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
Lindsey Livingston Lindsey Livingston's US Securities and Exchange Commission Experience 2012 - 2012
Job Associate at Pillsbury Winthrop Shaw Pittman LLP
Industry
Experience
Pillsbury Winthrop Shaw Pittman LLP October 2014 - Present
US Securities and Exchange Commission 2012 - 2012
Motorola Mobility June 2009 - June 2011
Education
University of Chicago Law School 2011 — 2014
Juris Doctor (J.D.)
Indiana University Bloomington 2005 — 2009
Bachelor of Science (BS), Finance, Business Economics and Public Policy
Pillsbury Winthrop Shaw Pittman LLP October 2014 - Present
US Securities and Exchange Commission 2012 - 2012
Motorola Mobility June 2009 - June 2011
Education
University of Chicago Law School 2011 — 2014
Juris Doctor (J.D.)
Indiana University Bloomington 2005 — 2009
Bachelor of Science (BS), Finance, Business Economics and Public Policy
Jeannie Lewis Jeannie Lewis's US Securities and Exchange Commission Experience September 1988 - June 2007
Job Senior Compliance CounselInvestment Management Division of William Blair & Company, L.L.C.
Industry Investment Management
Experience
William Blair & Company September 2014 - Present
Deloitte February 2011 - September 2014
Driehaus Capital Management June 2007 - August 2010
US Securities and Exchange Commission September 1988 - June 2007
Skills
Leadership, Securities Regulation, Governance, Hedge Funds, Corporate Governance, Investments, SEC, Securities, Private Equity, Risk Management, Due Diligence, Trading, Financial Services, Mergers & Acquisitions, Strategy, Investment Management, Mutual Funds, Asset Management
Education
Loyola University Chicago School of Law 1985 — 1988
JD, Law
University of Illinois at Urbana-Champaign 1981 — 1985
BS, Psychology
William Blair & Company September 2014 - Present
Deloitte February 2011 - September 2014
Driehaus Capital Management June 2007 - August 2010
US Securities and Exchange Commission September 1988 - June 2007
Skills
Leadership, Securities Regulation, Governance, Hedge Funds, Corporate Governance, Investments, SEC, Securities, Private Equity, Risk Management, Due Diligence, Trading, Financial Services, Mergers & Acquisitions, Strategy, Investment Management, Mutual Funds, Asset Management
Education
Loyola University Chicago School of Law 1985 — 1988
JD, Law
University of Illinois at Urbana-Champaign 1981 — 1985
BS, Psychology
John Vanosdall John Vanosdall's US Securities and Exchange Commission Experience July 2012 - June 2014
Job Partner at PwC
Industry Accounting
Experience
PwC July 2014 - Present
US Securities and Exchange Commission July 2012 - June 2014
PricewaterhouseCoopers July 2010 - June 2012
PricewaterhouseCoopers August 2002 - September 2008
Skills
SEC filings, US GAAP, Financial Reporting, Big 4, Valuation, Mergers & Acquisitions, Accounting, Auditing, Private Equity, Consolidation, Consulting, Financial Modeling, Business Valuation, GAAP, Assurance, CPA, Internal Controls, Sarbanes-Oxley Act, SEC Filings
Education
Indiana University - Kelley School of Business 1997 — 2002
BS/MBA, Accounting/Finance
PwC July 2014 - Present
US Securities and Exchange Commission July 2012 - June 2014
PricewaterhouseCoopers July 2010 - June 2012
PricewaterhouseCoopers August 2002 - September 2008
Skills
SEC filings, US GAAP, Financial Reporting, Big 4, Valuation, Mergers & Acquisitions, Accounting, Auditing, Private Equity, Consolidation, Consulting, Financial Modeling, Business Valuation, GAAP, Assurance, CPA, Internal Controls, Sarbanes-Oxley Act, SEC Filings
Education
Indiana University - Kelley School of Business 1997 — 2002
BS/MBA, Accounting/Finance
Natalie Bohn's US Securities and Exchange Commission Experience June 2012 - August 2012
Job Audit Associate at Deloitte & Touche LLP
Industry Accounting
Experience
Women in Business August 2013 - 2014
Beta Alpha Psi January 2012 - 2014
Women in Business September 2011 - 2014
Deloitte & Touche LLP June 2013 - August 2013
US Securities and Exchange Commission June 2012 - August 2012
American Savings, FSB June 2011 - August 2011
Skills
Microsoft Excel, Business Communications, Analytical Approach, Team Leadership, Budgeting, Accounting, Access, Analytical Skills, Budgets, PowerPoint, Auditing, Teamwork
Education
Indiana University - Kelley School of Business 2010 — 2014
Bachelors of Science, Accounting and Finance
Women in Business August 2013 - 2014
Beta Alpha Psi January 2012 - 2014
Women in Business September 2011 - 2014
Deloitte & Touche LLP June 2013 - August 2013
US Securities and Exchange Commission June 2012 - August 2012
American Savings, FSB June 2011 - August 2011
Skills
Microsoft Excel, Business Communications, Analytical Approach, Team Leadership, Budgeting, Accounting, Access, Analytical Skills, Budgets, PowerPoint, Auditing, Teamwork
Education
Indiana University - Kelley School of Business 2010 — 2014
Bachelors of Science, Accounting and Finance
Jennifer Fair Jennifer Fair's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Associate at Kopecky, Schumacher & Bleakley, P.C.
Industry Law Practice
Experience
Kopecky, Schumacher & Bleakley, P.C. November 2014 - Present
Kopecky, Schumacher & Bleakley, P.C. February 2014 - November 2014
Ziliak Law, LLC December 2013 - February 2014
US Securities and Exchange Commission September 2013 - December 2013
Business Law Clinic, Loyola University School of Law August 2013 - December 2013
FINRA May 2013 - August 2013
Loyola University Chicago School of Law May 2013 - August 2013
Sneckenberg, Thompson & Brody, LLP June 2012 - May 2013
Cabrini Green Legal Aid January 2012 - April 2013
Johns Hopkins Writing Center January 2009 - May 2011
Skills
Writing, Microsoft Office, Research, Legal Research, Legal Writing, Expungement and Sealing, Negotiation, Editing, Policy, Political Science, Social Media, Program Evaluation, Legal Assistance, Westlaw, Microsoft Word, Microsoft Excel, Economics, Press Releases, Personal Injury, Commercial Litigation, Trials, Courts, Facebook, Public Speaking, PowerPoint, Outlook, Strategic Communications, Politics, Litigation, Social Networking, Lexis, Public Policy, Civil Litigation, Government, Non-profits, Policy Analysis, Legal Issues, Mediation
Education
Loyola University Chicago School of Law 2011 — 2014
Juris Doctor (J.D.)
The Johns Hopkins University 2007 — 2011
B.A., International Studies
Kopecky, Schumacher & Bleakley, P.C. November 2014 - Present
Kopecky, Schumacher & Bleakley, P.C. February 2014 - November 2014
Ziliak Law, LLC December 2013 - February 2014
US Securities and Exchange Commission September 2013 - December 2013
Business Law Clinic, Loyola University School of Law August 2013 - December 2013
FINRA May 2013 - August 2013
Loyola University Chicago School of Law May 2013 - August 2013
Sneckenberg, Thompson & Brody, LLP June 2012 - May 2013
Cabrini Green Legal Aid January 2012 - April 2013
Johns Hopkins Writing Center January 2009 - May 2011
Skills
Writing, Microsoft Office, Research, Legal Research, Legal Writing, Expungement and Sealing, Negotiation, Editing, Policy, Political Science, Social Media, Program Evaluation, Legal Assistance, Westlaw, Microsoft Word, Microsoft Excel, Economics, Press Releases, Personal Injury, Commercial Litigation, Trials, Courts, Facebook, Public Speaking, PowerPoint, Outlook, Strategic Communications, Politics, Litigation, Social Networking, Lexis, Public Policy, Civil Litigation, Government, Non-profits, Policy Analysis, Legal Issues, Mediation
Education
Loyola University Chicago School of Law 2011 — 2014
Juris Doctor (J.D.)
The Johns Hopkins University 2007 — 2011
B.A., International Studies
Paul LaFranchise Paul LaFranchise's US Securities and Exchange Commission Experience November 2013 - Present
Job Contract Specialist at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission November 2013 - Present
United States Department of Defense February 2011 - November 2013
US Army November 2002 - February 2011
Skills
Government Contracting, Contract Negotiation, Contract Management, Contract Law, Contractor Management, Project Control, Competition Law, Privacy Law, Project Planning, Project Management, International Law, Cost Accounting..., DoD, Defense, Army, Customer Service, Government, Management, Leadership, Microsoft Office, Strategic Planning
Education
Defense Acquisition University 2011 — 2013
Oregon State University 2005 — 2010
Bachelor of Applied Science (BASc), International Business and Economics
Vienna University of Economics and Business Administration 2008 — 2009
Business and Economics
Linn-Benton Community College 2003 — 2005
Lebanon High School 1999 — 2002
East Linn Christian Academy
US Securities and Exchange Commission November 2013 - Present
United States Department of Defense February 2011 - November 2013
US Army November 2002 - February 2011
Skills
Government Contracting, Contract Negotiation, Contract Management, Contract Law, Contractor Management, Project Control, Competition Law, Privacy Law, Project Planning, Project Management, International Law, Cost Accounting..., DoD, Defense, Army, Customer Service, Government, Management, Leadership, Microsoft Office, Strategic Planning
Education
Defense Acquisition University 2011 — 2013
Oregon State University 2005 — 2010
Bachelor of Applied Science (BASc), International Business and Economics
Vienna University of Economics and Business Administration 2008 — 2009
Business and Economics
Linn-Benton Community College 2003 — 2005
Lebanon High School 1999 — 2002
East Linn Christian Academy
Kathy Ireland's US Securities and Exchange Commission Experience 1997 - 1998
Job Associate General Counsel at Investment Adviser Association
Industry Investment Management
Experience
Investment Adviser Association January 2011 - Present
Independent Law Practice 2005 - January 2011
Investment Company Institute 1999 - 2005
US Securities and Exchange Commission 1997 - 1998
Gibson Dunn & Crutcher 1990 - 1991
Skills
ERISA, Investment Management..., Mutual Funds, Alternative Investments, International Law, Code of Ethics, Compliance, Investment Management, Retirement, Securities Regulation, Corporate Law, Securities, Investment Advisory, Due Diligence
Education
The College of William and Mary - Marshall Wythe Law School 1977 — 1980
J.D.
Lebanon Valley College 1973 — 1977
B.S., Actuarial Science, Economics
Lampeter-Strasburg High School
Investment Adviser Association January 2011 - Present
Independent Law Practice 2005 - January 2011
Investment Company Institute 1999 - 2005
US Securities and Exchange Commission 1997 - 1998
Gibson Dunn & Crutcher 1990 - 1991
Skills
ERISA, Investment Management..., Mutual Funds, Alternative Investments, International Law, Code of Ethics, Compliance, Investment Management, Retirement, Securities Regulation, Corporate Law, Securities, Investment Advisory, Due Diligence
Education
The College of William and Mary - Marshall Wythe Law School 1977 — 1980
J.D.
Lebanon Valley College 1973 — 1977
B.S., Actuarial Science, Economics
Lampeter-Strasburg High School
Ethan Richter's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Internal Sales Consultant | ETFs,SMAs & Mutual Funds | First Trust | Central & Western TX
Industry Investment Management
Experience
First Trust February 2014 - Present
First Trust August 2012 - February 2014
US Securities and Exchange Commission May 2012 - August 2012
American Hotel Register May 2011 - August 2011
Indiana University Bloomington August 2009 - May 2010
Skills
Microsoft Excel, Investment Compliance, Broker-Dealer Compliance, Investment Research, Series 7, ETFs, Mutual Funds, Series 63, OFAC Reporting, UITs, Sales, SMAs, Series 66
Education
Indiana University Bloomington 2008 — 2012
BS, Public Finance
First Trust February 2014 - Present
First Trust August 2012 - February 2014
US Securities and Exchange Commission May 2012 - August 2012
American Hotel Register May 2011 - August 2011
Indiana University Bloomington August 2009 - May 2010
Skills
Microsoft Excel, Investment Compliance, Broker-Dealer Compliance, Investment Research, Series 7, ETFs, Mutual Funds, Series 63, OFAC Reporting, UITs, Sales, SMAs, Series 66
Education
Indiana University Bloomington 2008 — 2012
BS, Public Finance
Joseph (Joe) F. Alexander, CFP®'s US Securities and Exchange Commission Experience January 2010 - April 2010
Job Consultant at Altair Advisers | MBA Candidate at University of Chicago Booth School of Business
Industry Financial Services
Experience
University of Chicago Booth School of Business January 2015 - Present
Altair Advisers January 2013 - Present
Altair Advisers May 2010 - December 2012
US Securities and Exchange Commission January 2010 - April 2010
Altair Advisers May 2009 - December 2009
Skills
Finance, Economics, Research, Financial Services, Time Management, Asset Allocation, Investment Management, Budgets, Business Analysis, Retirement Planning, Strategic Financial..., Financial Advisory, Wealth Management..., Alternative Investments, Strategy, Business Development
Education
The University of Chicago Booth School of Business
Master of Business Administration (M.B.A.)
Loyola University Chicago 2006 — 2010
Bachelors of Business Administration, Finance and Economics
University of Chicago Booth School of Business January 2015 - Present
Altair Advisers January 2013 - Present
Altair Advisers May 2010 - December 2012
US Securities and Exchange Commission January 2010 - April 2010
Altair Advisers May 2009 - December 2009
Skills
Finance, Economics, Research, Financial Services, Time Management, Asset Allocation, Investment Management, Budgets, Business Analysis, Retirement Planning, Strategic Financial..., Financial Advisory, Wealth Management..., Alternative Investments, Strategy, Business Development
Education
The University of Chicago Booth School of Business
Master of Business Administration (M.B.A.)
Loyola University Chicago 2006 — 2010
Bachelors of Business Administration, Finance and Economics
Byron Cooper's US Securities and Exchange Commission Experience April 2007 - October 2008
Job General Manager at North Shore Steel
Industry Oil & Energy
Experience
North Shore Steel February 2010 - Present
North Shore Steel October 2008 - February 2010
US Securities and Exchange Commission April 2007 - October 2008
Akin Gump Strauss Hauer & Feld LLP June 2005 - February 2007
Education
Rice University - Jesse H. Jones Graduate School of Business 2014 — 2016
Master of Business Administration (M.B.A.)
University of Houston Law Center 2002 — 2005
J.D., Law
Millsaps College 1998 — 2002
Bachelor of Business Administration (B.B.A.), Corporate Finance, Dean's List
North Shore Steel February 2010 - Present
North Shore Steel October 2008 - February 2010
US Securities and Exchange Commission April 2007 - October 2008
Akin Gump Strauss Hauer & Feld LLP June 2005 - February 2007
Education
Rice University - Jesse H. Jones Graduate School of Business 2014 — 2016
Master of Business Administration (M.B.A.)
University of Houston Law Center 2002 — 2005
J.D., Law
Millsaps College 1998 — 2002
Bachelor of Business Administration (B.B.A.), Corporate Finance, Dean's List
Verngina Smith's US Securities and Exchange Commission Experience January 2004 - Present
Job Program Support Specialist
Industry Government Administration
Experience
US Securities and Exchange Commission January 2004 - Present
Skills
Government, Records Management, Policy, File Management, Administrative..., Outlook, Research, Spreadsheets, Office Management, Data Entry, Microsoft Word, Access, Leadership, PeopleSoft, Nonprofits, Budgets, Leadership Development, Time Management, Payroll, Event Planning, Team Building, PowerPoint, Microsoft Office, SharePoint, Accounts Payable, Program Management, Accounting, Recruiting, Federal Government, Microsoft Publisher, Public Speaking, Social Media, Coaching, Microsoft Excel, Benefits Administration, Software Documentation, Customer Service, Staff Development, Training, Management, Project Management, Employee Relations, Analysis, Security Clearance, Team Leadership, Organizational..., Change Management, Social Networking
Education
Liberty University 2012 — 2016
Business Administration and Management, General
Charles B. Aycock High 1983 — 1986
US Securities and Exchange Commission January 2004 - Present
Skills
Government, Records Management, Policy, File Management, Administrative..., Outlook, Research, Spreadsheets, Office Management, Data Entry, Microsoft Word, Access, Leadership, PeopleSoft, Nonprofits, Budgets, Leadership Development, Time Management, Payroll, Event Planning, Team Building, PowerPoint, Microsoft Office, SharePoint, Accounts Payable, Program Management, Accounting, Recruiting, Federal Government, Microsoft Publisher, Public Speaking, Social Media, Coaching, Microsoft Excel, Benefits Administration, Software Documentation, Customer Service, Staff Development, Training, Management, Project Management, Employee Relations, Analysis, Security Clearance, Team Leadership, Organizational..., Change Management, Social Networking
Education
Liberty University 2012 — 2016
Business Administration and Management, General
Charles B. Aycock High 1983 — 1986
Nicole Pereira Nicole Pereira's US Securities and Exchange Commission Experience June 2004 - August 2004
Job
Industry Law Practice
Experience
National Labor Relations Board September 2010 - Present
Loyola Law August 2009 - December 2009
Horvitz & Levy January 2009 - August 2009
Center for Governmental Studies ("CGS") June 2008 - August 2008
Nielsen Merksamer June 2006 - June 2007
Office of US Senator Dianne Feinstein January 2005 - May 2005
US Securities and Exchange Commission June 2004 - August 2004
Skills
Organization, Goal Oriented, Diligent, Humor, Legal, Litigation, Legal Research
Education
Loyola Law School, Loyola Marymount University 2007 — 2010
Doctor of Law (J.D.)
UC Berkeley 2002 — 2006
Bachelor's degree, Political Science and Government
National Labor Relations Board September 2010 - Present
Loyola Law August 2009 - December 2009
Horvitz & Levy January 2009 - August 2009
Center for Governmental Studies ("CGS") June 2008 - August 2008
Nielsen Merksamer June 2006 - June 2007
Office of US Senator Dianne Feinstein January 2005 - May 2005
US Securities and Exchange Commission June 2004 - August 2004
Skills
Organization, Goal Oriented, Diligent, Humor, Legal, Litigation, Legal Research
Education
Loyola Law School, Loyola Marymount University 2007 — 2010
Doctor of Law (J.D.)
UC Berkeley 2002 — 2006
Bachelor's degree, Political Science and Government
Michael Ogershok Michael Ogershok's US Securities and Exchange Commission Experience August 2014 - Present
Job AttorneyAdviser at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission August 2014 - Present
US Securities and Exchange Commission May 2013 - August 2013
Lawrence County Public Defender Agency May 2012 - August 2012
US Securities and Exchange Commission January 2011 - August 2011
Mayer Brown July 2010 - December 2010
Skills
Westlaw, Legal Writing, Legal Research, Bluebook, Cite Checking, Research, Editing, Proofreading
Education
Indiana University School of Law—Bloomington 2011 — 2014
Juris Doctor (J.D.)
University of Virginia 2006 — 2010
Bachelor of Arts, Economics and Politics
U.S. Securities and Exchange Commission August 2014 - Present
US Securities and Exchange Commission May 2013 - August 2013
Lawrence County Public Defender Agency May 2012 - August 2012
US Securities and Exchange Commission January 2011 - August 2011
Mayer Brown July 2010 - December 2010
Skills
Westlaw, Legal Writing, Legal Research, Bluebook, Cite Checking, Research, Editing, Proofreading
Education
Indiana University School of Law—Bloomington 2011 — 2014
Juris Doctor (J.D.)
University of Virginia 2006 — 2010
Bachelor of Arts, Economics and Politics
Ryan Schultz's US Securities and Exchange Commission Experience June 2011 - August 2011
Job Research Associate at DiMeo Schneider & Associates
Industry Financial Services
Experience
DiMeo Schneider & Associates October 2014 - Present
Standard & Poor's March 2013 - September 2014
Riordan & Scully Insurance August 2012 - February 2013
US Securities and Exchange Commission June 2011 - August 2011
Newedge USA, LLC June 2010 - August 2010
Martin A. Schultz & Associates December 2009 - January 2010
Skills
Market Research, PowerPoint, Access, Financial Analysis, Fixed Income, Spanish, Microsoft Excel, Valuation, Structured Finance, Public Finance, Credit Analysis, Credit Derivatives
Education
Indiana University Bloomington 2008 — 2012
BS, Management
CEA Global Campus- Barcelona, Spain 2011 — 2011
Study Abroad, International Business
DiMeo Schneider & Associates October 2014 - Present
Standard & Poor's March 2013 - September 2014
Riordan & Scully Insurance August 2012 - February 2013
US Securities and Exchange Commission June 2011 - August 2011
Newedge USA, LLC June 2010 - August 2010
Martin A. Schultz & Associates December 2009 - January 2010
Skills
Market Research, PowerPoint, Access, Financial Analysis, Fixed Income, Spanish, Microsoft Excel, Valuation, Structured Finance, Public Finance, Credit Analysis, Credit Derivatives
Education
Indiana University Bloomington 2008 — 2012
BS, Management
CEA Global Campus- Barcelona, Spain 2011 — 2011
Study Abroad, International Business
Krista Kay Lewis Krista Kay Lewis's US Securities and Exchange Commission Experience September 2013 - November 2013
Job Associate at McDermott Will & Emery
Industry Law Practice
Experience
McDermott Will & Emery October 2014 - Present
US Securities and Exchange Commission September 2013 - November 2013
McDermott Will & Emery May 2013 - August 2013
Indiana University Maurer School of Law January 2012 - March 2013
ALM July 2011 - August 2011
Amarchand Mangaldas June 2011 - July 2011
Conlin, McKenney & Philbrick July 2009 - July 2010
University of Michigan Hockey Media Relations 2006 - 2008
Skills
Westlaw, Legal Research, Legal Writing, Litigation, Research, Microsoft Office, Mergers, Legal Advice, Analysis, Securities Regulation, Corporate Law, Corporate Finance
Education
Indiana University - Kelley School of Business 2011 — 2014
MBA, Accounting and Finance
Indiana University School of Law—Bloomington 2010 — 2014
Doctor, Jurisprudence
University of Michigan 2006 — 2009
Bachelor of Arts, Political Science & French and Francophone Studies
2009 — 2009
Exchange, Political Science, French
McDermott Will & Emery October 2014 - Present
US Securities and Exchange Commission September 2013 - November 2013
McDermott Will & Emery May 2013 - August 2013
Indiana University Maurer School of Law January 2012 - March 2013
ALM July 2011 - August 2011
Amarchand Mangaldas June 2011 - July 2011
Conlin, McKenney & Philbrick July 2009 - July 2010
University of Michigan Hockey Media Relations 2006 - 2008
Skills
Westlaw, Legal Research, Legal Writing, Litigation, Research, Microsoft Office, Mergers, Legal Advice, Analysis, Securities Regulation, Corporate Law, Corporate Finance
Education
Indiana University - Kelley School of Business 2011 — 2014
MBA, Accounting and Finance
Indiana University School of Law—Bloomington 2010 — 2014
Doctor, Jurisprudence
University of Michigan 2006 — 2009
Bachelor of Arts, Political Science & French and Francophone Studies
2009 — 2009
Exchange, Political Science, French
Sarah Putt's US Securities and Exchange Commission Experience November 2012 - November 2013
Job Experienced Securities and Compliance Professional
Industry Financial Services
Experience
Civitas Capital Group August 2015 - Present
Civitas Capital Group September 2014 - August 2015
US Securities and Exchange Commission November 2012 - November 2013
FINRA July 2006 - November 2012
Stephens Inc. January 2005 - July 2006
Louisiana State University September 2001 - May 2004
Skills
Securities Regulation, FINRA, Compliance, SEC filings, Risk Assessment, Financial Audits, External Audit, Microsoft Excel, PowerPoint, Microsoft Word, Project Planning, Public Speaking, Public Relations, Management, Anti Money Laundering
Education
Louisiana State University 2000 — 2004
Bachelor of Science (B.S.), Psychology
Civitas Capital Group August 2015 - Present
Civitas Capital Group September 2014 - August 2015
US Securities and Exchange Commission November 2012 - November 2013
FINRA July 2006 - November 2012
Stephens Inc. January 2005 - July 2006
Louisiana State University September 2001 - May 2004
Skills
Securities Regulation, FINRA, Compliance, SEC filings, Risk Assessment, Financial Audits, External Audit, Microsoft Excel, PowerPoint, Microsoft Word, Project Planning, Public Speaking, Public Relations, Management, Anti Money Laundering
Education
Louisiana State University 2000 — 2004
Bachelor of Science (B.S.), Psychology
Maria Moebius's US Securities and Exchange Commission Experience July 2012 - July 2014
Job Litigation Paralegal at Kluever and Platt
Industry Legal Services
Experience
Kluever and Platt July 2014 - Present
US Securities and Exchange Commission July 2012 - July 2014
US Securities and Exchange Commission August 2011 - May 2012
Law Office of Moshe Schub and Associates May 2007 - July 2011
Rogers Park Business Alliance April 2010 - March 2011
Crime Attorneys December 2005 - December 2006
Skills
Microsoft Office, Westlaw, LexisNexis, Concordance, Legal Research, Writing, Editing, Excel, Adobe, Word, Document Management, E-discovery, Data Mining, Bloomberg Terminal, CaseMap, Schedules, Litigation Support, Microsoft Excel, i2 analyst notebook, Criminal Defense, Legal Writing, Litigation, Trials, Criminal Law, Civil Litigation, Recommind, Legal Assistance, Motions, Legal Documents, Document Review, Document Drafting, Securities Regulation, Commercial Litigation, Bankruptcy, Appeals, Personal Injury, Corporate Law, Family Law, Intellectual Property, Litigation Management, Mediation, Microsoft Word
Education
Loyola University of Chicago 2011 — 2012
Paralegal Certificate with honors
Loyola University of Chicago 2008 — 2011
Bachelor of Arts
Pierce Community College 1999 — 2004
Associate of Arts
Pierce Community College 1999 — 2004
Associate of Arts
Kluever and Platt July 2014 - Present
US Securities and Exchange Commission July 2012 - July 2014
US Securities and Exchange Commission August 2011 - May 2012
Law Office of Moshe Schub and Associates May 2007 - July 2011
Rogers Park Business Alliance April 2010 - March 2011
Crime Attorneys December 2005 - December 2006
Skills
Microsoft Office, Westlaw, LexisNexis, Concordance, Legal Research, Writing, Editing, Excel, Adobe, Word, Document Management, E-discovery, Data Mining, Bloomberg Terminal, CaseMap, Schedules, Litigation Support, Microsoft Excel, i2 analyst notebook, Criminal Defense, Legal Writing, Litigation, Trials, Criminal Law, Civil Litigation, Recommind, Legal Assistance, Motions, Legal Documents, Document Review, Document Drafting, Securities Regulation, Commercial Litigation, Bankruptcy, Appeals, Personal Injury, Corporate Law, Family Law, Intellectual Property, Litigation Management, Mediation, Microsoft Word
Education
Loyola University of Chicago 2011 — 2012
Paralegal Certificate with honors
Loyola University of Chicago 2008 — 2011
Bachelor of Arts
Pierce Community College 1999 — 2004
Associate of Arts
Pierce Community College 1999 — 2004
Associate of Arts
Lilia Pivovarova Lilia Pivovarova's US Securities and Exchange Commission Experience September 2011 - August 2013
Job Regulatory Affairs Analyst at Planet Labs
Industry International Affairs
Experience
NASA Ames Research Center June 2014 - September 2014
US Securities and Exchange Commission September 2011 - August 2013
CIRCOR International, Inc. 2012 - 2012
Nationwide Insurance June 2011 - July 2011
Lumen Legal March 2011 - July 2011
The Scotts Miracle-Gro Company April 2011 - June 2011
Sam Shihab & Associates, LLC May 2010 - March 2011
International Council of Central Florida January 2010 - May 2010
Imperial Point Medical Center May 2001 - August 2005
Skills
International Relations, Immigration Law, Legal Research, Legal Assistance, International Law, Public Speaking, Research, Russian, Legal Writing, Government, Editing, Microsoft Office, Political Science, Project Management, Spanish, Event Planning, Document Review, Litigation, Diplomacy, Anti-Corruption, Compliance, International Event..., IBM i2 Analyst's..., Analyst's Notebook, Anti-Corruption Training, Training, Employee Training, Lexis, Nonprofits, Westlaw, Public Policy, Legal Issues, Legal Documents, Intellectual Property, Securities Regulation, Foreign Policy, Policy, Depositions, Partnerships, Strategic Partnerships, Building Business..., PowerPoint, Strategy, Strategic Planning, Legal Compliance, Standards Compliance, Regulatory Affairs
Education
International Space University 2013 — 2014
Master of Science (M.Sc.), Space Studies
International Space University 2013 — 2014
Master of Science (M.Sc.), Space Studies
University of Central Florida 2006 — 2010
BA, Political Science / International Relations
Lomonosov Moscow State University 2008 — 2008
Certificate, Russian Language
NASA Ames Research Center June 2014 - September 2014
US Securities and Exchange Commission September 2011 - August 2013
CIRCOR International, Inc. 2012 - 2012
Nationwide Insurance June 2011 - July 2011
Lumen Legal March 2011 - July 2011
The Scotts Miracle-Gro Company April 2011 - June 2011
Sam Shihab & Associates, LLC May 2010 - March 2011
International Council of Central Florida January 2010 - May 2010
Imperial Point Medical Center May 2001 - August 2005
Skills
International Relations, Immigration Law, Legal Research, Legal Assistance, International Law, Public Speaking, Research, Russian, Legal Writing, Government, Editing, Microsoft Office, Political Science, Project Management, Spanish, Event Planning, Document Review, Litigation, Diplomacy, Anti-Corruption, Compliance, International Event..., IBM i2 Analyst's..., Analyst's Notebook, Anti-Corruption Training, Training, Employee Training, Lexis, Nonprofits, Westlaw, Public Policy, Legal Issues, Legal Documents, Intellectual Property, Securities Regulation, Foreign Policy, Policy, Depositions, Partnerships, Strategic Partnerships, Building Business..., PowerPoint, Strategy, Strategic Planning, Legal Compliance, Standards Compliance, Regulatory Affairs
Education
International Space University 2013 — 2014
Master of Science (M.Sc.), Space Studies
International Space University 2013 — 2014
Master of Science (M.Sc.), Space Studies
University of Central Florida 2006 — 2010
BA, Political Science / International Relations
Lomonosov Moscow State University 2008 — 2008
Certificate, Russian Language
Roxanne Malaspina Roxanne Malaspina's US Securities and Exchange Commission Experience June 2004 - December 2005
Job General Counsel, CoreOne Technologies / Regulatory Compliance / Reporting / Analytics
Industry Legal Services
Experience
CoreOne Technologies April 2013 - Present
Deutsche Bank December 2005 - September 2012
US Securities and Exchange Commission June 2004 - December 2005
Cravath, Swaine & Moore September 1994 - June 2004
New Jersey Supreme Court August 1993 - August 1994
Andersen Consulting June 1989 - August 1990
Skills
Corporate Law, Joint Ventures, Securities, Legal Advice, Corporate Governance, International Joint..., Private Placements, Private Equity, IPO, Securities Regulation, International..., Due Diligence, Venture Capital, Mergers, Securities Offerings, Legal Compliance, Regulatory Affairs, Regulatory Compliance, Data Privacy, Dodd-Frank, Best Execution, Regulatory Reporting, Compliance Management, Capital Markets, Equities, Derivatives, Mergers
Education
New York University School of Law 1990 — 1993
JD, cum laude
Lafayette College 1985 — 1989
AB, summa cum laude, Economics/Government
CoreOne Technologies April 2013 - Present
Deutsche Bank December 2005 - September 2012
US Securities and Exchange Commission June 2004 - December 2005
Cravath, Swaine & Moore September 1994 - June 2004
New Jersey Supreme Court August 1993 - August 1994
Andersen Consulting June 1989 - August 1990
Skills
Corporate Law, Joint Ventures, Securities, Legal Advice, Corporate Governance, International Joint..., Private Placements, Private Equity, IPO, Securities Regulation, International..., Due Diligence, Venture Capital, Mergers, Securities Offerings, Legal Compliance, Regulatory Affairs, Regulatory Compliance, Data Privacy, Dodd-Frank, Best Execution, Regulatory Reporting, Compliance Management, Capital Markets, Equities, Derivatives, Mergers
Education
New York University School of Law 1990 — 1993
JD, cum laude
Lafayette College 1985 — 1989
AB, summa cum laude, Economics/Government
Gregory Schulze, PMP Gregory Schulze, PMP's US Securities and Exchange Commission Experience January 2014 - Present
Job Senior IT Leader | Business Partner | Delivering Business Value, Technology Implementation and Team Engagement
Industry Pharmaceuticals
Experience
US Securities and Exchange Commission January 2014 - Present
FHI 360 May 2013 - November 2013
Aspen Global Incorporated - Mauritius September 2008 - December 2012
Eli Lilly and Company December 2007 - August 2008
Eli Lilly and Company April 2004 - November 2007
Eli Lilly and Company May 2000 - March 2004
Eli Lilly and Company June 1998 - April 2000
Skills
IT Strategy, Business Process, IT Management, SDLC, ERP, Change Management, Business Analysis, Computer System..., Vendor Management, Process Improvement, Information Technology, ITIL, Project Management, Business Intelligence, IT Service Management, Outsourcing, Business Process..., IT Audit, Management, Strategy, Quality Auditing, Enterprise Architecture, Pharmaceutical Industry, Team Leadership, Business Strategy, Disaster Recovery, Cross-functional Team..., Project Portfolio..., Leadership, IT Outsourcing, Testing, Budgets, Integration, Service Management, Risk Assessment, Risk Management, Project Planning, Internal Audit, Requirements Analysis, Business Continuity, Validation, PMP, ITIL Certified, COBIT, Quality Management, Resource Management, Program Management, IT Governance, GxP, SOX Compliancy
Education
Indiana University - Kelley School of Business
M.B.A., General Administration
Iowa State University
B.S., Management Information Systems
US Securities and Exchange Commission January 2014 - Present
FHI 360 May 2013 - November 2013
Aspen Global Incorporated - Mauritius September 2008 - December 2012
Eli Lilly and Company December 2007 - August 2008
Eli Lilly and Company April 2004 - November 2007
Eli Lilly and Company May 2000 - March 2004
Eli Lilly and Company June 1998 - April 2000
Skills
IT Strategy, Business Process, IT Management, SDLC, ERP, Change Management, Business Analysis, Computer System..., Vendor Management, Process Improvement, Information Technology, ITIL, Project Management, Business Intelligence, IT Service Management, Outsourcing, Business Process..., IT Audit, Management, Strategy, Quality Auditing, Enterprise Architecture, Pharmaceutical Industry, Team Leadership, Business Strategy, Disaster Recovery, Cross-functional Team..., Project Portfolio..., Leadership, IT Outsourcing, Testing, Budgets, Integration, Service Management, Risk Assessment, Risk Management, Project Planning, Internal Audit, Requirements Analysis, Business Continuity, Validation, PMP, ITIL Certified, COBIT, Quality Management, Resource Management, Program Management, IT Governance, GxP, SOX Compliancy
Education
Indiana University - Kelley School of Business
M.B.A., General Administration
Iowa State University
B.S., Management Information Systems
Nicholas Mozena Nicholas Mozena's US Securities and Exchange Commission Experience May 2012 - December 2012
Job Consultant at Deloitte
Industry Management Consulting
Experience
Deloitte July 2013 - Present
US Securities and Exchange Commission May 2012 - December 2012
CarteGraph Systems June 2011 - August 2011
Skills
Microsoft Excel, Access, PowerPoint, CRM, Microsoft Office, Teamwork, Microsoft Word, Social Media, Outlook, Research, Public Speaking, Customer Service, Data Analysis, Data Entry, XBRL, Team Building
Education
Luther College 2009 — 2013
Bachelor of Arts, Economics and Management
Deloitte July 2013 - Present
US Securities and Exchange Commission May 2012 - December 2012
CarteGraph Systems June 2011 - August 2011
Skills
Microsoft Excel, Access, PowerPoint, CRM, Microsoft Office, Teamwork, Microsoft Word, Social Media, Outlook, Research, Public Speaking, Customer Service, Data Analysis, Data Entry, XBRL, Team Building
Education
Luther College 2009 — 2013
Bachelor of Arts, Economics and Management
Anita Pippin Edwards, CPA's US Securities and Exchange Commission Experience 1991 - 1996
Job Financial Reporting Accountant • Financial Analyst • Small Business Accountant/Bookkeeper
Industry Accounting
Experience
We Scrap 2, LLC 2003 - 2006
US Securities and Exchange Commission 1991 - 1996
Chevy Chase Bank 1987 - 1991
PwC 1984 - 1987
Skills
Financial Analysis, SEC Financial Reporting, US GAAP, Financial Statements, Accounting Issues..., Auditing, Accounting for Small..., QuickBooks, Bookkeeping, Teaching, Internal Controls, Internal Audit, Finance, Payroll
Education
James Madison University
BBA
We Scrap 2, LLC 2003 - 2006
US Securities and Exchange Commission 1991 - 1996
Chevy Chase Bank 1987 - 1991
PwC 1984 - 1987
Skills
Financial Analysis, SEC Financial Reporting, US GAAP, Financial Statements, Accounting Issues..., Auditing, Accounting for Small..., QuickBooks, Bookkeeping, Teaching, Internal Controls, Internal Audit, Finance, Payroll
Education
James Madison University
BBA
David Markowitz David Markowitz's US Securities and Exchange Commission Experience April 2000 - April 2008
Job Managing Director at Goldman Sachs
Industry Legal Services
Experience
Goldman Sachs January 2011 - Present
State of New York Office of the Attorney General Andrew M. Cuomo April 2008 - December 2010
US Securities and Exchange Commission April 2000 - April 2008
Stroock & Stroock & Lavan LLP September 1996 - April 2000
Education
New York University School of Law 1993 — 1996
JD
Lafayette College 1989 — 1993
BA, History
scotch plains
Goldman Sachs January 2011 - Present
State of New York Office of the Attorney General Andrew M. Cuomo April 2008 - December 2010
US Securities and Exchange Commission April 2000 - April 2008
Stroock & Stroock & Lavan LLP September 1996 - April 2000
Education
New York University School of Law 1993 — 1996
JD
Lafayette College 1989 — 1993
BA, History
scotch plains
David Woodcock David Woodcock's US Securities and Exchange Commission Experience 2011 - 2015
Job Partner, Securities Litigation and SEC Enforcement at JONES DAY®
Industry Law Practice
Experience
JONES DAY® 2015 - Present
Texas A&M University School of Law 2014 - Present
US Securities and Exchange Commission 2011 - 2015
Vinson and Elkins 2001 - 2011
Judge Howell Cobb 2000 - 2001
Price Waterhouse, L.L.P 1994 - 1997
Ernst & Young, L.L.P. January 1993 - November 1994
Skills
Corporate Governance, Litigation, Arbitration, Securities Regulation, Securities Litigation, Compliance, Business Litigation
Education
The University of Texas School of Law 1997 — 2000
J.D
Louisiana State University 1986 — 1992
B.S, Accounting
JONES DAY® 2015 - Present
Texas A&M University School of Law 2014 - Present
US Securities and Exchange Commission 2011 - 2015
Vinson and Elkins 2001 - 2011
Judge Howell Cobb 2000 - 2001
Price Waterhouse, L.L.P 1994 - 1997
Ernst & Young, L.L.P. January 1993 - November 1994
Skills
Corporate Governance, Litigation, Arbitration, Securities Regulation, Securities Litigation, Compliance, Business Litigation
Education
The University of Texas School of Law 1997 — 2000
J.D
Louisiana State University 1986 — 1992
B.S, Accounting
Beau McMillan's US Securities and Exchange Commission Experience June 2015 - Present
Job Financial Management Specialist at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission June 2015 - Present
Protiviti Government Services, Inc. January 2014 - June 2015
Abercrombie & Fitch September 2008 - January 2014
US Securities and Exchange Commission June 2012 - August 2012
Louisiana State University April 2012 - June 2012
Skills
Leadership, New Hire Orientations, PowerPoint, Recruiting, Training, Social Networking, Microsoft Word, Social Media, Public Speaking, Time Management, Teaching, Event Planning, Microsoft Office, Public Relations, Internal Controls, Financial Statement..., Compliance Management, Regulatory Compliance, Securities Regulation
Education
Louisiana State University 2009 — 2013
Economics, International Trade and Finance
U.S. Securities and Exchange Commission June 2015 - Present
Protiviti Government Services, Inc. January 2014 - June 2015
Abercrombie & Fitch September 2008 - January 2014
US Securities and Exchange Commission June 2012 - August 2012
Louisiana State University April 2012 - June 2012
Skills
Leadership, New Hire Orientations, PowerPoint, Recruiting, Training, Social Networking, Microsoft Word, Social Media, Public Speaking, Time Management, Teaching, Event Planning, Microsoft Office, Public Relations, Internal Controls, Financial Statement..., Compliance Management, Regulatory Compliance, Securities Regulation
Education
Louisiana State University 2009 — 2013
Economics, International Trade and Finance
Mohan Kondapalli, MBA Mohan Kondapalli, MBA's US Securities and Exchange Commission Experience June 2009 - February 2010
Job Implementation Architect at NCS Pearson
Industry Computer Software
Experience
Pearson North America September 2013 - Present
Pearson Education February 2010 - Present
US Securities and Exchange Commission June 2009 - February 2010
Sovereign Bank January 2007 - May 2008
IEEE February 2007 - December 2007
Skills
Agile Methodologies, Java, Programming, Spring, Tomcat, .NET, SDLC, Unix, JSP, AJAX, MySQL, Hibernate, SOA, Oracle, C++, Perl, Visual Studio, HTML, Web Applications, Ant, REST, Apache, JavaScript, Subversion, SQL
Education
University of Iowa - Henry B. Tippie College of Business 2011 — 2013
Masters, Business Administration
University of Massachusetts Dartmouth 2005 — 2007
Masters, Computer Engineering
Jawaharlal Nehru Technological University 2001 — 2005
B.TECH, Electronics and Communications
Pearson North America September 2013 - Present
Pearson Education February 2010 - Present
US Securities and Exchange Commission June 2009 - February 2010
Sovereign Bank January 2007 - May 2008
IEEE February 2007 - December 2007
Skills
Agile Methodologies, Java, Programming, Spring, Tomcat, .NET, SDLC, Unix, JSP, AJAX, MySQL, Hibernate, SOA, Oracle, C++, Perl, Visual Studio, HTML, Web Applications, Ant, REST, Apache, JavaScript, Subversion, SQL
Education
University of Iowa - Henry B. Tippie College of Business 2011 — 2013
Masters, Business Administration
University of Massachusetts Dartmouth 2005 — 2007
Masters, Computer Engineering
Jawaharlal Nehru Technological University 2001 — 2005
B.TECH, Electronics and Communications
Jim Thyen Jim Thyen's US Securities and Exchange Commission Experience November 2004 - April 2006
Job President & CEO Retired, Kimball International, Inc.
Industry Furniture
Experience
FM Global April 2003 - Present
Kimball International October 1982 - October 2014
Kimball International, Jasper, In August 1967 - October 2014
Kelley School of Business October 2010 - December 2012
US Securities and Exchange Commission November 2004 - April 2006
Kimball International January 1998 - January 2004
Kimball International October 1990 - December 1997
Skills
Strategic Planning, Team Building, New Business Development, Leadership, Process Improvement, Project Management, Marketing Strategy, Business Planning, Product Development, Strategy, Contract Negotiation, Finance, Negotiation, Cross-functional Team..., Sales Management, Business Development, Budgets, Business Strategy, Start-ups, Forecasting, Mergers & Acquisitions, Change Management, Marketing, Manufacturing
Education
Indiana University - Kelley School of Business 1965 — 1967
Master of Business Administrationn, Finance
Xavier University 1961 — 1965
Bachelor of Science, Philosophy; Business
FM Global April 2003 - Present
Kimball International October 1982 - October 2014
Kimball International, Jasper, In August 1967 - October 2014
Kelley School of Business October 2010 - December 2012
US Securities and Exchange Commission November 2004 - April 2006
Kimball International January 1998 - January 2004
Kimball International October 1990 - December 1997
Skills
Strategic Planning, Team Building, New Business Development, Leadership, Process Improvement, Project Management, Marketing Strategy, Business Planning, Product Development, Strategy, Contract Negotiation, Finance, Negotiation, Cross-functional Team..., Sales Management, Business Development, Budgets, Business Strategy, Start-ups, Forecasting, Mergers & Acquisitions, Change Management, Marketing, Manufacturing
Education
Indiana University - Kelley School of Business 1965 — 1967
Master of Business Administrationn, Finance
Xavier University 1961 — 1965
Bachelor of Science, Philosophy; Business
Tirrell Paxton Tirrell Paxton's US Securities and Exchange Commission Experience May 1999 - August 1999
Job Deputy Inspector General
Industry Legal Services
Experience
Inspector General Office of Cook County January 2010 - Present
ICPAS 2013 - 2015
ICPAS 2013 - 2015
Educational Services for America July 2007 - September 2014
DeVry University November 2011 - 2013
Ernst & Young September 2005 - September 2008
DLA Piper July 2002 - January 2004
U.S. Bankruptcy Court August 2001 - July 2002
US Securities and Exchange Commission May 1999 - August 1999
Skills
Legal Research, Civil Litigation, Bankruptcy, Government, Fraud, Criminal Law, Internal Controls, Litigation, Commercial Litigation, Accounting, Management, Legal Writing, Private Investigations, Public Speaking, Analysis
Education
University of Michigan Law School 1998 — 2001
JD, law
Jackson State University
B.B.A, Accounting
Inspector General Office of Cook County January 2010 - Present
ICPAS 2013 - 2015
ICPAS 2013 - 2015
Educational Services for America July 2007 - September 2014
DeVry University November 2011 - 2013
Ernst & Young September 2005 - September 2008
DLA Piper July 2002 - January 2004
U.S. Bankruptcy Court August 2001 - July 2002
US Securities and Exchange Commission May 1999 - August 1999
Skills
Legal Research, Civil Litigation, Bankruptcy, Government, Fraud, Criminal Law, Internal Controls, Litigation, Commercial Litigation, Accounting, Management, Legal Writing, Private Investigations, Public Speaking, Analysis
Education
University of Michigan Law School 1998 — 2001
JD, law
Jackson State University
B.B.A, Accounting
Douglas W. Hyman's US Securities and Exchange Commission Experience 2000 - 2003
Job Managing Partner Chicago Office at Beugelmans, LLP
Industry Financial Services
Experience
Beugelmans, LLP September 2015 - Present
DWH Legal Ltd. February 2013 - August 2015
Morgan Stanley Wealth Management March 2009 - February 2013
UBS Financial Services Inc. July 2007 - March 2009
DLA Piper US LLP 2003 - 2007
US Securities and Exchange Commission 2000 - 2003
Wildman Harrold 1996 - 2000
Skills
Commercial Litigation, Corporate Law, Securities Regulation, Securities Litigation, SEC, Compliance Procedures, FINRA, Risk Management, Compliance..., Corporate Governance, Corporate Internal..., Portfolio Management, Variable Annuities, Fixed Annuities, Indexed Annuities, Hedge Funds, Capital Markets, Mutual Funds, ETFs, Alternative Investments, Structured Products, Equities, Fixed Income, Insurance Brokerage, Options, Futures, Due Diligence, Securities, Investments, Litigation, Licensing, Fraud
Education
Indiana University School of Law—Bloomington 1993 — 1995
JD, with honors
Indiana University Bloomington 1988 — 1992
BA
Beugelmans, LLP September 2015 - Present
DWH Legal Ltd. February 2013 - August 2015
Morgan Stanley Wealth Management March 2009 - February 2013
UBS Financial Services Inc. July 2007 - March 2009
DLA Piper US LLP 2003 - 2007
US Securities and Exchange Commission 2000 - 2003
Wildman Harrold 1996 - 2000
Skills
Commercial Litigation, Corporate Law, Securities Regulation, Securities Litigation, SEC, Compliance Procedures, FINRA, Risk Management, Compliance..., Corporate Governance, Corporate Internal..., Portfolio Management, Variable Annuities, Fixed Annuities, Indexed Annuities, Hedge Funds, Capital Markets, Mutual Funds, ETFs, Alternative Investments, Structured Products, Equities, Fixed Income, Insurance Brokerage, Options, Futures, Due Diligence, Securities, Investments, Litigation, Licensing, Fraud
Education
Indiana University School of Law—Bloomington 1993 — 1995
JD, with honors
Indiana University Bloomington 1988 — 1992
BA
Scott James's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Associate at Gunderson Dettmer
Industry Law Practice
Experience
Gunderson Dettmer October 2013 - Present
US Securities and Exchange Commission January 2013 - April 2013
Gunderson Dettmer June 2012 - August 2012
Tealeaf Technology May 2011 - June 2012
California Department of Corporations - Securities Regulation Division January 2012 - April 2012
Lahlouh March 2008 - August 2010
Gunderson Dettmer September 2006 - March 2008
BUILD 2006 - 2007
Morrison & Foerster LLP June 2006 - September 2006
Morrison & Foerster LLP June 2005 - September 2005
Skills
Corporate Law, Intellectual Property, Corporate Governance, Venture Capital, Mergers, Due Diligence, Securities Regulation, Start-ups, Securities, Strategy, Venture Financing, Mergers & Acquisitions, Entrepreneurship, Licensing
Education
University of California, Hastings College of the Law 2010 — 2013
Juris Doctor, magna cum laude
Leiden University 2012 — 2013
European Union Law
University of California, Davis 2002 — 2006
B.S., Managerial Economics
Griffith University 2004 — 2004
International Studies
Sacred Heart Preparatory 1998 — 2002
Gunderson Dettmer October 2013 - Present
US Securities and Exchange Commission January 2013 - April 2013
Gunderson Dettmer June 2012 - August 2012
Tealeaf Technology May 2011 - June 2012
California Department of Corporations - Securities Regulation Division January 2012 - April 2012
Lahlouh March 2008 - August 2010
Gunderson Dettmer September 2006 - March 2008
BUILD 2006 - 2007
Morrison & Foerster LLP June 2006 - September 2006
Morrison & Foerster LLP June 2005 - September 2005
Skills
Corporate Law, Intellectual Property, Corporate Governance, Venture Capital, Mergers, Due Diligence, Securities Regulation, Start-ups, Securities, Strategy, Venture Financing, Mergers & Acquisitions, Entrepreneurship, Licensing
Education
University of California, Hastings College of the Law 2010 — 2013
Juris Doctor, magna cum laude
Leiden University 2012 — 2013
European Union Law
University of California, Davis 2002 — 2006
B.S., Managerial Economics
Griffith University 2004 — 2004
International Studies
Sacred Heart Preparatory 1998 — 2002
Shirley Chiu Shirley Chiu's US Securities and Exchange Commission Experience May 2006 - August 2006
Job
Industry Law Practice
Experience
Consumer Financial Protection Bureau July 2011 - Present
Chicago Volunteer Legal Services Foundation March 2010 - June 2011
Chicago Volunteer Legal Services Foundation July 2009 - March 2010
McDermott Will and Emery September 2008 - July 2009
Federal Reserve Bank of Chicago July 2002 - May 2008
US Securities and Exchange Commission May 2006 - August 2006
Universal Music Group - Verve Music Group June 2001 - August 2001
Education
Loyola University Chicago School of Law 2004 — 2008
J.D., Law
The University of Chicago 1998 — 2002
B.A., Economics
The London School of Economics and Political Science (LSE) 2000 — 2001
General Course, Economics
Consumer Financial Protection Bureau July 2011 - Present
Chicago Volunteer Legal Services Foundation March 2010 - June 2011
Chicago Volunteer Legal Services Foundation July 2009 - March 2010
McDermott Will and Emery September 2008 - July 2009
Federal Reserve Bank of Chicago July 2002 - May 2008
US Securities and Exchange Commission May 2006 - August 2006
Universal Music Group - Verve Music Group June 2001 - August 2001
Education
Loyola University Chicago School of Law 2004 — 2008
J.D., Law
The University of Chicago 1998 — 2002
B.A., Economics
The London School of Economics and Political Science (LSE) 2000 — 2001
General Course, Economics
Lee Whalen Lee Whalen's US Securities and Exchange Commission Experience February 1988 - June 1994
Job Broker at Windermere Real Estate/NW, Inc
Industry Real Estate
Experience
Windermere Real Estate October 1994 - Present
US Securities and Exchange Commission February 1988 - June 1994
Touche Ross June 1986 - February 1988
Timberline Software 1980 - 1983
Kidder Peabody 1975 - 1978
Education
University of Oregon 1983 — 1986
JD, Tax and Securities
Lewis and Clark College 1972 — 1975
BA, Economics and Business and Administration
Kenston High School
University of Iowa
Windermere Real Estate October 1994 - Present
US Securities and Exchange Commission February 1988 - June 1994
Touche Ross June 1986 - February 1988
Timberline Software 1980 - 1983
Kidder Peabody 1975 - 1978
Education
University of Oregon 1983 — 1986
JD, Tax and Securities
Lewis and Clark College 1972 — 1975
BA, Economics and Business and Administration
Kenston High School
University of Iowa
Kevin Scholz Kevin Scholz's US Securities and Exchange Commission Experience May 2005 - August 2005
Job Analyst in Asset Management at Canyon Capital
Industry Financial Services
Experience
Canyon Capital July 2010 - Present
Canyon Capital January 2009 - June 2010
Ernst & Young LLP August 2006 - December 2008
US Securities and Exchange Commission May 2005 - August 2005
Education
University of Miami - School of Business 2004 — 2006
MBA, Finance, International Business
Iona College 2000 — 2004
BBA, Accounting
Lakeland High School
Canyon Capital July 2010 - Present
Canyon Capital January 2009 - June 2010
Ernst & Young LLP August 2006 - December 2008
US Securities and Exchange Commission May 2005 - August 2005
Education
University of Miami - School of Business 2004 — 2006
MBA, Finance, International Business
Iona College 2000 — 2004
BBA, Accounting
Lakeland High School
Evan Sussholz's US Securities and Exchange Commission Experience June 2008 - June 2010
Job Partner at EY
Industry Financial Services
Experience
EY June 2010 - Present
US Securities and Exchange Commission June 2008 - June 2010
Ernst & Young July 1998 - June 2008
Skills
Valuation, Transaction Advisory..., Financial Analysis, Business Valuation, SEC, Financial Modeling, Mergers
Education
Northwestern University - Kellogg School of Management 2003 — 2006
MBA, Finance, Marketing, Management & Strategy
Indiana University - Kelley School of Business 1994 — 1998
BS, Accounting, Finance
EY June 2010 - Present
US Securities and Exchange Commission June 2008 - June 2010
Ernst & Young July 1998 - June 2008
Skills
Valuation, Transaction Advisory..., Financial Analysis, Business Valuation, SEC, Financial Modeling, Mergers
Education
Northwestern University - Kellogg School of Management 2003 — 2006
MBA, Finance, Marketing, Management & Strategy
Indiana University - Kelley School of Business 1994 — 1998
BS, Accounting, Finance
Stephen Tunney Stephen Tunney's US Securities and Exchange Commission Experience 2004 - 2005
Job Retired
Industry Financial Services
Experience
Home RealtorFusiilier Realty GroupDecember 2011 - October 2013
Pershing LLC 2010 - 2011
ascend consulting 2006 - 2007
ascend consulting 2006 - 2007
Bear Stearns 2005 - 2007
US Securities and Exchange Commission 2004 - 2005
Lewco Securities Corp. 1993 - 2002
Lewco Securites, Inc 1993 - 2001
National Securities Clearing Corp 1985 - 1993
Morgan Stanley & Co. Incorporated 1975 - 1983
Skills
Project Management, Securities, Business Analysis, Financial Services, SDLC, Equities, Derivatives, Fixed Income, Process Improvement, Requirements Gathering, Risk Management, PMO, SharePoint, Requirements Analysis, Agile Methodologies, Portfolio Management, Project Planning, Banking, Financial Risk, Management, Project Portfolio..., Analysis, Vendor Management
Education
Kean University 1978 — 1982
BS, Management Science
Home RealtorFusiilier Realty GroupDecember 2011 - October 2013
Pershing LLC 2010 - 2011
ascend consulting 2006 - 2007
ascend consulting 2006 - 2007
Bear Stearns 2005 - 2007
US Securities and Exchange Commission 2004 - 2005
Lewco Securities Corp. 1993 - 2002
Lewco Securites, Inc 1993 - 2001
National Securities Clearing Corp 1985 - 1993
Morgan Stanley & Co. Incorporated 1975 - 1983
Skills
Project Management, Securities, Business Analysis, Financial Services, SDLC, Equities, Derivatives, Fixed Income, Process Improvement, Requirements Gathering, Risk Management, PMO, SharePoint, Requirements Analysis, Agile Methodologies, Portfolio Management, Project Planning, Banking, Financial Risk, Management, Project Portfolio..., Analysis, Vendor Management
Education
Kean University 1978 — 1982
BS, Management Science
Eugene Canjels Eugene Canjels's US Securities and Exchange Commission Experience April 2010 - Present
Job Financial Economist at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission April 2010 - Present
Huron Consulting Group August 2006 - April 2010
Deloitte, Washington DC 2005 - 2007
New School University 1996 - 2003
Education
Northwestern University 1991 — 1996
PhD, Economics
Maastricht University 1985 — 1991
Drs, Economics
Bisschoppelijk College
US Securities and Exchange Commission April 2010 - Present
Huron Consulting Group August 2006 - April 2010
Deloitte, Washington DC 2005 - 2007
New School University 1996 - 2003
Education
Northwestern University 1991 — 1996
PhD, Economics
Maastricht University 1985 — 1991
Drs, Economics
Bisschoppelijk College
Amaka Okagbue Amaka Okagbue's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Compliance Fellow at GE
Industry Legal Services
Experience
GE September 2014 - July 2015
The George Washington University Immigration Clinic August 2013 - April 2014
AARP Services Inc. May 2013 - August 2013
US Securities and Exchange Commission September 2012 - December 2012
Superior Court of the District of Columbia May 2012 - August 2012
Skills
Legal Writing, Courts, Lexis, Westlaw, Legal Research, Administrative Law, Immigration Law, Public Speaking, Civil Litigation, Intellectual Property, LexisNexis
Education
The George Washington University Law School 2011 — 2014
Doctor of Law (J.D.)
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2006 — 2010
Bachelor of Science (BS), Business Administration and Management, General
King's College London 2009 — 2009
Loyola Jesuit College 1999 — 2005
GE September 2014 - July 2015
The George Washington University Immigration Clinic August 2013 - April 2014
AARP Services Inc. May 2013 - August 2013
US Securities and Exchange Commission September 2012 - December 2012
Superior Court of the District of Columbia May 2012 - August 2012
Skills
Legal Writing, Courts, Lexis, Westlaw, Legal Research, Administrative Law, Immigration Law, Public Speaking, Civil Litigation, Intellectual Property, LexisNexis
Education
The George Washington University Law School 2011 — 2014
Doctor of Law (J.D.)
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2006 — 2010
Bachelor of Science (BS), Business Administration and Management, General
King's College London 2009 — 2009
Loyola Jesuit College 1999 — 2005
Felipe Cruz, JD, LLM, CAMS Felipe Cruz, JD, LLM, CAMS's US Securities and Exchange Commission Experience September 2012 - October 2013
Job BSA Investigator at Banesco Banco Universal
Industry Legal Services
Experience
Banesco Banco Universal December 2014 - Present
Apollo Bank August 2014 - Present
Wilmington Trust May 2014 - July 2014
JPMorgan Chase November 2013 - April 2014
US Securities and Exchange Commission September 2012 - October 2013
Western Union May 2012 - September 2012
FTI Consulting January 2008 - October 2008
Skills
AML, Fraud, Securities, Litigation, Risk Assessment, Program Management, Data Analysis, Project Management, Due Diligence, Legal Writing, Risk Management, Financial Risk, Capital Markets, Financial Services, Legal Research, Corporate Governance, Private Equity, Auditing, Corporate Finance, Banking, Analysis, Finance, Governance, Management
Education
Inter American University School of Law
JD, Law
New York University School of Law
Master of Laws (LL.M.), International Law and Legal Studies
University of Puerto Rico
Bachelor of Business Administration (B.B.A.), Finance
Banesco Banco Universal December 2014 - Present
Apollo Bank August 2014 - Present
Wilmington Trust May 2014 - July 2014
JPMorgan Chase November 2013 - April 2014
US Securities and Exchange Commission September 2012 - October 2013
Western Union May 2012 - September 2012
FTI Consulting January 2008 - October 2008
Skills
AML, Fraud, Securities, Litigation, Risk Assessment, Program Management, Data Analysis, Project Management, Due Diligence, Legal Writing, Risk Management, Financial Risk, Capital Markets, Financial Services, Legal Research, Corporate Governance, Private Equity, Auditing, Corporate Finance, Banking, Analysis, Finance, Governance, Management
Education
Inter American University School of Law
JD, Law
New York University School of Law
Master of Laws (LL.M.), International Law and Legal Studies
University of Puerto Rico
Bachelor of Business Administration (B.B.A.), Finance
Kathleen Hanley Kathleen Hanley's US Securities and Exchange Commission Experience August 2011 - August 2013
Job Professor of Finance and BoltonPerella Chair at Lehigh University
Industry Higher Education
Experience
Lehigh University August 2015 - Present
Lehigh University August 2015 - Present
University of Maryland August 2013 - July 2015
University of Maryland August 2013 - July 2015
US Securities and Exchange Commission August 2011 - August 2013
Federal Reserve Board March 2010 - August 2011
US Securities and Exchange Commission February 2005 - March 2010
University of Maryland August 1994 - August 1999
University of Michigan August 1988 - August 1994
US Securities and Exchange Commission August 1987 - August 1988
Skills
Financial Economics, Economics, Capital Markets, Quantitative Analytics, Corporate Finance, Finance, Policy, Financial Markets, Research, Statistics, Financial Modeling, Valuation, Derivatives, Macroeconomics, Econometrics
Education
University of Florida
PhD, Finance
Indiana University Bloomington
BS, Finance
Lehigh University August 2015 - Present
Lehigh University August 2015 - Present
University of Maryland August 2013 - July 2015
University of Maryland August 2013 - July 2015
US Securities and Exchange Commission August 2011 - August 2013
Federal Reserve Board March 2010 - August 2011
US Securities and Exchange Commission February 2005 - March 2010
University of Maryland August 1994 - August 1999
University of Michigan August 1988 - August 1994
US Securities and Exchange Commission August 1987 - August 1988
Skills
Financial Economics, Economics, Capital Markets, Quantitative Analytics, Corporate Finance, Finance, Policy, Financial Markets, Research, Statistics, Financial Modeling, Valuation, Derivatives, Macroeconomics, Econometrics
Education
University of Florida
PhD, Finance
Indiana University Bloomington
BS, Finance
Koreen Ryan's US Securities and Exchange Commission Experience August 1993 - January 1998
Job Senior Counsel, Corporate and Securities at Hospira, a Pfizer company
Industry Pharmaceuticals
Experience
Legal Management Consulting, LLC April 2013 - December 2013
Leaders in General Counsel Corporate Governance in the Greater Chicago Area 2013 - December 2013
Empire Today, LLC January 2007 - March 2013
The Warranty Group November 2008 - May 2009
Enesco Company, Ltd. 2005 - 2006
McDonald's Corp March 2002 - May 2005
Incapital Holdings LLC 2000 - 2001
Arnstein & Lehr LLP April 1999 - October 2000
US Securities and Exchange Commission August 1993 - January 1998
Metris Companies 1998 - 1998
Skills
Contract Management, SEC filings, Civil Litigation, Employment Law, Licensing Negotiations, Strategic Leadership, Corporate Governance, Negotiation, Due Diligence, Legal Compliance, Securities, Arbitration, Mergers & Acquisitions, Privacy Law, Legal Writing, Joint Ventures, Trademarks, Dispute Resolution, Management, Restructuring, Commercial Litigation, Contract Negotiation, Securities Regulation, Litigation Management, General Corporate..., Investigation, FCPA, Commercial Transactions, Legal Advice, Tax, Finance, Executive Management, Leadership, Human Resources, Corporate Law
Education
Valparaiso University School of Law 1990 — 1993
J.D., Law
Indiana University South Bend 1985 — 1990
B.S./B.A., Economics, English
Port Huron High School 1979 — 1983
HS Diploma
Legal Management Consulting, LLC April 2013 - December 2013
Leaders in General Counsel Corporate Governance in the Greater Chicago Area 2013 - December 2013
Empire Today, LLC January 2007 - March 2013
The Warranty Group November 2008 - May 2009
Enesco Company, Ltd. 2005 - 2006
McDonald's Corp March 2002 - May 2005
Incapital Holdings LLC 2000 - 2001
Arnstein & Lehr LLP April 1999 - October 2000
US Securities and Exchange Commission August 1993 - January 1998
Metris Companies 1998 - 1998
Skills
Contract Management, SEC filings, Civil Litigation, Employment Law, Licensing Negotiations, Strategic Leadership, Corporate Governance, Negotiation, Due Diligence, Legal Compliance, Securities, Arbitration, Mergers & Acquisitions, Privacy Law, Legal Writing, Joint Ventures, Trademarks, Dispute Resolution, Management, Restructuring, Commercial Litigation, Contract Negotiation, Securities Regulation, Litigation Management, General Corporate..., Investigation, FCPA, Commercial Transactions, Legal Advice, Tax, Finance, Executive Management, Leadership, Human Resources, Corporate Law
Education
Valparaiso University School of Law 1990 — 1993
J.D., Law
Indiana University South Bend 1985 — 1990
B.S./B.A., Economics, English
Port Huron High School 1979 — 1983
HS Diploma
Joshua Shoumer Joshua Shoumer's US Securities and Exchange Commission Experience January 2011 - May 2011
Job Attorney at Shoumer Law
Industry Law Practice
Experience
Shoumer Law January 2015 - Present
Foley & Mansfield, PLLP January 2013 - January 2015
Foley & Mansfield, PLLP June 2011 - March 2012
US Securities and Exchange Commission January 2011 - May 2011
United States Bankruptcy Court May 2010 - August 2010
Skills
Westlaw, Legal Research, Bankruptcy, Torts, Criminal Law, Corporate Law, Personal Injury, Class Actions, Research, Product Liability, Legal Issues, Due Diligence, Employment Law, Legal Assistance
Education
Loyola Law School, Loyola Marymount University 2009 — 2012
J.D.
USC Marshall School of Business 2005 — 2009
BS, Corporate and Entrepreneurial Finance
Shoumer Law January 2015 - Present
Foley & Mansfield, PLLP January 2013 - January 2015
Foley & Mansfield, PLLP June 2011 - March 2012
US Securities and Exchange Commission January 2011 - May 2011
United States Bankruptcy Court May 2010 - August 2010
Skills
Westlaw, Legal Research, Bankruptcy, Torts, Criminal Law, Corporate Law, Personal Injury, Class Actions, Research, Product Liability, Legal Issues, Due Diligence, Employment Law, Legal Assistance
Education
Loyola Law School, Loyola Marymount University 2009 — 2012
J.D.
USC Marshall School of Business 2005 — 2009
BS, Corporate and Entrepreneurial Finance
Johnny Gharib Johnny Gharib's US Securities and Exchange Commission Experience June 2010 - Present
Job Senior Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission June 2010 - Present
L4 Realty Capital, LLC September 2008 - June 2010
Cadwalader, Wickersham & Taft LLP September 2007 - August 2008
Canon Heyman & Weiss, LLP May 2006 - August 2006
ERNST AND YOUNG, LLP May 2005 - August 2005
KPMG, LLP September 2000 - March 2003
Skills
Corporate Governance, Corporate Finance, Finance, Licensing, Securities, Securities Regulation
Education
State University of New York at Buffalo - Law School 2004 — 2007
JD with Honors
James Madison University 1995 — 1999
BBA, Accounting
US Securities and Exchange Commission June 2010 - Present
L4 Realty Capital, LLC September 2008 - June 2010
Cadwalader, Wickersham & Taft LLP September 2007 - August 2008
Canon Heyman & Weiss, LLP May 2006 - August 2006
ERNST AND YOUNG, LLP May 2005 - August 2005
KPMG, LLP September 2000 - March 2003
Skills
Corporate Governance, Corporate Finance, Finance, Licensing, Securities, Securities Regulation
Education
State University of New York at Buffalo - Law School 2004 — 2007
JD with Honors
James Madison University 1995 — 1999
BBA, Accounting
Emilie Hurley Emilie Hurley's US Securities and Exchange Commission Experience July 2012 - May 2015
Job Contractor at US Securities and Exchange Commission
Industry Legal Services
Experience
US Securities and Exchange Commission July 2012 - May 2015
Teavana July 2011 - June 2012
Macomb Center for the Performing Arts July 2007 - August 2011
Bilkent University August 2010 - November 2010
The Oriental Institute October 2009 - June 2010
Oakland County Pioneer and Historical Society August 2008 - August 2009
Skills
Museum Collections, Historical..., Costume Design, Research, Community Outreach, Qualitative Research, Teaching, Editing, Event Planning, Fundraising, Non-profits, History, Microsoft Office, Curriculum Design, PowerPoint, Higher Education, Data Analysis, Microsoft Word, Volunteer Management, Event Management, Grant Writing, Nonprofits, SPSS, Analysis
Education
University of Chicago 2009 — 2010
Master's of Arts, Social Sciences
Michigan State University 2005 — 2007
Bachelor's of Arts, HistoryMy studies; American History; Social Science Perspectives
Macomb Community College 2003 — 2005
General Education
US Securities and Exchange Commission July 2012 - May 2015
Teavana July 2011 - June 2012
Macomb Center for the Performing Arts July 2007 - August 2011
Bilkent University August 2010 - November 2010
The Oriental Institute October 2009 - June 2010
Oakland County Pioneer and Historical Society August 2008 - August 2009
Skills
Museum Collections, Historical..., Costume Design, Research, Community Outreach, Qualitative Research, Teaching, Editing, Event Planning, Fundraising, Non-profits, History, Microsoft Office, Curriculum Design, PowerPoint, Higher Education, Data Analysis, Microsoft Word, Volunteer Management, Event Management, Grant Writing, Nonprofits, SPSS, Analysis
Education
University of Chicago 2009 — 2010
Master's of Arts, Social Sciences
Michigan State University 2005 — 2007
Bachelor's of Arts, HistoryMy studies; American History; Social Science Perspectives
Macomb Community College 2003 — 2005
General Education
Ken O'Connor Ken O'Connor's US Securities and Exchange Commission Experience September 2008 - Present
Job Branch Chief at US Securities and Exchange Commission
Industry Investment Management
Experience
US Securities and Exchange Commission September 2008 - Present
Ivy Asset Management December 2007 - September 2008
US Securities and Exchange Commission October 1999 - November 2007
Education
Long Island University, C.W. Post Campus 1994 — 1999
Bachelor of Science, Finance
US Securities and Exchange Commission September 2008 - Present
Ivy Asset Management December 2007 - September 2008
US Securities and Exchange Commission October 1999 - November 2007
Education
Long Island University, C.W. Post Campus 1994 — 1999
Bachelor of Science, Finance
Kenneth Chatelain's US Securities and Exchange Commission Experience April 1987 - November 1991
Job Partner, Public Policy and Regulatory Affairs at PwC
Industry Accounting
Experience
PricewaterhouseCoopers December 1991 - Present
US Securities and Exchange Commission April 1987 - November 1991
Skills
Accounting, Regulatory Affairs, Public Policy, Regulatory Policy
Education
Louisiana State University 1975 — 1979
BS, Accounting
PricewaterhouseCoopers December 1991 - Present
US Securities and Exchange Commission April 1987 - November 1991
Skills
Accounting, Regulatory Affairs, Public Policy, Regulatory Policy
Education
Louisiana State University 1975 — 1979
BS, Accounting
Seth Tobin Seth Tobin's US Securities and Exchange Commission Experience August 2000 - May 2004
Job Chief Investment Officer at Island Management, LLC
Industry Investment Management
Experience
Island Management, LLC April 2014 - Present
GenSpring Family Offices May 2010 - April 2014
Lakeview Investment Manager July 2006 - May 2010
Summer Hill May 2004 - June 2006
US Securities and Exchange Commission August 2000 - May 2004
Arthur Andersen January 1995 - August 1997
Skills
Hedge Funds, Alternative Investments, Private Equity, Fund Of Funds, Asset Managment, Investments, Portfolio Management, Investment Advisory, Asset Allocation, Investment Management, Due Diligence, Mutual Funds, Corporate Finance, Financial Analysis, Asset Management
Education
University of Cincinnati College of Business 1997 — 2000
MBA, Business
University of Cincinnati College of Law 1997 — 2000
JD, Law
Indiana University Bloomington 1991 — 1994
BS, Accounting and Finance
Sycamore High School 1987 — 1991
Island Management, LLC April 2014 - Present
GenSpring Family Offices May 2010 - April 2014
Lakeview Investment Manager July 2006 - May 2010
Summer Hill May 2004 - June 2006
US Securities and Exchange Commission August 2000 - May 2004
Arthur Andersen January 1995 - August 1997
Skills
Hedge Funds, Alternative Investments, Private Equity, Fund Of Funds, Asset Managment, Investments, Portfolio Management, Investment Advisory, Asset Allocation, Investment Management, Due Diligence, Mutual Funds, Corporate Finance, Financial Analysis, Asset Management
Education
University of Cincinnati College of Business 1997 — 2000
MBA, Business
University of Cincinnati College of Law 1997 — 2000
JD, Law
Indiana University Bloomington 1991 — 1994
BS, Accounting and Finance
Sycamore High School 1987 — 1991
Jenna Agatep Jenna Agatep's US Securities and Exchange Commission Experience April 2009 - August 2009
Job Litigation Paralegal at Paul, Weiss, Rifkind, Wharton & Garrison LLP
Industry Government Relations
Experience
Paul, Weiss, Rifkind, Wharton & Garrison LLP June 2014 - Present
Half the Sky Foundation March 2014 - Present
NYS Division of Human Rights September 2013 - December 2013
Marist Institute for Public Opinion September 2010 - September 2013
New York State Senate August 2012 - 2012
US Securities and Exchange Commission April 2009 - August 2009
Skills
Legal Research, Legal Writing, Public Policy, Westlaw, Policy Analysis, Legislative Relations, Politics, Political Campaigns, International Law, Legislation, Lexis, Courts, Litigation, Criminal Law, Political Science, Human Rights
Education
Marist College 2010 — 2014
Bachelor of Arts (BA) Cum Laude, Political Science and Government
Instituto Lorenzo de'Medici 2013 — 2013
Preston High School 2006 — 2010
Regents Diploma - Advanced Designation
Paul, Weiss, Rifkind, Wharton & Garrison LLP June 2014 - Present
Half the Sky Foundation March 2014 - Present
NYS Division of Human Rights September 2013 - December 2013
Marist Institute for Public Opinion September 2010 - September 2013
New York State Senate August 2012 - 2012
US Securities and Exchange Commission April 2009 - August 2009
Skills
Legal Research, Legal Writing, Public Policy, Westlaw, Policy Analysis, Legislative Relations, Politics, Political Campaigns, International Law, Legislation, Lexis, Courts, Litigation, Criminal Law, Political Science, Human Rights
Education
Marist College 2010 — 2014
Bachelor of Arts (BA) Cum Laude, Political Science and Government
Instituto Lorenzo de'Medici 2013 — 2013
Preston High School 2006 — 2010
Regents Diploma - Advanced Designation
Stephanie Prevost, CPA, CCP's US Securities and Exchange Commission Experience June 2005 - August 2005
Job Manager of Compensation at Talbots
Industry Accounting
Experience
Talbots September 2015 - Present
EnerNOC November 2012 - Present
EnerNOC November 2011 - October 2012
Cognex Corporation April 2010 - November 2011
Ernst & Young August 2007 - April 2010
Ernst & Young January 2006 - March 2006
US Securities and Exchange Commission June 2005 - August 2005
Skills
Compensation, Workday, Solium Shareworks, SEC filings, Internal Controls, US GAAP, Financial Reporting, Auditing, Sarbanes-Oxley Act, Accounting, CPA, Internal Audit, Finance, Financial Statements
Education
Isenberg School of Management, UMass Amherst 2003 — 2007
Bachelor of Science, Accounting
The University of Freiburg 2006 — 2006
German and Business classes
Talbots September 2015 - Present
EnerNOC November 2012 - Present
EnerNOC November 2011 - October 2012
Cognex Corporation April 2010 - November 2011
Ernst & Young August 2007 - April 2010
Ernst & Young January 2006 - March 2006
US Securities and Exchange Commission June 2005 - August 2005
Skills
Compensation, Workday, Solium Shareworks, SEC filings, Internal Controls, US GAAP, Financial Reporting, Auditing, Sarbanes-Oxley Act, Accounting, CPA, Internal Audit, Finance, Financial Statements
Education
Isenberg School of Management, UMass Amherst 2003 — 2007
Bachelor of Science, Accounting
The University of Freiburg 2006 — 2006
German and Business classes
Melissa Romic's US Securities and Exchange Commission Experience February 2008 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission February 2008 - Present
Deloitte September 2006 - February 2008
Cook County State's Attorneys Office 2004 - 2004
Skills
Investment Advisor..., CPA, Securities Regulation, Accounting, SEC, Auditing, Accounting Research, Finance, Private Equity, Due Diligence, Securities, Hedge Funds, US GAAP
Education
University of Notre Dame - Mendoza College of Business 2005 — 2006
Master's degree, Accounting
Loyola University of Chicago 2002 — 2005
Bachelor's degree, Accounting
US Securities and Exchange Commission February 2008 - Present
Deloitte September 2006 - February 2008
Cook County State's Attorneys Office 2004 - 2004
Skills
Investment Advisor..., CPA, Securities Regulation, Accounting, SEC, Auditing, Accounting Research, Finance, Private Equity, Due Diligence, Securities, Hedge Funds, US GAAP
Education
University of Notre Dame - Mendoza College of Business 2005 — 2006
Master's degree, Accounting
Loyola University of Chicago 2002 — 2005
Bachelor's degree, Accounting
Sheo Jha Sheo Jha's US Securities and Exchange Commission Experience November 2013 - Present
Job Division Risk Officer, Enforcement at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission November 2013 - Present
GRCHelp Inc. May 2013 - Present
MyLocalFace Inc. April 2010 - November 2013
The George Washington University July 2005 - May 2010
IBM October 2002 - June 2005
BearingPoint April 1998 - June 2001
Oracle January 1996 - April 1998
Capricorn Systems May 1995 - January 1996
Skills
Program Management, IT Strategy, Risk Management, Strategy, Enterprise Architecture, SDLC, Management Consulting, Business Transformation, Change Management, Enterprise Software, Management, Enterprise Risk..., Information Security, Business Strategy, Business Development, Business Process..., Integration, Cross-functional Team..., Project Management, Business Intelligence, Internal Controls, Data Warehousing, Strategic Planning, Business Analysis, Software Development, Financial Reporting, Business Process..., Governance, IT Operations, COBIT
Education
The George Washington University - School of Business 2007 — 2010
MBA
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2004 — 2005
Executive MBA Courses
Indian Institute of Technology, Kanpur 1990 — 1994
Bachelor of Technology (BTech), Electrical Engineering
St. Xavier's College 1988 — 1990
High School
US Securities and Exchange Commission November 2013 - Present
GRCHelp Inc. May 2013 - Present
MyLocalFace Inc. April 2010 - November 2013
The George Washington University July 2005 - May 2010
IBM October 2002 - June 2005
BearingPoint April 1998 - June 2001
Oracle January 1996 - April 1998
Capricorn Systems May 1995 - January 1996
Skills
Program Management, IT Strategy, Risk Management, Strategy, Enterprise Architecture, SDLC, Management Consulting, Business Transformation, Change Management, Enterprise Software, Management, Enterprise Risk..., Information Security, Business Strategy, Business Development, Business Process..., Integration, Cross-functional Team..., Project Management, Business Intelligence, Internal Controls, Data Warehousing, Strategic Planning, Business Analysis, Software Development, Financial Reporting, Business Process..., Governance, IT Operations, COBIT
Education
The George Washington University - School of Business 2007 — 2010
MBA
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2004 — 2005
Executive MBA Courses
Indian Institute of Technology, Kanpur 1990 — 1994
Bachelor of Technology (BTech), Electrical Engineering
St. Xavier's College 1988 — 1990
High School
Pat Disbennett Pat Disbennett's US Securities and Exchange Commission Experience June 2012 - August 2012
Job Associate Attorney at Lynn Tillotson Pinker & Cox, LLP
Industry Law Practice
Experience
Lynn Tillotson Pinker & Cox, LLP September 2015 - Present
U.S. District Court September 2013 - August 2015
US Securities and Exchange Commission June 2012 - August 2012
The Honorable Sidney Schenkier, U.S. District court for the Northern District of Illinois January 2012 - April 2012
Chicago Public Schools August 2011 - December 2011
Bizzieri Law Offices, LLC May 2011 - August 2011
Novus International March 2009 - August 2010
Education
Northwestern University School of Law 2011 — 2013
J.D.
Loyola University Chicago School of Law 2010 — 2011
Saint Louis University 2004 — 2008
B.A., Chemistry
Lynn Tillotson Pinker & Cox, LLP September 2015 - Present
U.S. District Court September 2013 - August 2015
US Securities and Exchange Commission June 2012 - August 2012
The Honorable Sidney Schenkier, U.S. District court for the Northern District of Illinois January 2012 - April 2012
Chicago Public Schools August 2011 - December 2011
Bizzieri Law Offices, LLC May 2011 - August 2011
Novus International March 2009 - August 2010
Education
Northwestern University School of Law 2011 — 2013
J.D.
Loyola University Chicago School of Law 2010 — 2011
Saint Louis University 2004 — 2008
B.A., Chemistry
Susan Swanger Susan Swanger's US Securities and Exchange Commission Experience 1983 - 1985
Job Professor of Accounting at Western Carolina University
Industry Higher Education
Experience
Western Carolina University July 1997 - Present
Grant Thornton LLP 1987 - 1990
US Securities and Exchange Commission 1983 - 1985
Ernst & Young 1977 - 1983
Education
University of South Carolina 1994 — 1998
PhD, Accounting
Western Carolina University 1991 — 1993
MBA
Kent State University 1974 — 1977
BBA, Accounting
Western Carolina University July 1997 - Present
Grant Thornton LLP 1987 - 1990
US Securities and Exchange Commission 1983 - 1985
Ernst & Young 1977 - 1983
Education
University of South Carolina 1994 — 1998
PhD, Accounting
Western Carolina University 1991 — 1993
MBA
Kent State University 1974 — 1977
BBA, Accounting
Stefanie Dohman Stefanie Dohman's US Securities and Exchange Commission Experience July 2010 - August 2010
Job Manager at Protiviti
Industry Public Policy
Experience
Protiviti August 2011 - Present
US Securities and Exchange Commission July 2010 - August 2010
Peoples Bank March 2009 - July 2010
Skills
Business Analysis, Business Process..., Due Diligence, Data Analysis, Analysis
Education
Indiana University - Kelley School of Business 2007 — 2011
Bachelor of Science (BS), Business Economics and Public Policy, International Business
Universidad de Sevilla 2010 — 2010
Business
Indiana University Bloomington
Protiviti August 2011 - Present
US Securities and Exchange Commission July 2010 - August 2010
Peoples Bank March 2009 - July 2010
Skills
Business Analysis, Business Process..., Due Diligence, Data Analysis, Analysis
Education
Indiana University - Kelley School of Business 2007 — 2011
Bachelor of Science (BS), Business Economics and Public Policy, International Business
Universidad de Sevilla 2010 — 2010
Business
Indiana University Bloomington
Jason McGorman, CFA Jason McGorman, CFA's US Securities and Exchange Commission Experience May 2007 - August 2007
Job Equity Research Analyst, Health Care at Bloomberg LP
Industry Financial Services
Experience
Bloomberg LP April 2014 - Present
Bloomberg LP October 2011 - Present
Bloomberg LP November 2009 - October 2011
Bloomberg LP January 2008 - November 2009
US Securities and Exchange Commission May 2007 - August 2007
Skills
Bloomberg, Equities, Equity Research, Equity Valuation, Financial Modeling, Financial Markets, Healthcare, Medical Devices, Analysis, Bloomberg Terminal, Securities, Valuation, Capital Markets, Financial Analysis
Education
Liberty University 2004 — 2007
B.S., Finance
Bloomberg LP April 2014 - Present
Bloomberg LP October 2011 - Present
Bloomberg LP November 2009 - October 2011
Bloomberg LP January 2008 - November 2009
US Securities and Exchange Commission May 2007 - August 2007
Skills
Bloomberg, Equities, Equity Research, Equity Valuation, Financial Modeling, Financial Markets, Healthcare, Medical Devices, Analysis, Bloomberg Terminal, Securities, Valuation, Capital Markets, Financial Analysis
Education
Liberty University 2004 — 2007
B.S., Finance
Michelle Purdy Michelle Purdy's US Securities and Exchange Commission Experience May 2010 - August 2010
Job Associate at Latham & Watkins
Industry Law Practice
Experience
Latham & Watkins October 2013 - Present
United States Attorney's Office May 2012 - August 2012
US Securities and Exchange Commission May 2010 - August 2010
US Securities and Exchange Commission May 2009 - August 2009
Education
University of Virginia School of Law 2010 — 2013
Doctor of Law (J.D.)
Liberty University 2008 — 2010
Bachelor of Science (B.S.), Government, Western Legal Traditions, summa cum laude
Latham & Watkins October 2013 - Present
United States Attorney's Office May 2012 - August 2012
US Securities and Exchange Commission May 2010 - August 2010
US Securities and Exchange Commission May 2009 - August 2009
Education
University of Virginia School of Law 2010 — 2013
Doctor of Law (J.D.)
Liberty University 2008 — 2010
Bachelor of Science (B.S.), Government, Western Legal Traditions, summa cum laude
Julie Kovin's US Securities and Exchange Commission Experience June 2012 - August 2012
Job Officer at Northern Trust Corporation
Industry Financial Services
Experience
Northern Trust Corporation August 2014 - Present
KPMG May 2013 - July 2014
US Securities and Exchange Commission June 2012 - August 2012
United States Senate January 2012 - May 2012
Indiana University Kelley School of Business October 2011 - January 2012
U.S. House of Representatives August 2011 - December 2011
US Department of Health and Human Services June 2011 - August 2011
Executive Office of the President of the United States June 2011 - August 2011
U.S. Department of Justice July 2009 - August 2010
Covington & Burling June 2008 - June 2009
Skills
Financial Regulation, Banking, Banking Law, Risk Management, Risk Analysis, Compliance, Investigation, Regulatory Policy, Basel III, Dodd-Frank, Swaps, Forwards, Securitization, Market Risk, Regulatory Capital, Stress Testing, Anti Money Laundering, Internal Audit, Auditing, Litigation, Legal Writing, Legal Research, Government, Enforcement, Criminal Law, Appeals, Defense, Homeland Security, International Relations, Policy, Training, Public Speaking
Education
Indiana University School of Law—Bloomington 2010 — 2013
Juris Doctorate
University of Maryland College Park 2005 — 2008
Bachelor of Arts
Northern Trust Corporation August 2014 - Present
KPMG May 2013 - July 2014
US Securities and Exchange Commission June 2012 - August 2012
United States Senate January 2012 - May 2012
Indiana University Kelley School of Business October 2011 - January 2012
U.S. House of Representatives August 2011 - December 2011
US Department of Health and Human Services June 2011 - August 2011
Executive Office of the President of the United States June 2011 - August 2011
U.S. Department of Justice July 2009 - August 2010
Covington & Burling June 2008 - June 2009
Skills
Financial Regulation, Banking, Banking Law, Risk Management, Risk Analysis, Compliance, Investigation, Regulatory Policy, Basel III, Dodd-Frank, Swaps, Forwards, Securitization, Market Risk, Regulatory Capital, Stress Testing, Anti Money Laundering, Internal Audit, Auditing, Litigation, Legal Writing, Legal Research, Government, Enforcement, Criminal Law, Appeals, Defense, Homeland Security, International Relations, Policy, Training, Public Speaking
Education
Indiana University School of Law—Bloomington 2010 — 2013
Juris Doctorate
University of Maryland College Park 2005 — 2008
Bachelor of Arts
Bill Bielefeld Bill Bielefeld's US Securities and Exchange Commission Experience August 2005 - May 2008
Job Partner at Dechert LLP
Industry Law Practice
Experience
Dechert LLP January 2015 - Present
Dechert LLP May 2008 - December 2014
US Securities and Exchange Commission August 2005 - May 2008
US Securities and Exchange Commission June 2004 - August 2004
Education
Temple University - James E. Beasley School of Law 2002 — 2005
Doctor of Law (JD)
Kenyon College 1997 — 2001
Bachelor of Science (BS), Political Science and Government
Brooklyn Friends School 1994 — 1997
Dechert LLP January 2015 - Present
Dechert LLP May 2008 - December 2014
US Securities and Exchange Commission August 2005 - May 2008
US Securities and Exchange Commission June 2004 - August 2004
Education
Temple University - James E. Beasley School of Law 2002 — 2005
Doctor of Law (JD)
Kenyon College 1997 — 2001
Bachelor of Science (BS), Political Science and Government
Brooklyn Friends School 1994 — 1997
Karen Paulsen's US Securities and Exchange Commission Experience March 2008 - December 2008
Job Assistant Manager, Design Department at Banner & Witcoff, Ltd.
Industry Law Practice
Experience
Banner & Witcoff, Ltd. May 2015 - Present
Banner & Witcoff, Ltd. December 2008 - Present
US Securities and Exchange Commission March 2008 - December 2008
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Notary Public, Expert - Time Entry, C.P.I. - Docketing..., Design Patents, Adobe Illustrator, Adobe Photoshop, Photoshop, Illustrator, Legal Writing, Editing, Patent Prosecution, Management
Education
Loyola University of Chicago 2007 — 2008
Paralegal Certificate
Loyola University of Chicago 2002 — 2006
Bachelor of Arts (B.A.)
Banner & Witcoff, Ltd. May 2015 - Present
Banner & Witcoff, Ltd. December 2008 - Present
US Securities and Exchange Commission March 2008 - December 2008
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Notary Public, Expert - Time Entry, C.P.I. - Docketing..., Design Patents, Adobe Illustrator, Adobe Photoshop, Photoshop, Illustrator, Legal Writing, Editing, Patent Prosecution, Management
Education
Loyola University of Chicago 2007 — 2008
Paralegal Certificate
Loyola University of Chicago 2002 — 2006
Bachelor of Arts (B.A.)
Emily Lyons Emily Lyons's US Securities and Exchange Commission Experience May 2007 - August 2007
Job Associate at Hogan Lovells
Industry Law Practice
Experience
Hogan Lovells December 2010 - Present
US Securities and Exchange Commission May 2007 - August 2007
Skills
Corporate Law, Securities Regulation, Legal Research, Litigation, Corporate Governance, Commercial Litigation
Education
University of Denver 2006 — 2009
JD, Law
John Carroll University 2001 — 2005
BSBA, Accounting
Hogan Lovells December 2010 - Present
US Securities and Exchange Commission May 2007 - August 2007
Skills
Corporate Law, Securities Regulation, Legal Research, Litigation, Corporate Governance, Commercial Litigation
Education
University of Denver 2006 — 2009
JD, Law
John Carroll University 2001 — 2005
BSBA, Accounting
Grant Schallock's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Financial Services Professional
Industry Financial Services
Experience
Frost Bank February 2014 - Present
US Securities and Exchange Commission May 2013 - August 2013
Tri Pillar Investments, LLC. April 2012 - July 2012
Skills
Bloomberg Terminal, Financial Modeling, Microsoft Excel, Stata, SPSS, Hedge Funds, Portfolio Management
Education
Indiana University of Pennsylvania 2011 — 2013
Master of Business Administration (MBA), Finance, General
University of North Carolina at Chapel Hill 2007 — 2011
Bachelor's degree, Psychology
Frost Bank February 2014 - Present
US Securities and Exchange Commission May 2013 - August 2013
Tri Pillar Investments, LLC. April 2012 - July 2012
Skills
Bloomberg Terminal, Financial Modeling, Microsoft Excel, Stata, SPSS, Hedge Funds, Portfolio Management
Education
Indiana University of Pennsylvania 2011 — 2013
Master of Business Administration (MBA), Finance, General
University of North Carolina at Chapel Hill 2007 — 2011
Bachelor's degree, Psychology
Derek Swanson's US Securities and Exchange Commission Experience September 2004 - November 2007
Job Senior Counsel and Assistant Corporate Secretary at OCI Enterprises Inc.
Industry Law Practice
Experience
OCI Enterprises Inc. August 2014 - Present
McKenna Long & Aldridge LLP January 2012 - August 2014
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates November 2007 - December 2011
US Securities and Exchange Commission September 2004 - November 2007
Skills
Securities Regulation, Corporate Governance, Corporate Law, Corporate Finance, Corporate Financial..., Securities, Joint Ventures, Civil Litigation, Commercial Litigation, Intellectual Property
Education
Indiana University School of Law—Indianapolis 2001 — 2004
Juris Doctor (J.D.), Corporate and Securities Law, Cum Laude
Purdue University 1997 — 2001
Bachelor of Arts (B.A.), Political Science; Economics
Carmel High School 1993 — 1997
OCI Enterprises Inc. August 2014 - Present
McKenna Long & Aldridge LLP January 2012 - August 2014
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates November 2007 - December 2011
US Securities and Exchange Commission September 2004 - November 2007
Skills
Securities Regulation, Corporate Governance, Corporate Law, Corporate Finance, Corporate Financial..., Securities, Joint Ventures, Civil Litigation, Commercial Litigation, Intellectual Property
Education
Indiana University School of Law—Indianapolis 2001 — 2004
Juris Doctor (J.D.), Corporate and Securities Law, Cum Laude
Purdue University 1997 — 2001
Bachelor of Arts (B.A.), Political Science; Economics
Carmel High School 1993 — 1997
Jim Overdahl's US Securities and Exchange Commission Experience August 2007 - March 2010
Job Partner at Delta Strategy Group
Industry Legal Services
Experience
Delta Strategy Group August 2013 - Present
NERA Economic Consulting April 2010 - August 2013
U.S Securities and Exchange Commission August 2007 - March 2010
U.S Commodity Futures Trading Commission May 2002 - July 2007
Office of the Comptroller of the Currency May 1995 - May 2002
Skills
Litigation Consulting, Financial Markets, Derivatives, Securities Lending, Commodity, Hedge Funds
Education
Iowa State University 1980 — 1984
Ph.D, Economics
St. Olaf College 1976 — 1980
BA, Economics
Delta Strategy Group August 2013 - Present
NERA Economic Consulting April 2010 - August 2013
U.S Securities and Exchange Commission August 2007 - March 2010
U.S Commodity Futures Trading Commission May 2002 - July 2007
Office of the Comptroller of the Currency May 1995 - May 2002
Skills
Litigation Consulting, Financial Markets, Derivatives, Securities Lending, Commodity, Hedge Funds
Education
Iowa State University 1980 — 1984
Ph.D, Economics
St. Olaf College 1976 — 1980
BA, Economics
Jeff Basting Jeff Basting's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Asylum Officer at US Department of Homeland Security
Industry Government Administration
Experience
US Department of Homeland Security December 2013 - Present
Peace Corps January 2012 - October 2013
Motley Rice LLC September 2011 - December 2011
Roger Williams University Immigration Clinic January 2011 - May 2011
Roger Williams University August 2008 - May 2011
US Securities and Exchange Commission June 2010 - August 2010
Westchester County District Attorney's Office June 2009 - August 2009
Skills
Litigation, Community Outreach, Criminal Law, Legal Writing, Courts
Education
Roger Williams University School of Law 2008 — 2011
J.D.
Loyola University Maryland 2004 — 2008
B.A., Political Science
US Department of Homeland Security December 2013 - Present
Peace Corps January 2012 - October 2013
Motley Rice LLC September 2011 - December 2011
Roger Williams University Immigration Clinic January 2011 - May 2011
Roger Williams University August 2008 - May 2011
US Securities and Exchange Commission June 2010 - August 2010
Westchester County District Attorney's Office June 2009 - August 2009
Skills
Litigation, Community Outreach, Criminal Law, Legal Writing, Courts
Education
Roger Williams University School of Law 2008 — 2011
J.D.
Loyola University Maryland 2004 — 2008
B.A., Political Science
Joseph (Joe) Mannon Joseph (Joe) Mannon's US Securities and Exchange Commission Experience August 2001 - January 2005
Job Shareholder at Vedder Price P.C.
Industry Investment Management
Experience
Vedder Price, P.C. March 2011 - Present
Aurora Investment Management L.L.C November 2007 - March 2011
Vedder Price January 2005 - November 2007
US Securities and Exchange Commission August 2001 - January 2005
U.S. District Court January 2000 - June 2000
Skills
Hedge Funds, Private Equity, Investment Advisers Act, Investment Company Act, Mutual Funds, Securities Exchange Act..., Securities Regulation, Securities, Securities Litigation, Private Placements, FCPA, Compliance, Fund Of Funds, Investments, Financial Regulation, Legal Writing
Education
Loyola University Chicago School of Law 1998 — 2001
JD
Michigan State University 1994 — 1998
BA, Policital Economics
Vedder Price, P.C. March 2011 - Present
Aurora Investment Management L.L.C November 2007 - March 2011
Vedder Price January 2005 - November 2007
US Securities and Exchange Commission August 2001 - January 2005
U.S. District Court January 2000 - June 2000
Skills
Hedge Funds, Private Equity, Investment Advisers Act, Investment Company Act, Mutual Funds, Securities Exchange Act..., Securities Regulation, Securities, Securities Litigation, Private Placements, FCPA, Compliance, Fund Of Funds, Investments, Financial Regulation, Legal Writing
Education
Loyola University Chicago School of Law 1998 — 2001
JD
Michigan State University 1994 — 1998
BA, Policital Economics
Katie Fox Katie Fox's US Securities and Exchange Commission Experience June 2013 - Present
Job Human Resources Specialist at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission June 2013 - Present
U.S. Department of Justice February 2008 - June 2013
Gauntlet Golf Club February 2007 - February 2008
National Legal Research Group - Jury Research January 2007 - May 2007
Skills
Automated Systems, Microsoft Office, Recruiting, Temporary Placement, Project Management, Government, Process Improvement, Community Outreach, SPSS, Project Planning, Public Speaking, Research, Event Planning, Data Analysis, Policy
Education
Marymount University 2006 — 2007
MA, Forensic Psychology
James Madison University 2002 — 2006
Bachelor of Science, Psychology
US Securities and Exchange Commission June 2013 - Present
U.S. Department of Justice February 2008 - June 2013
Gauntlet Golf Club February 2007 - February 2008
National Legal Research Group - Jury Research January 2007 - May 2007
Skills
Automated Systems, Microsoft Office, Recruiting, Temporary Placement, Project Management, Government, Process Improvement, Community Outreach, SPSS, Project Planning, Public Speaking, Research, Event Planning, Data Analysis, Policy
Education
Marymount University 2006 — 2007
MA, Forensic Psychology
James Madison University 2002 — 2006
Bachelor of Science, Psychology
Bryan Sillaman Bryan Sillaman's US Securities and Exchange Commission Experience 2004 - 2007
Job Partner at Hughes Hubbard & Reed LLP
Industry Law Practice
Experience
Hughes Hubbard & Reed LLP January 2014 - Present
Hughes Hubbard & Reed LLP 2007 - 2013
US Securities and Exchange Commission 2004 - 2007
Skills
FCPA, Litigation, Legal Writing
Education
The George Washington University Law School 2001 — 2004
John Carroll University 1997 — 2001
B.S., Business Administration
Hughes Hubbard & Reed LLP January 2014 - Present
Hughes Hubbard & Reed LLP 2007 - 2013
US Securities and Exchange Commission 2004 - 2007
Skills
FCPA, Litigation, Legal Writing
Education
The George Washington University Law School 2001 — 2004
John Carroll University 1997 — 2001
B.S., Business Administration
Dave Lynn Dave Lynn's US Securities and Exchange Commission Experience July 2003 - May 2007
Job Partner at Morrison & Foerster LLP
Industry Legal Services
Experience
Morrison & Foerster LLP November 2008 - Present
TheCorporateCounsel.net May 2007 - Present
US Securities and Exchange Commission July 2003 - May 2007
Georgetown University Law Center September 2006 - April 2007
WilmerHale September 2000 - July 2003
US Securities and Exchange Commission September 1995 - September 2000
Skills
Securities Regulation
Education
University of Maryland Francis King Carey School of Law 1991 — 1995
JD
Loyola University Maryland 1989 — 1991
MSF, Finance
Loyola University Maryland 1985 — 1989
BBA, Business Economics
Morrison & Foerster LLP November 2008 - Present
TheCorporateCounsel.net May 2007 - Present
US Securities and Exchange Commission July 2003 - May 2007
Georgetown University Law Center September 2006 - April 2007
WilmerHale September 2000 - July 2003
US Securities and Exchange Commission September 1995 - September 2000
Skills
Securities Regulation
Education
University of Maryland Francis King Carey School of Law 1991 — 1995
JD
Loyola University Maryland 1989 — 1991
MSF, Finance
Loyola University Maryland 1985 — 1989
BBA, Business Economics
Patrick Bloomstine Patrick Bloomstine's US Securities and Exchange Commission Experience January 2012 - April 2012
Job Analyst at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority August 2012 - Present
US Securities and Exchange Commission January 2012 - April 2012
National Association of Federal Credit Unions May 2011 - July 2011
Insurance Management Company June 2009 - July 2009
Erie Yacht Club 2006 - 2008
Skills
Securities Regulation, Data Analysis
Education
The Catholic University of America 2009 — 2012
Doctor of Law (JD), Investments and Securities
John Carroll University 2005 — 2009
Bachelor of Science (B.S.), Economics
Cathedral Prep 2001 — 2005
Financial Industry Regulatory Authority August 2012 - Present
US Securities and Exchange Commission January 2012 - April 2012
National Association of Federal Credit Unions May 2011 - July 2011
Insurance Management Company June 2009 - July 2009
Erie Yacht Club 2006 - 2008
Skills
Securities Regulation, Data Analysis
Education
The Catholic University of America 2009 — 2012
Doctor of Law (JD), Investments and Securities
John Carroll University 2005 — 2009
Bachelor of Science (B.S.), Economics
Cathedral Prep 2001 — 2005
Ihsan Al-Khalili Ihsan Al-Khalili's US Securities and Exchange Commission Experience May 2013 - April 2014
Job Senior Cyber Security Analyst, General Dynamics IT
Industry Information Technology and Services
Experience
General Dynamics August 2014 - Present
Mischel Kwon and Associates, LLC April 2015 - September 2015
National Cybersecurity Center of Excellence at NIST April 2014 - August 2014
SAIC May 2013 - April 2014
US Securities and Exchange Commission May 2013 - April 2014
Circle Solutions, Inc. 2012 - April 2013
Crescent Contractors January 2006 - August 2012
Cable and Wireless January 1999 - January 2003
Skills
VMware ESX, Windows Server 2012 R2, RSA Security Analytics, Linux System..., Arcsight ESM, Dell PowerEdge Servers, Hyper-V, VMware vSphere, Network Security..., Security Onion, DISA STIGS, Cisco ASA, HP Server Hardware, Symantec Endpoint..., Active Directory, CompTIA Network+..., Cisco UCS, Microsoft Active..., NIST System Hardening..., Splunk, Microsoft Group Policy..., NetWitness, Bro IDS, Stealth Watch, Dell Switches, Wireshark, IBM Endpoint Manager, Cisco IOS, BMC Track-It, Microsoft Office..., BMC Numara Asset..., Virus removal and..., Remedy Help Desk..., Public Trust Security..., McAfee Host Intrusion..., CentOS, Ubuntu, Veeam, Nessus Vulnerability..., Incident Response, Dell Equallogic 4100, Dell iDRAC 7, Network Administration
Education
James Madison University 1995 — 1996
Computer Science
General Dynamics August 2014 - Present
Mischel Kwon and Associates, LLC April 2015 - September 2015
National Cybersecurity Center of Excellence at NIST April 2014 - August 2014
SAIC May 2013 - April 2014
US Securities and Exchange Commission May 2013 - April 2014
Circle Solutions, Inc. 2012 - April 2013
Crescent Contractors January 2006 - August 2012
Cable and Wireless January 1999 - January 2003
Skills
VMware ESX, Windows Server 2012 R2, RSA Security Analytics, Linux System..., Arcsight ESM, Dell PowerEdge Servers, Hyper-V, VMware vSphere, Network Security..., Security Onion, DISA STIGS, Cisco ASA, HP Server Hardware, Symantec Endpoint..., Active Directory, CompTIA Network+..., Cisco UCS, Microsoft Active..., NIST System Hardening..., Splunk, Microsoft Group Policy..., NetWitness, Bro IDS, Stealth Watch, Dell Switches, Wireshark, IBM Endpoint Manager, Cisco IOS, BMC Track-It, Microsoft Office..., BMC Numara Asset..., Virus removal and..., Remedy Help Desk..., Public Trust Security..., McAfee Host Intrusion..., CentOS, Ubuntu, Veeam, Nessus Vulnerability..., Incident Response, Dell Equallogic 4100, Dell iDRAC 7, Network Administration
Education
James Madison University 1995 — 1996
Computer Science
Matthew Maulbeck's US Securities and Exchange Commission Experience 2004 - 2007
Job Partner, Professional Practice Group; EisnerAmper LLP
Industry Financial Services
Experience
EisnerAmper LLP March 2010 - Present
Plainfield Asset Management 2007 - February 2010
US Securities and Exchange Commission 2004 - 2007
PricewaterhouseCoopers 2000 - 2004
Skills
SEC filings, Sarbanes-Oxley Act, Hedge Funds, CPA, Private Equity, Corporate Finance, GAAP, Financial Reporting, Auditing, Accounting, Financial Accounting, Asset Managment, SEC, BDCs, Mutual Funds, REIT, SEC Financial Reporting, Registered Investment..., Broker-Dealer, Revenue Recognition, Financial Services, US GAAP, Real Estate, Financial Statements, Assurance, External Audit, SEC Filings
Education
The University of Texas at Austin - The Red McCombs School of Business 2000 — 2001
Master in Professional Accounting
Loyola College in Maryland 1996 — 2000
BBA
STA
STA
EisnerAmper LLP March 2010 - Present
Plainfield Asset Management 2007 - February 2010
US Securities and Exchange Commission 2004 - 2007
PricewaterhouseCoopers 2000 - 2004
Skills
SEC filings, Sarbanes-Oxley Act, Hedge Funds, CPA, Private Equity, Corporate Finance, GAAP, Financial Reporting, Auditing, Accounting, Financial Accounting, Asset Managment, SEC, BDCs, Mutual Funds, REIT, SEC Financial Reporting, Registered Investment..., Broker-Dealer, Revenue Recognition, Financial Services, US GAAP, Real Estate, Financial Statements, Assurance, External Audit, SEC Filings
Education
The University of Texas at Austin - The Red McCombs School of Business 2000 — 2001
Master in Professional Accounting
Loyola College in Maryland 1996 — 2000
BBA
STA
STA
Saurav Dutta Saurav Dutta's US Securities and Exchange Commission Experience 2010 - 2011
Job SUNY Albany
Industry Accounting
Experience
SUNY- Albany 1999 - Present
US Securities and Exchange Commission 2010 - 2011
Baruch College 2006 - 2007
Rutgers University 1991 - 1999
Skills
Data Analysis, Statistics, Accounting, Research, Analysis, Financial Modeling, Economics, Management Consulting, Financial Analysis, Financial Reporting, Business Strategy, Higher Education, SEC filings, Teaching, Public Speaking, Forensic Accounting, Auditing, Corporate Finance, Valuation, CPA, Financial Accounting
Education
University of Kansas - Graduate School of Business 1987 — 1991
Doctor of Philosophy (Ph.D.), Accounting
Indian Institute of Technology, Bombay 1980 — 1985
B. Tech, Aerospace Engg.
SUNY- Albany 1999 - Present
US Securities and Exchange Commission 2010 - 2011
Baruch College 2006 - 2007
Rutgers University 1991 - 1999
Skills
Data Analysis, Statistics, Accounting, Research, Analysis, Financial Modeling, Economics, Management Consulting, Financial Analysis, Financial Reporting, Business Strategy, Higher Education, SEC filings, Teaching, Public Speaking, Forensic Accounting, Auditing, Corporate Finance, Valuation, CPA, Financial Accounting
Education
University of Kansas - Graduate School of Business 1987 — 1991
Doctor of Philosophy (Ph.D.), Accounting
Indian Institute of Technology, Bombay 1980 — 1985
B. Tech, Aerospace Engg.
Dale Choi Dale Choi's US Securities and Exchange Commission Experience April 2013 - Present
Job Financial Engineer (Quantitative Research Analyst)
Industry Financial Services
Experience
US Securities and Exchange Commission April 2013 - Present
Citi June 2010 - April 2013
University of California, Berkeley March 2009 - March 2010
Citi October 2009 - January 2010
KISTI October 2006 - September 2008
NASA Goddard Space Flight Center April 2001 - September 2006
Drexel University March 1999 - April 2001
Skills
C/C++ STL, PDE/FDM, Quantitative Finance, Monte Carlo Simulation, Financial Engineering, Quantitative Analytics, Matlab, Fixed Income, Python, Numerical Analysis, Financial Modeling, Equities, Structured Products, Derivatives, Bloomberg, Hedge Funds, Time Series Analysis, Portfolio Management, Portfolio Optimization, Equity Derivatives, Options, Trading Systems, VBA, Credit Derivatives, Electronic Trading, Market Risk, Trading Strategies
Education
University of California, Berkeley, Haas School of Business 2009 — 2010
MFE, Finance
The University of Texas at Austin 1992 — 1998
Ph. D, Physics
Korea Advanced Institute of Science and Technology
Bachelor of Science (B.S.), Physics
US Securities and Exchange Commission April 2013 - Present
Citi June 2010 - April 2013
University of California, Berkeley March 2009 - March 2010
Citi October 2009 - January 2010
KISTI October 2006 - September 2008
NASA Goddard Space Flight Center April 2001 - September 2006
Drexel University March 1999 - April 2001
Skills
C/C++ STL, PDE/FDM, Quantitative Finance, Monte Carlo Simulation, Financial Engineering, Quantitative Analytics, Matlab, Fixed Income, Python, Numerical Analysis, Financial Modeling, Equities, Structured Products, Derivatives, Bloomberg, Hedge Funds, Time Series Analysis, Portfolio Management, Portfolio Optimization, Equity Derivatives, Options, Trading Systems, VBA, Credit Derivatives, Electronic Trading, Market Risk, Trading Strategies
Education
University of California, Berkeley, Haas School of Business 2009 — 2010
MFE, Finance
The University of Texas at Austin 1992 — 1998
Ph. D, Physics
Korea Advanced Institute of Science and Technology
Bachelor of Science (B.S.), Physics
Mallory Bitar's US Securities and Exchange Commission Experience September 2013 - November 2013
Job Associate Attorney at The Law Office of Neil Ruther, LLC
Industry
Experience
The Law Office of Neil Ruther, LLC September 2014 - Present
Office of the State's Attorney, Carroll County January 2014 - May 2014
Professor Barbara White, University of Baltimore School of Law June 2013 - January 2014
US Securities and Exchange Commission September 2013 - November 2013
The Hon. Judge Brian Green, District Court of Maryland June 2013 - August 2013
Brower Piven, P.C. May 2013 - August 2013
Professor Michael Hayes, University of Baltimore School of Law May 2012 - July 2013
Equal Employment Opportunity Commission January 2013 - April 2013
New Hampshire Forge February 2008 - March 2010
Skills
Legal Research, Corporate Law, Depositions, Research, Management, LexisNexis, Legal Writing
Education
University of Baltimore School of Law 2011 — 2014
Doctor of Law (JD)
Keene State College 2004 — 2007
Bachelor of Science (BS), Management
The Law Office of Neil Ruther, LLC September 2014 - Present
Office of the State's Attorney, Carroll County January 2014 - May 2014
Professor Barbara White, University of Baltimore School of Law June 2013 - January 2014
US Securities and Exchange Commission September 2013 - November 2013
The Hon. Judge Brian Green, District Court of Maryland June 2013 - August 2013
Brower Piven, P.C. May 2013 - August 2013
Professor Michael Hayes, University of Baltimore School of Law May 2012 - July 2013
Equal Employment Opportunity Commission January 2013 - April 2013
New Hampshire Forge February 2008 - March 2010
Skills
Legal Research, Corporate Law, Depositions, Research, Management, LexisNexis, Legal Writing
Education
University of Baltimore School of Law 2011 — 2014
Doctor of Law (JD)
Keene State College 2004 — 2007
Bachelor of Science (BS), Management
Gunjit Khurana's US Securities and Exchange Commission Experience January 2012 - March 2013
Job Application Development Manager (Contract) Pricing and Verification at Fannie Mae
Industry Computer Software
Experience
Agility Technologies Inc January 2005 - Present
Fannie Mae June 2014 - January 2015
Fannie Mae March 2013 - May 2014
US Securities and Exchange Commission January 2012 - March 2013
Fannie Mae February 2000 - December 2011
MCI May 1998 - January 2000
RMIC October 1997 - March 1999
Tata Consultancy Services (SEEPZ/BOMBAY/INDIA) June 1996 - October 1997
Skills
Software Project..., Java/J2EE implementation, Data Warehousing, Business Intelligence, Telecommunications, Web Development, Technical Architecture, Integration, Visio, Enterprise Architecture, Business Analysis, Java Enterprise Edition, Requirements Analysis, Data Modeling, Agile Methodologies, Oracle, Requirements Gathering, SDLC, Solution Architecture, Project Management, SOA, Java, Software Development, Agile Project Management, Cloud Computing, Unix, Web Services, IT Strategy, Databases, XML
Education
Mangalore University 1992 — 1996
Bachelor of Engineering (B.E.)
Hans Raj Model School
AISSC
Agility Technologies Inc January 2005 - Present
Fannie Mae June 2014 - January 2015
Fannie Mae March 2013 - May 2014
US Securities and Exchange Commission January 2012 - March 2013
Fannie Mae February 2000 - December 2011
MCI May 1998 - January 2000
RMIC October 1997 - March 1999
Tata Consultancy Services (SEEPZ/BOMBAY/INDIA) June 1996 - October 1997
Skills
Software Project..., Java/J2EE implementation, Data Warehousing, Business Intelligence, Telecommunications, Web Development, Technical Architecture, Integration, Visio, Enterprise Architecture, Business Analysis, Java Enterprise Edition, Requirements Analysis, Data Modeling, Agile Methodologies, Oracle, Requirements Gathering, SDLC, Solution Architecture, Project Management, SOA, Java, Software Development, Agile Project Management, Cloud Computing, Unix, Web Services, IT Strategy, Databases, XML
Education
Mangalore University 1992 — 1996
Bachelor of Engineering (B.E.)
Hans Raj Model School
AISSC
Jeffrey Schellenger's US Securities and Exchange Commission Experience October 2007 - August 2011
Job Senior Counsel at Franklin Square Capital Partners
Industry Financial Services
Experience
Franklin Square Capital Partners November 2013 - Present
Seward & Kissel LLP September 2011 - November 2013
US Securities and Exchange Commission October 2007 - August 2011
Freddie Mac 2001 - 2004
Skills
Legal Research, Legal Writing, Securities, Securities Regulation, Due Diligence, Corporate Law, Corporate Governance, Capital Markets, Hedge Funds, Securities Litigation, Mergers & Acquisitions, Private Equity
Education
Villanova University School of Law 2004 — 2007
J.D.
James Madison University 1996 — 2000
Bachelor of Arts (B.A.), International Relations and Affairs
Great Valley High School 1992 — 1996
Franklin Square Capital Partners November 2013 - Present
Seward & Kissel LLP September 2011 - November 2013
US Securities and Exchange Commission October 2007 - August 2011
Freddie Mac 2001 - 2004
Skills
Legal Research, Legal Writing, Securities, Securities Regulation, Due Diligence, Corporate Law, Corporate Governance, Capital Markets, Hedge Funds, Securities Litigation, Mergers & Acquisitions, Private Equity
Education
Villanova University School of Law 2004 — 2007
J.D.
James Madison University 1996 — 2000
Bachelor of Arts (B.A.), International Relations and Affairs
Great Valley High School 1992 — 1996
James Hartmann's US Securities and Exchange Commission Experience 1990 - 1994
Job CCO, Prudential Fixed Income
Industry Investment Management
Experience
Prudential Investment Management -- Fixed Income Division November 2010 - September 2015
Wolters Kluwer Financial Services October 2009 - October 2010
UBS Alternative & Quantitative Investments June 2005 - August 2009
E&Y and PwC 2001 - 2005
Zero Gravity Venture Partners 1998 - 2001
Summit Capital Partners 1997 - 1998
Prudential Financial, Inc 1994 - 1997
US Securities and Exchange Commission 1990 - 1994
Skills
Hedge Funds, Mutual Funds, Private Equity, Venture Capital, Securities Regulation, Alternative Investments, Securities, Due Diligence, SEC, AML, Asset Management, Investments, Financial Services, Portfolio Management, Mergers & Acquisitions, FINRA, Trading, Fund Of Funds, Series 7, Fixed Income, Finance, Prime Brokerage, Structured Products, Series 24, Capital Markets, Anti Money Laundering
Education
Indiana University Bloomington 1984 — 1989
B.S., Corporate Finance
Park Tudor Prep 1980 — 1984
Prudential Investment Management -- Fixed Income Division November 2010 - September 2015
Wolters Kluwer Financial Services October 2009 - October 2010
UBS Alternative & Quantitative Investments June 2005 - August 2009
E&Y and PwC 2001 - 2005
Zero Gravity Venture Partners 1998 - 2001
Summit Capital Partners 1997 - 1998
Prudential Financial, Inc 1994 - 1997
US Securities and Exchange Commission 1990 - 1994
Skills
Hedge Funds, Mutual Funds, Private Equity, Venture Capital, Securities Regulation, Alternative Investments, Securities, Due Diligence, SEC, AML, Asset Management, Investments, Financial Services, Portfolio Management, Mergers & Acquisitions, FINRA, Trading, Fund Of Funds, Series 7, Fixed Income, Finance, Prime Brokerage, Structured Products, Series 24, Capital Markets, Anti Money Laundering
Education
Indiana University Bloomington 1984 — 1989
B.S., Corporate Finance
Park Tudor Prep 1980 — 1984
Sanjeev Purohit's US Securities and Exchange Commission Experience 1995 - 2003
Job Asst. Director at FDIC
Industry Government Administration
Experience
FDIC Assistant DirectorSecurities and Exchange Commission
US Securities and Exchange Commission 1995 - 2003
Skills
Government, Enterprise Architecture, Risk Management, Governance, Program Management, Data Analysis
Education
Jiwaji University 1981 — 1989
MS, Math
FDIC Assistant DirectorSecurities and Exchange Commission
US Securities and Exchange Commission 1995 - 2003
Skills
Government, Enterprise Architecture, Risk Management, Governance, Program Management, Data Analysis
Education
Jiwaji University 1981 — 1989
MS, Math
Mshyka Davis-Smith's US Securities and Exchange Commission Experience March 2008 - Present
Job Financial Industry Professional
Industry Government Administration
Experience
US Securities and Exchange Commission March 2008 - Present
US Investigation Services February 2006 - October 2007
Goldman Sachs 2004 - 2006
General Dynamics June 2000 - July 2002
GLOBAL TELESYSTEMS GROUP, INC. June 1999 - June 2000
Bearing Point June 1997 - June 1999
Skills
Financial Analysis, Due Diligence, Financial Modeling, Investments, Business Strategy, Valuation, Mergers, Strategic Planning, Risk Management, Management Consulting, Private Equity, Capital Markets, Project Management, Strategy, Microsoft Excel, Program Management, Data Analysis, Hedge Funds, Process Improvement, Cross-functional Team...
Education
The Tuck School of Business at Dartmouth 2002 — 2004
MBA, Finance and Strategy
University of Virginia 1993 — 1997
BS, Commerce
Kansai Gaidai University 1996 — 1996
Certificate, Japanese Language Study and Business
JH Rose High School
US Securities and Exchange Commission March 2008 - Present
US Investigation Services February 2006 - October 2007
Goldman Sachs 2004 - 2006
General Dynamics June 2000 - July 2002
GLOBAL TELESYSTEMS GROUP, INC. June 1999 - June 2000
Bearing Point June 1997 - June 1999
Skills
Financial Analysis, Due Diligence, Financial Modeling, Investments, Business Strategy, Valuation, Mergers, Strategic Planning, Risk Management, Management Consulting, Private Equity, Capital Markets, Project Management, Strategy, Microsoft Excel, Program Management, Data Analysis, Hedge Funds, Process Improvement, Cross-functional Team...
Education
The Tuck School of Business at Dartmouth 2002 — 2004
MBA, Finance and Strategy
University of Virginia 1993 — 1997
BS, Commerce
Kansai Gaidai University 1996 — 1996
Certificate, Japanese Language Study and Business
JH Rose High School
Jason Burt's US Securities and Exchange Commission Experience 2004 - Present
Job Senior Counsel at SEC
Industry Financial Services
Experience
University of Denver, Sturm College of Law January 2015 - Present
US Securities and Exchange Commission 2004 - Present
Fried Frank Harris Shriver & Jacobson LLP 2002 - 2004
Skills
Corporate Governance, Securities Regulation, Securities, FINRA, Securities Litigation, Investment Advisers Act
Education
James Madison University 1994 — 1998
Bachlor of Science, Finance
University of North Carolina at Chapel Hill
University of Denver, Sturm College of Law January 2015 - Present
US Securities and Exchange Commission 2004 - Present
Fried Frank Harris Shriver & Jacobson LLP 2002 - 2004
Skills
Corporate Governance, Securities Regulation, Securities, FINRA, Securities Litigation, Investment Advisers Act
Education
James Madison University 1994 — 1998
Bachlor of Science, Finance
University of North Carolina at Chapel Hill
Isaac Esquivel's US Securities and Exchange Commission Experience September 2012 - Present
Job Accountant at Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission September 2012 - Present
Playa Hotels & Resorts September 2011 - August 2012
Big 5 Sporting Goods Corp November 2005 - August 2011
Ernst & Young October 2001 - November 2005
Skills
Accounting, Financial Reporting, US GAAP, Revenue Recognition, Financial Accounting, GAAP, CPA, General Ledger, Auditing, IFRS, SEC reporting, Excel, Outlook, Word, SOX
Education
Loyola Marymount University 1997 — 2001
B.S., Accounting
US Securities and Exchange Commission September 2012 - Present
Playa Hotels & Resorts September 2011 - August 2012
Big 5 Sporting Goods Corp November 2005 - August 2011
Ernst & Young October 2001 - November 2005
Skills
Accounting, Financial Reporting, US GAAP, Revenue Recognition, Financial Accounting, GAAP, CPA, General Ledger, Auditing, IFRS, SEC reporting, Excel, Outlook, Word, SOX
Education
Loyola Marymount University 1997 — 2001
B.S., Accounting
Jane Broderick's US Securities and Exchange Commission Experience January 2006 - May 2006
Job Vice President at Permal Group
Industry Investment Management
Experience
Permal Group July 2014 - Present
Lowenstein Sandler LLP December 2012 - June 2014
Day Pitney LLP September 2006 - December 2012
US Securities and Exchange Commission January 2006 - May 2006
Education
New York University School of Law 2008 — 2011
LL.M., Taxation
Washington University in St. Louis School of Law 2003 — 2006
J.D., Law
Loyola University Maryland 1999 — 2003
BBA, Marketing, Communications
Permal Group July 2014 - Present
Lowenstein Sandler LLP December 2012 - June 2014
Day Pitney LLP September 2006 - December 2012
US Securities and Exchange Commission January 2006 - May 2006
Education
New York University School of Law 2008 — 2011
LL.M., Taxation
Washington University in St. Louis School of Law 2003 — 2006
J.D., Law
Loyola University Maryland 1999 — 2003
BBA, Marketing, Communications
Erik Olsen, CFE, IACCP®'s US Securities and Exchange Commission Experience November 2003 - August 2006
Job Senior Principal Consultant at ACA Compliance Group
Industry Financial Services
Experience
ACA Compliance Group September 2012 - Present
Legg Mason September 2006 - September 2012
US Securities and Exchange Commission November 2003 - August 2006
Deutsche Banc Alex. Brown 1999 - 2003
Skills
Securities, Investment Advisory, Compliance, Asset Management, Mutual Funds, Hedge Funds, Corporate Governance, SEC reporting, Securities Law, Fraud, SEC filings, Securities Regulation, FINRA, Due Diligence, SEC, Private Equity, Asset Managment, AML, Financial Advisory, Investment Management, SEC Filings
Education
Loyola College in Maryland 1995 — 1999
Bachelor of Administration, Finance
ACA Compliance Group September 2012 - Present
Legg Mason September 2006 - September 2012
US Securities and Exchange Commission November 2003 - August 2006
Deutsche Banc Alex. Brown 1999 - 2003
Skills
Securities, Investment Advisory, Compliance, Asset Management, Mutual Funds, Hedge Funds, Corporate Governance, SEC reporting, Securities Law, Fraud, SEC filings, Securities Regulation, FINRA, Due Diligence, SEC, Private Equity, Asset Managment, AML, Financial Advisory, Investment Management, SEC Filings
Education
Loyola College in Maryland 1995 — 1999
Bachelor of Administration, Finance
Eric Werner's US Securities and Exchange Commission Experience February 2009 - Present
Job Enforcement Supervisor at the U.S. Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission February 2009 - Present
US Securities and Exchange Commission October 2004 - February 2009
US Securities and Exchange Commission March 2001 - October 2004
US Securities and Exchange Commission September 1995 - March 2001
Skills
Securities, Securities Regulation, Litigation, FCPA, Internal Investigations, Mergers & Acquisitions, Commercial Litigation, Corporate Governance, Fraud, FINRA, Civil Litigation, Due Diligence, Corporate Law, Securities Litigation, Legal Writing, Legal Research, Appeals, Arbitration, Trials, Class Actions, Courts, Private Equity
Education
Washington University in St. Louis School of Law 1992 — 1995
J.D.
Occidental College 1988 — 1992
AB, Economics, Philosophy
Macquarie University 1990 — 1990
US Securities and Exchange Commission February 2009 - Present
US Securities and Exchange Commission October 2004 - February 2009
US Securities and Exchange Commission March 2001 - October 2004
US Securities and Exchange Commission September 1995 - March 2001
Skills
Securities, Securities Regulation, Litigation, FCPA, Internal Investigations, Mergers & Acquisitions, Commercial Litigation, Corporate Governance, Fraud, FINRA, Civil Litigation, Due Diligence, Corporate Law, Securities Litigation, Legal Writing, Legal Research, Appeals, Arbitration, Trials, Class Actions, Courts, Private Equity
Education
Washington University in St. Louis School of Law 1992 — 1995
J.D.
Occidental College 1988 — 1992
AB, Economics, Philosophy
Macquarie University 1990 — 1990
Andrew Grimaldi's US Securities and Exchange Commission Experience May 2010 - Present
Job CPA/Attorney
Industry Accounting
Experience
US Securities and Exchange Commission May 2010 - Present
Government Accountability Office May 2009 - May 2010
KPMG November 2005 - May 2009
Condon O'Meara McGinty & Donnelly LLP 2003 - 2004
Skills
Internal Controls, Auditing, Accounting, Financial Reporting, Sarbanes-Oxley Act, Finance, GAAP, Financial Analysis, US GAAP, Financial Accounting, Internal Audit
Education
University of the District of Columbia - The David A. Clarke School of Law 2010 — 2014
JD, Law
Manhattan College 2000 — 2003
Bachelor of Science (BS), Accounting
US Securities and Exchange Commission May 2010 - Present
Government Accountability Office May 2009 - May 2010
KPMG November 2005 - May 2009
Condon O'Meara McGinty & Donnelly LLP 2003 - 2004
Skills
Internal Controls, Auditing, Accounting, Financial Reporting, Sarbanes-Oxley Act, Finance, GAAP, Financial Analysis, US GAAP, Financial Accounting, Internal Audit
Education
University of the District of Columbia - The David A. Clarke School of Law 2010 — 2014
JD, Law
Manhattan College 2000 — 2003
Bachelor of Science (BS), Accounting
Rick Mayfield, CFA's US Securities and Exchange Commission Experience July 2010 - December 2011
Job Capital Markets Specialist at NCUA
Industry Government Administration
Experience
NCUA December 2011 - Present
US Securities and Exchange Commission July 2010 - December 2011
National Credit Union Administration April 2007 - July 2010
Wachovia Global Securities Lending October 2000 - February 2007
Education
Jacksonville State University
BS
Loyola Marymount University
MBA
NCUA December 2011 - Present
US Securities and Exchange Commission July 2010 - December 2011
National Credit Union Administration April 2007 - July 2010
Wachovia Global Securities Lending October 2000 - February 2007
Education
Jacksonville State University
BS
Loyola Marymount University
MBA
Chip Eastman's US Securities and Exchange Commission Experience November 2012 - Present
Job Staff Corporation Finance at US Securities and Exchange Commission
Industry Telecommunications
Experience
US Securities and Exchange Commission November 2012 - Present
Fannie Mae June 2011 - November 2012
NII Holdings June 2005 - June 2011
Sallie Mae August 1992 - June 2005
Skills
Financial Analysis, Internal Controls, Sarbanes-Oxley Act, Forecasting, Financial Reporting, Accounting, Corporate Finance, Hyperion Enterprise, Mergers, Process Improvement, Risk Management, PeopleSoft, Finance, Budgets, Mergers & Acquisitions, Managerial Finance
Education
James Madison University 1988 — 1989
MBA
St Andrews Presbyterian College 1984 — 1987
BA
US Securities and Exchange Commission November 2012 - Present
Fannie Mae June 2011 - November 2012
NII Holdings June 2005 - June 2011
Sallie Mae August 1992 - June 2005
Skills
Financial Analysis, Internal Controls, Sarbanes-Oxley Act, Forecasting, Financial Reporting, Accounting, Corporate Finance, Hyperion Enterprise, Mergers, Process Improvement, Risk Management, PeopleSoft, Finance, Budgets, Mergers & Acquisitions, Managerial Finance
Education
James Madison University 1988 — 1989
MBA
St Andrews Presbyterian College 1984 — 1987
BA
Ataev, Alexander's US Securities and Exchange Commission Experience 2005 - Present
Job IT Specialist
Industry Information Technology and Services
Experience
US Securities and Exchange Commission 2005 - Present
Graduate Management Admission Council® (GMAC®) 2001 - 2005
Skills
Business Analysis, Enterprise Architecture, Business Intelligence, SDLC
Education
Lomonosov Moscow State University (MSU)
US Securities and Exchange Commission 2005 - Present
Graduate Management Admission Council® (GMAC®) 2001 - 2005
Skills
Business Analysis, Enterprise Architecture, Business Intelligence, SDLC
Education
Lomonosov Moscow State University (MSU)
D Cln's US Securities and Exchange Commission Experience June 2004 - May 2007
Job
Industry Oil & Energy
Experience
Chevron November 2008 - Present
Chevron May 2007 - November 2008
US Securities and Exchange Commission June 2004 - May 2007
Education
Keller Graduate School of Management of DeVry University 2004 — 2006
MBA
Keller Graduate School of Management of DeVry University 2004 — 2006
MS
DeVry University 2000 — 2004
BS
Chevron November 2008 - Present
Chevron May 2007 - November 2008
US Securities and Exchange Commission June 2004 - May 2007
Education
Keller Graduate School of Management of DeVry University 2004 — 2006
MBA
Keller Graduate School of Management of DeVry University 2004 — 2006
MS
DeVry University 2000 — 2004
BS
Shelley (Barrows) Duncan's US Securities and Exchange Commission Experience August 1995 - May 1998
Job Deloitte, Audit Partner
Industry Accounting
Experience
Deloitte April 1999 - Present
Cyveillance, Inc. May 1998 - April 1999
US Securities and Exchange Commission August 1995 - May 1998
Skills
Revenue Recognition, GAAP, IFRS, IPO, Restructuring, SEC, Financial Statements, SEC filings, 10Q, US GAAP, FASB, Internal Controls, External Audit, Sarbanes-Oxley Act
Education
Isenberg School of Management, UMass Amherst 1988 — 1992
BBA, Accounting
Deloitte April 1999 - Present
Cyveillance, Inc. May 1998 - April 1999
US Securities and Exchange Commission August 1995 - May 1998
Skills
Revenue Recognition, GAAP, IFRS, IPO, Restructuring, SEC, Financial Statements, SEC filings, 10Q, US GAAP, FASB, Internal Controls, External Audit, Sarbanes-Oxley Act
Education
Isenberg School of Management, UMass Amherst 1988 — 1992
BBA, Accounting
Ajay Mittal's US Securities and Exchange Commission Experience October 2012 - August 2013
Job Senior Manager, IT Strategy at Accenture
Industry Financial Services
Experience
Accenture August 2013 - Present
US Securities and Exchange Commission October 2012 - August 2013
Booz Allen Hamilton July 2010 - February 2012
Fannie Mae April 2006 - January 2010
Fannie Mae 2005 - 2008
Fannie Mae 1996 - May 2004
Skills
Software Project..., Program Management, Capital Markets, Management Consulting, Strategic Consulting, Vendor Management, Talent Development, Solution Architecture, PMP, IT Strategy, Management, Business Process..., Enterprise Architecture, Risk Management, Business Process..., ITIL, Project Management, SDLC, Talent Management, Governance, PMO
Education
Tulane University 1984 — 1986
MS, Computer Science
Indian Institute of Technology, Kanpur 1977 — 1982
BS, Engineering
Accenture August 2013 - Present
US Securities and Exchange Commission October 2012 - August 2013
Booz Allen Hamilton July 2010 - February 2012
Fannie Mae April 2006 - January 2010
Fannie Mae 2005 - 2008
Fannie Mae 1996 - May 2004
Skills
Software Project..., Program Management, Capital Markets, Management Consulting, Strategic Consulting, Vendor Management, Talent Development, Solution Architecture, PMP, IT Strategy, Management, Business Process..., Enterprise Architecture, Risk Management, Business Process..., ITIL, Project Management, SDLC, Talent Management, Governance, PMO
Education
Tulane University 1984 — 1986
MS, Computer Science
Indian Institute of Technology, Kanpur 1977 — 1982
BS, Engineering
Tiago Requeijo's US Securities and Exchange Commission Experience 2010 - 2012
Job
Industry Financial Services
Experience
George Mason University 2013 - Present
FS Card Inc. 2014 - Present
The Rock Creek Group 2012 - 2014
US Securities and Exchange Commission 2010 - 2012
Goldman Sachs 2009 - 2010
The Options Clearing Corporation 2009 - 2009
ING Investment Management 2007 - 2008
Stanford University 2005 - 2007
Instituto Superior Técnico 2000 - 2002
Skills
Quantitative Finance, Python, C++, Derivatives, Quantitative Analytics, Financial Modeling, Hedge Funds, Stochastic Calculus, Capital Markets, Alternative Investments, Strategy, Risk Management, Economics, Finance, Market Risk, Quantitative Research, Fixed Income, Financial Risk, Management, Financial Analysis
Education
Stanford University 2002 — 2007
PhD, Mathematics
Stanford University 2002 — 2005
MS, Mathematics
Instituto Superior Técnico 1997 — 2002
Licenciatura, Applied Mathematics and Computer Science
George Mason University 2013 - Present
FS Card Inc. 2014 - Present
The Rock Creek Group 2012 - 2014
US Securities and Exchange Commission 2010 - 2012
Goldman Sachs 2009 - 2010
The Options Clearing Corporation 2009 - 2009
ING Investment Management 2007 - 2008
Stanford University 2005 - 2007
Instituto Superior Técnico 2000 - 2002
Skills
Quantitative Finance, Python, C++, Derivatives, Quantitative Analytics, Financial Modeling, Hedge Funds, Stochastic Calculus, Capital Markets, Alternative Investments, Strategy, Risk Management, Economics, Finance, Market Risk, Quantitative Research, Fixed Income, Financial Risk, Management, Financial Analysis
Education
Stanford University 2002 — 2007
PhD, Mathematics
Stanford University 2002 — 2005
MS, Mathematics
Instituto Superior Técnico 1997 — 2002
Licenciatura, Applied Mathematics and Computer Science
Richard M. Lender's US Securities and Exchange Commission Experience August 2009 - January 2010
Job Postgraduate Fellow at The Catholic University of America Columbus School of Law
Industry Law Practice
Experience
The Catholic University of America September 2010 - Present
Hudson July 2012 - 2012
Financial Industry Regulatory Authority (FINRA) January 2010 - November 2010
US Securities and Exchange Commission August 2009 - January 2010
Commodity Futures Trading Commission January 2009 - August 2009
National Association of Broadcasters May 2008 - June 2008
The Kansas City Star 1995 - 2004
Skills
Legal Research, Litigation, Securities Regulation, Trials, Analysis, Legal Writing, Hearings, Public Policy, Research, Westlaw, Civil Litigation, Document Review
Education
The Catholic University of America, Columbus School of Law 2007 — 2010
Juris Doctor, Securities Law
Jagiellonian University 2008 — 2008
International Business and Trade Summer Law Program, International Business and Trade, Certificate
Ave Maria University 2004 — 2006
Master of Arts, Theology
Victoria University of Wellington 1994 — 1994
BA Honours, Politics
Truman State University 1988 — 1993
Bachelor of Arts, History, Political Science; Minor in International Studies, Concentration in Economics
The Catholic University of America September 2010 - Present
Hudson July 2012 - 2012
Financial Industry Regulatory Authority (FINRA) January 2010 - November 2010
US Securities and Exchange Commission August 2009 - January 2010
Commodity Futures Trading Commission January 2009 - August 2009
National Association of Broadcasters May 2008 - June 2008
The Kansas City Star 1995 - 2004
Skills
Legal Research, Litigation, Securities Regulation, Trials, Analysis, Legal Writing, Hearings, Public Policy, Research, Westlaw, Civil Litigation, Document Review
Education
The Catholic University of America, Columbus School of Law 2007 — 2010
Juris Doctor, Securities Law
Jagiellonian University 2008 — 2008
International Business and Trade Summer Law Program, International Business and Trade, Certificate
Ave Maria University 2004 — 2006
Master of Arts, Theology
Victoria University of Wellington 1994 — 1994
BA Honours, Politics
Truman State University 1988 — 1993
Bachelor of Arts, History, Political Science; Minor in International Studies, Concentration in Economics
Chris Rahne's US Securities and Exchange Commission Experience 1982 - 1984
Job Director at Grant Thornton
Industry Accounting
Experience
Grant Thornton March 2004 - Present
BDO USA, LLP February 1992 - March 2004
Deloitte July 1987 - February 1992
US Securities and Exchange Commission 1982 - 1984
FBI 1977 - 1982
Skills
Valuation, Financial Analysis, Private Equity, Due Diligence, Financial Modeling, Finance, Corporate Finance, Investments, Managerial Finance, IFRS, Mergers & Acquisitions, Internal Audit, Restructuring, Cash Flow, Corporate Tax, CPA, Consolidation, Financial Audits, Income Tax, Vocabulary, Certified Divorce..., Equity Valuation, Value Engineering
Education
University of North Florida 1975 — 1975
MBA
Jacksonville University 1971 — 1975
BS, Business
Terry Parker
Grant Thornton March 2004 - Present
BDO USA, LLP February 1992 - March 2004
Deloitte July 1987 - February 1992
US Securities and Exchange Commission 1982 - 1984
FBI 1977 - 1982
Skills
Valuation, Financial Analysis, Private Equity, Due Diligence, Financial Modeling, Finance, Corporate Finance, Investments, Managerial Finance, IFRS, Mergers & Acquisitions, Internal Audit, Restructuring, Cash Flow, Corporate Tax, CPA, Consolidation, Financial Audits, Income Tax, Vocabulary, Certified Divorce..., Equity Valuation, Value Engineering
Education
University of North Florida 1975 — 1975
MBA
Jacksonville University 1971 — 1975
BS, Business
Terry Parker
Alex Shukhman's US Securities and Exchange Commission Experience September 2001 - April 2005
Job Director at Lam Research
Industry Law Practice
Experience
Lam Research March 2015 - Present
Lam Research September 2012 - February 2015
Goodwin Procter LLP December 2007 - March 2012
Heller Ehrman May 2005 - November 2007
US Securities and Exchange Commission September 2001 - April 2005
Skills
Securities Law, Corporate Governance, Corporate Law, Capital Markets, Mergers, Entity Formation, Securities, Corporate Finance, Securities Offerings, IPO, SEC reporting, Public Companies, Compliance, SOX, Securities Regulation, SEC, Mergers & Acquisitions, Acquisitions, Licensing, Legal Writing, SEC filings, Entity Extraction, Joint Ventures
Education
Loyola Law School, Loyola Marymount University 1998 — 2001
J.D.
University of California, Los Angeles 1994 — 1997
B.A., Business-Economics and Accounting
Lam Research March 2015 - Present
Lam Research September 2012 - February 2015
Goodwin Procter LLP December 2007 - March 2012
Heller Ehrman May 2005 - November 2007
US Securities and Exchange Commission September 2001 - April 2005
Skills
Securities Law, Corporate Governance, Corporate Law, Capital Markets, Mergers, Entity Formation, Securities, Corporate Finance, Securities Offerings, IPO, SEC reporting, Public Companies, Compliance, SOX, Securities Regulation, SEC, Mergers & Acquisitions, Acquisitions, Licensing, Legal Writing, SEC filings, Entity Extraction, Joint Ventures
Education
Loyola Law School, Loyola Marymount University 1998 — 2001
J.D.
University of California, Los Angeles 1994 — 1997
B.A., Business-Economics and Accounting
Mary Plache's US Securities and Exchange Commission Experience July 2009 - Present
Job at US Securities and Exchange Commission
Industry Program Development
Experience
US Securities and Exchange Commission July 2009 - Present
Office of the Secretary of Transportation, S-60 January 2009 - July 2009
Federal Railroad Administration, U.S. Department of Transportation 1998 - January 2009
Bureau of Labor Statistics September 1996 - December 1998
Skills
Security, Data Analysis, Analysis, Public Policy, Policy Analysis, Economics
Education
The Johns Hopkins University 2004 — 2009
Masters, Economics
Louisiana State University and Agricultural and Mechanical College 1985 — 1989
Bachelor's degree, Economics, Business Administration
US Securities and Exchange Commission July 2009 - Present
Office of the Secretary of Transportation, S-60 January 2009 - July 2009
Federal Railroad Administration, U.S. Department of Transportation 1998 - January 2009
Bureau of Labor Statistics September 1996 - December 1998
Skills
Security, Data Analysis, Analysis, Public Policy, Policy Analysis, Economics
Education
The Johns Hopkins University 2004 — 2009
Masters, Economics
Louisiana State University and Agricultural and Mechanical College 1985 — 1989
Bachelor's degree, Economics, Business Administration
Kurt Hohl's US Securities and Exchange Commission Experience September 1989 - September 1997
Job Partner at Ernst & Young
Industry Accounting
Experience
EY September 1997 - Present
Ernst & Young LLP July 2010 - April 2014
Ernst & Young LLP July 2005 - July 2011
EY September 1997 - June 2005
US Securities and Exchange Commission September 1989 - September 1997
Deloitte Haskins & Sells 1985 - 1989
Education
James Madison University 1981 — 1985
BBS, Accounting
James Madison University - College of Business
EY September 1997 - Present
Ernst & Young LLP July 2010 - April 2014
Ernst & Young LLP July 2005 - July 2011
EY September 1997 - June 2005
US Securities and Exchange Commission September 1989 - September 1997
Deloitte Haskins & Sells 1985 - 1989
Education
James Madison University 1981 — 1985
BBS, Accounting
James Madison University - College of Business
Eric Bright, CFA's US Securities and Exchange Commission Experience March 1994 - June 1997
Job Portfolio manager at Pennyfarthing Investment Management, LLC
Industry Investment Management
Experience
Pennyfarthing Investment Management, LLC August 2002 - Present
Fraser Management Associates November 1999 - August 2001
US Securities and Exchange Commission March 1994 - June 1997
Skills
Investment Management, Mutual Funds, Investments, Management, Alternative Investments, Consulting, Portfolio Management, Securities, Asset Allocation, ETFs, Investment Advisory, Equity Research, Investment Strategies, Wealth Management, Fund Of Funds, Equities, Bloomberg, Equity Valuation, Hedge Funds, Bonds, Fixed Income, Asset Management, Institutional..., Structured Products, Emerging Markets
Education
Virginia Polytechnic Institute and State University 1997 — 1999
M.A., History
Indiana University Bloomington 1991 — 1993
B.S., Finance
Pennyfarthing Investment Management, LLC August 2002 - Present
Fraser Management Associates November 1999 - August 2001
US Securities and Exchange Commission March 1994 - June 1997
Skills
Investment Management, Mutual Funds, Investments, Management, Alternative Investments, Consulting, Portfolio Management, Securities, Asset Allocation, ETFs, Investment Advisory, Equity Research, Investment Strategies, Wealth Management, Fund Of Funds, Equities, Bloomberg, Equity Valuation, Hedge Funds, Bonds, Fixed Income, Asset Management, Institutional..., Structured Products, Emerging Markets
Education
Virginia Polytechnic Institute and State University 1997 — 1999
M.A., History
Indiana University Bloomington 1991 — 1993
B.S., Finance
Ludmila Chwazik's US Securities and Exchange Commission Experience 1999 - 2004
Job VP, Legal and Compliance at Neuberger Berman
Industry Financial Services
Experience
Neuberger Berman June 2014 - Present
APG Asset Management US Inc. January 2010 - June 2014
SEI Investments 2006 - 2009
Stark & Stark 2005 - 2006
US Securities and Exchange Commission 1999 - 2004
Lipper Analytical Services 1994 - 1996
Standard & Poor's 1989 - 1994
Skills
Securities, Securities Regulation, Corporate Governance, Investments, Risk Management, Mutual Funds, FINRA
Education
University of Colorado School of Law 1995 — 1998
Doctor of Law (J.D.), Accounting
La Sierra University 1980 — 1984
B.S., Accounting
Neuberger Berman June 2014 - Present
APG Asset Management US Inc. January 2010 - June 2014
SEI Investments 2006 - 2009
Stark & Stark 2005 - 2006
US Securities and Exchange Commission 1999 - 2004
Lipper Analytical Services 1994 - 1996
Standard & Poor's 1989 - 1994
Skills
Securities, Securities Regulation, Corporate Governance, Investments, Risk Management, Mutual Funds, FINRA
Education
University of Colorado School of Law 1995 — 1998
Doctor of Law (J.D.), Accounting
La Sierra University 1980 — 1984
B.S., Accounting
Arthur Damoulakis's US Securities and Exchange Commission Experience September 2013 - November 2013
Job Associate at Willkie Farr & Gallagher LLP
Industry Real Estate
Experience
Willkie Farr & Gallagher LLP October 2014 - Present
Willkie Farr & Gallagher LLP January 2014 - April 2014
US Securities and Exchange Commission September 2013 - November 2013
Willkie Farr & Gallagher LLP May 2013 - August 2013
U.S. Securities & Exchange Commission January 2013 - April 2013
United States District Court of the District of Columbia September 2012 - January 2013
Erickson Retirement May 2008 - November 2012
Court of Appeals of Maryland May 2012 - August 2012
University of Maryland School of Law June 2011 - August 2011
Lane Company 2007 - 2008
Skills
Financial Analysis, Financial Modeling
Education
The George Washington University Law School 2011 — 2014
JD with Highest Honors, Order of the Coif
University of Maryland School of Law 2010 — 2011
University of Massachusetts at Amherst - Isenberg School of Management 2005 — 2007
MBA
University of Maryland College Park 2000 — 2004
BA
Willkie Farr & Gallagher LLP October 2014 - Present
Willkie Farr & Gallagher LLP January 2014 - April 2014
US Securities and Exchange Commission September 2013 - November 2013
Willkie Farr & Gallagher LLP May 2013 - August 2013
U.S. Securities & Exchange Commission January 2013 - April 2013
United States District Court of the District of Columbia September 2012 - January 2013
Erickson Retirement May 2008 - November 2012
Court of Appeals of Maryland May 2012 - August 2012
University of Maryland School of Law June 2011 - August 2011
Lane Company 2007 - 2008
Skills
Financial Analysis, Financial Modeling
Education
The George Washington University Law School 2011 — 2014
JD with Highest Honors, Order of the Coif
University of Maryland School of Law 2010 — 2011
University of Massachusetts at Amherst - Isenberg School of Management 2005 — 2007
MBA
University of Maryland College Park 2000 — 2004
BA
Jeremy Simons's US Securities and Exchange Commission Experience August 2011 - July 2013
Job Partner at EY
Industry Accounting
Experience
EY July 2013 - Present
US Securities and Exchange Commission August 2011 - July 2013
Ernst & Young June 2002 - August 2011
Arthur Andersen July 1999 - June 2002
Skills
SEC filings, Internal Controls, US GAAP, Auditing, Financial Analysis, GAAP, Sarbanes-Oxley Act, CPA, SEC Filings, Accounting, External Audit
Education
Indiana University - Kelley School of Business 1995 — 1999
Bachelors, Accounting/Finance
Indiana University Bloomington 1995 — 1999
Bachelors, Accounting, Finance
EY July 2013 - Present
US Securities and Exchange Commission August 2011 - July 2013
Ernst & Young June 2002 - August 2011
Arthur Andersen July 1999 - June 2002
Skills
SEC filings, Internal Controls, US GAAP, Auditing, Financial Analysis, GAAP, Sarbanes-Oxley Act, CPA, SEC Filings, Accounting, External Audit
Education
Indiana University - Kelley School of Business 1995 — 1999
Bachelors, Accounting/Finance
Indiana University Bloomington 1995 — 1999
Bachelors, Accounting, Finance
Paul Montoya's US Securities and Exchange Commission Experience March 1997 - Present
Job Assistant Director at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission March 1997 - Present
Securities & Exchange Commission 1997 - 2007
Education
Loyola University Chicago School of Law 1991 — 1994
JD, Law
Texas Christian University - M.J. Neeley School of Business 1984 — 1988
BBA, Accounting
US Securities and Exchange Commission March 1997 - Present
Securities & Exchange Commission 1997 - 2007
Education
Loyola University Chicago School of Law 1991 — 1994
JD, Law
Texas Christian University - M.J. Neeley School of Business 1984 — 1988
BBA, Accounting
Robert Contreras's US Securities and Exchange Commission Experience 1996 - 1998
Job General Counsel at Kovitz Investment Group
Industry Investment Management
Experience
Kovitz Investment Group May 2012 - Present
Deerfield Capital Management August 2000 - January 2012
CIFC Corp. 2008 - 2011
Pedersen & Houpt 1998 - 2000
US Securities and Exchange Commission 1996 - 1998
Education
Loyola University Chicago School of Law 1993 — 1996
JD
Indiana University Bloomington 1988 — 1992
Business, Finance
Kovitz Investment Group May 2012 - Present
Deerfield Capital Management August 2000 - January 2012
CIFC Corp. 2008 - 2011
Pedersen & Houpt 1998 - 2000
US Securities and Exchange Commission 1996 - 1998
Education
Loyola University Chicago School of Law 1993 — 1996
JD
Indiana University Bloomington 1988 — 1992
Business, Finance
Paul Montoya's US Securities and Exchange Commission Experience December 2004 - Present
Job Assistant Regional Director at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission December 2004 - Present
Skills
Securities Regulation, Securities, Corporate Governance, Legal Writing, Legal Research, Litigation, Fraud, Internal Investigations, Commercial Litigation, Civil Litigation, Criminal Law, Private Equity, Trials, Due Diligence, Hedge Funds, Intellectual Property, Mutual Funds, Appeals, Securities Litigation, Mediation, Corporate Law
Education
Loyola University Chicago School of Law 1991 — 1994
JD, Law
Texas Christian University - M.J. Neeley School of Business 1984 — 1988
BBA, Accounting
US Securities and Exchange Commission December 2004 - Present
Skills
Securities Regulation, Securities, Corporate Governance, Legal Writing, Legal Research, Litigation, Fraud, Internal Investigations, Commercial Litigation, Civil Litigation, Criminal Law, Private Equity, Trials, Due Diligence, Hedge Funds, Intellectual Property, Mutual Funds, Appeals, Securities Litigation, Mediation, Corporate Law
Education
Loyola University Chicago School of Law 1991 — 1994
JD, Law
Texas Christian University - M.J. Neeley School of Business 1984 — 1988
BBA, Accounting
Brian Croteau's US Securities and Exchange Commission Experience June 2010 - Present
Job CPA
Industry Accounting
Experience
US Securities and Exchange Commission June 2010 - Present
Skills
SEC filings, US GAAP, GAAP, Internal Controls, Accounting, Financial Reporting, Auditing, Sarbanes-Oxley Act, CPA, External Audit, Assurance, Sarbanes-Oxley
Education
Isenberg School of Management, UMass Amherst 1990 — 1994
BBA, Accounting
University of Massachusetts, Amherst 1990 — 1994
BBA, Accounting
US Securities and Exchange Commission June 2010 - Present
Skills
SEC filings, US GAAP, GAAP, Internal Controls, Accounting, Financial Reporting, Auditing, Sarbanes-Oxley Act, CPA, External Audit, Assurance, Sarbanes-Oxley
Education
Isenberg School of Management, UMass Amherst 1990 — 1994
BBA, Accounting
University of Massachusetts, Amherst 1990 — 1994
BBA, Accounting
Genie Chou's US Securities and Exchange Commission Experience 2007 - 2007
Job Associate at Michael Roofian & Associates, PC
Industry Law Practice
Experience
Michael Roofian & Associates January 2009 - Present
Jamison Services August 2008 - December 2008
Ninth Circuit Court of Appeals January 2008 - April 2008
Sega Entertainment USA, Inc. June 2006 - May 2007
US Securities and Exchange Commission 2007 - 2007
Los Angeles Superior Court, Central Civil May 2006 - July 2006
Department of Justice, Office for Immigration Review January 2003 - June 2004
Workstations and Microcomputer Facilities, U.C. Berkeley February 1999 - December 2001
Skills
Corporate Law
Education
Loyola Law School, Loyola Marymount University 2005 — 2008
J.D., Law, Graduated Cum Laude
University of California, Berkeley 1997 — 2001
BS, Environmental Economics & Policy
Michael Roofian & Associates January 2009 - Present
Jamison Services August 2008 - December 2008
Ninth Circuit Court of Appeals January 2008 - April 2008
Sega Entertainment USA, Inc. June 2006 - May 2007
US Securities and Exchange Commission 2007 - 2007
Los Angeles Superior Court, Central Civil May 2006 - July 2006
Department of Justice, Office for Immigration Review January 2003 - June 2004
Workstations and Microcomputer Facilities, U.C. Berkeley February 1999 - December 2001
Skills
Corporate Law
Education
Loyola Law School, Loyola Marymount University 2005 — 2008
J.D., Law, Graduated Cum Laude
University of California, Berkeley 1997 — 2001
BS, Environmental Economics & Policy
Sandra Melocik's US Securities and Exchange Commission Experience February 1992 - July 1996
Job Accounting Policy Advisor at Exxon Mobil Corporation
Industry Oil & Energy
Experience
Exxon Mobil Corporation MemberFinancial Executives International2006 - 2014
US Securities and Exchange Commission February 1992 - July 1996
PricewaterhouseCoopers March 1987 - February 1992
Skills
US GAAP, Internal Controls, Financial Reporting, Sarbanes-Oxley Act, Accounting, Auditing, SEC filings, Financial Accounting, Financial Analysis, IFRS, GAAP, Internal Audit, Consolidation, Cost Accounting, CPA, Managerial Finance, Corporate Finance, Financial Modeling, Sarbanes-Oxley, Due Diligence, Forecasting, External Audit, Revenue Recognition, Cash Flow, Mergers & Acquisitions
Education
Le Moyne College 1981 — 1985
Accounting
JCB High School
Exxon Mobil Corporation MemberFinancial Executives International2006 - 2014
US Securities and Exchange Commission February 1992 - July 1996
PricewaterhouseCoopers March 1987 - February 1992
Skills
US GAAP, Internal Controls, Financial Reporting, Sarbanes-Oxley Act, Accounting, Auditing, SEC filings, Financial Accounting, Financial Analysis, IFRS, GAAP, Internal Audit, Consolidation, Cost Accounting, CPA, Managerial Finance, Corporate Finance, Financial Modeling, Sarbanes-Oxley, Due Diligence, Forecasting, External Audit, Revenue Recognition, Cash Flow, Mergers & Acquisitions
Education
Le Moyne College 1981 — 1985
Accounting
JCB High School
Rachita Gullapalli's US Securities and Exchange Commission Experience 2012 - Present
Job Financial Economist
Industry Research
Experience
US Securities and Exchange Commission 2012 - Present
Education
University of California, Berkeley
Doctor of Philosophy (Ph.D.), Economics
Indian Institute of Management, Bangalore
MBA
US Securities and Exchange Commission 2012 - Present
Education
University of California, Berkeley
Doctor of Philosophy (Ph.D.), Economics
Indian Institute of Management, Bangalore
MBA
Jenny Fein's US Securities and Exchange Commission Experience July 2010 - September 2010
Job Managing Director at Pittsburgh School For The Choral Arts
Industry Legal Services
Experience
Pittsburgh School For The Choral Arts August 2015 - Present
Choice Counsel, Special Counsel, LegalSource June 2010 - July 2015
Law Offices of Marc J Reiter March 2014 - April 2014
Adecco Staffing, USA October 2013 - January 2014
Legal Voice June 2012 - May 2013
US Securities and Exchange Commission July 2010 - September 2010
FINRA September 2009 - May 2010
Student Press Law Center May 2008 - May 2009
University of the District of Columbia, David A Clarke School of Law September 2006 - May 2009
UDC Legal Clinic August 2008 - December 2008
Skills
First Amendment, Non-profits, Legal Writing, Corporate Law, Civil Litigation, Editing, Legal Assistance, Nonprofits, Research, Legal Research, Immigration Law, Community Outreach, Fundraising, Politics
Education
University of the District of Columbia - The David A. Clarke School of Law 2006 — 2009
J.D., Law
Ithaca College 2001 — 2005
B.A., English & Theatre
Pittsburgh School For The Choral Arts August 2015 - Present
Choice Counsel, Special Counsel, LegalSource June 2010 - July 2015
Law Offices of Marc J Reiter March 2014 - April 2014
Adecco Staffing, USA October 2013 - January 2014
Legal Voice June 2012 - May 2013
US Securities and Exchange Commission July 2010 - September 2010
FINRA September 2009 - May 2010
Student Press Law Center May 2008 - May 2009
University of the District of Columbia, David A Clarke School of Law September 2006 - May 2009
UDC Legal Clinic August 2008 - December 2008
Skills
First Amendment, Non-profits, Legal Writing, Corporate Law, Civil Litigation, Editing, Legal Assistance, Nonprofits, Research, Legal Research, Immigration Law, Community Outreach, Fundraising, Politics
Education
University of the District of Columbia - The David A. Clarke School of Law 2006 — 2009
J.D., Law
Ithaca College 2001 — 2005
B.A., English & Theatre
Allison Patti-Oliveira's US Securities and Exchange Commission Experience July 2008 - June 2010
Job Partner at Deloitte
Industry Accounting
Experience
Deloitte July 2010 - Present
The Center for Audit Quality 2011 - 2011
US Securities and Exchange Commission July 2008 - June 2010
Deloitte October 1998 - July 2008
Education
Loyola University Maryland 1994 — 1998
BBA, Accounting
Deloitte July 2010 - Present
The Center for Audit Quality 2011 - 2011
US Securities and Exchange Commission July 2008 - June 2010
Deloitte October 1998 - July 2008
Education
Loyola University Maryland 1994 — 1998
BBA, Accounting
Henry Dyhouse's US Securities and Exchange Commission Experience 1974 - 1978
Job Associate General Counsel at U.S. Central Federal Credit Union
Industry Information Technology and Services
Experience
U.S. Central Federal Credit Union Assistant General CounselFarmland Industries1978 - 1986
U.S.Department of Justice August 1977 - March 1978
US Securities and Exchange Commission 1974 - 1978
Education
Loyola University Chicago School of Law 1970 — 1974
JD and MBA (Finance) Loyola University of Chicago, Law and Business
U.S. Central Federal Credit Union Assistant General CounselFarmland Industries1978 - 1986
U.S.Department of Justice August 1977 - March 1978
US Securities and Exchange Commission 1974 - 1978
Education
Loyola University Chicago School of Law 1970 — 1974
JD and MBA (Finance) Loyola University of Chicago, Law and Business
Kevin L. Vaughn's US Securities and Exchange Commission Experience April 2004 - Present
Job Associate Chief Accountant at US Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission April 2004 - Present
U.S. Securities and Exchange Commission April 2004 - Present
KPMG September 1998 - April 2004
Appalachia Service Project May 1995 - August 1995
Skills
Accounting, Financial Reporting, SEC filings, CPA, Auditing
Education
James Madison University 1995 — 1998
BBA, Accounting
US Securities and Exchange Commission April 2004 - Present
U.S. Securities and Exchange Commission April 2004 - Present
KPMG September 1998 - April 2004
Appalachia Service Project May 1995 - August 1995
Skills
Accounting, Financial Reporting, SEC filings, CPA, Auditing
Education
James Madison University 1995 — 1998
BBA, Accounting
Sahr E. Johnny,CPA's US Securities and Exchange Commission Experience May 2003 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission May 2003 - Present
U. S. Securities and Exchange Commission 2003 - 2010
John Hancock 1998 - 2000
First Data Corporation 1994 - 1996
Liberian Organization founded by Francis. 1987 - 1992
State Street Corp 1986 - 1989
Skills
Accounting, Financial Analysis, Management, Analysis, Microsoft Office, Internal Audit, Research, Strategic Planning, Financial Reporting, Auditing, Microsoft Excel
Education
Johnson & Wales University 1983 — 1985
Bachelor of Science (B.S.), Accounting
US Securities and Exchange Commission May 2003 - Present
U. S. Securities and Exchange Commission 2003 - 2010
John Hancock 1998 - 2000
First Data Corporation 1994 - 1996
Liberian Organization founded by Francis. 1987 - 1992
State Street Corp 1986 - 1989
Skills
Accounting, Financial Analysis, Management, Analysis, Microsoft Office, Internal Audit, Research, Strategic Planning, Financial Reporting, Auditing, Microsoft Excel
Education
Johnson & Wales University 1983 — 1985
Bachelor of Science (B.S.), Accounting
Brendan Koeth's US Securities and Exchange Commission Experience August 2011 - December 2011
Job Associate at Cooley LLP
Industry Legal Services
Experience
Cooley LLP January 2014 - Present
Dow Lohnes PLLC March 2013 - December 2013
Dow Lohnes PLLC May 2012 - March 2013
D.C. Department of Insurance, Securities and Banking, Securities Bureau January 2012 - August 2012
US Securities and Exchange Commission August 2011 - December 2011
Thomson Reuters October 2008 - June 2011
Skills
Corporate Law, Document Review, Supervisory Skills, Project Management, Due Diligence, Westlaw, Program Development, Group Dynamics, Fact Finding, Employee Training, Public Relations, Discussion Facilitation, Securities Regulation, Policy Analysis, Conducting Interviews, Public Speaking, Incident Investigation
Education
The Catholic University of America, Columbus School of Law 2009 — 2013
JD, Law
Jagiellonian University 2011 — 2011
n/a, International Trade Law
The Catholic University of America 2004 — 2008
BSBA, International Economics & Finance
Cooley LLP January 2014 - Present
Dow Lohnes PLLC March 2013 - December 2013
Dow Lohnes PLLC May 2012 - March 2013
D.C. Department of Insurance, Securities and Banking, Securities Bureau January 2012 - August 2012
US Securities and Exchange Commission August 2011 - December 2011
Thomson Reuters October 2008 - June 2011
Skills
Corporate Law, Document Review, Supervisory Skills, Project Management, Due Diligence, Westlaw, Program Development, Group Dynamics, Fact Finding, Employee Training, Public Relations, Discussion Facilitation, Securities Regulation, Policy Analysis, Conducting Interviews, Public Speaking, Incident Investigation
Education
The Catholic University of America, Columbus School of Law 2009 — 2013
JD, Law
Jagiellonian University 2011 — 2011
n/a, International Trade Law
The Catholic University of America 2004 — 2008
BSBA, International Economics & Finance
Elizabeth Groover's US Securities and Exchange Commission Experience June 2008 - August 2008
Job Special Counsel at Commodity Futures Trading Commission
Industry Law Practice
Experience
Commodity Futures Trading Commission June 2013 - Present
Commodity Futures Trading Commission June 2010 - May 2013
Pascal F. Calogero, Jr., APLC August 2009 - June 2010
US Securities and Exchange Commission June 2008 - August 2008
24th Judicial District Court for Parish of Jefferson June 2007 - August 2007
Orleans Levee District December 2005 - May 2007
Skills
CFTC, Dodd-Frank, Civil Litigation, Legal Writing, Legal Research, Litigation, Appeals, Administrative Law, Legal Issues
Education
Loyola University New Orleans School of Law 2006 — 2009
Juris Doctor, Common Law
Tulane University 2002 — 2006
Bachelor of Arts, History, Minor in German
Commodity Futures Trading Commission June 2013 - Present
Commodity Futures Trading Commission June 2010 - May 2013
Pascal F. Calogero, Jr., APLC August 2009 - June 2010
US Securities and Exchange Commission June 2008 - August 2008
24th Judicial District Court for Parish of Jefferson June 2007 - August 2007
Orleans Levee District December 2005 - May 2007
Skills
CFTC, Dodd-Frank, Civil Litigation, Legal Writing, Legal Research, Litigation, Appeals, Administrative Law, Legal Issues
Education
Loyola University New Orleans School of Law 2006 — 2009
Juris Doctor, Common Law
Tulane University 2002 — 2006
Bachelor of Arts, History, Minor in German
Scott Mascianica's US Securities and Exchange Commission Experience October 2012 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Department of Justice May 2014 - Present
US Securities and Exchange Commission October 2012 - Present
Jones Day May 2011 - October 2012
Sonnenschein Nath & Rosenthal LLP July 2007 - April 2011
Circuit Court of Cook County August 2006 - July 2007
Skills
Securities, Securities Regulation, Securities Litigation, Investigation, Government, Litigation, Civil Litigation, Enforcement, Corporate Law, Legal Research, Commercial Litigation, Legal Writing, Fraud, Class Actions, Appeals, Arbitration
Education
Loyola University Chicago School of Law 2003 — 2006
JD, Law
University of Michigan - Stephen M. Ross School of Business 1998 — 2002
BBA, Finance/Accounting
U.S. Department of Justice May 2014 - Present
US Securities and Exchange Commission October 2012 - Present
Jones Day May 2011 - October 2012
Sonnenschein Nath & Rosenthal LLP July 2007 - April 2011
Circuit Court of Cook County August 2006 - July 2007
Skills
Securities, Securities Regulation, Securities Litigation, Investigation, Government, Litigation, Civil Litigation, Enforcement, Corporate Law, Legal Research, Commercial Litigation, Legal Writing, Fraud, Class Actions, Appeals, Arbitration
Education
Loyola University Chicago School of Law 2003 — 2006
JD, Law
University of Michigan - Stephen M. Ross School of Business 1998 — 2002
BBA, Finance/Accounting
Jocelyn Tchakounte's US Securities and Exchange Commission Experience August 1996 - June 1998
Job Software Engineer, Entrepreneur
Industry International Affairs
Experience
Delta Air Lines February 2011 - March 2012
ACR Group Inc October 1994 - November 2010
OPM April 1999 - June 2000
US Securities and Exchange Commission August 1996 - June 1998
Lehman Brothers January 1993 - March 1994
Skills
DB2, COBOL, JCL, International Business..., Software Development..., TSO, Public Diplomacy, Process Improvement, Project Management, Vendor Management, SDLC
Education
Institute of World Politics 2009 — 2015
Master of Arts (M.A.), Public Diplomacy
University of North Texas 1983 — 1988
MBA, Computer Information Systems
Delta Air Lines February 2011 - March 2012
ACR Group Inc October 1994 - November 2010
OPM April 1999 - June 2000
US Securities and Exchange Commission August 1996 - June 1998
Lehman Brothers January 1993 - March 1994
Skills
DB2, COBOL, JCL, International Business..., Software Development..., TSO, Public Diplomacy, Process Improvement, Project Management, Vendor Management, SDLC
Education
Institute of World Politics 2009 — 2015
Master of Arts (M.A.), Public Diplomacy
University of North Texas 1983 — 1988
MBA, Computer Information Systems
Jana Ievins's US Securities and Exchange Commission Experience October 2010 - June 2011
Job Product Specialist Research Management Solutions at FactSet
Industry Financial Services
Experience
FactSet October 2013 - Present
FactSet Research Systems April 2013 - October 2013
FactSet Research Systems June 2011 - October 2013
US Securities and Exchange Commission October 2010 - June 2011
Loyola University Chicago 2007 - 2011
Barrington Research Associates, Inc. May 2010 - September 2010
John Felice Rome Center School of English January 2010 - May 2010
FactSet Research Systems May 2008 - January 2010
Dogeared Jewels & Gifts 2006 - 2007
Skills
Fixed Income, Finance, CRM, Customer Service, FactSet, Microsoft Excel, Valuation, Sales, Analytics, Business Analysis
Education
Loyola University of Chicago 2007 — 2011
BBA - Cum Laude, Finance, Marketing, International Business
FactSet October 2013 - Present
FactSet Research Systems April 2013 - October 2013
FactSet Research Systems June 2011 - October 2013
US Securities and Exchange Commission October 2010 - June 2011
Loyola University Chicago 2007 - 2011
Barrington Research Associates, Inc. May 2010 - September 2010
John Felice Rome Center School of English January 2010 - May 2010
FactSet Research Systems May 2008 - January 2010
Dogeared Jewels & Gifts 2006 - 2007
Skills
Fixed Income, Finance, CRM, Customer Service, FactSet, Microsoft Excel, Valuation, Sales, Analytics, Business Analysis
Education
Loyola University of Chicago 2007 — 2011
BBA - Cum Laude, Finance, Marketing, International Business
Dawn Thompson Haley's US Securities and Exchange Commission Experience May 1998 - September 1998
Job Operations Manager at Haley Consulting Group LLC
Industry Management Consulting
Experience
The Haley Consulting Group LLC June 2009 - Present
The Thompson Haley Law Firm May 2003 - May 2005
Vedder Price, P.C. May 1999 - December 2000
US Securities and Exchange Commission May 1998 - September 1998
Education
Loyola University Chicago School of Law 1997 — 2000
J.D., Law
University of Illinois at Chicago 1994 — 1997
M.A., Political Science
Northern Illinois University 1986 — 1992
B.A., cum laude, Political Science/History
The Haley Consulting Group LLC June 2009 - Present
The Thompson Haley Law Firm May 2003 - May 2005
Vedder Price, P.C. May 1999 - December 2000
US Securities and Exchange Commission May 1998 - September 1998
Education
Loyola University Chicago School of Law 1997 — 2000
J.D., Law
University of Illinois at Chicago 1994 — 1997
M.A., Political Science
Northern Illinois University 1986 — 1992
B.A., cum laude, Political Science/History
Katy Heider's US Securities and Exchange Commission Experience 2004 - 2005
Job Freelance Editor and Writer
Industry Online Media
Experience
Helium Content Source (an RR Donnelley company) June 2010 - Present
Patch September 2010 - March 2011
Examiner.com June 2010 - December 2010
Grobart, Flores & Mihevc, LLC May 2006 - October 2009
Lowis & Gellen 2006 - 2008
Equity LifeStyle Properties, Inc. August 2005 - March 2006
US Securities and Exchange Commission 2004 - 2005
SmartBlast.com January 2003 - June 2004
Borland Software Corp. February 1999 - November 2002
College of American Pathologists (CAP) June 1996 - February 1999
Skills
Facebook, Newsletters, Feature Articles, Editing, Publishing, Blogging, Web Content, Marketing, Advertising, AP Style, New Media, Storytelling, Marketing Communications, Proofreading, CMS
Education
Loyola University Chicago 2004 — 2005
Certificate, Paralegal Studies
Loyola University of Chicago
BA, English
Helium Content Source (an RR Donnelley company) June 2010 - Present
Patch September 2010 - March 2011
Examiner.com June 2010 - December 2010
Grobart, Flores & Mihevc, LLC May 2006 - October 2009
Lowis & Gellen 2006 - 2008
Equity LifeStyle Properties, Inc. August 2005 - March 2006
US Securities and Exchange Commission 2004 - 2005
SmartBlast.com January 2003 - June 2004
Borland Software Corp. February 1999 - November 2002
College of American Pathologists (CAP) June 1996 - February 1999
Skills
Facebook, Newsletters, Feature Articles, Editing, Publishing, Blogging, Web Content, Marketing, Advertising, AP Style, New Media, Storytelling, Marketing Communications, Proofreading, CMS
Education
Loyola University Chicago 2004 — 2005
Certificate, Paralegal Studies
Loyola University of Chicago
BA, English
Michael Schoellhammer's US Securities and Exchange Commission Experience September 2011 - December 2011
Job Director of Acquisitions & Lending at Standard Management Company
Industry Real Estate
Experience
Standard Management Company May 2014 - Present
Arixa Capital Advisors May 2012 - May 2014
US Securities and Exchange Commission September 2011 - December 2011
Kabateck Brown Kellner LLP June 2010 - September 2011
Griffin Industries January 2005 - October 2008
Skills
Legal Research, Legal Writing, Litigation, Westlaw, Civil Litigation, Contract Negotiation, Corporate Law, Intellectual Property, Real Estate, Microsoft Office, Analysis, Legal Assistance, Microsoft Excel, Mediation, Capital Markets, Negotiation, PowerPoint, Microsoft Word, Due Diligence, Finance
Education
Loyola Law School, Loyola Marymount University 2008 — 2011
JD
UCLA Anderson School of Management 2002 — 2004
MBA, Finance / Entrepreneurship
University of California, Irvine 1996 — 2000
BA, Economics; German (minor)
Standard Management Company May 2014 - Present
Arixa Capital Advisors May 2012 - May 2014
US Securities and Exchange Commission September 2011 - December 2011
Kabateck Brown Kellner LLP June 2010 - September 2011
Griffin Industries January 2005 - October 2008
Skills
Legal Research, Legal Writing, Litigation, Westlaw, Civil Litigation, Contract Negotiation, Corporate Law, Intellectual Property, Real Estate, Microsoft Office, Analysis, Legal Assistance, Microsoft Excel, Mediation, Capital Markets, Negotiation, PowerPoint, Microsoft Word, Due Diligence, Finance
Education
Loyola Law School, Loyola Marymount University 2008 — 2011
JD
UCLA Anderson School of Management 2002 — 2004
MBA, Finance / Entrepreneurship
University of California, Irvine 1996 — 2000
BA, Economics; German (minor)
Evan Sarosi's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Counsel Rotational Attorney at Nationwide Insurance
Industry Law Practice
Experience
Nationwide Insurance August 2013 - Present
Indiana University Maurer School of Law August 2011 - May 2013
Kelley School of Business Department of Business Law and Ethics August 2010 - May 2013
US Securities and Exchange Commission September 2012 - December 2012
Nationwide Insurance May 2012 - August 2012
Monument LLC August 2011 - December 2011
The Dow Chemical Company May 2011 - August 2011
The Brookings Institution May 2010 - September 2010
57th Circuit Court of Michigan June 2010 - August 2010
Ann Arbor Area Chamber of Commerce August 2008 - December 2008
Skills
Policy Analysis, Tax Law, Legal Research, Public Policy, Research, Statistics, Legal Writing, Microsoft Office, Data Analysis, Westlaw, Microsoft Excel, Economics, PowerPoint, SPSS, Securities Regulation, Corporate Law, Public Finance, Litigation, International Law, Public Speaking, Leadership
Education
The Ohio State University Fisher College of Business 2014 — 2017
Master of Business Administration (M.B.A.)
Indiana University Bloomington 2010 — 2013
MPA, Public Finance and Management
Indiana University School of Law—Bloomington 2009 — 2013
J.D., Law
University of Michigan 2005 — 2008
B.A., History, Political Science, Statistics
Nationwide Insurance August 2013 - Present
Indiana University Maurer School of Law August 2011 - May 2013
Kelley School of Business Department of Business Law and Ethics August 2010 - May 2013
US Securities and Exchange Commission September 2012 - December 2012
Nationwide Insurance May 2012 - August 2012
Monument LLC August 2011 - December 2011
The Dow Chemical Company May 2011 - August 2011
The Brookings Institution May 2010 - September 2010
57th Circuit Court of Michigan June 2010 - August 2010
Ann Arbor Area Chamber of Commerce August 2008 - December 2008
Skills
Policy Analysis, Tax Law, Legal Research, Public Policy, Research, Statistics, Legal Writing, Microsoft Office, Data Analysis, Westlaw, Microsoft Excel, Economics, PowerPoint, SPSS, Securities Regulation, Corporate Law, Public Finance, Litigation, International Law, Public Speaking, Leadership
Education
The Ohio State University Fisher College of Business 2014 — 2017
Master of Business Administration (M.B.A.)
Indiana University Bloomington 2010 — 2013
MPA, Public Finance and Management
Indiana University School of Law—Bloomington 2009 — 2013
J.D., Law
University of Michigan 2005 — 2008
B.A., History, Political Science, Statistics
Dugan Bliss's US Securities and Exchange Commission Experience September 2010 - Present
Job Senior Trial Counsel at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission September 2010 - Present
Hogan Lovells May 2005 - September 2010
Quinn Emanuel September 2003 - April 2005
Education
Yale Law School 2000 — 2003
J.D.
The George Washington University 1996 — 2000
Bachelor’s Degree, Philosophy
King's College London 1998 — 1998
Philosophy, Study Abroad
US Securities and Exchange Commission September 2010 - Present
Hogan Lovells May 2005 - September 2010
Quinn Emanuel September 2003 - April 2005
Education
Yale Law School 2000 — 2003
J.D.
The George Washington University 1996 — 2000
Bachelor’s Degree, Philosophy
King's College London 1998 — 1998
Philosophy, Study Abroad
Felisha Clay's US Securities and Exchange Commission Experience 2010 - Present
Job Paralegal Specialist at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission 2010 - Present
Skills
Litigation Support, Legal Writing, Westlaw, Document Review, Trials, Legal Research, Litigation
Education
Loyola University Chicago 2009 — 2010
Paralegal Studies
Southern Illinois University, Carbondale 1998 — 2002
B.S., Business Management
US Securities and Exchange Commission 2010 - Present
Skills
Litigation Support, Legal Writing, Westlaw, Document Review, Trials, Legal Research, Litigation
Education
Loyola University Chicago 2009 — 2010
Paralegal Studies
Southern Illinois University, Carbondale 1998 — 2002
B.S., Business Management
Ji Shin's US Securities and Exchange Commission Experience November 2013 - Present
Job Attorney Advisor at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission November 2013 - Present
White & Case October 2010 - September 2013
New York City Law Department September 2009 - September 2010
White & Case May 2008 - August 2008
College of William and Mary 2004 - 2005
Education
The College of William and Mary - Marshall Wythe Law School 2006 — 2009
Doctor of Law (J.D.)
The College of William and Mary 2002 — 2006
Bachelor of Arts (B.A.), Linguistics, Chinese
国際基督教大学 / International Christian University 2005 — 2005
Tsinghua University 2004 — 2004
US Securities and Exchange Commission November 2013 - Present
White & Case October 2010 - September 2013
New York City Law Department September 2009 - September 2010
White & Case May 2008 - August 2008
College of William and Mary 2004 - 2005
Education
The College of William and Mary - Marshall Wythe Law School 2006 — 2009
Doctor of Law (J.D.)
The College of William and Mary 2002 — 2006
Bachelor of Arts (B.A.), Linguistics, Chinese
国際基督教大学 / International Christian University 2005 — 2005
Tsinghua University 2004 — 2004
Mayer Layla's US Securities and Exchange Commission Experience February 2001 - Present
Job Accountant at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission February 2001 - Present
Education
Long Island University, C.W. Post Campus 1998 — 2000
Bachelor of Arts, Finance
Nassau Community College 1996 — 1998
Associates Degree, Fashion Buying and Merchandising
US Securities and Exchange Commission February 2001 - Present
Education
Long Island University, C.W. Post Campus 1998 — 2000
Bachelor of Arts, Finance
Nassau Community College 1996 — 1998
Associates Degree, Fashion Buying and Merchandising
Peter Bado's US Securities and Exchange Commission Experience 1985 - 1989
Job Chief Legal Officer & Corporate Secretary at Thrivent Investment Management Inc.
Industry Law Practice
Experience
Thrivent Investment Management Inc. November 2014 - Present
Thrivent Investment Management Inc. Inc 2007 - 2014
Dorsey & Whitney LLP, Am Law 50 law firm 2006 - 2007
UBS Financial Services 1996 - 2006
Adams, Duque & Hazeltine, 200+ attorney California-based law firm 1989 - 1996
US Securities and Exchange Commission 1985 - 1989
Skills
Securities Regulation, Securities, FINRA, Litigation, Arbitration, Corporate Governance, Corporate Law, Securities Litigation, Risk Management, Commercial Litigation
Education
Loyola Law School, Loyola Marymount University
Juris Doctor, Law
University of California, Santa Barbara
Bachelor of Arts (BA), Accounting & Economics
Thrivent Investment Management Inc. November 2014 - Present
Thrivent Investment Management Inc. Inc 2007 - 2014
Dorsey & Whitney LLP, Am Law 50 law firm 2006 - 2007
UBS Financial Services 1996 - 2006
Adams, Duque & Hazeltine, 200+ attorney California-based law firm 1989 - 1996
US Securities and Exchange Commission 1985 - 1989
Skills
Securities Regulation, Securities, FINRA, Litigation, Arbitration, Corporate Governance, Corporate Law, Securities Litigation, Risk Management, Commercial Litigation
Education
Loyola Law School, Loyola Marymount University
Juris Doctor, Law
University of California, Santa Barbara
Bachelor of Arts (BA), Accounting & Economics
Jackson Day's US Securities and Exchange Commission Experience 2002 - 2003
Job Partner at Ernst & Young
Industry Accounting
Experience
Ernst & Young LLP 2003 - Present
US Securities and Exchange Commission 2002 - 2003
US Securities and Exchange Commission 2000 - 2002
Ernst & Young 1999 - 2000
FASB 1997 - 1999
Ernst & Young 1986 - 1997
Ernst & Young 1986 - 1997
Kansas State University 1982 - 1986
Skills
IFRS, External Audit, Internal Controls, Auditing, Financial Reporting, GAAP, Accounting, Financial Accounting, Forensic Accounting, Revenue Recognition, Sarbanes-Oxley Act, IPO
Education
Kansas State University 1982 — 1986
Bachelor of Applied Science (B.A.Sc.), Business Administration, Accounting
Ernst & Young LLP 2003 - Present
US Securities and Exchange Commission 2002 - 2003
US Securities and Exchange Commission 2000 - 2002
Ernst & Young 1999 - 2000
FASB 1997 - 1999
Ernst & Young 1986 - 1997
Ernst & Young 1986 - 1997
Kansas State University 1982 - 1986
Skills
IFRS, External Audit, Internal Controls, Auditing, Financial Reporting, GAAP, Accounting, Financial Accounting, Forensic Accounting, Revenue Recognition, Sarbanes-Oxley Act, IPO
Education
Kansas State University 1982 — 1986
Bachelor of Applied Science (B.A.Sc.), Business Administration, Accounting
Sarah Van Pelt's US Securities and Exchange Commission Experience August 2009 - April 2010
Job Litigation Paralegal at Butler Rubin Saltarelli & Boyd
Industry Law Practice
Experience
Butler Rubin Saltarelli & Boyd April 2014 - Present
U.S. Department of Justice October 2013 - March 2014
McGuireWoods September 2011 - October 2013
Schopf & Weiss LLP May 2010 - September 2011
US Securities and Exchange Commission August 2009 - April 2010
Skills
Legal Research, Westlaw, Commercial Litigation, Litigation Support, CaseMap, Trials, Document Review, Relativity, CT Summation, Concordance, Securities and Business..., Document Collection and..., Drafting Pleadings, Lexis Courtlink, Lexis, Document Collection, Manage Document Review..., Trial Experience, Mediation Experience, Labor & Employment..., Pleadings, Class Actions, Securities Litigation, Depositions, LiveNote
Education
Loyola University Chicago 2009 — 2010
Certification, Paralegal Studies
University of Iowa 2003 — 2008
BA, History, Art History
Butler Rubin Saltarelli & Boyd April 2014 - Present
U.S. Department of Justice October 2013 - March 2014
McGuireWoods September 2011 - October 2013
Schopf & Weiss LLP May 2010 - September 2011
US Securities and Exchange Commission August 2009 - April 2010
Skills
Legal Research, Westlaw, Commercial Litigation, Litigation Support, CaseMap, Trials, Document Review, Relativity, CT Summation, Concordance, Securities and Business..., Document Collection and..., Drafting Pleadings, Lexis Courtlink, Lexis, Document Collection, Manage Document Review..., Trial Experience, Mediation Experience, Labor & Employment..., Pleadings, Class Actions, Securities Litigation, Depositions, LiveNote
Education
Loyola University Chicago 2009 — 2010
Certification, Paralegal Studies
University of Iowa 2003 — 2008
BA, History, Art History
Erik Sapin's US Securities and Exchange Commission Experience October 2012 - Present
Job Attorney Adviser
Industry Law Practice
Experience
US Securities and Exchange Commission October 2012 - Present
Thomson Reuters November 2011 - October 2012
U.S. Securities & Exchange Commission January 2011 - April 2011
American University Washington College of Law May 2010 - April 2011
Bavarian Nordic A/S January 2010 - April 2010
Berliner, Corcoran & Rowe, LLP August 2009 - December 2009
Raoul Wallenberg Institute of Human Rights and Humanitarian Law May 2009 - July 2009
Chateau Marmont April 2008 - August 2008
Shakespeare & Company May 2007 - October 2007
City Lights Booksellers and Publishers November 2004 - December 2006
Skills
Legal Writing, Legal Research
Education
American University Washington College of Law 2008 — 2011
JD, Law
Linköpings universitet 2007 — 2008
MA, Language & Culture in Europe
University of California, San Diego 1999 — 2003
BA, Literature/Writing
US Securities and Exchange Commission October 2012 - Present
Thomson Reuters November 2011 - October 2012
U.S. Securities & Exchange Commission January 2011 - April 2011
American University Washington College of Law May 2010 - April 2011
Bavarian Nordic A/S January 2010 - April 2010
Berliner, Corcoran & Rowe, LLP August 2009 - December 2009
Raoul Wallenberg Institute of Human Rights and Humanitarian Law May 2009 - July 2009
Chateau Marmont April 2008 - August 2008
Shakespeare & Company May 2007 - October 2007
City Lights Booksellers and Publishers November 2004 - December 2006
Skills
Legal Writing, Legal Research
Education
American University Washington College of Law 2008 — 2011
JD, Law
Linköpings universitet 2007 — 2008
MA, Language & Culture in Europe
University of California, San Diego 1999 — 2003
BA, Literature/Writing
Louise M Dorsey's US Securities and Exchange Commission Experience June 2002 - Present
Job Associate Chief Accountant at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission June 2002 - Present
U.S. Securities and Exchange Commission September 1986 - June 2002
U.S. Securities and Exchange Commission December 1982 - August 1986
Skills
Financial Accounting, Financial Analysis, GAAP, SEC filings, US GAAP, Sarbanes-Oxley Act, Financial Statements, Consolidation, Corporate Finance, Finance, Due Diligence, External Audit, Financial Modeling, IFRS, Assurance, General Ledger, Corporate Governance, SEC Filings
Education
Loyola University Maryland
B.S., Accounting
US Securities and Exchange Commission June 2002 - Present
U.S. Securities and Exchange Commission September 1986 - June 2002
U.S. Securities and Exchange Commission December 1982 - August 1986
Skills
Financial Accounting, Financial Analysis, GAAP, SEC filings, US GAAP, Sarbanes-Oxley Act, Financial Statements, Consolidation, Corporate Finance, Finance, Due Diligence, External Audit, Financial Modeling, IFRS, Assurance, General Ledger, Corporate Governance, SEC Filings
Education
Loyola University Maryland
B.S., Accounting
Darlyn Newman's US Securities and Exchange Commission Experience August 2013 - Present
Job Program Specialist at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission August 2013 - Present
US Securities and Exchange Commission April 2011 - Present
Skills
Westlaw, Legal Research
Education
Liberty University 2010 — 2012
Master of Arts (M.A.), Marriage and Family Therapy/Counseling
Strayer University (DC) 1996 — 2001
Bachelor of Science (BS), Business Administration and Management, General
U.S. Securities and Exchange Commission August 2013 - Present
US Securities and Exchange Commission April 2011 - Present
Skills
Westlaw, Legal Research
Education
Liberty University 2010 — 2012
Master of Arts (M.A.), Marriage and Family Therapy/Counseling
Strayer University (DC) 1996 — 2001
Bachelor of Science (BS), Business Administration and Management, General
Bryan Dozier's US Securities and Exchange Commission Experience May 2003 - January 2006
Job Tax Admin Associate at First Command Financial Services
Industry Financial Services
Experience
First Command Financial Services October 2008 - Present
Kansas State Athletic Department January 2008 - May 2008
US Securities and Exchange Commission May 2003 - January 2006
Skills
Editing, Data Entry, Public Relations, Filing, Microsoft Excel, Outlook, PowerPoint, Microsoft Office, Microsoft Word, Access, Financial Services, Accounting
Education
Kansas State University 2006 — 2008
Bachelor of Science (BS), Mass Communication/Media Studies
Tarrant County College 2003 — 2006
First Command Financial Services October 2008 - Present
Kansas State Athletic Department January 2008 - May 2008
US Securities and Exchange Commission May 2003 - January 2006
Skills
Editing, Data Entry, Public Relations, Filing, Microsoft Excel, Outlook, PowerPoint, Microsoft Office, Microsoft Word, Access, Financial Services, Accounting
Education
Kansas State University 2006 — 2008
Bachelor of Science (BS), Mass Communication/Media Studies
Tarrant County College 2003 — 2006
Anne Graber Blazek's US Securities and Exchange Commission Experience November 2010 - Present
Job Senior Attorney, Asset Management Unit, US Securities and Exchange Commission Division of Enforcement
Industry Law Practice
Experience
US Securities and Exchange Commission November 2010 - Present
Ballard Spahr LLP November 2009 - October 2010
United States District Court for the Central District of Illinois August 2007 - November 2009
Winston & Strawn LLP September 2004 - August 2007
Education
Loyola University Chicago School of Law 2001 — 2004
Doctor of Law (JD)
Northwestern University 1997 — 2001
Bachelor of Science (BS), Journalism
US Securities and Exchange Commission November 2010 - Present
Ballard Spahr LLP November 2009 - October 2010
United States District Court for the Central District of Illinois August 2007 - November 2009
Winston & Strawn LLP September 2004 - August 2007
Education
Loyola University Chicago School of Law 2001 — 2004
Doctor of Law (JD)
Northwestern University 1997 — 2001
Bachelor of Science (BS), Journalism
Elizabeth Oji's US Securities and Exchange Commission Experience June 2011 - August 2011
Job Assistant Attorney General
Industry Law Practice
Experience
Office of the Minnesota Attorney General January 2014 - Present
Minnesota Judicial Branch January 2013 - January 2014
Consortium on Law, Health & the Life Sciences, University of Minnesota September 2011 - September 2012
US Securities and Exchange Commission June 2011 - August 2011
Oppenheimer Wolff & Donnelly June 2010 - August 2010
Education
University of Minnesota Law School 2009 — 2012
Doctor of Law (J.D.)
Iowa State University 2005 — 2009
Bachelor of Science (B.S.), Psychology
Office of the Minnesota Attorney General January 2014 - Present
Minnesota Judicial Branch January 2013 - January 2014
Consortium on Law, Health & the Life Sciences, University of Minnesota September 2011 - September 2012
US Securities and Exchange Commission June 2011 - August 2011
Oppenheimer Wolff & Donnelly June 2010 - August 2010
Education
University of Minnesota Law School 2009 — 2012
Doctor of Law (J.D.)
Iowa State University 2005 — 2009
Bachelor of Science (B.S.), Psychology
G Jeffrey Boujoukos's US Securities and Exchange Commission Experience April 2014 - Present
Job Regional Trial Counsel, Philadelphia Office, at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission April 2014 - Present
US Securities and Exchange Commission April 2009 - April 2014
Morgan, Lewis & Bockius LLP October 2000 - April 2009
Morgan, Lewis & Bockius LLP September 1992 - October 2000
Skills
Securities Litigation, Litigation, Trials, Corporate Law, Securities, Courts, Securities Regulation, Class Actions
Education
Temple University - James E. Beasley School of Law 1989 — 1992
JD
Lehigh University 1985 — 1989
Kent School 1981 — 1985
US Securities and Exchange Commission April 2014 - Present
US Securities and Exchange Commission April 2009 - April 2014
Morgan, Lewis & Bockius LLP October 2000 - April 2009
Morgan, Lewis & Bockius LLP September 1992 - October 2000
Skills
Securities Litigation, Litigation, Trials, Corporate Law, Securities, Courts, Securities Regulation, Class Actions
Education
Temple University - James E. Beasley School of Law 1989 — 1992
JD
Lehigh University 1985 — 1989
Kent School 1981 — 1985
Dan McIntyre's US Securities and Exchange Commission Experience 1981 - 1983
Job Managing Director at Deutsche Bank
Industry Investment Banking
Experience
Deutsche Bank 2007 - Present
Deutsche Bank 2002 - 2007
Alex. Brown & Sons and Bankers Trust Company 1989 - 2002
University of Maryland Law School 1998 - 2000
US Securities and Exchange Commission 1981 - 1983
Education
Lafayette College
B.A., 1978, Economics
Seton Hall University School of Law
JD, 1981
Deutsche Bank 2007 - Present
Deutsche Bank 2002 - 2007
Alex. Brown & Sons and Bankers Trust Company 1989 - 2002
University of Maryland Law School 1998 - 2000
US Securities and Exchange Commission 1981 - 1983
Education
Lafayette College
B.A., 1978, Economics
Seton Hall University School of Law
JD, 1981
Nathan Siegel's US Securities and Exchange Commission Experience September 2012 - November 2012
Job Engage Armament, LLC
Industry Law Practice
Experience
Engage Armament, LLC July 2014 - Present
Stouffer Legal, LLC January 2014 - July 2014
Law Office of J. Robinson Esquire, LLC September 2013 - December 2013
University of Baltimore School of Law Community Development Clinic January 2013 - May 2013
US Securities and Exchange Commission September 2012 - November 2012
Office of the Public Defender Maryland May 2011 - July 2011
Skills
Firearms Law, FFL Compliance, National Firearm Act..., Estate Planning, Small Businesses Law, Gun Trusts, NFA Trusts, Maryland Firearms Law, Legal Writing, Legal Opinions, Legal Research, Securities
Education
University of Baltimore School of Law 2010 — 2013
Juris Doctorate, Magna Cum Laude, Business Law Concentration
Indiana University Bloomington 2006 — 2010
Bachelor of Science (B.S.), Entrepreneurship and Legal Studies
Engage Armament, LLC July 2014 - Present
Stouffer Legal, LLC January 2014 - July 2014
Law Office of J. Robinson Esquire, LLC September 2013 - December 2013
University of Baltimore School of Law Community Development Clinic January 2013 - May 2013
US Securities and Exchange Commission September 2012 - November 2012
Office of the Public Defender Maryland May 2011 - July 2011
Skills
Firearms Law, FFL Compliance, National Firearm Act..., Estate Planning, Small Businesses Law, Gun Trusts, NFA Trusts, Maryland Firearms Law, Legal Writing, Legal Opinions, Legal Research, Securities
Education
University of Baltimore School of Law 2010 — 2013
Juris Doctorate, Magna Cum Laude, Business Law Concentration
Indiana University Bloomington 2006 — 2010
Bachelor of Science (B.S.), Entrepreneurship and Legal Studies
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency