
Education
University of California, Berkeley, Haas School of Business 1986 — 1991
PhD, Finance
The University of Texas at Dallas 1984 — 1985
MBA, Finance
University of California, Berkeley 1976 — 1978
MS, Chemical Engineering
Illinois Institute of Technology 1972 — 1976
BS, Chemical Engineering
Russell Duncan's US Securities and Exchange Commission Experience February 2003 - February 2006
Job Shareholder at Shulman, Rogers, Gandal, Pordy & Ecker, P.A.
Industry Law Practice
Experience
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. July 2013 - Present
PCAOB December 2011 - July 2013
Orrick, Herrington & Sutcliffe LLP February 2006 - December 2011
US Securities and Exchange Commission February 2003 - February 2006
Wiley Rein LLP 1994 - 2001
Department of Justice 1985 - 1994
Crowell & Moring LLP 1983 - 1985
Skills
Securities Regulation, Litigation, Internal Investigations, Securities Litigation, FCPA, Commercial Litigation, Corporate Governance, White Collar Criminal..., Civil Litigation, Fraud, Securities, Class Actions, Trials, Private Investigations, Appeals, Trial Practice, Intellectual Property, Arbitration, Criminal Law
Education
Harvard Law School 1979 — 1982
JD
Harvard College 1974 — 1978
BA, History
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. July 2013 - Present
PCAOB December 2011 - July 2013
Orrick, Herrington & Sutcliffe LLP February 2006 - December 2011
US Securities and Exchange Commission February 2003 - February 2006
Wiley Rein LLP 1994 - 2001
Department of Justice 1985 - 1994
Crowell & Moring LLP 1983 - 1985
Skills
Securities Regulation, Litigation, Internal Investigations, Securities Litigation, FCPA, Commercial Litigation, Corporate Governance, White Collar Criminal..., Civil Litigation, Fraud, Securities, Class Actions, Trials, Private Investigations, Appeals, Trial Practice, Intellectual Property, Arbitration, Criminal Law
Education
Harvard Law School 1979 — 1982
JD
Harvard College 1974 — 1978
BA, History
Taimur Ghaznavi's US Securities and Exchange Commission Experience August 2008 - December 2008
Job Senior Consultant at FTI Consulting
Industry Legal Services
Experience
FTI Consulting April 2014 - Present
FTI Consulting September 2011 - April 2014
Holzer, Holzer & Fistel, LLC July 2009 - May 2011
Webb, Klase & Lemond, LLC May 2008 - July 2009
US Securities and Exchange Commission August 2008 - December 2008
Print 'N Signs January 1999 - January 2007
Skills
Legal Research, Legal Writing, Litigation, Litigation Support, Document Review, Civil Litigation, Corporate Governance, Mergers & Acquisitions, Trials, Corporate Law, Mediation, Westlaw, Securities Litigation, Commercial Litigation, Legal Issues, Courts, Intellectual Property
Education
Georgia State University - J. Mack Robinson College of Business 2009 — 2011
JD/MBA
Georgia State University College of Law 2007 — 2011
Juris Doctorate
The University of Georgia 2003 — 2007
Bachelor of Arts, Political Science
FTI Consulting April 2014 - Present
FTI Consulting September 2011 - April 2014
Holzer, Holzer & Fistel, LLC July 2009 - May 2011
Webb, Klase & Lemond, LLC May 2008 - July 2009
US Securities and Exchange Commission August 2008 - December 2008
Print 'N Signs January 1999 - January 2007
Skills
Legal Research, Legal Writing, Litigation, Litigation Support, Document Review, Civil Litigation, Corporate Governance, Mergers & Acquisitions, Trials, Corporate Law, Mediation, Westlaw, Securities Litigation, Commercial Litigation, Legal Issues, Courts, Intellectual Property
Education
Georgia State University - J. Mack Robinson College of Business 2009 — 2011
JD/MBA
Georgia State University College of Law 2007 — 2011
Juris Doctorate
The University of Georgia 2003 — 2007
Bachelor of Arts, Political Science
Michael A. Blackmon Jr. Michael A. Blackmon Jr.'s US Securities and Exchange Commission Experience January 2012 - May 2012
Job Vice President and Corporate Counsel at U.S. Bank
Industry Law Practice
Experience
U.S. Bank March 2015 - Present
Dorsey & Whitney LLP October 2012 - March 2015
US Securities and Exchange Commission January 2012 - May 2012
Howard University School of Law Investor Justice and Education Clinic August 2011 - January 2012
Dorsey & Whitney LLP May 2010 - August 2010
US Navy May 2010 - July 2010
U.S. House of Representatives May 2010 - July 2010
Northwestern Mutual August 2008 - July 2009
Wachovia Bank 2006 - 2008
Cardinal Bank June 2005 - August 2005
Skills
Commercial Lending, Mezzanine Lending, Small Business Lending, Finance, Securities, Restructuring, Private Equity, Leveraged Finance, Banking Regulatory Law, Banking, Corporate Governance, Investments, Project Finance
Education
Howard University School of Law 2009 — 2012
J.D., Law, cum laude
Western Carolina University 2002 — 2005
BS, Political Science, summa cum laude
U.S. Bank March 2015 - Present
Dorsey & Whitney LLP October 2012 - March 2015
US Securities and Exchange Commission January 2012 - May 2012
Howard University School of Law Investor Justice and Education Clinic August 2011 - January 2012
Dorsey & Whitney LLP May 2010 - August 2010
US Navy May 2010 - July 2010
U.S. House of Representatives May 2010 - July 2010
Northwestern Mutual August 2008 - July 2009
Wachovia Bank 2006 - 2008
Cardinal Bank June 2005 - August 2005
Skills
Commercial Lending, Mezzanine Lending, Small Business Lending, Finance, Securities, Restructuring, Private Equity, Leveraged Finance, Banking Regulatory Law, Banking, Corporate Governance, Investments, Project Finance
Education
Howard University School of Law 2009 — 2012
J.D., Law, cum laude
Western Carolina University 2002 — 2005
BS, Political Science, summa cum laude
Bruce Kraus Bruce Kraus's US Securities and Exchange Commission Experience October 2009 - October 2011
Job AwardWinning M&A
Industry Law Practice
Experience
Kelley Drye & Warren LLP May 2012 - Present
US Securities and Exchange Commission October 2009 - October 2011
Willkie Farr & Gallagher LLP January 1988 - September 2009
Debevoise & Plimpton 1980 - 1988
U.S. Court of Appeals June 1979 - June 1980
Bankers Trust Company 1975 - 1976
Skills
Mergers & Acquisitions, Corporate FInance, Capital Markets, Administrative Law, Election Law, Securities Regulation, Mergers, Restructuring, IPO, Corporate Governance, Securities
Education
Yale Law School 1976 — 1979
JD
Harvard College 1972 — 1975
AB, Economics
Phillips Academy 1968 — 1972
The Harvey School 1962 — 1968
Kelley Drye & Warren LLP May 2012 - Present
US Securities and Exchange Commission October 2009 - October 2011
Willkie Farr & Gallagher LLP January 1988 - September 2009
Debevoise & Plimpton 1980 - 1988
U.S. Court of Appeals June 1979 - June 1980
Bankers Trust Company 1975 - 1976
Skills
Mergers & Acquisitions, Corporate FInance, Capital Markets, Administrative Law, Election Law, Securities Regulation, Mergers, Restructuring, IPO, Corporate Governance, Securities
Education
Yale Law School 1976 — 1979
JD
Harvard College 1972 — 1975
AB, Economics
Phillips Academy 1968 — 1972
The Harvey School 1962 — 1968
Everson Ladson's US Securities and Exchange Commission Experience June 2012 - August 2012
Job Law Clerk at Cleary Gottlieb Steen & Hamilton LLP
Industry Law Practice
Experience
Cleary Gottlieb Steen & Hamilton LLP September 2014 - Present
Cleary Gottlieb Steen & Hamilton LLP May 2013 - August 2013
US Securities and Exchange Commission June 2012 - August 2012
JPMorgan Chase July 2009 - August 2011
JPMorgan Chase July 2008 - July 2009
Educated Consumer Project August 2007 - May 2008
JPMorgan Chase May 2007 - August 2007
Skills
Excel, PowerPoint, Word, Corporate Finance, Financial Analysis, Forecasting, Financial Reporting, Accounting, Process Improvement, Research, Team Leadership, Data Analysis, Project Management, Public Speaking, Budgets
Education
Harvard Law School 2011 — 2014
JD
Howard University 2004 — 2008
BBA, Finance
Cleary Gottlieb Steen & Hamilton LLP September 2014 - Present
Cleary Gottlieb Steen & Hamilton LLP May 2013 - August 2013
US Securities and Exchange Commission June 2012 - August 2012
JPMorgan Chase July 2009 - August 2011
JPMorgan Chase July 2008 - July 2009
Educated Consumer Project August 2007 - May 2008
JPMorgan Chase May 2007 - August 2007
Skills
Excel, PowerPoint, Word, Corporate Finance, Financial Analysis, Forecasting, Financial Reporting, Accounting, Process Improvement, Research, Team Leadership, Data Analysis, Project Management, Public Speaking, Budgets
Education
Harvard Law School 2011 — 2014
JD
Howard University 2004 — 2008
BBA, Finance
Ryan Harbeck Ryan Harbeck's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Management
Industry Financial Services
Experience
Menards September 2011 - Present
Menards May 2011 - September 2011
Macy's September 2010 - April 2011
US Securities and Exchange Commission June 2010 - August 2010
United Parcel Service August 2006 - June 2010
Education
Northern Illinois University - College of Business 2009 — 2011
BS, Finance
Harper College 2007 — 2009
AA
Menards September 2011 - Present
Menards May 2011 - September 2011
Macy's September 2010 - April 2011
US Securities and Exchange Commission June 2010 - August 2010
United Parcel Service August 2006 - June 2010
Education
Northern Illinois University - College of Business 2009 — 2011
BS, Finance
Harper College 2007 — 2009
AA
Alicia Gamez Alicia Gamez's US Securities and Exchange Commission Experience January 2006 - May 2006
Job Law Office of Alicia M. Gamez; Bar Association of San Francisco; San Francisco Commission on the Status of Women
Industry Law Practice
Experience
Law Office of Alicia M. Gamez September 2010 - Present
Carmel & Naccasha, LLP June 2011 - Present
SF Commission on the Status of Women April 2011 - April 2015
Orrick, Herrington & Sutcliffe LLP August 2007 - December 2009
Shartsis Friese LLP October 2006 - August 2007
US Securities and Exchange Commission January 2006 - May 2006
City and County of San Francisco, City Attorney May 2004 - August 2004
Stanford University 2000 - 2002
Education
University of California, Berkeley - School of Law 2003 — 2006
JD
Golden Gate University, School of Law
LLM
Stanford University
Ph.D.
The University of Texas at Austin
Bachelor's Degree
Law Office of Alicia M. Gamez September 2010 - Present
Carmel & Naccasha, LLP June 2011 - Present
SF Commission on the Status of Women April 2011 - April 2015
Orrick, Herrington & Sutcliffe LLP August 2007 - December 2009
Shartsis Friese LLP October 2006 - August 2007
US Securities and Exchange Commission January 2006 - May 2006
City and County of San Francisco, City Attorney May 2004 - August 2004
Stanford University 2000 - 2002
Education
University of California, Berkeley - School of Law 2003 — 2006
JD
Golden Gate University, School of Law
LLM
Stanford University
Ph.D.
The University of Texas at Austin
Bachelor's Degree
David Guin's US Securities and Exchange Commission Experience December 2010 - July 2012
Job Global Workplace Strategic Planning & Analysis at CSC
Industry Real Estate
Experience
CSC July 2012 - Present
US Securities and Exchange Commission December 2010 - July 2012
Capital One July 1999 - October 2010
Aspect Communications August 1997 - July 1999
Ridge Builders Group November 1989 - July 1997
Syntex, Inc. Pharmaceuticals December 1986 - October 1989
HOK December 1983 - February 1986
Skills
Portfolio Management, Real Estate, Workplace Strategy, Strategic Occupancy..., Program Management, Strategic Planning, Change Management, Corporate Real Estate, Due Diligence, Project Management, Project Planning, Management Consulting, Sustainability, Analysis, Contract Negotiation, Contract Management, Risk Management, Business Strategy, Vendor Management, Workplace Design, Financial Analysis, Management, Business Development, Leadership, Mergers & Acquisitions, Strategy, Negotiation, Operations Management, CRM, Budgets, Cross-functional Team..., Business Process..., Procurement, Business Analysis, Process Improvement, Governance, Integration, Finance, Consulting, Outsourcing, Facilities Management, Human Resources
Education
Harvard University 1980 — 1983
Master of Architecture
Stanford University 1976 — 1980
B.S. Civil Engineering
Henry Clay High School, Lexington, KY 1972 — 1976
CSC July 2012 - Present
US Securities and Exchange Commission December 2010 - July 2012
Capital One July 1999 - October 2010
Aspect Communications August 1997 - July 1999
Ridge Builders Group November 1989 - July 1997
Syntex, Inc. Pharmaceuticals December 1986 - October 1989
HOK December 1983 - February 1986
Skills
Portfolio Management, Real Estate, Workplace Strategy, Strategic Occupancy..., Program Management, Strategic Planning, Change Management, Corporate Real Estate, Due Diligence, Project Management, Project Planning, Management Consulting, Sustainability, Analysis, Contract Negotiation, Contract Management, Risk Management, Business Strategy, Vendor Management, Workplace Design, Financial Analysis, Management, Business Development, Leadership, Mergers & Acquisitions, Strategy, Negotiation, Operations Management, CRM, Budgets, Cross-functional Team..., Business Process..., Procurement, Business Analysis, Process Improvement, Governance, Integration, Finance, Consulting, Outsourcing, Facilities Management, Human Resources
Education
Harvard University 1980 — 1983
Master of Architecture
Stanford University 1976 — 1980
B.S. Civil Engineering
Henry Clay High School, Lexington, KY 1972 — 1976
Brian Farnkoff's US Securities and Exchange Commission Experience August 2013 - December 2013
Job General Counsel, Smoot Tewes Group
Industry Public Relations and Communications
Experience
Smoot Tewes Group September 2015 - Present
Smoot Tewes Group September 2014 - August 2015
Senate Majority PAC January 2011 - November 2014
Investment Adviser Association June 2013 - August 2014
US Securities and Exchange Commission August 2013 - December 2013
U.S. Department of Justice August 2012 - December 2012
Financial Industry Regulatory Authority June 2012 - August 2012
AFL CIO February 2012 - August 2012
House Majority PAC June 2012 - July 2012
Setti Warren for U.S. Senate April 2011 - July 2011
Skills
Politics, Public Policy, Political Campaigns, Policy Analysis, Political Communication, Non-profits, Legislative Relations, Research, Grassroots Organizing, Community Outreach, Legislative Research, Legislation, Political Science, Strategic Communications, Legal Research, Nonprofits, Grassroots
Education
The Catholic University of America, Columbus School of Law 2011 — 2014
J.D., Banking, Corporate, Finance, and Securities Law
Hamilton College 2001 — 2005
BA, Public Policy
Boston Latin School 1995 — 2001
HS
Smoot Tewes Group September 2015 - Present
Smoot Tewes Group September 2014 - August 2015
Senate Majority PAC January 2011 - November 2014
Investment Adviser Association June 2013 - August 2014
US Securities and Exchange Commission August 2013 - December 2013
U.S. Department of Justice August 2012 - December 2012
Financial Industry Regulatory Authority June 2012 - August 2012
AFL CIO February 2012 - August 2012
House Majority PAC June 2012 - July 2012
Setti Warren for U.S. Senate April 2011 - July 2011
Skills
Politics, Public Policy, Political Campaigns, Policy Analysis, Political Communication, Non-profits, Legislative Relations, Research, Grassroots Organizing, Community Outreach, Legislative Research, Legislation, Political Science, Strategic Communications, Legal Research, Nonprofits, Grassroots
Education
The Catholic University of America, Columbus School of Law 2011 — 2014
J.D., Banking, Corporate, Finance, and Securities Law
Hamilton College 2001 — 2005
BA, Public Policy
Boston Latin School 1995 — 2001
HS
Eileen Parlow's US Securities and Exchange Commission Experience July 2012 - Present
Job Senior Staff Accountant at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission July 2012 - Present
Federal Accounting Standards Advisory Board February 2004 - July 2012
United States Department of Defense 1999 - 2004
U.S. Department of Education 1994 - 1999
Skills
Sarbanes-Oxley Act, Financial Reporting, Accounting, Auditing, Managerial Finance, Internal Audit, Internal Controls, Financial Accounting, GAAP, General Ledger, Process Improvement, Financial Analysis, CPA, Microsoft Excel, Financial Statements
Education
Southeastern University
B.S., Accounting
Harvard University 1983 — 1986
M.T.S., Master of Theological Studies
US Securities and Exchange Commission July 2012 - Present
Federal Accounting Standards Advisory Board February 2004 - July 2012
United States Department of Defense 1999 - 2004
U.S. Department of Education 1994 - 1999
Skills
Sarbanes-Oxley Act, Financial Reporting, Accounting, Auditing, Managerial Finance, Internal Audit, Internal Controls, Financial Accounting, GAAP, General Ledger, Process Improvement, Financial Analysis, CPA, Microsoft Excel, Financial Statements
Education
Southeastern University
B.S., Accounting
Harvard University 1983 — 1986
M.T.S., Master of Theological Studies
Tom LoSavio's US Securities and Exchange Commission Experience 1974 - 1977
Job Business Litigation Attorney
Industry Law Practice
Experience
Low, Ball & Lynch March 1983 - Present
Law Office of Thomas J. LoSavio 1980 - 1983
Belli & Choulos 1977 - 1980
US Securities and Exchange Commission 1974 - 1977
Legal Aid Society of Sacramento County 1971 - 1973
Skills
Litigation, Arbitration, Mediation, Contracts, Commercial Litigation, Real Estate, Securities Litigation, Trade Secrets, Contractual Agreements, Civil Litigation, Public Liability, Appeals, Business Litigation, Personal Injury, Dispute Resolution, Corporate Governance, Product Liability, Torts, Dispute, Courts, Trials, Trial Practice
Education
University of California, Berkeley - School of Law 1968 — 1971
J.D., Law
Harvard University 1964 — 1968
B.A., Government
Low, Ball & Lynch March 1983 - Present
Law Office of Thomas J. LoSavio 1980 - 1983
Belli & Choulos 1977 - 1980
US Securities and Exchange Commission 1974 - 1977
Legal Aid Society of Sacramento County 1971 - 1973
Skills
Litigation, Arbitration, Mediation, Contracts, Commercial Litigation, Real Estate, Securities Litigation, Trade Secrets, Contractual Agreements, Civil Litigation, Public Liability, Appeals, Business Litigation, Personal Injury, Dispute Resolution, Corporate Governance, Product Liability, Torts, Dispute, Courts, Trials, Trial Practice
Education
University of California, Berkeley - School of Law 1968 — 1971
J.D., Law
Harvard University 1964 — 1968
B.A., Government
Bo Howell, J.D.'s US Securities and Exchange Commission Experience September 2011 - September 2012
Job Vice President Director of Fund Administration at Ultimus Fund Solutions, LLC
Industry Law Practice
Experience
Ultimus Fund Solutions, LLC October 2014 - Present
Western & Southern Financial Group October 2012 - September 2014
US Securities and Exchange Commission September 2011 - September 2012
US Securities and Exchange Commission August 2009 - September 2011
The Supreme Court of Nevada August 2008 - August 2009
U.S. Bankrupcty Court for the Eastern District of Washington August 2007 - April 2008
Gonzaga Journal of International Law March 2007 - March 2008
Gonzaga University School of Law September 2007 - December 2007
US Securities and Exchange Commission May 2007 - August 2007
Office of City Attorney, City of Spokane, Washington July 2006 - April 2007
Skills
Legal Research, Corporate Law, Securities, Corporate Governance, Mutual Funds, Legal Issues, Legal Compliance, Legal Writing, Investment Company Act, Investment Advisers Act, Investment Management, Securities Regulation, Courts, Administrative Law, Closed-end Funds, Investment Companies, Compliance, Disclosure, Legal, Contract Negotiation, Contract Management, Due Diligence, Anti Money Laundering, Product Development, Investments, Investment Advisory, SEC filings, Fund Administration, Management Of Outside..., Business Ethics, Ethical Leadership, Board of Directors, Board Governance, Financial Services, Finance, Management, Asset Management, Leadership, Analysis, Risk Management, International Law
Education
Indiana University - Kelley School of Business 2013 — 2015
Master of Science (M.S.)
Gonzaga University School of Law 2005 — 2008
J.D.
Washington State University 2004 — 2005
B.A.
Naval Academy Preparatory School 2001 — 2002
Yakima Valley Community College 1999 — 2000
Ultimus Fund Solutions, LLC October 2014 - Present
Western & Southern Financial Group October 2012 - September 2014
US Securities and Exchange Commission September 2011 - September 2012
US Securities and Exchange Commission August 2009 - September 2011
The Supreme Court of Nevada August 2008 - August 2009
U.S. Bankrupcty Court for the Eastern District of Washington August 2007 - April 2008
Gonzaga Journal of International Law March 2007 - March 2008
Gonzaga University School of Law September 2007 - December 2007
US Securities and Exchange Commission May 2007 - August 2007
Office of City Attorney, City of Spokane, Washington July 2006 - April 2007
Skills
Legal Research, Corporate Law, Securities, Corporate Governance, Mutual Funds, Legal Issues, Legal Compliance, Legal Writing, Investment Company Act, Investment Advisers Act, Investment Management, Securities Regulation, Courts, Administrative Law, Closed-end Funds, Investment Companies, Compliance, Disclosure, Legal, Contract Negotiation, Contract Management, Due Diligence, Anti Money Laundering, Product Development, Investments, Investment Advisory, SEC filings, Fund Administration, Management Of Outside..., Business Ethics, Ethical Leadership, Board of Directors, Board Governance, Financial Services, Finance, Management, Asset Management, Leadership, Analysis, Risk Management, International Law
Education
Indiana University - Kelley School of Business 2013 — 2015
Master of Science (M.S.)
Gonzaga University School of Law 2005 — 2008
J.D.
Washington State University 2004 — 2005
B.A.
Naval Academy Preparatory School 2001 — 2002
Yakima Valley Community College 1999 — 2000
Michael Liftik's US Securities and Exchange Commission Experience May 2013 - Present
Job Senior Advisor to the Chair at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission May 2013 - Present
US Securities and Exchange Commission April 2012 - April 2013
U.S. Securities and Exchange Commission November 2007 - April 2013
Heller Ehrman August 2004 - November 2007
Piper Rudnick January 2003 - May 2004
Hill & Barlow August 2002 - December 2002
Skills
Securities Regulation, Corporate Law, Litigation, Corporate Governance, Securities Litigation, Civil Litigation
Education
Harvard Law School 1997 — 2000
J.D.
Harvard University 1992 — 1996
A.B., Social Studies
Roxbury Latin 1988 — 1992
US Securities and Exchange Commission May 2013 - Present
US Securities and Exchange Commission April 2012 - April 2013
U.S. Securities and Exchange Commission November 2007 - April 2013
Heller Ehrman August 2004 - November 2007
Piper Rudnick January 2003 - May 2004
Hill & Barlow August 2002 - December 2002
Skills
Securities Regulation, Corporate Law, Litigation, Corporate Governance, Securities Litigation, Civil Litigation
Education
Harvard Law School 1997 — 2000
J.D.
Harvard University 1992 — 1996
A.B., Social Studies
Roxbury Latin 1988 — 1992
Deborah Smith Cook's US Securities and Exchange Commission Experience October 2014 - Present
Job Chair, Hiring Committee; Strategic Alliances at US Securities and Exchange Commission
Industry Education Management
Experience
US Securities and Exchange Commission October 2014 - Present
George Washington University May 2012 - June 2015
US Securities and Exchange Commission August 2008 - October 2014
DoD CIFA October 2007 - August 2008
Caliber Learning Network 1996 - 2002
University of Baltimore 1989 - 1996
Texas A & M University 1982 - 1988
Skills
Leadership Development, Organizational..., Mentoring, Career Development, Instructional Design, Team Building, Management Development, Public Speaking, Change Management, Executive Coaching, Strategic Planning, Adult Education, Management Consulting, Curriculum Design, Change Leadership, Business Strategy, Problem Solving, Writing, Team Leadership, Research, Team Management, Organizational Design, Teaching, Curriculum Development, Organizational Change, Personal Development, Knowledge Management, Government, Budgeting, Talent Development, Staff Development, Strategic Thinking, Strategy Implementation, Analysis, Strategy, Career Counseling, Nonprofits, Budgets
Education
Indiana University - Kelley School of Business 1978 — 1981
DBA
Michigan State University 1975 — 1978
MBA
Hope College 1969 — 1973
BA
US Securities and Exchange Commission October 2014 - Present
George Washington University May 2012 - June 2015
US Securities and Exchange Commission August 2008 - October 2014
DoD CIFA October 2007 - August 2008
Caliber Learning Network 1996 - 2002
University of Baltimore 1989 - 1996
Texas A & M University 1982 - 1988
Skills
Leadership Development, Organizational..., Mentoring, Career Development, Instructional Design, Team Building, Management Development, Public Speaking, Change Management, Executive Coaching, Strategic Planning, Adult Education, Management Consulting, Curriculum Design, Change Leadership, Business Strategy, Problem Solving, Writing, Team Leadership, Research, Team Management, Organizational Design, Teaching, Curriculum Development, Organizational Change, Personal Development, Knowledge Management, Government, Budgeting, Talent Development, Staff Development, Strategic Thinking, Strategy Implementation, Analysis, Strategy, Career Counseling, Nonprofits, Budgets
Education
Indiana University - Kelley School of Business 1978 — 1981
DBA
Michigan State University 1975 — 1978
MBA
Hope College 1969 — 1973
BA
Lawrence Parrish's US Securities and Exchange Commission Experience June 1994 - Present
Job Senior Counsel at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission June 1994 - Present
US Securities and Exchange Commission 1994 - Present
Federal Election Commission 1990 - 1994
Pennsylvania, Department of State, Bureau of Professional and Occupational Affairs August 1988 - August 1990
Skills
Litigation, Securities Regulation, Securities, Securities Litigation, Legal Research, Legal Writing, Civil Litigation, Commercial Litigation, Corporate Governance, Arbitration, Bankruptcy, Mediation, Intellectual Property, Appeals, Employment Law, Corporate Law, Courts, Trials
Education
Howard University School of Law 1984 — 1987
University of Pittsburgh 1977 — 1982
BA, Political Science, Administration of Justice
U.S. Securities and Exchange Commission June 1994 - Present
US Securities and Exchange Commission 1994 - Present
Federal Election Commission 1990 - 1994
Pennsylvania, Department of State, Bureau of Professional and Occupational Affairs August 1988 - August 1990
Skills
Litigation, Securities Regulation, Securities, Securities Litigation, Legal Research, Legal Writing, Civil Litigation, Commercial Litigation, Corporate Governance, Arbitration, Bankruptcy, Mediation, Intellectual Property, Appeals, Employment Law, Corporate Law, Courts, Trials
Education
Howard University School of Law 1984 — 1987
University of Pittsburgh 1977 — 1982
BA, Political Science, Administration of Justice
Rebecca Lubens's US Securities and Exchange Commission Experience January 2013 - Present
Job Division of Enforcement, Staff Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission January 2013 - Present
Orrick, Herrington & Sutcliffe December 2006 - December 2012
Education
University of California, Berkeley 2003 — 2005
Doctor of Law (J.D.)
Harvard University 1996 — 2000
Bachelor's degree
US Securities and Exchange Commission January 2013 - Present
Orrick, Herrington & Sutcliffe December 2006 - December 2012
Education
University of California, Berkeley 2003 — 2005
Doctor of Law (J.D.)
Harvard University 1996 — 2000
Bachelor's degree
Darrien Demps's US Securities and Exchange Commission Experience March 2009 - November 2011
Job Contracting Officer at FEMA
Industry Government Administration
Experience
FEMA November 2011 - Present
US Securities and Exchange Commission March 2009 - November 2011
United States Navy March 2005 - March 2009
Skills
DoD, Security Clearance, Military, Government Contracting, Navy, National Security, Military Operations, Military Experience, Defense, Government, Command, Operational Planning
Education
Howard University 1989 — 1993
Bachelor of Business Administration (B.B.A.), Marketing
FEMA November 2011 - Present
US Securities and Exchange Commission March 2009 - November 2011
United States Navy March 2005 - March 2009
Skills
DoD, Security Clearance, Military, Government Contracting, Navy, National Security, Military Operations, Military Experience, Defense, Government, Command, Operational Planning
Education
Howard University 1989 — 1993
Bachelor of Business Administration (B.B.A.), Marketing
Conrad Schmidt's US Securities and Exchange Commission Experience 1989 - 1990
Job Group Leader, Talent Management Labs at CEB
Industry Management Consulting
Experience
CEB January 2015 - Present
Corporate Executive Board January 2011 - January 2015
Corporate Executive Board February 1998 - January 2011
RAND Corporation 1992 - 1998
Center for Budget and Policy Priorities/ Defense Budget Project 1990 - 1992
US Securities and Exchange Commission 1989 - 1990
Skills
Management Consulting, HR Consulting, Management Presentations, Research Methods, Qualitative Research, Quantitative Research, Survey Research, Focus Groups, Business Metrics, Policy Analysis, Public Policy, Strategy, Statistics, Analytics, Research, Leadership, Talent Management, Policy, Analysis, Human Resources, Leadership Development, Economics, Business Strategy, Training, Change Management, Management, Employee Engagement, Mergers & Acquisitions, Econometrics, Government
Education
Pardee RAND Graduate School 1991 — 1998
PhD, Policy Analysis
Harvard University, John F. Kennedy School of Government 1987 — 1989
MPA, International Relations, public policy, national defense, policy analysis
University of Minnesota Duluth 1982 — 1986
BA, Political Science, Economics
CEB January 2015 - Present
Corporate Executive Board January 2011 - January 2015
Corporate Executive Board February 1998 - January 2011
RAND Corporation 1992 - 1998
Center for Budget and Policy Priorities/ Defense Budget Project 1990 - 1992
US Securities and Exchange Commission 1989 - 1990
Skills
Management Consulting, HR Consulting, Management Presentations, Research Methods, Qualitative Research, Quantitative Research, Survey Research, Focus Groups, Business Metrics, Policy Analysis, Public Policy, Strategy, Statistics, Analytics, Research, Leadership, Talent Management, Policy, Analysis, Human Resources, Leadership Development, Economics, Business Strategy, Training, Change Management, Management, Employee Engagement, Mergers & Acquisitions, Econometrics, Government
Education
Pardee RAND Graduate School 1991 — 1998
PhD, Policy Analysis
Harvard University, John F. Kennedy School of Government 1987 — 1989
MPA, International Relations, public policy, national defense, policy analysis
University of Minnesota Duluth 1982 — 1986
BA, Political Science, Economics
Daphne Chisolm's US Securities and Exchange Commission Experience 1999 - 2007
Job Attorney at Law
Industry Financial Services
Experience
Law Offices of DT Chisolm, P.C. June 2009 - Present
Dechert LLP 2007 - 2009
US Securities and Exchange Commission 1999 - 2007
Dechert LLP 1997 - 1999
Katten Muchin Rosenman LLP 1996 - 1997
Kirkpatrick & Lockhart Preston Gates Ellis LLP 1994 - 1996
Skills
Securities Regulation, SEC, Arbitration, Investment Advisers Act, Investment Company Act, Legal Advice, Bankruptcy, Legal Research, Corporate Law, Securities
Education
Harvard Law School 1991 — 1994
JD
University of North Carolina at Chapel Hill 1987 — 1991
North Carolina School of Science and Mathematics 1985 — 1987
H.S. Diploma
Law Offices of DT Chisolm, P.C. June 2009 - Present
Dechert LLP 2007 - 2009
US Securities and Exchange Commission 1999 - 2007
Dechert LLP 1997 - 1999
Katten Muchin Rosenman LLP 1996 - 1997
Kirkpatrick & Lockhart Preston Gates Ellis LLP 1994 - 1996
Skills
Securities Regulation, SEC, Arbitration, Investment Advisers Act, Investment Company Act, Legal Advice, Bankruptcy, Legal Research, Corporate Law, Securities
Education
Harvard Law School 1991 — 1994
JD
University of North Carolina at Chapel Hill 1987 — 1991
North Carolina School of Science and Mathematics 1985 — 1987
H.S. Diploma
Maxine Woodland's US Securities and Exchange Commission Experience September 2008 - Present
Job Employee & Labour Specialist at US Securities and Exchange Commission
Industry Alternative Dispute Resolution
Experience
US Securities and Exchange Commission September 2008 - Present
US Dept of Commerce June 2004 - September 2008
Career Path 2001 - 2004
MSTA 1994 - 2001
Skills
Employee Relations, Organizational..., Performance Management, Conflict Resolution, Labor Relations, HR Policies, Contract Negotiation, Contract Management
Education
Howard University 1976 — 1982
MBA, Labor Management Relations
Priory School, Jamaica
US Securities and Exchange Commission September 2008 - Present
US Dept of Commerce June 2004 - September 2008
Career Path 2001 - 2004
MSTA 1994 - 2001
Skills
Employee Relations, Organizational..., Performance Management, Conflict Resolution, Labor Relations, HR Policies, Contract Negotiation, Contract Management
Education
Howard University 1976 — 1982
MBA, Labor Management Relations
Priory School, Jamaica
Wendy (Potenberg) Hart, JD, CFP®, MBA's US Securities and Exchange Commission Experience January 2004 - December 2004
Job Securities Enforcement Attorney, Financial Services Advisor, CERTIFIED FINANCIAL PLANNER™ Professional
Industry Law Practice
Experience
Financial Strategies Group May 2013 - Present
CFP Board of Standards November 2000 - Present
Georgia Office of Secretary of State, Securities Division September 2013 - February 2014
Seyfarth Shaw September 2012 - March 2013
Baker Donelson September 2011 - August 2012
Morgan Lewis January 2011 - September 2011
Schiff Hardin LLP March 2005 - August 2010
US Securities and Exchange Commission January 2004 - December 2004
AXA Client Solutions February 2000 - August 2003
Banc One Securities Corp. July 1999 - February 2000
Skills
Investments, Corporate Law, Mergers & Acquisitions, Retirement, Arbitration, Corporate Governance, Due Diligence, Legal Writing, Mutual Funds, Insurance, Securities, Litigation, Securities Regulation, Mediation, Legal Research, Retirement Planning, Mergers, Employment Law, Civil Litigation, 401k, Estate Planning, Intellectual Property, Licensing, Wealth Management, Financial Services, Bankruptcy, Public Speaking, Series 7, Commercial Litigation, Appeals, Nonprofits, Trusts, Trials, Dispute Resolution, Insurance Law, Class Actions, Litigation Support, Wills, Westlaw, Finance, Financial Planning
Education
Georgia State University College of Law 2001 — 2004
JD
The University of Dallas 1992 — 1994
MBA, Financial Planning Services
University of Illinois at Urbana-Champaign - College of Business 1987 — 1991
BS, Business Administration
Downers Grove North 1983 — 1987
Diploma
Financial Strategies Group May 2013 - Present
CFP Board of Standards November 2000 - Present
Georgia Office of Secretary of State, Securities Division September 2013 - February 2014
Seyfarth Shaw September 2012 - March 2013
Baker Donelson September 2011 - August 2012
Morgan Lewis January 2011 - September 2011
Schiff Hardin LLP March 2005 - August 2010
US Securities and Exchange Commission January 2004 - December 2004
AXA Client Solutions February 2000 - August 2003
Banc One Securities Corp. July 1999 - February 2000
Skills
Investments, Corporate Law, Mergers & Acquisitions, Retirement, Arbitration, Corporate Governance, Due Diligence, Legal Writing, Mutual Funds, Insurance, Securities, Litigation, Securities Regulation, Mediation, Legal Research, Retirement Planning, Mergers, Employment Law, Civil Litigation, 401k, Estate Planning, Intellectual Property, Licensing, Wealth Management, Financial Services, Bankruptcy, Public Speaking, Series 7, Commercial Litigation, Appeals, Nonprofits, Trusts, Trials, Dispute Resolution, Insurance Law, Class Actions, Litigation Support, Wills, Westlaw, Finance, Financial Planning
Education
Georgia State University College of Law 2001 — 2004
JD
The University of Dallas 1992 — 1994
MBA, Financial Planning Services
University of Illinois at Urbana-Champaign - College of Business 1987 — 1991
BS, Business Administration
Downers Grove North 1983 — 1987
Diploma
Ashley Cross's US Securities and Exchange Commission Experience January 2014 - March 2014
Job Investment Management Associate at Schulte Roth & Zabel LLP
Industry Law Practice
Experience
Schulte Roth & Zabel LLP October 2014 - Present
US Securities and Exchange Commission January 2014 - March 2014
Schulte Roth & Zabel LLP May 2013 - August 2013
Comcast Cable May 2012 - July 2012
JANA Partners LLC December 2009 - June 2011
Galleon Group February 2008 - November 2009
Edelman June 2007 - August 2007
Education
Howard University School of Law 2011 — 2014
J.D.
University of North Carolina at Chapel Hill 2003 — 2007
Bachelor's Degree, Double Major in Journalism and Political Science
Schulte Roth & Zabel LLP October 2014 - Present
US Securities and Exchange Commission January 2014 - March 2014
Schulte Roth & Zabel LLP May 2013 - August 2013
Comcast Cable May 2012 - July 2012
JANA Partners LLC December 2009 - June 2011
Galleon Group February 2008 - November 2009
Edelman June 2007 - August 2007
Education
Howard University School of Law 2011 — 2014
J.D.
University of North Carolina at Chapel Hill 2003 — 2007
Bachelor's Degree, Double Major in Journalism and Political Science
Jeanine Colbert O'Meara's US Securities and Exchange Commission Experience November 2012 - Present
Job Office of Compliance Inspections and Examinations Clearance and Settlement at US Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission November 2012 - Present
Ernst & Young June 1997 - November 2012
Coopers & Lybrand August 1995 - June 1997
Skills
Fraud, Forensic Accounting, Certified Fraud Examiner, Accounting, Litigation Support, Auditing, Internal Controls, CPA, Enterprise Risk..., US GAAP, Internal Audit, GAAP, SEC filings, Fraud Investigations, Regulatory Examinations, Financial Analysis, Regulatory Compliance
Education
Illinois State University 1991 — 1995
B.S., Accounting
US Securities and Exchange Commission November 2012 - Present
Ernst & Young June 1997 - November 2012
Coopers & Lybrand August 1995 - June 1997
Skills
Fraud, Forensic Accounting, Certified Fraud Examiner, Accounting, Litigation Support, Auditing, Internal Controls, CPA, Enterprise Risk..., US GAAP, Internal Audit, GAAP, SEC filings, Fraud Investigations, Regulatory Examinations, Financial Analysis, Regulatory Compliance
Education
Illinois State University 1991 — 1995
B.S., Accounting
Dwayne Chase's US Securities and Exchange Commission Experience September 2012 - December 2012
Job J.D. Candidate at Howard University School of Law
Industry Law Practice
Experience
Howard University School of Law August 2010 - February 2013
US Securities and Exchange Commission September 2012 - December 2012
New York State Attorney General June 2011 - July 2011
Merrill Lynch July 2008 - July 2010
St. John's University 2004 - 2008
Skills
Capital Markets, Process Improvement, Banking, Finance, PowerPoint
Education
Howard University School of Law 2010 — 2013
J.D., Law
Saint John's University - Peter J. Tobin College of Business 2004 — 2008
Bachelor of Science, Finance
Howard University School of Law August 2010 - February 2013
US Securities and Exchange Commission September 2012 - December 2012
New York State Attorney General June 2011 - July 2011
Merrill Lynch July 2008 - July 2010
St. John's University 2004 - 2008
Skills
Capital Markets, Process Improvement, Banking, Finance, PowerPoint
Education
Howard University School of Law 2010 — 2013
J.D., Law
Saint John's University - Peter J. Tobin College of Business 2004 — 2008
Bachelor of Science, Finance
Rosa Serpico's US Securities and Exchange Commission Experience August 1992 - August 1996
Job Corporate Attorney
Industry Investment Banking
Experience
Barclays Capital October 2011 - January 2013
Deutsche Bank July 2007 - June 2011
The Associated Press October 2006 - December 2006
Orrick, Herrington & Sutcliffe LLP September 1999 - August 2004
Philadelphia Law Department January 1998 - May 1998
Morgan, Lewis & Bockius LLP June 1997 - August 1997
Equal Employment Opportunity Commission October 1996 - April 1997
US Securities and Exchange Commission August 1992 - August 1996
Education
University of Pennsylvania Law School 1996 — 1999
JD, Law
Hofstra University
BBA, MA, Finance, Industrial & Organizational Psychology
Seaford H.S.
Barclays Capital October 2011 - January 2013
Deutsche Bank July 2007 - June 2011
The Associated Press October 2006 - December 2006
Orrick, Herrington & Sutcliffe LLP September 1999 - August 2004
Philadelphia Law Department January 1998 - May 1998
Morgan, Lewis & Bockius LLP June 1997 - August 1997
Equal Employment Opportunity Commission October 1996 - April 1997
US Securities and Exchange Commission August 1992 - August 1996
Education
University of Pennsylvania Law School 1996 — 1999
JD, Law
Hofstra University
BBA, MA, Finance, Industrial & Organizational Psychology
Seaford H.S.
Green, Sarah's US Securities and Exchange Commission Experience July 2010 - Present
Job Bank Secrecy Act Specialist at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission July 2010 - Present
US Securities and Exchange Commission February 2008 - July 2010
Gardner Carton &Douglas September 2001 - July 2004
Education
The College of William and Mary - Marshall Wythe Law School 1998 — 2001
JD, Law
Hamilton College 1990 — 1994
BA, Government, French
US Securities and Exchange Commission July 2010 - Present
US Securities and Exchange Commission February 2008 - July 2010
Gardner Carton &Douglas September 2001 - July 2004
Education
The College of William and Mary - Marshall Wythe Law School 1998 — 2001
JD, Law
Hamilton College 1990 — 1994
BA, Government, French
LaTauya Fisher's US Securities and Exchange Commission Experience January 2005 - August 2007
Job Applications Development, Business Intelligence & Reporting Specialist
Industry Government Administration
Experience
Office of the Comptroller of the Currency July 2015 - Present
Federal Housing Finance Agency March 2008 - July 2015
FDIC August 2007 - March 2008
US Securities and Exchange Commission January 2005 - August 2007
Skills
Data Analysis, Analysis, Data Modeling, Access, Analytics, Risk Management, Business Analysis, Government, Program Management, Financial Analysis, Process Improvement, Data Governance, Governance, Financial Modeling, SAS, Excel, PowerPoint, Word, Financial Reporting, Compliance, Microsoft Office, Change Management, Outlook, SQL, VBA, Forecasting, Problem Solving, Documentation, Administration, SQL Server 2000-2008, Oracle Applications, Graphic Design, Tableau, MicroStrategy Reporting, System Design, System Development, Business Process..., Business Process Design, Business Process..., Relational Databases, Team Building, Team Leadership, Information Management, Data Quality Assurance, Prezi, Leading Change, Organizational..., Logistics Management, Microsoft Excel, Software Documentation
Education
Howard University
Office of the Comptroller of the Currency July 2015 - Present
Federal Housing Finance Agency March 2008 - July 2015
FDIC August 2007 - March 2008
US Securities and Exchange Commission January 2005 - August 2007
Skills
Data Analysis, Analysis, Data Modeling, Access, Analytics, Risk Management, Business Analysis, Government, Program Management, Financial Analysis, Process Improvement, Data Governance, Governance, Financial Modeling, SAS, Excel, PowerPoint, Word, Financial Reporting, Compliance, Microsoft Office, Change Management, Outlook, SQL, VBA, Forecasting, Problem Solving, Documentation, Administration, SQL Server 2000-2008, Oracle Applications, Graphic Design, Tableau, MicroStrategy Reporting, System Design, System Development, Business Process..., Business Process Design, Business Process..., Relational Databases, Team Building, Team Leadership, Information Management, Data Quality Assurance, Prezi, Leading Change, Organizational..., Logistics Management, Microsoft Excel, Software Documentation
Education
Howard University
David W. Butler, Jr.'s US Securities and Exchange Commission Experience December 2014 - Present
Job Administrative Officer and Contracting Officers Representative at U.S. Securities and Exchange Commission
Industry Legal Services
Experience
U.S. Securities and Exchange Commission December 2014 - Present
US Securities and Exchange Commission March 2013 - December 2014
Stradley Ronon January 2009 - March 2013
Stradley Ronon January 2007 - January 2009
Dechert LLP August 2006 - January 2007
Skills
Westlaw, Legal Research, Litigation, Legal Writing, Litigation Support, Trials, Document Review, Courts, Legal Assistance, Lexis, Pleadings, Securities Regulation, Team Management, Human Resources, Performance Management, Professional..., Financial Regulation, SEC filings, Securities Litigation, Securities Fraud, Project Management, Project Planning, Paralegals, CaseMap
Education
Holy Family University 2002 — 2006
Bachelor of Arts (B.A.), History and Political Science
North Penn High School 1999 — 2002
High School Diploma
U.S. Securities and Exchange Commission December 2014 - Present
US Securities and Exchange Commission March 2013 - December 2014
Stradley Ronon January 2009 - March 2013
Stradley Ronon January 2007 - January 2009
Dechert LLP August 2006 - January 2007
Skills
Westlaw, Legal Research, Litigation, Legal Writing, Litigation Support, Trials, Document Review, Courts, Legal Assistance, Lexis, Pleadings, Securities Regulation, Team Management, Human Resources, Performance Management, Professional..., Financial Regulation, SEC filings, Securities Litigation, Securities Fraud, Project Management, Project Planning, Paralegals, CaseMap
Education
Holy Family University 2002 — 2006
Bachelor of Arts (B.A.), History and Political Science
North Penn High School 1999 — 2002
High School Diploma
Audrey A. Gramling's US Securities and Exchange Commission Experience 2004 - 2005
Job Accounting Professor and Department Chair at Colorado State University
Industry Accounting
Experience
Colorado State University July 2014 - Present
Bellarmine University June 2012 - May 2014
Kennesaw State University August 2005 - May 2012
US Securities and Exchange Commission 2004 - 2005
Georgia State University 2000 - 2004
Wake Forest University 1998 - 2000
University of Illinois at Urbana-Champaign 1995 - 1998
Deloitte 1985 - 1988
Skills
Internal Controls, Internal Audit, Auditing, External Audit, COSO
Education
University of Arizona 1990 — 1995
PhD, Accounting
Georgia State University - J. Mack Robinson College of Business
MPA, Accounting
University of Toledo
BBA, Accounting
Colorado State University July 2014 - Present
Bellarmine University June 2012 - May 2014
Kennesaw State University August 2005 - May 2012
US Securities and Exchange Commission 2004 - 2005
Georgia State University 2000 - 2004
Wake Forest University 1998 - 2000
University of Illinois at Urbana-Champaign 1995 - 1998
Deloitte 1985 - 1988
Skills
Internal Controls, Internal Audit, Auditing, External Audit, COSO
Education
University of Arizona 1990 — 1995
PhD, Accounting
Georgia State University - J. Mack Robinson College of Business
MPA, Accounting
University of Toledo
BBA, Accounting
Cristin Fair's US Securities and Exchange Commission Experience February 2010 - April 2012
Job Owner, Fair Consulting Group LLC
Industry Government Administration
Experience
Fair Consulting Group, LLC May 2012 - Present
Deep Water Point 2012 - Present
US Securities and Exchange Commission February 2010 - April 2012
U.S. Securities and Exchange Commission 2008 - 2010
US Department of Homeland Security 2006 - 2008
CBP, DHS 2002 - 2006
Education
National-Louis University 1994 — 1996
MS, Management
The Johns Hopkins University 1984 — 1986
MS, Science and Tech for Educators
Hartwick College 1975 — 1979
BS, Environmental Science and Outdoor education
Fair Consulting Group, LLC May 2012 - Present
Deep Water Point 2012 - Present
US Securities and Exchange Commission February 2010 - April 2012
U.S. Securities and Exchange Commission 2008 - 2010
US Department of Homeland Security 2006 - 2008
CBP, DHS 2002 - 2006
Education
National-Louis University 1994 — 1996
MS, Management
The Johns Hopkins University 1984 — 1986
MS, Science and Tech for Educators
Hartwick College 1975 — 1979
BS, Environmental Science and Outdoor education
Elaine Choi's US Securities and Exchange Commission Experience May 2010 - August 2010
Job Associate at Boies, Schiller & Flexner LLP
Industry Law Practice
Experience
Boies, Schiller & Flexner LLP March 2013 - Present
Cravath, Swaine & Moore LLP September 2012 - March 2013
Cravath, Swaine & Moore LLP May 2011 - August 2011
US Securities and Exchange Commission May 2010 - August 2010
H&Q Asia Pacific June 2007 - July 2009
Skills
Westlaw, Strategy, Legal Writing
Education
Harvard Law School 2009 — 2012
JD
Stanford University 2004 — 2007
BA, International Relations
Boies, Schiller & Flexner LLP March 2013 - Present
Cravath, Swaine & Moore LLP September 2012 - March 2013
Cravath, Swaine & Moore LLP May 2011 - August 2011
US Securities and Exchange Commission May 2010 - August 2010
H&Q Asia Pacific June 2007 - July 2009
Skills
Westlaw, Strategy, Legal Writing
Education
Harvard Law School 2009 — 2012
JD
Stanford University 2004 — 2007
BA, International Relations
Andrew Palid's US Securities and Exchange Commission Experience September 2012 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission September 2012 - Present
Foley Hoag LLP October 2005 - August 2012
Norfolk County District Attorney's Office April 2010 - July 2010
Quinn Emanuel 2004 - 2004
Seltzer Caplan McMahon Vitek 2004 - 2004
Skills
Securities Litigation, General Business..., Professional Malpractice
Education
Harvard Law School 2002 — 2005
J.D.
University of Notre Dame 1998 — 2002
B.A., Philosophy
US Securities and Exchange Commission September 2012 - Present
Foley Hoag LLP October 2005 - August 2012
Norfolk County District Attorney's Office April 2010 - July 2010
Quinn Emanuel 2004 - 2004
Seltzer Caplan McMahon Vitek 2004 - 2004
Skills
Securities Litigation, General Business..., Professional Malpractice
Education
Harvard Law School 2002 — 2005
J.D.
University of Notre Dame 1998 — 2002
B.A., Philosophy
Christina Ball's US Securities and Exchange Commission Experience January 2013 - Present
Job CPU Technician at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission January 2013 - Present
Boland April 2012 - December 2012
Walt Disney World August 2011 - January 2012
Montgomery County Federal Credit Union May 2009 - August 2009
Green Acres 2006 - 2007
Skills
PowerPoint, Access, Customer Service, Data Entry, Event Planning, Facebook, Leadership, Microsoft Excel, Microsoft Office, Microsoft Word, Outlook, Photoshop, Public Speaking, Research, Sales, Social Media, Social Networking, Team Leadership, Teamwork, Time Management
Education
High Point University 2007 — 2011
B.S. Business Administration and Psychology, Minor: Mathematics
US Securities and Exchange Commission January 2013 - Present
Boland April 2012 - December 2012
Walt Disney World August 2011 - January 2012
Montgomery County Federal Credit Union May 2009 - August 2009
Green Acres 2006 - 2007
Skills
PowerPoint, Access, Customer Service, Data Entry, Event Planning, Facebook, Leadership, Microsoft Excel, Microsoft Office, Microsoft Word, Outlook, Photoshop, Public Speaking, Research, Sales, Social Media, Social Networking, Team Leadership, Teamwork, Time Management
Education
High Point University 2007 — 2011
B.S. Business Administration and Psychology, Minor: Mathematics
Robert Bagnall's US Securities and Exchange Commission Experience September 2014 - Present
Job Securities Regulatory Lawyer
Industry Legal Services
Experience
U.S. Securities and Exchange Commission September 2014 - Present
US Securities and Exchange Commission September 2010 - September 2014
WilmerHale 1996 - 2010
Georgetown University Law Center 2000 - 2003
US Securities and Exchange Commission 1991 - 1996
K&L Gates 1987 - 1991
Skills
Investments, Securities Regulation, Litigation, Corporate Governance, Analysis, Policy Analysis, Corporate Law, Securities, Civil Litigation, Government, Mergers & Acquisitions, Legal Research, Legal Writing, Due Diligence, Investment Management, Commercial Litigation
Education
Harvard Law School
JD, Law
Phillips Academy, Andover
Yale
BA, Classics
U.S. Securities and Exchange Commission September 2014 - Present
US Securities and Exchange Commission September 2010 - September 2014
WilmerHale 1996 - 2010
Georgetown University Law Center 2000 - 2003
US Securities and Exchange Commission 1991 - 1996
K&L Gates 1987 - 1991
Skills
Investments, Securities Regulation, Litigation, Corporate Governance, Analysis, Policy Analysis, Corporate Law, Securities, Civil Litigation, Government, Mergers & Acquisitions, Legal Research, Legal Writing, Due Diligence, Investment Management, Commercial Litigation
Education
Harvard Law School
JD, Law
Phillips Academy, Andover
Yale
BA, Classics
Ron Wood's US Securities and Exchange Commission Experience April 1989 - August 1999
Job Partner at Brown, White & Osborn
Industry Law Practice
Experience
Brown, White & Osborn June 2015 - Present
Proskauer Rose LLP April 2007 - June 2015
The Wood Group September 2005 - April 2007
Morgan Stanley (Law Division) August 1999 - September 2005
US Securities and Exchange Commission April 1989 - August 1999
McCutchen, Doyle, Brown and Enersen September 1987 - April 1989
Skills
Civil Litigation, Litigation, Commercial Litigation, Securities Regulation, Internal Investigations, Securities Litigation, Business Litigation, White Collar Criminal..., Trials, SEC, Arbitration, Legal Research, Class Actions, Employment..., Intellectual Property, Legal Writing, Private Investigations, Employment Law, Corporate Governance, Corporate Law, Trial Practice, Courts, Appeals, Trade Secrets, Securities Offerings, Bankruptcy, Privacy Law, Licensing, Dispute Resolution, Mediation, Securities
Education
Howard University School of Law 1984 — 1987
JD, Law
Howard University
Brown, White & Osborn June 2015 - Present
Proskauer Rose LLP April 2007 - June 2015
The Wood Group September 2005 - April 2007
Morgan Stanley (Law Division) August 1999 - September 2005
US Securities and Exchange Commission April 1989 - August 1999
McCutchen, Doyle, Brown and Enersen September 1987 - April 1989
Skills
Civil Litigation, Litigation, Commercial Litigation, Securities Regulation, Internal Investigations, Securities Litigation, Business Litigation, White Collar Criminal..., Trials, SEC, Arbitration, Legal Research, Class Actions, Employment..., Intellectual Property, Legal Writing, Private Investigations, Employment Law, Corporate Governance, Corporate Law, Trial Practice, Courts, Appeals, Trade Secrets, Securities Offerings, Bankruptcy, Privacy Law, Licensing, Dispute Resolution, Mediation, Securities
Education
Howard University School of Law 1984 — 1987
JD, Law
Howard University
Nancy Morris's US Securities and Exchange Commission Experience 2006 - 2008
Job Chief Compliance Officer at Wellington Management
Industry Financial Services
Experience
Wellington Management April 2012 - Present
Allianz Global Investors May 2008 - March 2012
U.S. Securities and Exchange Commission 2006 - 2008
US Securities and Exchange Commission 2004 - 2006
T Rowe Price 1994 - 2004
Fidelity Investments 1992 - 1994
U.S. Securities and Exchange Commission 1985 - 1992
Sutherland, Asbill & Brennan 1983 - 1985
Education
University of Idaho 2000 — 2003
JD, Law
Hartwick College 1970 — 1974
BA, Sociology and Ethics
Wellington Management April 2012 - Present
Allianz Global Investors May 2008 - March 2012
U.S. Securities and Exchange Commission 2006 - 2008
US Securities and Exchange Commission 2004 - 2006
T Rowe Price 1994 - 2004
Fidelity Investments 1992 - 1994
U.S. Securities and Exchange Commission 1985 - 1992
Sutherland, Asbill & Brennan 1983 - 1985
Education
University of Idaho 2000 — 2003
JD, Law
Hartwick College 1970 — 1974
BA, Sociology and Ethics
Bill Wiggins's US Securities and Exchange Commission Experience April 1998 - April 2006
Job Sr. Deputy Chief Administrative Officer at Public Company Accounting Oversight Board
Industry Government Administration
Experience
Public Company Accounting Oversight Board August 2010 - December 2014
Public Company Accounting Oversight Board May 2006 - August 2010
US Securities and Exchange Commission April 1998 - April 2006
Office of Management and Budget 1995 - March 1998
Skills
Budgets, Management, Financial Reporting, Policy, Government, Procurement, Strategic Planning, Program Management, Analysis, Federal Government, Politics, Human Resources
Education
Harvard University Kennedy School of Government 1993 — 1995
Master of Public Policy
Wesleyan University 1989 — 1993
BA, Government and History
Pomfret School 1987 — 1989
Public Company Accounting Oversight Board August 2010 - December 2014
Public Company Accounting Oversight Board May 2006 - August 2010
US Securities and Exchange Commission April 1998 - April 2006
Office of Management and Budget 1995 - March 1998
Skills
Budgets, Management, Financial Reporting, Policy, Government, Procurement, Strategic Planning, Program Management, Analysis, Federal Government, Politics, Human Resources
Education
Harvard University Kennedy School of Government 1993 — 1995
Master of Public Policy
Wesleyan University 1989 — 1993
BA, Government and History
Pomfret School 1987 — 1989
Jeevan Voduru's US Securities and Exchange Commission Experience November 2004 - December 2006
Job Sr Manager,Enterprise Applications at Airlines Reporting Corporation
Industry Information Technology and Services
Experience
ARC February 2007 - Present
US Securities and Exchange Commission November 2004 - December 2006
American Red Cross February 2000 - October 2004
USPTO January 1999 - December 1999
CMC Ltd January 1996 - October 1998
Skills
System Architecture, Software Development, Requirements Analysis, Agile Methodologies, Software Project..., SDLC
Education
Gulbarga University 1991 — 1995
B.S, Electronics & Communications
New Model High School
ARC February 2007 - Present
US Securities and Exchange Commission November 2004 - December 2006
American Red Cross February 2000 - October 2004
USPTO January 1999 - December 1999
CMC Ltd January 1996 - October 1998
Skills
System Architecture, Software Development, Requirements Analysis, Agile Methodologies, Software Project..., SDLC
Education
Gulbarga University 1991 — 1995
B.S, Electronics & Communications
New Model High School
Alessandra Hagemann's US Securities and Exchange Commission Experience January 2004 - Present
Job Securities Compliance Examiner at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission January 2004 - Present
Education
Hofstra University
US Securities and Exchange Commission January 2004 - Present
Education
Hofstra University
David Kornblau's US Securities and Exchange Commission Experience December 2000 - August 2005
Job Partner at Covington & Burling
Industry Law Practice
Experience
Covington & Burling May 2009 - Present
Merrill Lynch September 2005 - February 2009
US Securities and Exchange Commission December 2000 - August 2005
Securities and Exchange Commission 2000 - 2005
US Securities and Exchange Commission August 1995 - December 2000
Paul, Weiss, Rifkind, Wharton & Garrison LLP November 1987 - April 1995
Skills
Securities Regulation, Corporate Governance, Securities
Education
Harvard Law School 1983 — 1986
J.D.
Princeton University 1979 — 1983
A.B., Physics
John L. Miller Great Neck North Senior High School 1976 — 1979
H.S. Diploma
Covington & Burling May 2009 - Present
Merrill Lynch September 2005 - February 2009
US Securities and Exchange Commission December 2000 - August 2005
Securities and Exchange Commission 2000 - 2005
US Securities and Exchange Commission August 1995 - December 2000
Paul, Weiss, Rifkind, Wharton & Garrison LLP November 1987 - April 1995
Skills
Securities Regulation, Corporate Governance, Securities
Education
Harvard Law School 1983 — 1986
J.D.
Princeton University 1979 — 1983
A.B., Physics
John L. Miller Great Neck North Senior High School 1976 — 1979
H.S. Diploma
Marc Dorfman's US Securities and Exchange Commission Experience March 1978 - July 1981
Job Chief Hearing Officer, Public Company Accounting Oversight Board
Industry Law Practice
Experience
PCAOB October 2013 - Present
Foley & Lardner LLP February 2001 - September 2013
Freedman, Levy, Krolll & Simonds August 1981 - January 2001
US Securities and Exchange Commission March 1978 - July 1981
Skills
Securities Litigation, Securities Regulation, Litigation, Commercial Litigation, Class Actions, FCPA, Arbitration, Corporate Governance, White Collar Criminal..., Corporate Law, Civil Litigation, Internal Investigations, Appeals, Legal Research, Securities, Litigation Support, Trials
Education
Harvard Law School 1973 — 1976
J.D.
Yale University 1969 — 1973
A.B., Philosophy and Psychology
PCAOB October 2013 - Present
Foley & Lardner LLP February 2001 - September 2013
Freedman, Levy, Krolll & Simonds August 1981 - January 2001
US Securities and Exchange Commission March 1978 - July 1981
Skills
Securities Litigation, Securities Regulation, Litigation, Commercial Litigation, Class Actions, FCPA, Arbitration, Corporate Governance, White Collar Criminal..., Corporate Law, Civil Litigation, Internal Investigations, Appeals, Legal Research, Securities, Litigation Support, Trials
Education
Harvard Law School 1973 — 1976
J.D.
Yale University 1969 — 1973
A.B., Philosophy and Psychology
Max Berueffy's US Securities and Exchange Commission Experience 1987 - 1994
Job Senior Associate Counsel at Protective Life
Industry Insurance
Experience
Protective Life September 2006 - Present
Harbert Management Corporation 2003 - 2007
Harbert Management Corporation August 2003 - July 2006
Forum Financial Group May 1994 - June 1998
US Securities and Exchange Commission 1987 - 1994
Education
University of California, Davis - School of Law 1980 — 1983
J.D., Law
Grinnell College 1970 — 1974
B.A., Classical Languages
Protective Life September 2006 - Present
Harbert Management Corporation 2003 - 2007
Harbert Management Corporation August 2003 - July 2006
Forum Financial Group May 1994 - June 1998
US Securities and Exchange Commission 1987 - 1994
Education
University of California, Davis - School of Law 1980 — 1983
J.D., Law
Grinnell College 1970 — 1974
B.A., Classical Languages
Brian F. McNally, Esq.'s US Securities and Exchange Commission Experience 1990 - 1995
Job CEO and Owner at IM Compliance Services, LLC
Industry Investment Management
Experience
IM Compliance Services, LLC January 2014 - Present
Turner Investments July 2002 - Present
Bank of America 1997 - 2002
K&L Gates 1995 - 1997
US Securities and Exchange Commission 1990 - 1995
Perkins Coie LLP 1986 - 1989
Skills
Alternative Investments, Asset Management, Hedge Funds, Securities, Mutual Funds, Series 7, Series 63, FINRA, Compliance, Corporate Law, Equities
Education
University of San Francisco School of Law 1983 — 1986
Doctor of Law (J.D.)
Hamilton College 1976 — 1980
Bachelor of Arts (B.A.) magna cum laude, English Language and Literature, General
IM Compliance Services, LLC January 2014 - Present
Turner Investments July 2002 - Present
Bank of America 1997 - 2002
K&L Gates 1995 - 1997
US Securities and Exchange Commission 1990 - 1995
Perkins Coie LLP 1986 - 1989
Skills
Alternative Investments, Asset Management, Hedge Funds, Securities, Mutual Funds, Series 7, Series 63, FINRA, Compliance, Corporate Law, Equities
Education
University of San Francisco School of Law 1983 — 1986
Doctor of Law (J.D.)
Hamilton College 1976 — 1980
Bachelor of Arts (B.A.) magna cum laude, English Language and Literature, General
Vishal Rana's US Securities and Exchange Commission Experience December 2013 - Present
Job Oracle Fusion Middleware Consultant
Industry Computer Software
Experience
US Securities and Exchange Commission December 2013 - Present
Skills
Weblogic, Java Enterprise Edition, ADF, Struts, SOA, EJB, Ant, JDBC, JMS, Spring, Hibernate, Oracle BPEL, Oracle BPM, ODSI, ALDSP, Weblogic Portal, OSB, Maven, EclipseLink, WebCenter
Education
Gujarat University
B.E.I.T, Computer Engineering
SVIT VASAD
B.E, Information Technology
US Securities and Exchange Commission December 2013 - Present
Skills
Weblogic, Java Enterprise Edition, ADF, Struts, SOA, EJB, Ant, JDBC, JMS, Spring, Hibernate, Oracle BPEL, Oracle BPM, ODSI, ALDSP, Weblogic Portal, OSB, Maven, EclipseLink, WebCenter
Education
Gujarat University
B.E.I.T, Computer Engineering
SVIT VASAD
B.E, Information Technology
Caroline Crenshaw's US Securities and Exchange Commission Experience August 2013 - Present
Job
Industry Law Practice
Experience
US Securities and Exchange Commission August 2013 - Present
Education
University of Minnesota Law School 2006 — 2009
JD
Harvard University 2000 — 2004
AB
US Securities and Exchange Commission August 2013 - Present
Education
University of Minnesota Law School 2006 — 2009
JD
Harvard University 2000 — 2004
AB
Cameron Elliot's US Securities and Exchange Commission Experience April 2011 - Present
Job administrative law judge at Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission April 2011 - Present
Darby & Darby PC 2006 - 2008
Darby & Darby PC 2006 - 2008
Skills
Legal Writing, Administrative Law, Prosecution
Education
Harvard Law School 1993 — 1996
US Securities and Exchange Commission April 2011 - Present
Darby & Darby PC 2006 - 2008
Darby & Darby PC 2006 - 2008
Skills
Legal Writing, Administrative Law, Prosecution
Education
Harvard Law School 1993 — 1996
Dale Welcome's US Securities and Exchange Commission Experience March 2004 - Present
Job
Industry Accounting
Experience
US Securities and Exchange Commission March 2004 - Present
Education
Howard University 1988 — 1992
Bachelor of Business Administration (BBA), Accounting
US Securities and Exchange Commission March 2004 - Present
Education
Howard University 1988 — 1992
Bachelor of Business Administration (BBA), Accounting
Taki Vasilakis's US Securities and Exchange Commission Experience June 1990 - March 1996
Job Director of Compliance at Discovery Capital Management, LLC
Industry Investment Management
Experience
Discovery Capital Management, LLC January 2014 - Present
Discovery Capital Management, LLC March 2012 - January 2014
FrontPoint August 2010 - April 2012
Atticus Capital February 2007 - February 2010
TUDOR INVESTMENT CORPORATION 2005 - February 2007
UBS Investment Bank 2001 - 2005
Goldman Sachs March 1996 - March 2001
Goldman Sachs 1999 - 2001
US Securities and Exchange Commission June 1990 - March 1996
Skills
Hedge Funds, Prime Brokerage, Derivatives, Alternative Investments, Compliance, Options, SEC reporting, Trading Systems, Private Equity, Regulatory Filings, Trade Compliance, Investments, Equities, Electronic Trading, FINRA, Portfolio Management, Securities Regulation, Asset Management, Bloomberg, Fixed Income, SEC filings
Education
New York University - Leonard N. Stern School of Business
MBA, Finance and Economics
Hofstra University
Discovery Capital Management, LLC January 2014 - Present
Discovery Capital Management, LLC March 2012 - January 2014
FrontPoint August 2010 - April 2012
Atticus Capital February 2007 - February 2010
TUDOR INVESTMENT CORPORATION 2005 - February 2007
UBS Investment Bank 2001 - 2005
Goldman Sachs March 1996 - March 2001
Goldman Sachs 1999 - 2001
US Securities and Exchange Commission June 1990 - March 1996
Skills
Hedge Funds, Prime Brokerage, Derivatives, Alternative Investments, Compliance, Options, SEC reporting, Trading Systems, Private Equity, Regulatory Filings, Trade Compliance, Investments, Equities, Electronic Trading, FINRA, Portfolio Management, Securities Regulation, Asset Management, Bloomberg, Fixed Income, SEC filings
Education
New York University - Leonard N. Stern School of Business
MBA, Finance and Economics
Hofstra University
MaryJo Sanok's US Securities and Exchange Commission Experience January 2009 - December 2009
Job Manager, Information Management Office at KPMG US
Industry Financial Services
Experience
KPMG US November 2014 - Present
Alston & Bird LLP December 2011 - November 2014
US Securities and Exchange Commission January 2009 - December 2009
Skills
Litigation, Legal Research
Education
Georgia State University College of Law 2007 — 2010
J.D.
Kennesaw State University
B.B.A., Finance
KPMG US November 2014 - Present
Alston & Bird LLP December 2011 - November 2014
US Securities and Exchange Commission January 2009 - December 2009
Skills
Litigation, Legal Research
Education
Georgia State University College of Law 2007 — 2010
J.D.
Kennesaw State University
B.B.A., Finance
Daniel Michael's US Securities and Exchange Commission Experience July 2014 - Present
Job Assistant Regional Director, Complex Financial Instruments Unit at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission July 2014 - Present
US Securities and Exchange Commission October 2010 - July 2014
United States District Court, Southern District of New York August 2009 - August 2010
Cravath, Swaine & Moore LLP 2007 - 2009
EMI Music 2000 - 2004
Education
Harvard Law School 2004 — 2007
JD
New York University 1994 — 1998
BA, Philosophy
U.S. Securities and Exchange Commission July 2014 - Present
US Securities and Exchange Commission October 2010 - July 2014
United States District Court, Southern District of New York August 2009 - August 2010
Cravath, Swaine & Moore LLP 2007 - 2009
EMI Music 2000 - 2004
Education
Harvard Law School 2004 — 2007
JD
New York University 1994 — 1998
BA, Philosophy
A. Gavin Fishman's US Securities and Exchange Commission Experience August 2011 - December 2011
Job Associate at Ropes & Gray LLP
Industry Law Practice
Experience
Ropes & Gray LLP October 2013 - Present
Massachusetts Supreme Judicial Court August 2012 - August 2013
US Treasury August 2010 - April 2012
US Securities and Exchange Commission August 2011 - December 2011
Ropes & Gray LLP May 2011 - July 2011
Massachusetts Transgender Legal Advocates October 2009 - September 2010
Greater Boston Legal Services May 2010 - July 2010
Orleans Public Defenders March 2010 - March 2010
Milbank, Tweed, Hadley & McCloy LLP June 2008 - July 2009
Education
Harvard Law School
J.D., Magna Cum Laude
Wesleyan University 2003 — 2007
B.A., Mathematics, Theater
Ropes & Gray LLP October 2013 - Present
Massachusetts Supreme Judicial Court August 2012 - August 2013
US Treasury August 2010 - April 2012
US Securities and Exchange Commission August 2011 - December 2011
Ropes & Gray LLP May 2011 - July 2011
Massachusetts Transgender Legal Advocates October 2009 - September 2010
Greater Boston Legal Services May 2010 - July 2010
Orleans Public Defenders March 2010 - March 2010
Milbank, Tweed, Hadley & McCloy LLP June 2008 - July 2009
Education
Harvard Law School
J.D., Magna Cum Laude
Wesleyan University 2003 — 2007
B.A., Mathematics, Theater
Beth Baier's US Securities and Exchange Commission Experience 1991 - Present
Job Certified Fraud Examiner
Industry Law Enforcement
Experience
. 2010 - Present
US Securities and Exchange Commission 1991 - Present
Education
Hofstra University 1985 — 1991
MBA, (Finance)
The Cooper Union for the Advancement of Science and Art 1981 — 1985
BE, (ChE)
. 2010 - Present
US Securities and Exchange Commission 1991 - Present
Education
Hofstra University 1985 — 1991
MBA, (Finance)
The Cooper Union for the Advancement of Science and Art 1981 — 1985
BE, (ChE)
Christina Zaroulis Milnor's US Securities and Exchange Commission Experience September 2015 - Present
Job
Industry Law Practice
Experience
U.S. Securities and Exchange Commission September 2015 - Present
US Securities and Exchange Commission September 2013 - September 2015
WilmerHale January 2010 - August 2013
Southern Environmental Law Center September 2009 - December 2009
SDNY 2007 - 2007
Let's Go Publications 2003 - 2005
Education
University of Virginia School of Law 2006 — 2009
JD
Harvard University 2002 — 2006
BA, Government
Groton School 1998 — 2001
The Spence School
U.S. Securities and Exchange Commission September 2015 - Present
US Securities and Exchange Commission September 2013 - September 2015
WilmerHale January 2010 - August 2013
Southern Environmental Law Center September 2009 - December 2009
SDNY 2007 - 2007
Let's Go Publications 2003 - 2005
Education
University of Virginia School of Law 2006 — 2009
JD
Harvard University 2002 — 2006
BA, Government
Groton School 1998 — 2001
The Spence School
Aaron Dalnoot's US Securities and Exchange Commission Experience May 2010 - August 2010
Job Associate at Ropes & Gray LLP
Industry
Experience
Ropes & Gray LLP October 2012 - Present
US Securities and Exchange Commission May 2010 - August 2010
Ernst & Young August 2007 - June 2009
Education
Harvard Law School 2009 — 2012
Doctor of Law (JD)
University of Georgia - Terry College of Business 2002 — 2007
Masters of Accountancy
Ropes & Gray LLP October 2012 - Present
US Securities and Exchange Commission May 2010 - August 2010
Ernst & Young August 2007 - June 2009
Education
Harvard Law School 2009 — 2012
Doctor of Law (JD)
University of Georgia - Terry College of Business 2002 — 2007
Masters of Accountancy
Cordis M. Stanfield, CFA's US Securities and Exchange Commission Experience 2004 - 2005
Job CoFounder, Rails Developer at Wildfyre
Industry Internet
Experience
Wildfyre June 2012 - Present
Xavier Capital Management October 2010 - August 2012
Xavier Capital Management September 2008 - October 2010
Morgan Stanley July 2006 - July 2008
US Securities and Exchange Commission 2004 - 2005
Education
Howard University 2003 — 2006
B.B.A., Finance
University of Tennessee-Knoxville 2001 — 2003
Finance
Wildfyre June 2012 - Present
Xavier Capital Management October 2010 - August 2012
Xavier Capital Management September 2008 - October 2010
Morgan Stanley July 2006 - July 2008
US Securities and Exchange Commission 2004 - 2005
Education
Howard University 2003 — 2006
B.B.A., Finance
University of Tennessee-Knoxville 2001 — 2003
Finance
Manish Mital's US Securities and Exchange Commission Experience October 2004 - January 2007
Job General Counsel, Managing Principal at Halcyon Asset Management
Industry Investment Management
Experience
Harvard Law School September 2014 - Present
Halcyon Asset Management January 2007 - Present
US Securities and Exchange Commission October 2004 - January 2007
Williams & Connolly LLP October 2000 - October 2004
Skills
Hedge Funds, Securities Regulation, Due Diligence, Securities Litigation, Securities, Corporate Finance, Capital Markets, Corporate Law, Mergers & Acquisitions, Civil Litigation, Corporate Governance, Alternative Investments
Education
Harvard Law School 1997 — 2000
JD, magna cum laude
Massachusetts Institute of Technology 1993 — 1997
BS, Finance
Harvard Law School September 2014 - Present
Halcyon Asset Management January 2007 - Present
US Securities and Exchange Commission October 2004 - January 2007
Williams & Connolly LLP October 2000 - October 2004
Skills
Hedge Funds, Securities Regulation, Due Diligence, Securities Litigation, Securities, Corporate Finance, Capital Markets, Corporate Law, Mergers & Acquisitions, Civil Litigation, Corporate Governance, Alternative Investments
Education
Harvard Law School 1997 — 2000
JD, magna cum laude
Massachusetts Institute of Technology 1993 — 1997
BS, Finance
Leslie Hakala's US Securities and Exchange Commission Experience November 2002 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission November 2002 - Present
Wilson Sonsini Goodrich & Rosati October 2000 - November 2002
Supreme Court of the U.S. July 1999 - July 2000
U.S. Department of Justice June 1998 - June 1999
US Courts June 1997 - June 1998
Education
Yale Law School 1994 — 1997
J.D.
Harvard University 1990 — 1994
A.B., Economics
US Securities and Exchange Commission November 2002 - Present
Wilson Sonsini Goodrich & Rosati October 2000 - November 2002
Supreme Court of the U.S. July 1999 - July 2000
U.S. Department of Justice June 1998 - June 1999
US Courts June 1997 - June 1998
Education
Yale Law School 1994 — 1997
J.D.
Harvard University 1990 — 1994
A.B., Economics
Maryann Hommel's US Securities and Exchange Commission Experience November 2013 - September 2014
Job Enforcement Paralegal
Industry Legal Services
Experience
EXPRESS March 2014 - June 2015
US Securities and Exchange Commission November 2013 - September 2014
ANN INC. April 2012 - June 2013
Berkman, Henoch, Peterson & Peddy, P.C. September 2012 - March 2013
State of New Hampshire Banking Department 2013 - 2013
Rex Whitehorn & Associates P.C June 2011 - September 2012
Borrelli & Associates, P.L.L.C. 2011 - 2011
London Fischer LLP 2010 - 2011
J.Crew Roosevelt Field Mall 2009 - 2010
University of New England Department of Political Science September 2004 - September 2007
Skills
Legal Research, Westlaw, Civil Litigation, Microsoft Excel, Research, Microsoft Word, Document Review, Litigation Support, Office Management, Customer Service, Sales, Retail Sales, Retail, Branding & Identity, Retail Branding, Customer Retention, Customer Acquisition, Courts
Education
University of New England 2004 — 2008
Bachelor of Arts, Political Science
Hofstra University
Paralegal Certificate
EXPRESS March 2014 - June 2015
US Securities and Exchange Commission November 2013 - September 2014
ANN INC. April 2012 - June 2013
Berkman, Henoch, Peterson & Peddy, P.C. September 2012 - March 2013
State of New Hampshire Banking Department 2013 - 2013
Rex Whitehorn & Associates P.C June 2011 - September 2012
Borrelli & Associates, P.L.L.C. 2011 - 2011
London Fischer LLP 2010 - 2011
J.Crew Roosevelt Field Mall 2009 - 2010
University of New England Department of Political Science September 2004 - September 2007
Skills
Legal Research, Westlaw, Civil Litigation, Microsoft Excel, Research, Microsoft Word, Document Review, Litigation Support, Office Management, Customer Service, Sales, Retail Sales, Retail, Branding & Identity, Retail Branding, Customer Retention, Customer Acquisition, Courts
Education
University of New England 2004 — 2008
Bachelor of Arts, Political Science
Hofstra University
Paralegal Certificate
Nathan Foutch's US Securities and Exchange Commission Experience May 2006 - August 2006
Job Manager Oracle Finance and Supply Chain
Industry Mining & Metals
Experience
Alpha Natural Resources April 2014 - Present
Alpha Natural Resources September 2010 - April 2014
Alpha Natural Resources January 2007 - September 2010
US Securities and Exchange Commission May 2006 - August 2006
State of Tennessee December 2000 - June 2005
Skills
Oracle E-Business Suite, Sarbanes-Oxley Act, Analysis, Sarbanes-Oxley, Internal Controls, OBIEE, Auditing, Microsoft Office, SQL, Business Analysis, Oracle Applications, ERP, Requirements Analysis, Integration, PowerPoint, Oracle, Process Improvement, Management, Financial Analysis, Business Process...
Education
University of Tennessee-Knoxville - College of Business Administration 2005 — 2006
MBA, Finance
University of Tennessee-Knoxville 1996 — 2000
BS, Biology
Alpha Natural Resources April 2014 - Present
Alpha Natural Resources September 2010 - April 2014
Alpha Natural Resources January 2007 - September 2010
US Securities and Exchange Commission May 2006 - August 2006
State of Tennessee December 2000 - June 2005
Skills
Oracle E-Business Suite, Sarbanes-Oxley Act, Analysis, Sarbanes-Oxley, Internal Controls, OBIEE, Auditing, Microsoft Office, SQL, Business Analysis, Oracle Applications, ERP, Requirements Analysis, Integration, PowerPoint, Oracle, Process Improvement, Management, Financial Analysis, Business Process...
Education
University of Tennessee-Knoxville - College of Business Administration 2005 — 2006
MBA, Finance
University of Tennessee-Knoxville 1996 — 2000
BS, Biology
Vishal Chanani's US Securities and Exchange Commission Experience 2012 - 2012
Job JD/PhD Candidate
Industry Higher Education
Experience
Wachtell, Lipton, Rosen & Katz 2015 - 2015
U.S. Department of Justice 2014 - 2014
The Brookings Institution 2013 - 2013
US Securities and Exchange Commission 2012 - 2012
SearchLight Ventures Inc. 2011 - 2011
DhanLink 2011 - 2011
The Boston Consulting Group 2010 - 2010
TestMasters 2008 - 2010
Princeton University 2007 - 2010
CBEES, UT Dallas 2009 - 2009
Education
Yale Law School 2011 — 2016
JD
Harvard University 2012 — 2017
PhD, Economics
Princeton University 2007 — 2011
AB, Economics, Finance, Applied and Computational Mathematics, Political Economy
Wachtell, Lipton, Rosen & Katz 2015 - 2015
U.S. Department of Justice 2014 - 2014
The Brookings Institution 2013 - 2013
US Securities and Exchange Commission 2012 - 2012
SearchLight Ventures Inc. 2011 - 2011
DhanLink 2011 - 2011
The Boston Consulting Group 2010 - 2010
TestMasters 2008 - 2010
Princeton University 2007 - 2010
CBEES, UT Dallas 2009 - 2009
Education
Yale Law School 2011 — 2016
JD
Harvard University 2012 — 2017
PhD, Economics
Princeton University 2007 — 2011
AB, Economics, Finance, Applied and Computational Mathematics, Political Economy
Dimple Gupta's US Securities and Exchange Commission Experience 2011 - 2012
Job Counsel at Office of Senator Pat Toomey
Industry Capital Markets
Experience
Office of Senator Pat Toomey 2013 - Present
Romney for President May 2012 - November 2012
US Securities and Exchange Commission 2011 - 2012
US Securities and Exchange Commission 2009 - 2011
Covington & Burling 2007 - 2009
U.S. Senate 2005 - 2007
U.S. Department of Justice 2004 - 2005
Covington & Burling 2002 - 2004
Judge Jerry Smith, U.S. Court of Appeals Fifth Circuit 2001 - 2002
Skills
Legal Research, Legal Writing, Litigation, Politics, Public Policy
Education
Harvard Law School 1998 — 2001
JD
The University of Chicago 1995 — 1998
Bachelor's degree, Economics
Office of Senator Pat Toomey 2013 - Present
Romney for President May 2012 - November 2012
US Securities and Exchange Commission 2011 - 2012
US Securities and Exchange Commission 2009 - 2011
Covington & Burling 2007 - 2009
U.S. Senate 2005 - 2007
U.S. Department of Justice 2004 - 2005
Covington & Burling 2002 - 2004
Judge Jerry Smith, U.S. Court of Appeals Fifth Circuit 2001 - 2002
Skills
Legal Research, Legal Writing, Litigation, Politics, Public Policy
Education
Harvard Law School 1998 — 2001
JD
The University of Chicago 1995 — 1998
Bachelor's degree, Economics
Damon Silvers's US Securities and Exchange Commission Experience 1994 - 1994
Job Director of Policy & Special Counsel at AFL CIO
Industry Political Organization
Experience
AFL CIO October 2009 - Present
Congressional Oversight Panel November 2008 - April 2011
AFL-CIO September 1997 - October 2009
Delaware Court of Chancery September 1996 - August 1997
US Securities and Exchange Commission 1994 - 1994
Skills
Policy, Public Policy, Policy Analysis, Grassroots Organizing, Legislation, Government, Corporate Governance, Legal Writing, Legislative Research, Public Affairs, Human Rights, Litigation
Education
Harvard Business School 1993 — 1996
MBA, Business Administration and Management, General
Harvard Law School 1992 — 1996
Doctor of Law (JD)
Kings College, Cambridge University 1986 — 1987
History
Harvard College 1982 — 1986
Bachelor of Arts (B.A.), Social Studies
Open High School, Richmond, Virginia 1978 — 1982
High School Diploma
AFL CIO October 2009 - Present
Congressional Oversight Panel November 2008 - April 2011
AFL-CIO September 1997 - October 2009
Delaware Court of Chancery September 1996 - August 1997
US Securities and Exchange Commission 1994 - 1994
Skills
Policy, Public Policy, Policy Analysis, Grassroots Organizing, Legislation, Government, Corporate Governance, Legal Writing, Legislative Research, Public Affairs, Human Rights, Litigation
Education
Harvard Business School 1993 — 1996
MBA, Business Administration and Management, General
Harvard Law School 1992 — 1996
Doctor of Law (JD)
Kings College, Cambridge University 1986 — 1987
History
Harvard College 1982 — 1986
Bachelor of Arts (B.A.), Social Studies
Open High School, Richmond, Virginia 1978 — 1982
High School Diploma
Lindsey Mahoney, Esq's US Securities and Exchange Commission Experience January 2012 - April 2012
Job US Attorney, Canadian Lawyer Licensing Process
Industry Law Practice
Experience
Financial Services Commission of Ontario (FSCO) July 2015 - Present
MFDA December 2013 - June 2015
US Securities and Exchange Commission January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
Financial Industry Regulatory Authority May 2011 - July 2011
Howard University January 2011 - April 2011
Scotia iTRADE June 2008 - July 2009
E*TRADE Financial January 2007 - May 2008
Skills
Securities, Corporate Governance, Capital Markets, Securities Regulation, Investments, Corporate Law, Legal Writing, Westlaw, Corporate Finance
Education
National Committee on Accreditation 2012 — 2014
Certificate of Qualification, Law
Howard University School of Law 2009 — 2012
Juris Doctorate, Banking, Corporate, Finance, and Securities Law
University of Waterloo 2002 — 2006
BA, Economics, Finance
Streetsville Secondary School 1998 — 2002
Financial Services Commission of Ontario (FSCO) July 2015 - Present
MFDA December 2013 - June 2015
US Securities and Exchange Commission January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
Financial Industry Regulatory Authority May 2011 - July 2011
Howard University January 2011 - April 2011
Scotia iTRADE June 2008 - July 2009
E*TRADE Financial January 2007 - May 2008
Skills
Securities, Corporate Governance, Capital Markets, Securities Regulation, Investments, Corporate Law, Legal Writing, Westlaw, Corporate Finance
Education
National Committee on Accreditation 2012 — 2014
Certificate of Qualification, Law
Howard University School of Law 2009 — 2012
Juris Doctorate, Banking, Corporate, Finance, and Securities Law
University of Waterloo 2002 — 2006
BA, Economics, Finance
Streetsville Secondary School 1998 — 2002
Asen Parachkevov's US Securities and Exchange Commission Experience December 2013 - Present
Job Attorney
Industry Law Practice
Experience
US Securities and Exchange Commission December 2013 - Present
Seward & Kissel LLP May 2011 - December 2013
Ropes & Gray LLP September 2007 - May 2011
Skills
Hedge Funds, Alternative Investments, Fund Of Funds, Fund Structuring, Private Equity/Venture..., Securities, Venture Capital, Financial Structuring, Securities Regulation
Education
Harvard Law School 2004 — 2007
JD
Harvard College 2000 — 2004
BA
US Securities and Exchange Commission December 2013 - Present
Seward & Kissel LLP May 2011 - December 2013
Ropes & Gray LLP September 2007 - May 2011
Skills
Hedge Funds, Alternative Investments, Fund Of Funds, Fund Structuring, Private Equity/Venture..., Securities, Venture Capital, Financial Structuring, Securities Regulation
Education
Harvard Law School 2004 — 2007
JD
Harvard College 2000 — 2004
BA
Tony Regenstreif's US Securities and Exchange Commission Experience 2010 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission 2010 - Present
Latham & Watkins 2007 - 2010
United States District Court for the Northern District of New York 2006 - 2007
Fried Frank 2004 - 2006
Skills
Civil Litigation, Courts, Legal Writing, Legal Research, Securities Regulation, Litigation
Education
Harvard Law School 2001 — 2004
London School of Economics and Political Science 2000 — 2001
M.Sc.
University of Pennsylvania 1996 — 2000
BA
US Securities and Exchange Commission 2010 - Present
Latham & Watkins 2007 - 2010
United States District Court for the Northern District of New York 2006 - 2007
Fried Frank 2004 - 2006
Skills
Civil Litigation, Courts, Legal Writing, Legal Research, Securities Regulation, Litigation
Education
Harvard Law School 2001 — 2004
London School of Economics and Political Science 2000 — 2001
M.Sc.
University of Pennsylvania 1996 — 2000
BA
Stephen Sadoski's US Securities and Exchange Commission Experience January 2009 - August 2012
Job Deputy Treasurer at Fidelity Investments
Industry Investment Management
Experience
Fidelity Investments September 2012 - Present
US Securities and Exchange Commission January 2009 - August 2012
Deloitte September 1997 - January 2009
Education
Harvard University 1991 — 1995
Bachelor of Arts (BA), Econcomics
Fidelity Investments September 2012 - Present
US Securities and Exchange Commission January 2009 - August 2012
Deloitte September 1997 - January 2009
Education
Harvard University 1991 — 1995
Bachelor of Arts (BA), Econcomics
Pettiway Evelyn's US Securities and Exchange Commission Experience November 2006 - Present
Job Disaster Recovery Coordinator at US Securities and Exchange Commission
Industry Law Enforcement
Experience
AECOM December 2014 - Present
US Securities and Exchange Commission November 2006 - Present
URS Corporation April 2011 - December 2014
Apptis April 2011 - April 2011
Lockheed Martin November 2008 - April 2011
Skills
NotiFind, LDRPS, MS Project, Security, Program Management, Project Management, SharePoint, Project Planning, Risk Management, Information Security, PMP
Education
Strayer University (VA) 1993 — 1995
BS, Comupter Information System
Hawaii Pacific University 1986 — 1989
AS, Computer Science
AECOM December 2014 - Present
US Securities and Exchange Commission November 2006 - Present
URS Corporation April 2011 - December 2014
Apptis April 2011 - April 2011
Lockheed Martin November 2008 - April 2011
Skills
NotiFind, LDRPS, MS Project, Security, Program Management, Project Management, SharePoint, Project Planning, Risk Management, Information Security, PMP
Education
Strayer University (VA) 1993 — 1995
BS, Comupter Information System
Hawaii Pacific University 1986 — 1989
AS, Computer Science
Salvatore Cutrona, Jr.'s US Securities and Exchange Commission Experience January 2014 - May 2014
Job Finance & Risk Services at Accenture
Industry Management Consulting
Experience
Accenture February 2015 - Present
US Securities and Exchange Commission January 2014 - May 2014
U.S. Department of Labor, Office of Administrative Law Judges June 2013 - August 2013
Massachusetts Superior Court January 2013 - May 2013
Fresenius Medical Care May 2012 - August 2012
Skills
Westlaw, Legal Research, Litigation, Legal Writing, Appeals, Courts, Criminal Law, Civil Litigation, Lexis, Family Law, Employment Law, PowerPoint, Social Media
Education
Suffolk University Law School 2011 — 2014
Doctor of Law (J.D.)
The Hill School 2002 — 2006
Gettysburg College
Bachelor of Arts (B.A.)
Accenture February 2015 - Present
US Securities and Exchange Commission January 2014 - May 2014
U.S. Department of Labor, Office of Administrative Law Judges June 2013 - August 2013
Massachusetts Superior Court January 2013 - May 2013
Fresenius Medical Care May 2012 - August 2012
Skills
Westlaw, Legal Research, Litigation, Legal Writing, Appeals, Courts, Criminal Law, Civil Litigation, Lexis, Family Law, Employment Law, PowerPoint, Social Media
Education
Suffolk University Law School 2011 — 2014
Doctor of Law (J.D.)
The Hill School 2002 — 2006
Gettysburg College
Bachelor of Arts (B.A.)
Gordon Hartman's US Securities and Exchange Commission Experience August 2012 - December 2012
Job Juris Doctor, Master of Taxation, Accounting
Industry Law Practice
Experience
Trust & Estates Law Firm July 2015 - Present
Deloitte October 2013 - June 2015
Internal Revenue Service January 2013 - May 2013
deAndrade Mangieri LLC September 2012 - January 2013
US Securities and Exchange Commission August 2012 - December 2012
Philip C. Cook Low-Income Taxpayer Clinic August 2011 - May 2012
Atlanta Bar Association January 2003 - April 2006
Skills
Legal Research, Legal Writing, Bankruptcy, Westlaw, Tax Law, Corporate Law, Commercial Litigation, Corporate Governance, Lexis, Estate Planning, RIA, Securities Offerings, Tax, Trusts, Mediation, Legal Issues, LexisNexis
Education
Georgia State University College of Law 2010 — 2013
Juris Doctorate, Taxation, Estate Planning, Corporate, Securities Law, and Bankruptcy
Georgia State University J. Mack Robinson College of Business 2010 — 2013
Master of Taxation, Taxation, Cum Laude
Georgia State University J. Mack Robinson College of Business 2007 — 2010
Bachelor of Business Administration (B.B.A.), Accounting, Summa Cum Laude
Trust & Estates Law Firm July 2015 - Present
Deloitte October 2013 - June 2015
Internal Revenue Service January 2013 - May 2013
deAndrade Mangieri LLC September 2012 - January 2013
US Securities and Exchange Commission August 2012 - December 2012
Philip C. Cook Low-Income Taxpayer Clinic August 2011 - May 2012
Atlanta Bar Association January 2003 - April 2006
Skills
Legal Research, Legal Writing, Bankruptcy, Westlaw, Tax Law, Corporate Law, Commercial Litigation, Corporate Governance, Lexis, Estate Planning, RIA, Securities Offerings, Tax, Trusts, Mediation, Legal Issues, LexisNexis
Education
Georgia State University College of Law 2010 — 2013
Juris Doctorate, Taxation, Estate Planning, Corporate, Securities Law, and Bankruptcy
Georgia State University J. Mack Robinson College of Business 2010 — 2013
Master of Taxation, Taxation, Cum Laude
Georgia State University J. Mack Robinson College of Business 2007 — 2010
Bachelor of Business Administration (B.B.A.), Accounting, Summa Cum Laude
Devon Cox's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Associate, Locke Lord LLP (pending bar admission)
Industry Law Practice
Experience
Investor Justice and Education Clinic August 2014 - December 2014
Edwards Wildman Palmer LLP (Now Locke Lord LLP) May 2014 - July 2014
US Securities and Exchange Commission January 2014 - April 2014
United States District Court for the Eastern District of Michigan May 2013 - July 2013
Congressional Black Caucus Foundation May 2012 - July 2012
National Association for the Advancement of Colored People- University of Michigan May 2011 - April 2012
Global Intercultural Experience for Undergraduates May 2011 - May 2011
Skills
Writing, Spanish-speaking
Education
Howard University School of Law 2012 — 2015
Juris Doctor (J.D.)
University of Michigan 2008 — 2012
Bachelor of Arts (B.A.), Political Science
Investor Justice and Education Clinic August 2014 - December 2014
Edwards Wildman Palmer LLP (Now Locke Lord LLP) May 2014 - July 2014
US Securities and Exchange Commission January 2014 - April 2014
United States District Court for the Eastern District of Michigan May 2013 - July 2013
Congressional Black Caucus Foundation May 2012 - July 2012
National Association for the Advancement of Colored People- University of Michigan May 2011 - April 2012
Global Intercultural Experience for Undergraduates May 2011 - May 2011
Skills
Writing, Spanish-speaking
Education
Howard University School of Law 2012 — 2015
Juris Doctor (J.D.)
University of Michigan 2008 — 2012
Bachelor of Arts (B.A.), Political Science
NOEL GITTENS's US Securities and Exchange Commission Experience September 2009 - Present
Job Senior Investigations Counsel at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission September 2009 - Present
US Securities and Exchange Commission December 2000 - September 2009
US Securities and Exchange Commission August 1992 - December 2000
Hill & Barlow September 1990 - August 1992
Instinet December 1984 - August 1987
Travelsavers, Inc. 1984 - 1984
Lutheran Community Services, Inc. 1981 - 1983
Government of Barbados - Customs Department 1971 - 1981
Education
Howard University School of Law 1987 — 1990
Doctor of Law (JD), Law
Long Island University, Brooklyn Campus 1984 — 1985
Master of Business Administration (MBA), Finance, Taxation & Mathematics, Distinction, Top 5%,
University of the West Indies, Cave Hill, Barbados 1977 — 1981
Bachelor of Science (B.Sc.), Accounting, Honors
U.S. Securities and Exchange Commission September 2009 - Present
US Securities and Exchange Commission December 2000 - September 2009
US Securities and Exchange Commission August 1992 - December 2000
Hill & Barlow September 1990 - August 1992
Instinet December 1984 - August 1987
Travelsavers, Inc. 1984 - 1984
Lutheran Community Services, Inc. 1981 - 1983
Government of Barbados - Customs Department 1971 - 1981
Education
Howard University School of Law 1987 — 1990
Doctor of Law (JD), Law
Long Island University, Brooklyn Campus 1984 — 1985
Master of Business Administration (MBA), Finance, Taxation & Mathematics, Distinction, Top 5%,
University of the West Indies, Cave Hill, Barbados 1977 — 1981
Bachelor of Science (B.Sc.), Accounting, Honors
Jack Worland's US Securities and Exchange Commission Experience 2000 - Present
Job
Industry Law Practice
Experience
US Securities and Exchange Commission 2000 - Present
Department of Justice, Antitrust Division 1995 - 2000
Education
Harvard Law School
Doctor of Law (JD)
The University of Tokyo
Fulbright Fellow
University of Michigan
Master of Arts (M.A.), Economics
University of Notre Dame
Bachelor of Arts (B.A.), Economics
US Securities and Exchange Commission 2000 - Present
Department of Justice, Antitrust Division 1995 - 2000
Education
Harvard Law School
Doctor of Law (JD)
The University of Tokyo
Fulbright Fellow
University of Michigan
Master of Arts (M.A.), Economics
University of Notre Dame
Bachelor of Arts (B.A.), Economics
Norman von Holtzendorff's US Securities and Exchange Commission Experience September 2008 - Present
Job Senior Counsel at the U.S. Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission September 2008 - Present
Mattel July 2000 - August 2008
Heller Ehrman May 1997 - June 2000
Education
UCLA School of Law 1992 — 1995
Doctor of Law (JD), Law
Harvard College 1984 — 1988
Bachelor of Arts (B.A.), English and American Literature and Language
US Securities and Exchange Commission September 2008 - Present
Mattel July 2000 - August 2008
Heller Ehrman May 1997 - June 2000
Education
UCLA School of Law 1992 — 1995
Doctor of Law (JD), Law
Harvard College 1984 — 1988
Bachelor of Arts (B.A.), English and American Literature and Language
Pat Janda's US Securities and Exchange Commission Experience 1988 - 1996
Job Senior Consultant at FrontLine Compliance, LLC
Industry Financial Services
Experience
FrontLine Compliance, LLC January 2014 - Present
Financial Industry Regulatory Authority July 2010 - January 2014
FrontLine Compliance, LLC 2010 - 2010
INTECH Investment Management LLC 2008 - 2009
Wells Fargo (f/k/a Wachovia Securities LLC) 1996 - 2008
US Securities and Exchange Commission 1988 - 1996
Skills
Securities Regulation, Securities, Fraud, Compliance, Specialty: Series 7, 9,..., AML, Strategic Financial..., Portfolio Management, Financial Services, Investments, Internal Controls, FINRA
Education
Illinois Institute of Technology
Master of Science (MS), Financial Markets and Trading
Northwestern University
Bachelor of Science (BS), Organizational Behavior Studies degree, Accounting Certificate, With Honors
FrontLine Compliance, LLC January 2014 - Present
Financial Industry Regulatory Authority July 2010 - January 2014
FrontLine Compliance, LLC 2010 - 2010
INTECH Investment Management LLC 2008 - 2009
Wells Fargo (f/k/a Wachovia Securities LLC) 1996 - 2008
US Securities and Exchange Commission 1988 - 1996
Skills
Securities Regulation, Securities, Fraud, Compliance, Specialty: Series 7, 9,..., AML, Strategic Financial..., Portfolio Management, Financial Services, Investments, Internal Controls, FINRA
Education
Illinois Institute of Technology
Master of Science (MS), Financial Markets and Trading
Northwestern University
Bachelor of Science (BS), Organizational Behavior Studies degree, Accounting Certificate, With Honors
Jeremy Kress's US Securities and Exchange Commission Experience May 2009 - July 2009
Job Judicial Law Clerk, Honorable Matthew F. Leitman
Industry Law Practice
Experience
Honorable Matthew F. Leitman April 2014 - Present
Federal Reserve Board September 2010 - April 2014
US Securities and Exchange Commission May 2009 - July 2009
Dewey & LeBoeuf LLP May 2008 - July 2008
U.S. Senate Permanent Subcommittee on Investigations May 2007 - August 2007
City Year September 2005 - June 2006
Education
Harvard Law School 2006 — 2010
Juris Doctor
Harvard University, John F. Kennedy School of Government 2007 — 2010
Master of Public Policy (MPP), Emphasis in Business and Government Policy
University of Michigan - Stephen M. Ross School of Business 2001 — 2005
Bachelor of Business Administration (BBA)
Honorable Matthew F. Leitman April 2014 - Present
Federal Reserve Board September 2010 - April 2014
US Securities and Exchange Commission May 2009 - July 2009
Dewey & LeBoeuf LLP May 2008 - July 2008
U.S. Senate Permanent Subcommittee on Investigations May 2007 - August 2007
City Year September 2005 - June 2006
Education
Harvard Law School 2006 — 2010
Juris Doctor
Harvard University, John F. Kennedy School of Government 2007 — 2010
Master of Public Policy (MPP), Emphasis in Business and Government Policy
University of Michigan - Stephen M. Ross School of Business 2001 — 2005
Bachelor of Business Administration (BBA)
Barbara Gunn's US Securities and Exchange Commission Experience March 2010 - Present
Job Assistant Director at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission March 2010 - Present
Education
Harvard Law School 1980 — 1983
Doctor of Law (J.D.)
University of Oklahoma 1976 — 1980
Bachelor of Arts (B.A.), History
US Securities and Exchange Commission March 2010 - Present
Education
Harvard Law School 1980 — 1983
Doctor of Law (J.D.)
University of Oklahoma 1976 — 1980
Bachelor of Arts (B.A.), History
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency