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
Sharita Young Sharita Young's US Securities and Exchange Commission Experience August 2013 - May 2014
Job Attorney
Industry Law Practice
Experience
BeharBehar November 2014 - Present
US Securities and Exchange Commission August 2013 - May 2014
Office of the Attorney General May 2013 - August 2013
City Attorney for the City of Sunny Isles Beach January 2013 - June 2013
Stevens & Goldwyn, P.A. February 2010 - December 2012
Education
Nova Southeastern University—Shepard Broad Law Center 2011 — 2014
JD
BeharBehar November 2014 - Present
US Securities and Exchange Commission August 2013 - May 2014
Office of the Attorney General May 2013 - August 2013
City Attorney for the City of Sunny Isles Beach January 2013 - June 2013
Stevens & Goldwyn, P.A. February 2010 - December 2012
Education
Nova Southeastern University—Shepard Broad Law Center 2011 — 2014
JD
Matthew Susan's US Securities and Exchange Commission Experience 2013 - 2013
Job Associate AML Compliance at Brown Brothers Harriman
Industry Financial Services
Experience
Brown Brothers Harriman March 2015 - Present
JPMorgan Chase February 2014 - March 2015
US Securities and Exchange Commission 2013 - 2013
Financial Industry Regulatory Authority May 2012 - August 2012
Sedgwick LLP March 2008 - August 2010
Skills
Litigation, Legal Writing, Westlaw, Lexis, Securities Law, Bank Secrecy Act, Anti Money Laundering, USA PATRIOT Act, Financial Regulation, Trials, Legal Research, Civil Litigation, 1940 Act, Microsoft Excel, Windows 7, Computer Maintenance, Trademarks, Legal Assistance, Courts, Arbitration, Appeals, Legal Issues, Securities Regulation, Mediation, Criminal Law, Alternative Dispute..., Corporate Governance, Litigation Support, Employment Law, Depositions, Commercial Litigation, International Law, Immigration Law, Family Law, Corporate Law, Document Review, Intellectual Property, Investment Company Act, Antitrust Law, Global Regulatory..., Global Compliance, LexisNexis, Securities
Education
Princeton University 2003 — 2007
A.B., History
Rutgers University School of Law - Newark 2010 — 2013
Doctor of Law (J.D.), Law
Brown Brothers Harriman March 2015 - Present
JPMorgan Chase February 2014 - March 2015
US Securities and Exchange Commission 2013 - 2013
Financial Industry Regulatory Authority May 2012 - August 2012
Sedgwick LLP March 2008 - August 2010
Skills
Litigation, Legal Writing, Westlaw, Lexis, Securities Law, Bank Secrecy Act, Anti Money Laundering, USA PATRIOT Act, Financial Regulation, Trials, Legal Research, Civil Litigation, 1940 Act, Microsoft Excel, Windows 7, Computer Maintenance, Trademarks, Legal Assistance, Courts, Arbitration, Appeals, Legal Issues, Securities Regulation, Mediation, Criminal Law, Alternative Dispute..., Corporate Governance, Litigation Support, Employment Law, Depositions, Commercial Litigation, International Law, Immigration Law, Family Law, Corporate Law, Document Review, Intellectual Property, Investment Company Act, Antitrust Law, Global Regulatory..., Global Compliance, LexisNexis, Securities
Education
Princeton University 2003 — 2007
A.B., History
Rutgers University School of Law - Newark 2010 — 2013
Doctor of Law (J.D.), Law
William D. Perry William D. Perry's US Securities and Exchange Commission Experience January 2011 - April 2011
Job Associate at Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates
Industry Law Practice
Experience
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates October 2012 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2011 - July 2011
US Securities and Exchange Commission January 2011 - April 2011
GE June 2010 - July 2010
Weil Gotshal and Manges June 2009 - July 2009
Ernst & Young June 2008 - July 2008
Skills
Legal Research, Legal Writing, Corporate Law, Mergers & Acquisitions, Securities Regulation, Securities, Due Diligence, Corporate Finance, Litigation, Westlaw, International Law
Education
New York University School of Law 2009 — 2012
Doctor of Law (J.D.)
University of Florida 2005 — 2009
Bachelors of Science in Business Administration, Finance
Boyd H. Anderson
Boyd H. Anderson
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates October 2012 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2011 - July 2011
US Securities and Exchange Commission January 2011 - April 2011
GE June 2010 - July 2010
Weil Gotshal and Manges June 2009 - July 2009
Ernst & Young June 2008 - July 2008
Skills
Legal Research, Legal Writing, Corporate Law, Mergers & Acquisitions, Securities Regulation, Securities, Due Diligence, Corporate Finance, Litigation, Westlaw, International Law
Education
New York University School of Law 2009 — 2012
Doctor of Law (J.D.)
University of Florida 2005 — 2009
Bachelors of Science in Business Administration, Finance
Boyd H. Anderson
Boyd H. Anderson
Kit Addleman Kit Addleman's US Securities and Exchange Commission Experience 1986 - 2009
Job Haynes and Boone partner specializing in white collar defense, specifically SEC enforcement, and securities compliance
Industry Law Practice
Experience
Haynes and Boone, LLP November 2009 - Present
Girl Scouts of Northeast Texas March 2010 - Present
National Society of Compliance Professionals October 2010 - November 2013
US Securities and Exchange Commission 1986 - 2009
Skills
Securities Regulation, SEC Investigations..., Corporate Compliance, Broker-Dealer Compliance, Investment Fund..., Investment Adviser...
Education
Oklahoma City University School of Law 1983 — 1986
JD
Wake Forest University 1979 — 1983
BA, Politics
Haynes and Boone, LLP November 2009 - Present
Girl Scouts of Northeast Texas March 2010 - Present
National Society of Compliance Professionals October 2010 - November 2013
US Securities and Exchange Commission 1986 - 2009
Skills
Securities Regulation, SEC Investigations..., Corporate Compliance, Broker-Dealer Compliance, Investment Fund..., Investment Adviser...
Education
Oklahoma City University School of Law 1983 — 1986
JD
Wake Forest University 1979 — 1983
BA, Politics
Benny Kay Benny Kay's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Analyst at Guggenheim Partners
Industry Financial Services
Experience
Guggenheim Partners September 2014 - Present
Guggenheim Partners March 2014 - September 2014
US Securities and Exchange Commission September 2013 - December 2013
Chicago Federal Executive Board July 2012 - June 2013
Northeastern Illinois University April 2012 - May 2013
Skills
Government, Event Management, Team Leadership, Social Media, Negotiation, Public Relations, Public Speaking, Management, Word Of Mouth Marketing, Economics, Economic Research, Microsoft Excel, Cost Benefit Analysis, Bloomberg Terminal
Education
Northeastern Illinois University 2009 — 2013
Bachelor of Arts (B.A.), Economics
Guggenheim Partners September 2014 - Present
Guggenheim Partners March 2014 - September 2014
US Securities and Exchange Commission September 2013 - December 2013
Chicago Federal Executive Board July 2012 - June 2013
Northeastern Illinois University April 2012 - May 2013
Skills
Government, Event Management, Team Leadership, Social Media, Negotiation, Public Relations, Public Speaking, Management, Word Of Mouth Marketing, Economics, Economic Research, Microsoft Excel, Cost Benefit Analysis, Bloomberg Terminal
Education
Northeastern Illinois University 2009 — 2013
Bachelor of Arts (B.A.), Economics
Tim Aydin's US Securities and Exchange Commission Experience August 2011 - March 2013
Job Auditor at DCAA
Industry Accounting
Experience
United States Department of Defense January 2014 - Present
SB Nation July 2011 - Present
Robert Half International May 2013 - October 2013
US Securities and Exchange Commission August 2011 - March 2013
TGM Granite&Marble August 2010 - August 2011
NEKA Marble & Granite, Inc. June 2010 - August 2010
Penn State Lion Line May 2006 - June 2010
Skills
Public Speaking, Accounting, QuickBooks, Creativity, Writing, GAAP, PowerPoint, Sports Writing, Microsoft Excel, Microsoft Word, Access, Wordpress, Blogger, EDGAR, Outlook, Research, Microsoft Office, Blogging, File Management, Facebook, GAAS, Lexis, Accounts Receivable, Accounts Payable
Education
University of Maryland University College 2009 — 2011
M.S., Accounting, Information Systems
Penn State University 2002 — 2007
BA, Political Science, minors in Law and Sociology
United States Department of Defense January 2014 - Present
SB Nation July 2011 - Present
Robert Half International May 2013 - October 2013
US Securities and Exchange Commission August 2011 - March 2013
TGM Granite&Marble August 2010 - August 2011
NEKA Marble & Granite, Inc. June 2010 - August 2010
Penn State Lion Line May 2006 - June 2010
Skills
Public Speaking, Accounting, QuickBooks, Creativity, Writing, GAAP, PowerPoint, Sports Writing, Microsoft Excel, Microsoft Word, Access, Wordpress, Blogger, EDGAR, Outlook, Research, Microsoft Office, Blogging, File Management, Facebook, GAAS, Lexis, Accounts Receivable, Accounts Payable
Education
University of Maryland University College 2009 — 2011
M.S., Accounting, Information Systems
Penn State University 2002 — 2007
BA, Political Science, minors in Law and Sociology
Xin Florence Zhang Xin Florence Zhang's US Securities and Exchange Commission Experience September 2010 - May 2011
Job Associate at Sullivan & Cromwell LLP
Industry Law Practice
Experience
Sullivan & Cromwell LLP September 2014 - Present
Northwestern University School of Law August 2011 - May 2014
United States District Court for the Northern District of Illinois September 2013 - December 2013
Sullivan & Cromwell LLP May 2013 - August 2013
Commodity Futures Trading Commission September 2012 - December 2012
ITW May 2012 - August 2012
US Securities and Exchange Commission September 2010 - May 2011
New York Legal Aid Society June 2010 - August 2010
Skills
Mandarin, Legal Writing, Legal Research, Corporate Law, Intellectual Property, International Law, Litigation, Commercial Litigation, Civil Litigation
Education
Northwestern University School of Law 2011 — 2014
Doctor of Law (J.D.), M&A; Securities; Derivatives; Corporations
Wake Forest University School of Law 2009 — 2010
Master of Laws (LL.M.)
Shandong University 2005 — 2009
Bachelor of Laws (LL.B.), Chinese law
The University of Queensland 2008 — 2008
Exchange Student, Banking, Corporate, Finance, and Securities Law
Sullivan & Cromwell LLP September 2014 - Present
Northwestern University School of Law August 2011 - May 2014
United States District Court for the Northern District of Illinois September 2013 - December 2013
Sullivan & Cromwell LLP May 2013 - August 2013
Commodity Futures Trading Commission September 2012 - December 2012
ITW May 2012 - August 2012
US Securities and Exchange Commission September 2010 - May 2011
New York Legal Aid Society June 2010 - August 2010
Skills
Mandarin, Legal Writing, Legal Research, Corporate Law, Intellectual Property, International Law, Litigation, Commercial Litigation, Civil Litigation
Education
Northwestern University School of Law 2011 — 2014
Doctor of Law (J.D.), M&A; Securities; Derivatives; Corporations
Wake Forest University School of Law 2009 — 2010
Master of Laws (LL.M.)
Shandong University 2005 — 2009
Bachelor of Laws (LL.B.), Chinese law
The University of Queensland 2008 — 2008
Exchange Student, Banking, Corporate, Finance, and Securities Law
Jessica Cooney's US Securities and Exchange Commission Experience November 2012 - April 2013
Job Associate at Ropes & Gray LLP
Industry Law Practice
Experience
Ropes & Gray LLP October 2014 - Present
Alston Hunt Floyd & Ing February 2014 - May 2014
Community Business Law Clinic, Northeastern University School of Law August 2013 - November 2013
Ropes & Gray LLP May 2013 - July 2013
US Securities and Exchange Commission November 2012 - April 2013
Massachusetts Land Court May 2012 - August 2012
The Philadelphia Hand Center, P.C. June 2010 - August 2011
Education
Northeastern University School of Law 2011 — 2014
Doctor of Law (J.D.)
Lehigh University - College of Business and Economics 2006 — 2010
Bachelor of Science, Finance, Business Economics, Cum Laude
Pennsbury High School 2002 — 2006
Ropes & Gray LLP October 2014 - Present
Alston Hunt Floyd & Ing February 2014 - May 2014
Community Business Law Clinic, Northeastern University School of Law August 2013 - November 2013
Ropes & Gray LLP May 2013 - July 2013
US Securities and Exchange Commission November 2012 - April 2013
Massachusetts Land Court May 2012 - August 2012
The Philadelphia Hand Center, P.C. June 2010 - August 2011
Education
Northeastern University School of Law 2011 — 2014
Doctor of Law (J.D.)
Lehigh University - College of Business and Economics 2006 — 2010
Bachelor of Science, Finance, Business Economics, Cum Laude
Pennsbury High School 2002 — 2006
Patrick Courtien Patrick Courtien's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Law Clerk at Cleary Gottlieb Steen & Hamilton LLP
Industry Legal Services
Experience
Cleary Gottlieb Steen & Hamilton LLP October 2014 - Present
Cleary Gottlieb Steen & Hamilton LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Brookhaven National Laboratory June 2010 - August 2010
Education
New York University School of Law 2011 — 2014
Doctor of Law (J.D.)
Stony Brook University 2007 — 2011
Bachelor of Science (B.S.), Political Science and Business Management (Finance Concentration)
Cleary Gottlieb Steen & Hamilton LLP October 2014 - Present
Cleary Gottlieb Steen & Hamilton LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Brookhaven National Laboratory June 2010 - August 2010
Education
New York University School of Law 2011 — 2014
Doctor of Law (J.D.)
Stony Brook University 2007 — 2011
Bachelor of Science (B.S.), Political Science and Business Management (Finance Concentration)
Nancy Hooper Nancy Hooper's US Securities and Exchange Commission Experience May 2010 - March 2011
Job Paralegal
Industry Insurance
Experience
Attorneys' Liability Assurance Society 2015 - Present
Commodity Futures Trading Commission 2012 - 2015
Wilbur Wright College January 2012 - 2014
The Pritzker Group March 2011 - February 2012
US Securities and Exchange Commission May 2010 - March 2011
Collins College April 2009 - March 2010
Education
Loyola University Chicago 2010 — 2011
Certificate, Paralegal Studies
Northern Illinois University 2006 — 2008
Master of Arts (M.A.), Communication Studies
Northern Illinois University 2003 — 2005
Bachelor of Arts (B.A.), Communication Studies
Attorneys' Liability Assurance Society 2015 - Present
Commodity Futures Trading Commission 2012 - 2015
Wilbur Wright College January 2012 - 2014
The Pritzker Group March 2011 - February 2012
US Securities and Exchange Commission May 2010 - March 2011
Collins College April 2009 - March 2010
Education
Loyola University Chicago 2010 — 2011
Certificate, Paralegal Studies
Northern Illinois University 2006 — 2008
Master of Arts (M.A.), Communication Studies
Northern Illinois University 2003 — 2005
Bachelor of Arts (B.A.), Communication Studies
Jennifer M. Muller's US Securities and Exchange Commission Experience May 2012 - July 2012
Job Associate at Wrobel Schatz & Fox LLP
Industry Legal Services
Experience
Wrobel Schatz & Fox LLP December 2013 - Present
Washington University in St. Louis School of Law September 2012 - May 2013
US Securities and Exchange Commission May 2012 - July 2012
Civil Justice Clinic: Child & Family Defense Project January 2012 - May 2012
United States District Court for the Eastern District of New York June 2011 - August 2011
Education
Washington University in St. Louis School of Law 2010 — 2013
J.D., Law
Northeastern University 2006 — 2010
BA, International Affairs, Mathematics, and History
University of Cambridge 2009 — 2009
Tudor England
Education First 2008 — 2008
Spanish Language and Culture
Wrobel Schatz & Fox LLP December 2013 - Present
Washington University in St. Louis School of Law September 2012 - May 2013
US Securities and Exchange Commission May 2012 - July 2012
Civil Justice Clinic: Child & Family Defense Project January 2012 - May 2012
United States District Court for the Eastern District of New York June 2011 - August 2011
Education
Washington University in St. Louis School of Law 2010 — 2013
J.D., Law
Northeastern University 2006 — 2010
BA, International Affairs, Mathematics, and History
University of Cambridge 2009 — 2009
Tudor England
Education First 2008 — 2008
Spanish Language and Culture
Emily Gai Emily Gai's US Securities and Exchange Commission Experience June 2012 - August 2012
Job Assistant Paralegal at Fragomen, Del Rey, Bernsen & Loewy
Industry Legal Services
Experience
US Securities and Exchange Commission June 2012 - August 2012
Dream Sure Group, LLC October 2010 - June 2012
Northwestern University Political Science Department February 2012 - May 2012
Urban Justice Center June 2011 - August 2011
Planned Parenthood of Illinois September 2010 - December 2010
The Junior Statesmen Foundation June 2010 - August 2010
Euclid TechLabs June 2009 - August 2009
Roskam for Congress July 2008 - November 2008
Skills
Photoshop, CSS, PHP, Windows, PowerPoint, HTML, Multilingual, Corel Painter, Microsoft Office, Microsoft Word, Flash, International Relations
Education
Northwestern University 2009 — 2013
Bachelor of Science (BS), Political Science and International Studies
Downers Grove South High School 2005 — 2009
US Securities and Exchange Commission June 2012 - August 2012
Dream Sure Group, LLC October 2010 - June 2012
Northwestern University Political Science Department February 2012 - May 2012
Urban Justice Center June 2011 - August 2011
Planned Parenthood of Illinois September 2010 - December 2010
The Junior Statesmen Foundation June 2010 - August 2010
Euclid TechLabs June 2009 - August 2009
Roskam for Congress July 2008 - November 2008
Skills
Photoshop, CSS, PHP, Windows, PowerPoint, HTML, Multilingual, Corel Painter, Microsoft Office, Microsoft Word, Flash, International Relations
Education
Northwestern University 2009 — 2013
Bachelor of Science (BS), Political Science and International Studies
Downers Grove South High School 2005 — 2009
Chad Nichols Chad Nichols's US Securities and Exchange Commission Experience January 2011 - April 2011
Job Associate at Kirkland & Ellis LLP
Industry Law Practice
Experience
Kirkland & Ellis LLP June 2014 - Present
Sidley Austin LLP October 2013 - June 2014
Weil Gotshal and Manges November 2012 - October 2013
Andrews Kurth LLP July 2011 - August 2011
Baker Botts LLP May 2011 - July 2011
US Securities and Exchange Commission January 2011 - April 2011
Lewis, Rice & Fingersh May 2010 - July 2010
KPMG January 2007 - October 2009
Deloitte & Touche August 2005 - December 2006
FDIC June 2003 - August 2003
Skills
Legal Research, Legal Writing, Tax Law, Corporate Law
Education
Northwestern University School of Law 2011 — 2012
Master of Laws (LLM), Taxation
Northwestern University School of Law 2009 — 2012
JD, Law
University of Southern California 2004 — 2005
MA, Accounting
University of Missouri-Columbia 2001 — 2004
BSBA, Finance, Economics, and Real Estate
Kirkland & Ellis LLP June 2014 - Present
Sidley Austin LLP October 2013 - June 2014
Weil Gotshal and Manges November 2012 - October 2013
Andrews Kurth LLP July 2011 - August 2011
Baker Botts LLP May 2011 - July 2011
US Securities and Exchange Commission January 2011 - April 2011
Lewis, Rice & Fingersh May 2010 - July 2010
KPMG January 2007 - October 2009
Deloitte & Touche August 2005 - December 2006
FDIC June 2003 - August 2003
Skills
Legal Research, Legal Writing, Tax Law, Corporate Law
Education
Northwestern University School of Law 2011 — 2012
Master of Laws (LLM), Taxation
Northwestern University School of Law 2009 — 2012
JD, Law
University of Southern California 2004 — 2005
MA, Accounting
University of Missouri-Columbia 2001 — 2004
BSBA, Finance, Economics, and Real Estate
Terry R. Young, JD, CLU, ChFC Terry R. Young, JD, CLU, ChFC's US Securities and Exchange Commission Experience August 1993 - September 1996
Job Assistant General Counsel & Assistant Secretary at Northwestern Mutual Life Insurance Company
Industry Financial Services
Experience
Northwestern Mutual Life Insurance Company November 2005 - Present
Allstate Financial 1996 - 2005
Zurich Life Insurance Company 2000 - 2003
U.S Securities and Exchange Commission August 1993 - September 1996
Skills
Securities Regulation, Compliance, Legal Risk Management, Investment Advisory, Investments, Insurance, Securities, Series 6, Litigation Management, FINRA, Broker-Dealer, Financial Services, Series 24, Mutual Funds, Series 7, Mergers & Acquisitions, Life Insurance, Alternative Investments, Corporate Law, Retirement, Fixed Annuities, Legal Compliance, Licensing, Corporate Governance, Due Diligence, Risk Management, Retirement Planning, AML, Series 63, Estate Planning, Asset Management, Asset Allocation, Equities, Financial Risk, IRAs, Investment Management, Legal Writing, Strategic Financial..., Variable Annuities, Wealth Management, 401k, Options, Financial Advisory, Insurance Law, Capital Markets, Private Equity, ERISA, Corporate Finance
Education
Texas Southern University—Thurgood Marshall School of Law 1990 — 1993
JD, Law
Oklahoma State University 1978 — 1983
BS, Business Administration
Northwestern Mutual Life Insurance Company November 2005 - Present
Allstate Financial 1996 - 2005
Zurich Life Insurance Company 2000 - 2003
U.S Securities and Exchange Commission August 1993 - September 1996
Skills
Securities Regulation, Compliance, Legal Risk Management, Investment Advisory, Investments, Insurance, Securities, Series 6, Litigation Management, FINRA, Broker-Dealer, Financial Services, Series 24, Mutual Funds, Series 7, Mergers & Acquisitions, Life Insurance, Alternative Investments, Corporate Law, Retirement, Fixed Annuities, Legal Compliance, Licensing, Corporate Governance, Due Diligence, Risk Management, Retirement Planning, AML, Series 63, Estate Planning, Asset Management, Asset Allocation, Equities, Financial Risk, IRAs, Investment Management, Legal Writing, Strategic Financial..., Variable Annuities, Wealth Management, 401k, Options, Financial Advisory, Insurance Law, Capital Markets, Private Equity, ERISA, Corporate Finance
Education
Texas Southern University—Thurgood Marshall School of Law 1990 — 1993
JD, Law
Oklahoma State University 1978 — 1983
BS, Business Administration
Allison McCowan Allison McCowan's US Securities and Exchange Commission Experience January 2013 - May 2013
Job Associate at Saul Ewing LLP
Industry Law Practice
Experience
Saul Ewing LLP September 2014 - Present
Delaware Superior Court September 2013 - August 2014
US Securities and Exchange Commission January 2013 - May 2013
Wake Forest University School of Law January 2012 - May 2013
The Delaware Counsel Group May 2012 - August 2012
Law Offices of Ronald Short January 2012 - May 2012
Chief Justice Myron T. Steele- Delaware Supreme Court June 2011 - August 2011
Independent Living Alternatives December 2009 - June 2010
Foley Hoag LLP August 2008 - November 2009
Education
Wake Forest University School of Law 2010 — 2013
J.D., Law
Norwich University 2004 — 2008
B.A, Psychology and Elementary Education, summa cum laude
Saul Ewing LLP September 2014 - Present
Delaware Superior Court September 2013 - August 2014
US Securities and Exchange Commission January 2013 - May 2013
Wake Forest University School of Law January 2012 - May 2013
The Delaware Counsel Group May 2012 - August 2012
Law Offices of Ronald Short January 2012 - May 2012
Chief Justice Myron T. Steele- Delaware Supreme Court June 2011 - August 2011
Independent Living Alternatives December 2009 - June 2010
Foley Hoag LLP August 2008 - November 2009
Education
Wake Forest University School of Law 2010 — 2013
J.D., Law
Norwich University 2004 — 2008
B.A, Psychology and Elementary Education, summa cum laude
Joseph Nardello Joseph Nardello's US Securities and Exchange Commission Experience May 2011 - August 2011
Job Associate at Seward & Kissel LLP
Industry Law Practice
Experience
Seward & Kissel LLP September 2013 - Present
US Securities and Exchange Commission May 2011 - August 2011
Orion Consultants July 2005 - July 2010
Education
Rutgers School of Law - Newark 2010 — 2013
Juris Doctor (J.D.), Cum Laude
Princeton University 2001 — 2005
A.B., Politics
Seward & Kissel LLP September 2013 - Present
US Securities and Exchange Commission May 2011 - August 2011
Orion Consultants July 2005 - July 2010
Education
Rutgers School of Law - Newark 2010 — 2013
Juris Doctor (J.D.), Cum Laude
Princeton University 2001 — 2005
A.B., Politics
Christine Donnelly Christine Donnelly's US Securities and Exchange Commission Experience 2014 - 2014
Job Associate at Shipman & Goodwin LLP
Industry Law Practice
Experience
Shipman & Goodwin LLP 2014 - Present
US Securities and Exchange Commission 2014 - 2014
Fathers & Sons Porsche 2008 - 2012
Cetrulo & Capone LLP January 2010 - June 2011
Skills
Legal Research, Legal Writing
Education
Northeastern University
Wake Forest University School of Law
Shipman & Goodwin LLP 2014 - Present
US Securities and Exchange Commission 2014 - 2014
Fathers & Sons Porsche 2008 - 2012
Cetrulo & Capone LLP January 2010 - June 2011
Skills
Legal Research, Legal Writing
Education
Northeastern University
Wake Forest University School of Law
Philip Moustakis Philip Moustakis's US Securities and Exchange Commission Experience July 2008 - Present
Job Senior Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission July 2008 - Present
Office of the Attorney General of the State of New York April 2005 - June 2008
Curtis, Mallet-Prevost, Colt & Mosle LLP December 2002 - March 2005
Skills
Securities Litigation, Commercial Litigation, Investigation, Litigation, Criminal Law, Mediation, Arbitration, Courts, Civil Litigation, Enforcement, White Collar Criminal..., Corporate Governance, Internal Investigations, Fraud, Securities Regulation
Education
NYU School of Law 1996 — 1999
Doctor of Law (JD), Law
Purchase College, SUNY 1988 — 1992
Bachelor's Degree, Philosophy
US Securities and Exchange Commission July 2008 - Present
Office of the Attorney General of the State of New York April 2005 - June 2008
Curtis, Mallet-Prevost, Colt & Mosle LLP December 2002 - March 2005
Skills
Securities Litigation, Commercial Litigation, Investigation, Litigation, Criminal Law, Mediation, Arbitration, Courts, Civil Litigation, Enforcement, White Collar Criminal..., Corporate Governance, Internal Investigations, Fraud, Securities Regulation
Education
NYU School of Law 1996 — 1999
Doctor of Law (JD), Law
Purchase College, SUNY 1988 — 1992
Bachelor's Degree, Philosophy
Alan Herlands Alan Herlands's US Securities and Exchange Commission Experience 1972 - 1973
Job Financial professional
Industry Government Administration
Experience
Treasury Department Federal Credit Union 2001 - 2005
US Department of the Treasury 1973 - 2004
US Securities and Exchange Commission 1972 - 1973
Education
Princeton University 1980 — 1981
Fellow in Public Affairs
NYU Stern School of Business 1970 — 1972
MBA, Corporate Finance
Pomona College 1966 — 1970
Bachelor of Arts, Economics
Treasury Department Federal Credit Union 2001 - 2005
US Department of the Treasury 1973 - 2004
US Securities and Exchange Commission 1972 - 1973
Education
Princeton University 1980 — 1981
Fellow in Public Affairs
NYU Stern School of Business 1970 — 1972
MBA, Corporate Finance
Pomona College 1966 — 1970
Bachelor of Arts, Economics
Cindy Fornelli Cindy Fornelli's US Securities and Exchange Commission Experience 1998 - 2004
Job Executive Director at Center for Audit Quality
Industry Accounting
Experience
Center for Audit Quality Senior Vice President and Compliance Executive for Securities Regulation and Conflict ManagementBank of America2004 - 2006
US Securities and Exchange Commission 1998 - 2004
Dechert LLP 1996 - 1998
Fried Frank 1990 - 1996
Education
George Washington University Law School 1987 — 1990
Doctor of Law (JD)
Purdue University 1981 — 1985
Bachelor's degree, Philosophy, Political Science
Center for Audit Quality Senior Vice President and Compliance Executive for Securities Regulation and Conflict ManagementBank of America2004 - 2006
US Securities and Exchange Commission 1998 - 2004
Dechert LLP 1996 - 1998
Fried Frank 1990 - 1996
Education
George Washington University Law School 1987 — 1990
Doctor of Law (JD)
Purdue University 1981 — 1985
Bachelor's degree, Philosophy, Political Science
Roshan Karingada Roshan Karingada's US Securities and Exchange Commission Experience November 2008 - April 2009
Job Distressed Debt Associate at Citi
Industry Financial Services
Experience
Citi August 2014 - Present
Citi January 2012 - July 2014
Citi June 2010 - December 2011
Allstate Financial June 2009 - April 2010
US Securities and Exchange Commission November 2008 - April 2009
J.P. Morgan March 2008 - June 2008
Skills
Banking, Market Risk, Credit Risk, Credit, Portfolio Management, Business Communications, Financial Risk
Education
Northwestern University 2006 — 2010
BA, Economics
Citi August 2014 - Present
Citi January 2012 - July 2014
Citi June 2010 - December 2011
Allstate Financial June 2009 - April 2010
US Securities and Exchange Commission November 2008 - April 2009
J.P. Morgan March 2008 - June 2008
Skills
Banking, Market Risk, Credit Risk, Credit, Portfolio Management, Business Communications, Financial Risk
Education
Northwestern University 2006 — 2010
BA, Economics
Kelcey Owusu-Yeboah's US Securities and Exchange Commission Experience January 2014 - Present
Job Auditor
Industry Financial Services
Experience
US Securities and Exchange Commission January 2014 - Present
Lincoln Property Company September 2013 - November 2013
Internal Revenue Service June 2011 - August 2012
Skills
Investments, Financial Modeling, Financial Analysis, Customer Service, Microsoft Excel, Microsoft Office, Microsoft Word, PowerPoint, Public Speaking, Time Management
Education
Norfolk State University 2009 — 2013
Finance, General
US Securities and Exchange Commission January 2014 - Present
Lincoln Property Company September 2013 - November 2013
Internal Revenue Service June 2011 - August 2012
Skills
Investments, Financial Modeling, Financial Analysis, Customer Service, Microsoft Excel, Microsoft Office, Microsoft Word, PowerPoint, Public Speaking, Time Management
Education
Norfolk State University 2009 — 2013
Finance, General
Emre Carr Emre Carr's US Securities and Exchange Commission Experience July 2010 - September 2012
Job Director at Berkeley Research Group LLC
Industry Financial Services
Experience
Berkeley Research Group LLC October 2012 - Present
US Securities and Exchange Commission July 2010 - September 2012
Columbia Business School 2008 - 2010
USC Marshall School of Business 2003 - 2008
Rotman School of Management 2002 - 2003
Skills
Capital Markets, Securitization, Valuation, Corporate Finance, Structured Products, Equities, Corporate Governance, Bonds, Financial Reporting, MBS, CDO, ABS, Accounting, CDS, Financial Modeling, Derivatives, Fixed Income, Econometrics, Hedge Funds, Bloomberg, Quantitative Analytics, Structured Finance, Financial Markets, Economics
Education
Northwestern University - Kellogg School of Management 1995 — 2002
PhD
University of Southern California - Marshall School of Business 1993 — 1995
MBA
Berkeley Research Group LLC October 2012 - Present
US Securities and Exchange Commission July 2010 - September 2012
Columbia Business School 2008 - 2010
USC Marshall School of Business 2003 - 2008
Rotman School of Management 2002 - 2003
Skills
Capital Markets, Securitization, Valuation, Corporate Finance, Structured Products, Equities, Corporate Governance, Bonds, Financial Reporting, MBS, CDO, ABS, Accounting, CDS, Financial Modeling, Derivatives, Fixed Income, Econometrics, Hedge Funds, Bloomberg, Quantitative Analytics, Structured Finance, Financial Markets, Economics
Education
Northwestern University - Kellogg School of Management 1995 — 2002
PhD
University of Southern California - Marshall School of Business 1993 — 1995
MBA
Jami Jack, CPA Jami Jack, CPA's US Securities and Exchange Commission Experience March 2007 - October 2008
Job Senior Principal Consultant at ACA Compliance Group
Industry Financial Services
Experience
ACA Compliance Group October 2008 - Present
US Securities and Exchange Commission March 2007 - October 2008
US Securities and Exchange Commission February 2000 - March 2007
Skills
Securities Regulation, SEC, Hedge Funds, Investment Advisory, Securities
Education
Oklahoma State University
Master of Business Administration (M.B.A.)
University of Central Oklahoma
Bachelor of Business Administration (B.B.A.)
ACA Compliance Group October 2008 - Present
US Securities and Exchange Commission March 2007 - October 2008
US Securities and Exchange Commission February 2000 - March 2007
Skills
Securities Regulation, SEC, Hedge Funds, Investment Advisory, Securities
Education
Oklahoma State University
Master of Business Administration (M.B.A.)
University of Central Oklahoma
Bachelor of Business Administration (B.B.A.)
Erik W. Weibust Erik W. Weibust's US Securities and Exchange Commission Experience June 2004 - August 2004
Job Commercial Litigator and Trade Secrets/NonCompete Attorney at Seyfarth Shaw LLP
Industry Law Practice
Experience
Seyfarth Shaw LLP January 2014 - Present
Seyfarth Shaw LLP September 2006 - December 2013
United States Court of Appeals for the Second Circuit September 2005 - August 2006
Testa, Hurwitz & Thibeault, LLP November 2004 - February 2005
US Securities and Exchange Commission June 2004 - August 2004
U.S. District Court, District of Massachusetts November 2003 - February 2004
Massachusetts Attorney General's Office June 2003 - August 2003
Skills
Commercial Litigation, Trade Secrets, Non-compete Agreements, Non-compete Litigation, Restrictive Covenants, Unfair Competition, Small Business..., Data Privacy, Business Litigation, Litigation, Shareholder Disputes, Fiduciary Duty..., Litigation Avoidance, Pro Bono Legal Services, Franchise Litigation, Employment Litigation, Employment Law, Appeals, Intellectual Property, Commercial Class Action..., Legal Assistance
Education
Northeastern University School of Law 2002 — 2005
JD
University of Vermont 1998 — 2002
B.A., Political Science/Business Administration
Seyfarth Shaw LLP January 2014 - Present
Seyfarth Shaw LLP September 2006 - December 2013
United States Court of Appeals for the Second Circuit September 2005 - August 2006
Testa, Hurwitz & Thibeault, LLP November 2004 - February 2005
US Securities and Exchange Commission June 2004 - August 2004
U.S. District Court, District of Massachusetts November 2003 - February 2004
Massachusetts Attorney General's Office June 2003 - August 2003
Skills
Commercial Litigation, Trade Secrets, Non-compete Agreements, Non-compete Litigation, Restrictive Covenants, Unfair Competition, Small Business..., Data Privacy, Business Litigation, Litigation, Shareholder Disputes, Fiduciary Duty..., Litigation Avoidance, Pro Bono Legal Services, Franchise Litigation, Employment Litigation, Employment Law, Appeals, Intellectual Property, Commercial Class Action..., Legal Assistance
Education
Northeastern University School of Law 2002 — 2005
JD
University of Vermont 1998 — 2002
B.A., Political Science/Business Administration
Keith Frisz Keith Frisz's US Securities and Exchange Commission Experience October 2012 - Present
Job SEC Compliance Examiner
Industry Law Enforcement
Experience
US Securities and Exchange Commission October 2012 - Present
KPMG July 2009 - October 2012
KPMG October 2005 - June 2009
KPMG June 2004 - September 2005
HSNO January 2003 - May 2004
Skills
Forensic Accounting, CPA, Fraud, Certified Fraud Examiner, AML, Risk Assessment, Forensic Analysis, Financial Risk, Internal Controls, GAAP, Enterprise Risk..., Due Diligence, Corporate Governance, Auditing, Accounting, Anti Money Laundering
Education
University of Phoenix 2003 — 2005
MBA
Providence College 1998 — 2002
BS, Accountancy
Old Tappan High School 1994 — 1998
US Securities and Exchange Commission October 2012 - Present
KPMG July 2009 - October 2012
KPMG October 2005 - June 2009
KPMG June 2004 - September 2005
HSNO January 2003 - May 2004
Skills
Forensic Accounting, CPA, Fraud, Certified Fraud Examiner, AML, Risk Assessment, Forensic Analysis, Financial Risk, Internal Controls, GAAP, Enterprise Risk..., Due Diligence, Corporate Governance, Auditing, Accounting, Anti Money Laundering
Education
University of Phoenix 2003 — 2005
MBA
Providence College 1998 — 2002
BS, Accountancy
Old Tappan High School 1994 — 1998
Charles Shepard, PMP ITILv3 Charles Shepard, PMP ITILv3's US Securities and Exchange Commission Experience June 2011 - Present
Job SR. Project Manager at US Securities and Exchange Commission
Industry Information Technology and Services
Experience
US Securities and Exchange Commission June 2011 - Present
R2 Global Solutions December 2010 - April 2013
Chevy Chase Bank May 2007 - December 2010
Sprint Nextel February 2003 - March 2007
Team Manager March 1999 - January 2003
Skills
SDLC, Project Planning, Financial Risk, Policy, Project Portfolio..., Vendor Management, Business Process..., Visio, Project Delivery, Requirements Analysis, MS Project, Project Implementation, Financial Services, Operational Risk..., Analysis, ITIL v3 Foundations..., Quality Assurance
Education
Norfolk State University 1997 — 1999
BS, Criminal Justice
Virginia Union University 1993 — 1996
N/A, Criminal Justice
US Securities and Exchange Commission June 2011 - Present
R2 Global Solutions December 2010 - April 2013
Chevy Chase Bank May 2007 - December 2010
Sprint Nextel February 2003 - March 2007
Team Manager March 1999 - January 2003
Skills
SDLC, Project Planning, Financial Risk, Policy, Project Portfolio..., Vendor Management, Business Process..., Visio, Project Delivery, Requirements Analysis, MS Project, Project Implementation, Financial Services, Operational Risk..., Analysis, ITIL v3 Foundations..., Quality Assurance
Education
Norfolk State University 1997 — 1999
BS, Criminal Justice
Virginia Union University 1993 — 1996
N/A, Criminal Justice
David Blaszkowsky David Blaszkowsky's US Securities and Exchange Commission Experience November 2010 - October 2011
Job Senior Vice President, Head of Data Governance at State Street Bank
Industry Financial Services
Experience
State Street Bank April 2014 - Present
U.S. Department of the Treasury October 2011 - October 2013
US Securities and Exchange Commission November 2010 - October 2011
US Securities and Exchange Commission October 2007 - October 2010
Standard & Poor's April 2003 - August 2007
Standard & Poor's 2000 - 2007
Standard & Poor's Institutional Market Services January 2001 - March 2003
McGraw-Hill May 1996 - June 1999
Fidelity Investments December 1993 - April 1996
Gemini Consulting July 1992 - September 1993
Skills
Strategic Planning, Capital Markets, Finance, XBRL, Financial Modeling, Investor Relations, Strategy, Emerging Markets, Equities, Risk Management, Mergers, Due Diligence, Valuation, Hedge Funds, Financial Analysis, Financial Services, Trading, Equity Research, Venture Capital, Analysis, Mergers & Acquisitions, Analytics, Fixed Income, Corporate Finance, Alternative Investments, Private Equity, Asset Management, Asset Managment, Investment Banking, Strategic Financial..., Portfolio Management, Executive Management, Financial Markets, Investments, Investment Management, Economics, Management, Financial Risk, Securities, Derivatives, Structured Finance, Bloomberg, Business Development, Management Consulting, Quantitative Analytics, Financial Regulation, Corporate Governance, Business Strategy, Competitive Analysis, Leadership
Education
The University of Chicago 1979 — 1983
AB, Economics
Kellogg Graduate School of Management, Northwestern University 1986 — 1988
MBA, Finance/Marketing
State Street Bank April 2014 - Present
U.S. Department of the Treasury October 2011 - October 2013
US Securities and Exchange Commission November 2010 - October 2011
US Securities and Exchange Commission October 2007 - October 2010
Standard & Poor's April 2003 - August 2007
Standard & Poor's 2000 - 2007
Standard & Poor's Institutional Market Services January 2001 - March 2003
McGraw-Hill May 1996 - June 1999
Fidelity Investments December 1993 - April 1996
Gemini Consulting July 1992 - September 1993
Skills
Strategic Planning, Capital Markets, Finance, XBRL, Financial Modeling, Investor Relations, Strategy, Emerging Markets, Equities, Risk Management, Mergers, Due Diligence, Valuation, Hedge Funds, Financial Analysis, Financial Services, Trading, Equity Research, Venture Capital, Analysis, Mergers & Acquisitions, Analytics, Fixed Income, Corporate Finance, Alternative Investments, Private Equity, Asset Management, Asset Managment, Investment Banking, Strategic Financial..., Portfolio Management, Executive Management, Financial Markets, Investments, Investment Management, Economics, Management, Financial Risk, Securities, Derivatives, Structured Finance, Bloomberg, Business Development, Management Consulting, Quantitative Analytics, Financial Regulation, Corporate Governance, Business Strategy, Competitive Analysis, Leadership
Education
The University of Chicago 1979 — 1983
AB, Economics
Kellogg Graduate School of Management, Northwestern University 1986 — 1988
MBA, Finance/Marketing
Zafar Hasan Zafar Hasan's US Securities and Exchange Commission Experience October 2003 - November 2006
Job VicePresident & Chief Corporate Counsel
Industry Law Practice
Experience
The AES Corporation November 2006 - Present
The AES Corporation November 2006 - December 2014
US Securities and Exchange Commission October 2003 - November 2006
Foley & Lardner LLP 2000 - 2003
Mayer Brown 1996 - 1999
Skills
Corporate Governance, Mergers & Acquisitions, Corporate Law, Risk Management, Securities Regulation, Finance, Securities, Due Diligence, Project Finance
Education
University of Chicago Graduate School of Business 2000 — 2003
MBA, Finance/Accounting, Graduated With Honors in Finance and Accounting
University of Michigan Law School 1993 — 1996
JD, law
Northwestern University 1989 — 1993
BA, Economics
The AES Corporation November 2006 - Present
The AES Corporation November 2006 - December 2014
US Securities and Exchange Commission October 2003 - November 2006
Foley & Lardner LLP 2000 - 2003
Mayer Brown 1996 - 1999
Skills
Corporate Governance, Mergers & Acquisitions, Corporate Law, Risk Management, Securities Regulation, Finance, Securities, Due Diligence, Project Finance
Education
University of Chicago Graduate School of Business 2000 — 2003
MBA, Finance/Accounting, Graduated With Honors in Finance and Accounting
University of Michigan Law School 1993 — 1996
JD, law
Northwestern University 1989 — 1993
BA, Economics
Chuck Woods Chuck Woods's US Securities and Exchange Commission Experience August 1992 - December 1998
Job Developer Team Manager at SoftChalk LLC
Industry Information Services
Experience
AOL September 2012 - April 2014
Federal Reserve Bank of Richmond July 2012 - September 2012
AOL January 2002 - March 2012
Netscape January 1999 - December 2001
US Securities and Exchange Commission August 1992 - December 1998
Skills
Enterprise Architecture, Enterprise Software, Web Services, Identity Management, System Architecture, Team Leadership, Security, Technical Leadership, LDAP, Perl, Apache, PHP, Tomcat, Requirements Analysis, Web Applications, Program Management, Software Project..., Linux, PKI, Solaris, JavaScript, Shell Scripting, HTML, CSS, XML, MySQL, Customer Relations, Agile Project Management, Solution Architecture, Server Architecture, Drupal, Systems Analysis, Directory Services, Web Development, Customer Service, Supervisory Skills, High Availability, Large Scale Deployments, SSL, Cloud Computing
Education
University of Tennessee-Knoxville 1981 — 1983
MBA, Management and Finance
University of Tennessee-Knoxville 1979 — 1981
BS, Operations Management
Northern Virginia Community College 1977 — 1979
Business
AOL September 2012 - April 2014
Federal Reserve Bank of Richmond July 2012 - September 2012
AOL January 2002 - March 2012
Netscape January 1999 - December 2001
US Securities and Exchange Commission August 1992 - December 1998
Skills
Enterprise Architecture, Enterprise Software, Web Services, Identity Management, System Architecture, Team Leadership, Security, Technical Leadership, LDAP, Perl, Apache, PHP, Tomcat, Requirements Analysis, Web Applications, Program Management, Software Project..., Linux, PKI, Solaris, JavaScript, Shell Scripting, HTML, CSS, XML, MySQL, Customer Relations, Agile Project Management, Solution Architecture, Server Architecture, Drupal, Systems Analysis, Directory Services, Web Development, Customer Service, Supervisory Skills, High Availability, Large Scale Deployments, SSL, Cloud Computing
Education
University of Tennessee-Knoxville 1981 — 1983
MBA, Management and Finance
University of Tennessee-Knoxville 1979 — 1981
BS, Operations Management
Northern Virginia Community College 1977 — 1979
Business
Trevor Harley Trevor Harley's US Securities and Exchange Commission Experience September 2009 - December 2009
Job Examiner at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority March 2014 - Present
LegalSource January 2013 - February 2014
Law Offices of Norman P. Jones August 2011 - October 2012
Superior Court of the Virgin Islands June 2010 - June 2011
US Securities and Exchange Commission September 2009 - December 2009
Simmons & Simmons July 2009 - August 2009
Commodity Futures Trading Commission January 2009 - April 2009
Domanski Zakrzewski Palinka (DZP) May 2008 - June 2008
Harvard Law School November 2004 - August 2007
US Navy May 2001 - December 2001
Skills
Securities Regulation, Mergers & Acquisitions, Transactional Law, Legal Writing, Corporate Law, Civil Litigation, International Law
Education
The Catholic University of America, Columbus School of Law 2007 — 2010
Juris Doctor, Securities Law and International Law (Corporate focus)
Northeastern University
Bachelor of Science (B.S.), magna cum laude, Political Science
Financial Industry Regulatory Authority March 2014 - Present
LegalSource January 2013 - February 2014
Law Offices of Norman P. Jones August 2011 - October 2012
Superior Court of the Virgin Islands June 2010 - June 2011
US Securities and Exchange Commission September 2009 - December 2009
Simmons & Simmons July 2009 - August 2009
Commodity Futures Trading Commission January 2009 - April 2009
Domanski Zakrzewski Palinka (DZP) May 2008 - June 2008
Harvard Law School November 2004 - August 2007
US Navy May 2001 - December 2001
Skills
Securities Regulation, Mergers & Acquisitions, Transactional Law, Legal Writing, Corporate Law, Civil Litigation, International Law
Education
The Catholic University of America, Columbus School of Law 2007 — 2010
Juris Doctor, Securities Law and International Law (Corporate focus)
Northeastern University
Bachelor of Science (B.S.), magna cum laude, Political Science
Gloria Snowden's US Securities and Exchange Commission Experience October 2010 - June 2014
Job Manager at Federal Aviation Administration FAA
Industry Government Administration
Experience
Federal Aviation Administration - FAA June 2014 - Present
US Securities and Exchange Commission October 2010 - June 2014
Education
University of Maryland College Park
M.S., Management (Human Resources)
Oberlin College 1978 — 1982
B.S., Urban Studies/Sociology
Federal Aviation Administration - FAA June 2014 - Present
US Securities and Exchange Commission October 2010 - June 2014
Education
University of Maryland College Park
M.S., Management (Human Resources)
Oberlin College 1978 — 1982
B.S., Urban Studies/Sociology
Samantha Siebert's US Securities and Exchange Commission Experience May 2012 - June 2012
Job Internal Auditor at Samson
Industry Accounting
Experience
Samson Resources Company May 2014 - Present
HoganTaylor LLP August 2013 - May 2014
Mabee Legal Information Center May 2011 - July 2013
US Securities and Exchange Commission May 2012 - June 2012
Deloitte February 2010 - April 2010
Grant Thornton LLP June 2008 - July 2008
Education
University of Tulsa 2010 — 2013
J.D., Law, With Highest Honors
Stetson University College of Law 2011 — 2011
J.D., Law
Oklahoma State University 2008 — 2009
M.S., Accounting
Oklahoma State University 2005 — 2009
B.S., Accounting
Samson Resources Company May 2014 - Present
HoganTaylor LLP August 2013 - May 2014
Mabee Legal Information Center May 2011 - July 2013
US Securities and Exchange Commission May 2012 - June 2012
Deloitte February 2010 - April 2010
Grant Thornton LLP June 2008 - July 2008
Education
University of Tulsa 2010 — 2013
J.D., Law, With Highest Honors
Stetson University College of Law 2011 — 2011
J.D., Law
Oklahoma State University 2008 — 2009
M.S., Accounting
Oklahoma State University 2005 — 2009
B.S., Accounting
Sung Bum Cho Sung Bum Cho's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Associate at Simpson Thacher & Bartlett LLP
Industry Law Practice
Experience
Simpson Thacher & Bartlett LLP September 2011 - Present
Financial Supervisory Service January 2001 - March 2011
Simpson Thacher & Bartlett LLP May 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Education
Northwestern University School of Law 2008 — 2011
J.D., cum laude, Concentration in Business Enterprise
Seoul National University 1993 — 1998
Bachelor, Law
Northwestern University - Kellogg School of Management
Simpson Thacher & Bartlett LLP September 2011 - Present
Financial Supervisory Service January 2001 - March 2011
Simpson Thacher & Bartlett LLP May 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Education
Northwestern University School of Law 2008 — 2011
J.D., cum laude, Concentration in Business Enterprise
Seoul National University 1993 — 1998
Bachelor, Law
Northwestern University - Kellogg School of Management
Beckie Callahan Beckie Callahan's US Securities and Exchange Commission Experience June 2007 - August 2007
Job Analyst at Cisco Systems
Industry Computer Networking
Experience
Cisco Systems March 2013 - Present
Trianz June 2009 - March 2013
University of California, San Diego January 2008 - March 2008
Shoreline Partners, LLC September 2005 - November 2007
US Securities and Exchange Commission June 2007 - August 2007
Northwestern Mutual Financial Network April 2003 - August 2005
The Heritage Organization, LLC November 2000 - October 2002
Sourcelight Technologies October 1999 - September 2000
William M. Mercer, Inc. November 1999 - June 2000
Japan Exchange and Teaching Program(me) (JET) July 1998 - July 1999
Skills
JMP, Data Analysis, Financial Analysis, Financial Reporting, Teaching, Asset Management, Data Management, Prospect Research, Asset Managment, Process Improvement, CRM, Cross-functional Team..., Business Intelligence, Microsoft Excel, Access, Strategy, Marketing, Market Research, Management, Business Development, Analysis, Leadership, Training, Strategic Planning, Mergers & Acquisitions, Project Planning
Education
University of California, San Diego - School of International Relations and Pacific Studies (IR/PS) 2006 — 2008
MPIA, International Management
Northwestern University 1994 — 1998
BA, Psychology and International Studies
Cisco Systems March 2013 - Present
Trianz June 2009 - March 2013
University of California, San Diego January 2008 - March 2008
Shoreline Partners, LLC September 2005 - November 2007
US Securities and Exchange Commission June 2007 - August 2007
Northwestern Mutual Financial Network April 2003 - August 2005
The Heritage Organization, LLC November 2000 - October 2002
Sourcelight Technologies October 1999 - September 2000
William M. Mercer, Inc. November 1999 - June 2000
Japan Exchange and Teaching Program(me) (JET) July 1998 - July 1999
Skills
JMP, Data Analysis, Financial Analysis, Financial Reporting, Teaching, Asset Management, Data Management, Prospect Research, Asset Managment, Process Improvement, CRM, Cross-functional Team..., Business Intelligence, Microsoft Excel, Access, Strategy, Marketing, Market Research, Management, Business Development, Analysis, Leadership, Training, Strategic Planning, Mergers & Acquisitions, Project Planning
Education
University of California, San Diego - School of International Relations and Pacific Studies (IR/PS) 2006 — 2008
MPIA, International Management
Northwestern University 1994 — 1998
BA, Psychology and International Studies
Mark Nishan Mark Nishan's US Securities and Exchange Commission Experience January 2013 - Present
Job Consultant in Financial Services & Leadership Development
Industry Financial Services
Experience
Presidential Bank January 2013 - Present
US Securities and Exchange Commission January 2013 - Present
Alvarez and Marsal September 2009 - December 2013
US Treasury September 2008 - July 2009
Office of the Comptroller of the Currency October 2005 - August 2008
Office of the Comptroller of the Currency August 1998 - September 2005
Skills
Agent for Franklin..., Policy, Strategic Planning, Executive Coaching, Risk Management, Banking, Management Consulting, Change Management, Financial Services, Internal Audit, Leadership Development, Financial Risk, Management, Financial Analysis, Program Management, Training, Executive Management, Employee Engagement, Mergers & Acquisitions, Strategy, Operations Management, Due Diligence, Business Process..., Process Improvement, Leadership, Governance, Enterprise Risk..., Portfolio Management, Finance, Analysis, Financial Modeling, Restructuring, Corporate Finance, Credit Risk, Credit Analysis, Valuation, Credit, Capital Markets, Managerial Finance, Corporate Governance
Education
Northwestern University - Kellogg School of Management 1977 — 1978
MM, Finance
University of Notre Dame 1972 — 1976
BBA, Management
William Cullen Bryant 1969 — 1972
Presidential Bank January 2013 - Present
US Securities and Exchange Commission January 2013 - Present
Alvarez and Marsal September 2009 - December 2013
US Treasury September 2008 - July 2009
Office of the Comptroller of the Currency October 2005 - August 2008
Office of the Comptroller of the Currency August 1998 - September 2005
Skills
Agent for Franklin..., Policy, Strategic Planning, Executive Coaching, Risk Management, Banking, Management Consulting, Change Management, Financial Services, Internal Audit, Leadership Development, Financial Risk, Management, Financial Analysis, Program Management, Training, Executive Management, Employee Engagement, Mergers & Acquisitions, Strategy, Operations Management, Due Diligence, Business Process..., Process Improvement, Leadership, Governance, Enterprise Risk..., Portfolio Management, Finance, Analysis, Financial Modeling, Restructuring, Corporate Finance, Credit Risk, Credit Analysis, Valuation, Credit, Capital Markets, Managerial Finance, Corporate Governance
Education
Northwestern University - Kellogg School of Management 1977 — 1978
MM, Finance
University of Notre Dame 1972 — 1976
BBA, Management
William Cullen Bryant 1969 — 1972
Wendy Greenwood Wendy Greenwood's US Securities and Exchange Commission Experience June 2001 - August 2001
Job Contract Recruiter at Ipsos
Industry Market Research
Experience
Ipsos March 2014 - August 2015
Norris McLaughlin & Marcus October 2011 - August 2012
Greenberg Traurig, LLP November 2008 - August 2009
McCarter & English, LLP May 2005 - December 2007
Bingham McCutchen August 2003 - May 2005
Bingham McCutchen June 2002 - August 2002
US Securities and Exchange Commission June 2001 - August 2001
Merrill Lynch August 1999 - August 2000
Goldman Sachs June 1998 - August 1999
Skills
Corporate Law, NY and NJ Bar
Education
Villanova University School of Law 2000 — 2003
Doctor of Law (JD)
Penn State University 1992 — 1996
Bachelor of Arts (B.A.), Psychology
Ipsos March 2014 - August 2015
Norris McLaughlin & Marcus October 2011 - August 2012
Greenberg Traurig, LLP November 2008 - August 2009
McCarter & English, LLP May 2005 - December 2007
Bingham McCutchen August 2003 - May 2005
Bingham McCutchen June 2002 - August 2002
US Securities and Exchange Commission June 2001 - August 2001
Merrill Lynch August 1999 - August 2000
Goldman Sachs June 1998 - August 1999
Skills
Corporate Law, NY and NJ Bar
Education
Villanova University School of Law 2000 — 2003
Doctor of Law (JD)
Penn State University 1992 — 1996
Bachelor of Arts (B.A.), Psychology
Clark Wheeler Clark Wheeler's US Securities and Exchange Commission Experience December 2013 - March 2014
Job Legal Intern at Posternak Blankstein & Lund LLP
Industry Law Practice
Experience
Community Business Clinic, Northeastern University School of Law August 2014 - May 2015
Northeastern University School of Law September 2012 - May 2015
Posternak Blankstein & Lund LLP November 2014 - April 2015
Federal Reserve Bank of Boston May 2014 - August 2014
US Securities and Exchange Commission December 2013 - March 2014
Suffolk County District Attorney's Office June 2013 - August 2013
Public Health Advocacy Institute November 2011 - June 2012
James, Potts, Wulfers, Inc. July 2011 - September 2011
United States Air Force September 2008 - July 2011
Grey Dog Construction August 2008 - May 2011
Skills
Legal Research, Management, Research Projects, Financial Analysis, Securities Regulation, Business Development
Education
Northeastern University 2012 — 2015
Juris Doctor (J.D.), Concentration in Business and Commercial Law
Northern Arizona University 2003 — 2008
B.A., Philosophy
Community Business Clinic, Northeastern University School of Law August 2014 - May 2015
Northeastern University School of Law September 2012 - May 2015
Posternak Blankstein & Lund LLP November 2014 - April 2015
Federal Reserve Bank of Boston May 2014 - August 2014
US Securities and Exchange Commission December 2013 - March 2014
Suffolk County District Attorney's Office June 2013 - August 2013
Public Health Advocacy Institute November 2011 - June 2012
James, Potts, Wulfers, Inc. July 2011 - September 2011
United States Air Force September 2008 - July 2011
Grey Dog Construction August 2008 - May 2011
Skills
Legal Research, Management, Research Projects, Financial Analysis, Securities Regulation, Business Development
Education
Northeastern University 2012 — 2015
Juris Doctor (J.D.), Concentration in Business and Commercial Law
Northern Arizona University 2003 — 2008
B.A., Philosophy
Morgan B. Ward Doran Morgan B. Ward Doran's US Securities and Exchange Commission Experience February 2007 - Present
Job Senior Counsel, Enforcement at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission February 2007 - Present
Quinn Emanuel February 2006 - January 2007
U.S. Department of Justice October 2004 - January 2006
U.S. Court of Appeals September 2003 - September 2004
U.S. Court of Appeals August 2002 - August 2003
Skills
Criminal Law, Securities Regulation, Securities Litigation, Federal Law Enforcement, Statistical Data..., Statistical Programming, Technology, Financial Regulation, Legal Compliance, Trials, Quantitative Analytics
Education
Northwestern University 1996 — 2002
Ph.D., Human Development & Social Policy
Northwestern University School of Law 1998 — 2001
Doctor of Law (J.D.), Law
Emory University 1989 — 1993
B.A., Psychology
US Securities and Exchange Commission February 2007 - Present
Quinn Emanuel February 2006 - January 2007
U.S. Department of Justice October 2004 - January 2006
U.S. Court of Appeals September 2003 - September 2004
U.S. Court of Appeals August 2002 - August 2003
Skills
Criminal Law, Securities Regulation, Securities Litigation, Federal Law Enforcement, Statistical Data..., Statistical Programming, Technology, Financial Regulation, Legal Compliance, Trials, Quantitative Analytics
Education
Northwestern University 1996 — 2002
Ph.D., Human Development & Social Policy
Northwestern University School of Law 1998 — 2001
Doctor of Law (J.D.), Law
Emory University 1989 — 1993
B.A., Psychology
Diane Shahan Diane Shahan's US Securities and Exchange Commission Experience June 2013 - August 2013
Job Consultant at Oliver Wyman
Industry
Experience
Oliver Wyman October 2014 - Present
US Securities and Exchange Commission June 2013 - August 2013
Fondation Claude Monet June 2012 - August 2012
Skills
Economics, Data Analysis, Microsoft Office, Microsoft Excel, Research, Stata, Statistics, Government, French, English, PowerPoint, Microsoft Word, LaTeX, SAS
Education
Princeton University 2010 — 2014
Bachelor of Arts (B.A.), Economics, 3.87
Oliver Wyman October 2014 - Present
US Securities and Exchange Commission June 2013 - August 2013
Fondation Claude Monet June 2012 - August 2012
Skills
Economics, Data Analysis, Microsoft Office, Microsoft Excel, Research, Stata, Statistics, Government, French, English, PowerPoint, Microsoft Word, LaTeX, SAS
Education
Princeton University 2010 — 2014
Bachelor of Arts (B.A.), Economics, 3.87
Adam Peter Adam Peter's US Securities and Exchange Commission Experience January 2005 - May 2005
Job Sr. Manager of Finance, Strategy and Analytics at TMobile
Industry Telecommunications
Experience
T-Mobile September 2013 - Present
Cricket Communications February 2011 - September 2013
Sanmina-SCI December 2009 - February 2011
Dever Capital Management (Private Equity) February 2009 - December 2010
Yorkville Advisors, LLC July 2007 - October 2008
Xnergy LLC September 2006 - April 2007
US Securities and Exchange Commission January 2005 - May 2005
FINRA April 2004 - December 2004
Greeley Country Club 1996 - 2003
U.S. Senator Wayne Allard 2002 - 2002
Skills
Financial Modeling, Financial Analysis, Strategy, Corporate Finance, Investment Banking, Telecommunications, Private Equity, Wireless, Financial Forecasting, Strategy Development, Mergers & Acquisitions, Sales Operations, Start-ups, Treasury Management, Financial Markets, Investments, Finance
Education
Pepperdine University School of Law 2003 — 2007
JD, Corporate Law (JD, MBA program)
Pepperdine University, The George L. Graziadio School of Business and Management 2003 — 2007
MBA, Finance (JD, MBA program)
University of Northern Colorado 1998 — 2003
BS and BA, Business Finance and Political Science
Greeley Central High School 1995 — 1998
Diploma
Pepperdine University
Waverly Elementary School
T-Mobile September 2013 - Present
Cricket Communications February 2011 - September 2013
Sanmina-SCI December 2009 - February 2011
Dever Capital Management (Private Equity) February 2009 - December 2010
Yorkville Advisors, LLC July 2007 - October 2008
Xnergy LLC September 2006 - April 2007
US Securities and Exchange Commission January 2005 - May 2005
FINRA April 2004 - December 2004
Greeley Country Club 1996 - 2003
U.S. Senator Wayne Allard 2002 - 2002
Skills
Financial Modeling, Financial Analysis, Strategy, Corporate Finance, Investment Banking, Telecommunications, Private Equity, Wireless, Financial Forecasting, Strategy Development, Mergers & Acquisitions, Sales Operations, Start-ups, Treasury Management, Financial Markets, Investments, Finance
Education
Pepperdine University School of Law 2003 — 2007
JD, Corporate Law (JD, MBA program)
Pepperdine University, The George L. Graziadio School of Business and Management 2003 — 2007
MBA, Finance (JD, MBA program)
University of Northern Colorado 1998 — 2003
BS and BA, Business Finance and Political Science
Greeley Central High School 1995 — 1998
Diploma
Pepperdine University
Waverly Elementary School
Bryant Mendel Bryant Mendel's US Securities and Exchange Commission Experience January 2013 - May 2013
Job Associate at Citigroup
Industry Legal Services
Experience
Citi August 2014 - Present
Federal Reserve Board June 2013 - September 2013
US Securities and Exchange Commission January 2013 - May 2013
Queens District Attorney's Office June 2012 - August 2012
Education
The George Washington University Law School 2012 — 2014
Doctor of Law (J.D.)
Northeastern University 2005 — 2010
Bachelor's degree
Citi August 2014 - Present
Federal Reserve Board June 2013 - September 2013
US Securities and Exchange Commission January 2013 - May 2013
Queens District Attorney's Office June 2012 - August 2012
Education
The George Washington University Law School 2012 — 2014
Doctor of Law (J.D.)
Northeastern University 2005 — 2010
Bachelor's degree
Cara Owen's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Counsel at GreatWest Financial
Industry Law Practice
Experience
Great-West Financial February 2014 - Present
US Securities and Exchange Commission May 2012 - August 2012
University of Denver Student Law Office, Community Economic Development Clinic August 2011 - May 2012
Ball May 2011 - August 2011
Colorado Legal Services May 2009 - May 2010
Accenture August 2004 - August 2008
Skills
Employment Law, Legal Writing, Event Planning, Program Management, Mergers & Acquisitions, Legal Research, Contract Negotiation, Litigation
Education
University of Denver - Sturm College of Law 2010 — 2012
J.D.
University of Colorado Boulder 2008 — 2010
M.A, Media Studies
Northwestern University 2000 — 2004
B.S., History, Communication Studies
Great-West Financial February 2014 - Present
US Securities and Exchange Commission May 2012 - August 2012
University of Denver Student Law Office, Community Economic Development Clinic August 2011 - May 2012
Ball May 2011 - August 2011
Colorado Legal Services May 2009 - May 2010
Accenture August 2004 - August 2008
Skills
Employment Law, Legal Writing, Event Planning, Program Management, Mergers & Acquisitions, Legal Research, Contract Negotiation, Litigation
Education
University of Denver - Sturm College of Law 2010 — 2012
J.D.
University of Colorado Boulder 2008 — 2010
M.A, Media Studies
Northwestern University 2000 — 2004
B.S., History, Communication Studies
Iona Morgan Iona Morgan's US Securities and Exchange Commission Experience September 1997 - June 1999
Job Licensed Attorney
Industry Law Practice
Experience
Gap Inc. November 2000 - July 2005
Charles Schwab June 1999 - October 2000
US Securities and Exchange Commission September 1997 - June 1999
Education
Pepperdine University School of Law 1994 — 1997
JD
Pepperdine University, The George L. Graziadio School of Business and Management 1993 — 1996
MBA, Finance
University of California, Los Angeles 1989 — 1993
BA, Political Science
Whitney High School
Gap Inc. November 2000 - July 2005
Charles Schwab June 1999 - October 2000
US Securities and Exchange Commission September 1997 - June 1999
Education
Pepperdine University School of Law 1994 — 1997
JD
Pepperdine University, The George L. Graziadio School of Business and Management 1993 — 1996
MBA, Finance
University of California, Los Angeles 1989 — 1993
BA, Political Science
Whitney High School
Craig Fidler Craig Fidler's US Securities and Exchange Commission Experience April 1987 - June 1999
Job Business and Securities Attorney
Industry Law Practice
Experience
Patricia Jo Stone PC July 2012 - Present
G. Craig Fidler, LLC November 2008 - July 2012
ALPS Fund Services, Inc. August 2007 - November 2008
Fixed Income Securities April 2004 - February 2007
Collect America April 2002 - April 2004
First Trust Corp. June 1999 - April 2002
US Securities and Exchange Commission April 1987 - June 1999
Hunt and Wilson June 1985 - April 1987
United States District Court for the Western District of Virginia June 1984 - June 1985
Skills
Securities, Corporate Law, Commercial Litigation, Internal Investigations, SEC reporting, FINRA, Securities Offerings, Mutual Funds, Investment Advisory, Securities Law, Securities Regulation, Hedge Funds, Private Placements, Investments, Litigation
Education
North Carolina State University
Wake Forest University School of Law
Patricia Jo Stone PC July 2012 - Present
G. Craig Fidler, LLC November 2008 - July 2012
ALPS Fund Services, Inc. August 2007 - November 2008
Fixed Income Securities April 2004 - February 2007
Collect America April 2002 - April 2004
First Trust Corp. June 1999 - April 2002
US Securities and Exchange Commission April 1987 - June 1999
Hunt and Wilson June 1985 - April 1987
United States District Court for the Western District of Virginia June 1984 - June 1985
Skills
Securities, Corporate Law, Commercial Litigation, Internal Investigations, SEC reporting, FINRA, Securities Offerings, Mutual Funds, Investment Advisory, Securities Law, Securities Regulation, Hedge Funds, Private Placements, Investments, Litigation
Education
North Carolina State University
Wake Forest University School of Law
J.W. Mike Starr J.W. Mike Starr's US Securities and Exchange Commission Experience October 2010 - September 2012
Job Vice President, Governmental and Regulatory Affairs at Workiva
Industry Accounting
Experience
Workiva September 2012 - Present
US Securities and Exchange Commission October 2010 - September 2012
Grant Thornton International Ltd. August 2006 - December 2009
Grant Thornton International Ltd May 2004 - August 2006
Grant Thornton LLP May 2004 - December 2005
Grant Thornton LLP January 2002 - May 2004
Grant Thornton LLP August 1997 - December 2002
Skills
Financial Reporting, Accounting, Auditing, Forensic Accounting, Risk Management, Corporate Governance, Strategy Development, GAAP, Internal Controls, Strategy, SEC filings, US GAAP, Internal Audit, Leadership, Business Process..., Assurance, Financial Services, Mergers & Acquisitions, Finance, CPA, Forecasting, Sarbanes-Oxley Act, IFRS, Restructuring, Financial Analysis, Due Diligence, Management, Financial Accounting, External Audit, Corporate Finance, Executive Management, Managerial Finance, Tax, Financial Modeling, Enterprise Risk...
Education
Oklahoma State University 1967 — 1970
B.S., Accountancy
Altus High School 1963 — 1966
Workiva September 2012 - Present
US Securities and Exchange Commission October 2010 - September 2012
Grant Thornton International Ltd. August 2006 - December 2009
Grant Thornton International Ltd May 2004 - August 2006
Grant Thornton LLP May 2004 - December 2005
Grant Thornton LLP January 2002 - May 2004
Grant Thornton LLP August 1997 - December 2002
Skills
Financial Reporting, Accounting, Auditing, Forensic Accounting, Risk Management, Corporate Governance, Strategy Development, GAAP, Internal Controls, Strategy, SEC filings, US GAAP, Internal Audit, Leadership, Business Process..., Assurance, Financial Services, Mergers & Acquisitions, Finance, CPA, Forecasting, Sarbanes-Oxley Act, IFRS, Restructuring, Financial Analysis, Due Diligence, Management, Financial Accounting, External Audit, Corporate Finance, Executive Management, Managerial Finance, Tax, Financial Modeling, Enterprise Risk...
Education
Oklahoma State University 1967 — 1970
B.S., Accountancy
Altus High School 1963 — 1966
Vince Monroe's US Securities and Exchange Commission Experience October 2011 - July 2012
Job IT Specialist at US Department of Health and Human Services
Industry Information Technology and Services
Experience
US Department of Health and Human Services September 2014 - Present
Selective Service System July 2012 - September 2014
US Securities and Exchange Commission October 2011 - July 2012
US Treasury October 2010 - October 2011
USPSOIG April 2010 - October 2010
Member's Choice Credit Union November 2009 - April 2010
Westwood College April 2009 - November 2009
Bernard Hodes Group October 1999 - April 2009
Skills
Data Center, Security, Microsoft Exchange, VMware Infrastructure, Testing, Account Management, VMware View, Capacity Planning, Data Center..., Service-now.com, ITIL v3 Foundations...
Education
Norwich University
MBA, Business Ecommerce
Southern University
Bachelor of Science, Psychology
US Department of Health and Human Services September 2014 - Present
Selective Service System July 2012 - September 2014
US Securities and Exchange Commission October 2011 - July 2012
US Treasury October 2010 - October 2011
USPSOIG April 2010 - October 2010
Member's Choice Credit Union November 2009 - April 2010
Westwood College April 2009 - November 2009
Bernard Hodes Group October 1999 - April 2009
Skills
Data Center, Security, Microsoft Exchange, VMware Infrastructure, Testing, Account Management, VMware View, Capacity Planning, Data Center..., Service-now.com, ITIL v3 Foundations...
Education
Norwich University
MBA, Business Ecommerce
Southern University
Bachelor of Science, Psychology
Patricia Flowers Patricia Flowers's US Securities and Exchange Commission Experience February 2012 - Present
Job IT Specialist at SEC
Industry Information Technology and Services
Experience
US Securities and Exchange Commission February 2012 - Present
US Securities and Exchange Commission November 2007 - April 2011
Fannie Mae May 2006 - May 2007
Fannie Mae May 2000 - April 2006
Comptek April 1992 - April 1999
Vitro Corporation January 1985 - March 1992
Department of Agriculture August 1979 - December 1984
Skills
System Administration, Access, Analysis, Visual Basic, Change Management, Business Analysis, Process Engineering, Six Sigma, Business Process..., HTML, Program Management
Education
University of Phoenix 2004 — 2009
Bachelor's degree, Business Administration and Management, General
Prince George's Community College 1998 — 1999
Ballou Senior High School 1975 — 1978
Diploma
US Securities and Exchange Commission February 2012 - Present
US Securities and Exchange Commission November 2007 - April 2011
Fannie Mae May 2006 - May 2007
Fannie Mae May 2000 - April 2006
Comptek April 1992 - April 1999
Vitro Corporation January 1985 - March 1992
Department of Agriculture August 1979 - December 1984
Skills
System Administration, Access, Analysis, Visual Basic, Change Management, Business Analysis, Process Engineering, Six Sigma, Business Process..., HTML, Program Management
Education
University of Phoenix 2004 — 2009
Bachelor's degree, Business Administration and Management, General
Prince George's Community College 1998 — 1999
Ballou Senior High School 1975 — 1978
Diploma
Bob Guzman Bob Guzman's US Securities and Exchange Commission Experience 2013 - 2014
Job Managing Director Head of Pension Risk Management at UBS Global Asset Management
Industry Financial Services
Experience
UBS Global Asset Management February 2014 - September 2015
US Securities and Exchange Commission 2013 - 2014
Aberdeen Asset Management 2003 - 2010
Aberdeen Asset Management 2001 - 2010
Deutsche Asset Management 1998 - 2000
UBS 1995 - 1997
Bear Stearns 1993 - 1994
Merrill Lynch 1992 - 1993
Bankers Trust 1989 - 1992
Salomon Brothers 1986 - 1989
Skills
Trading, Portfolio Management, Alternative Investments, Fixed Income, Derivatives, Interest Rate..., Credit Derivatives, Financial Markets, Hedging, Fixed Income Trading, Risk Management, Asset Management, Market Risk, Asset Managment, Investments, Options, Structured Finance, Financial Risk, Foreign Exchange
Education
Princeton University
Doctor of Philosophy (Ph.D.), Chemical Physics
Columbia University
BS, Chemical Engineering
UBS Global Asset Management February 2014 - September 2015
US Securities and Exchange Commission 2013 - 2014
Aberdeen Asset Management 2003 - 2010
Aberdeen Asset Management 2001 - 2010
Deutsche Asset Management 1998 - 2000
UBS 1995 - 1997
Bear Stearns 1993 - 1994
Merrill Lynch 1992 - 1993
Bankers Trust 1989 - 1992
Salomon Brothers 1986 - 1989
Skills
Trading, Portfolio Management, Alternative Investments, Fixed Income, Derivatives, Interest Rate..., Credit Derivatives, Financial Markets, Hedging, Fixed Income Trading, Risk Management, Asset Management, Market Risk, Asset Managment, Investments, Options, Structured Finance, Financial Risk, Foreign Exchange
Education
Princeton University
Doctor of Philosophy (Ph.D.), Chemical Physics
Columbia University
BS, Chemical Engineering
Henry H. Tran Henry H. Tran's US Securities and Exchange Commission Experience March 2014 - May 2014
Job Litigation Associate at Prince Lobel Tye LLP
Industry Law Practice
Experience
Prince Lobel Tye LLP September 2015 - Present
American Bar Association May 2014 - July 2015
Prince Lobel Tye LLP March 2015 - May 2015
Northeastern University August 2012 - May 2015
American Bar Association April 2014 - February 2015
Kohn, Kohn & Colapinto, LLP September 2014 - November 2014
Northeastern University May 2014 - August 2014
US Securities and Exchange Commission March 2014 - May 2014
Northeastern Program on Human Rights in the Global Economy March 2014 - May 2014
U.S. Department of Justice, Civil Rights Division, Special Litigation Section September 2013 - November 2013
Skills
Legal Writing, Legal Research, Human Rights, International Relations, Research, Politics, Government, Public Speaking, Political Science, Foreign Policy, Public Administration, Westlaw, Litigation, Civil Litigation, European Union, International..., Event Planning, Community Outreach, Leadership, Nonprofits, Leadership Development, Mandarin, Civil Rights, Microsoft Office, Team Leadership, LexisNexis, International..., NGOs, International Law, Courts, Teaching, Legislation, PowerPoint, Microsoft Excel, Microsoft Word, Fundraising, Social Media
Education
Northeastern University School of Law 2012 — 2015
Juris Doctor
Beijing Institute of Economic Management 2010 — 2011
Mandarin Chinese, Honors
University of California, Irvine 2006 — 2010
Bachelor's in Social Science, Political Science
St. Francis High School 2002 — 2006
High School
Prince Lobel Tye LLP September 2015 - Present
American Bar Association May 2014 - July 2015
Prince Lobel Tye LLP March 2015 - May 2015
Northeastern University August 2012 - May 2015
American Bar Association April 2014 - February 2015
Kohn, Kohn & Colapinto, LLP September 2014 - November 2014
Northeastern University May 2014 - August 2014
US Securities and Exchange Commission March 2014 - May 2014
Northeastern Program on Human Rights in the Global Economy March 2014 - May 2014
U.S. Department of Justice, Civil Rights Division, Special Litigation Section September 2013 - November 2013
Skills
Legal Writing, Legal Research, Human Rights, International Relations, Research, Politics, Government, Public Speaking, Political Science, Foreign Policy, Public Administration, Westlaw, Litigation, Civil Litigation, European Union, International..., Event Planning, Community Outreach, Leadership, Nonprofits, Leadership Development, Mandarin, Civil Rights, Microsoft Office, Team Leadership, LexisNexis, International..., NGOs, International Law, Courts, Teaching, Legislation, PowerPoint, Microsoft Excel, Microsoft Word, Fundraising, Social Media
Education
Northeastern University School of Law 2012 — 2015
Juris Doctor
Beijing Institute of Economic Management 2010 — 2011
Mandarin Chinese, Honors
University of California, Irvine 2006 — 2010
Bachelor's in Social Science, Political Science
St. Francis High School 2002 — 2006
High School
Andy Marchesseault Andy Marchesseault's US Securities and Exchange Commission Experience January 2011 - April 2011
Job Video Archivist at Voice of America
Industry Libraries
Experience
Voice of America June 2013 - Present
Voice of America April 2011 - Present
Record Crate Research October 2010 - Present
US Securities and Exchange Commission January 2011 - April 2011
Fania February 2010 - May 2010
EBSCO Publishing June 2009 - August 2009
CBGB October 2008 - May 2009
Wenner Media August 2007 - November 2008
Time Out Chicago December 2005 - August 2007
Smartley-Dunn Solutions, Ltd. February 2007 - June 2007
Skills
Content Management, Editing, Wordpress, Editorial, HTML, Metadata, Magazines, Copy Editing, CMS, Social Media, Archives, Proofreading, InDesign, Library Science
Education
Pratt Institute 2009 — 2010
Master of Science (M.S.), Library and Information Science
University of Chicago 2001 — 2005
Bachelor of Arts (B.A.), Cinema and Media Studies; American History
Phillips Academy 1997 — 2001
High School Diploma
Voice of America June 2013 - Present
Voice of America April 2011 - Present
Record Crate Research October 2010 - Present
US Securities and Exchange Commission January 2011 - April 2011
Fania February 2010 - May 2010
EBSCO Publishing June 2009 - August 2009
CBGB October 2008 - May 2009
Wenner Media August 2007 - November 2008
Time Out Chicago December 2005 - August 2007
Smartley-Dunn Solutions, Ltd. February 2007 - June 2007
Skills
Content Management, Editing, Wordpress, Editorial, HTML, Metadata, Magazines, Copy Editing, CMS, Social Media, Archives, Proofreading, InDesign, Library Science
Education
Pratt Institute 2009 — 2010
Master of Science (M.S.), Library and Information Science
University of Chicago 2001 — 2005
Bachelor of Arts (B.A.), Cinema and Media Studies; American History
Phillips Academy 1997 — 2001
High School Diploma
Alana Faintuch Alana Faintuch's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Business Development Specialist at UBS Private Wealth Management
Industry Financial Services
Experience
UBS Wealth Management October 2014 - Present
Barclays Wealth and Investment Management October 2013 - October 2014
US Securities and Exchange Commission January 2013 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
ILSA Journal of International & Comparative Law May 2011 - September 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Seiden Law Firm/ Family Business Mediation June 2011 - August 2011
Education
Nova Southeastern University 2010 — 2013
Master of Business Administration (M.B.A.), Entrepreneurship/Entrepreneurial Studies
Nova Southeastern University—Shepard Broad Law Center 2009 — 2013
Doctor of Law (J.D.), Law
University of Miami 2006 — 2009
Bachelor of Business Administration (B.B.A.), Finance, General
UBS Wealth Management October 2014 - Present
Barclays Wealth and Investment Management October 2013 - October 2014
US Securities and Exchange Commission January 2013 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
ILSA Journal of International & Comparative Law May 2011 - September 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Seiden Law Firm/ Family Business Mediation June 2011 - August 2011
Education
Nova Southeastern University 2010 — 2013
Master of Business Administration (M.B.A.), Entrepreneurship/Entrepreneurial Studies
Nova Southeastern University—Shepard Broad Law Center 2009 — 2013
Doctor of Law (J.D.), Law
University of Miami 2006 — 2009
Bachelor of Business Administration (B.B.A.), Finance, General
Sophie Ting Hong Zhao Sophie Ting Hong Zhao's US Securities and Exchange Commission Experience January 2013 - April 2013
Job International Legal Consultant at Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates
Industry Law Practice
Experience
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates July 2015 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates September 2013 - December 2014
US Securities and Exchange Commission January 2013 - April 2013
Jones Day October 2012 - December 2012
Orrick, Herrington & Sutcliffe LLP July 2011 - April 2012
Hyundai Motor Company July 2010 - September 2010
Beijing Institute of Technology September 2009 - February 2010
Skills
Legal Research, International Law, Mandarin, Corporate Law, Legal Writing, Securities Regulation, Commercial Litigation, Corporate Governance, Intellectual Property, Legal Advice, Westlaw
Education
University of California, Berkeley 2012 — 2013
Master of Laws (LL.M.)
Peking University 2008 — 2012
Bachelor of Laws (LL.B.)
Beijing World Youth Academy
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates July 2015 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates September 2013 - December 2014
US Securities and Exchange Commission January 2013 - April 2013
Jones Day October 2012 - December 2012
Orrick, Herrington & Sutcliffe LLP July 2011 - April 2012
Hyundai Motor Company July 2010 - September 2010
Beijing Institute of Technology September 2009 - February 2010
Skills
Legal Research, International Law, Mandarin, Corporate Law, Legal Writing, Securities Regulation, Commercial Litigation, Corporate Governance, Intellectual Property, Legal Advice, Westlaw
Education
University of California, Berkeley 2012 — 2013
Master of Laws (LL.M.)
Peking University 2008 — 2012
Bachelor of Laws (LL.B.)
Beijing World Youth Academy
Allan Chua J.D. Allan Chua J.D.'s US Securities and Exchange Commission Experience September 2013 - December 2013
Job Regulatory Response Specialist at LPL Financial
Industry Financial Services
Experience
LPL Financial May 2015 - Present
Legal Services of Southern Piedmont March 2015 - May 2015
US Securities and Exchange Commission September 2013 - December 2013
Charlotte School of Law: Entrepreneurship Clinic January 2013 - May 2013
Tatum Law Firm, PLLC June 2012 - January 2013
Skills
Legal Writing, Legal Research, Public Speaking, Program Management, Start-ups, Community Outreach, Event Planning, Nonprofits, Editing, Customer Service, Leadership, Sales, LexisNexis, Microsoft Office, PowerPoint, Research, Westlaw, Program Development, Property Management, Regulatory Compliance, Microsoft Word, Microsoft Excel, Legal Issues, Time Management
Education
Charlotte School of Law 2011 — 2014
Doctor of Law (J.D.), Law
North Carolina State University 2001 — 2005
Bachelor of Arts, English Language and Literature, General
LPL Financial May 2015 - Present
Legal Services of Southern Piedmont March 2015 - May 2015
US Securities and Exchange Commission September 2013 - December 2013
Charlotte School of Law: Entrepreneurship Clinic January 2013 - May 2013
Tatum Law Firm, PLLC June 2012 - January 2013
Skills
Legal Writing, Legal Research, Public Speaking, Program Management, Start-ups, Community Outreach, Event Planning, Nonprofits, Editing, Customer Service, Leadership, Sales, LexisNexis, Microsoft Office, PowerPoint, Research, Westlaw, Program Development, Property Management, Regulatory Compliance, Microsoft Word, Microsoft Excel, Legal Issues, Time Management
Education
Charlotte School of Law 2011 — 2014
Doctor of Law (J.D.), Law
North Carolina State University 2001 — 2005
Bachelor of Arts, English Language and Literature, General
John Yarbrough John Yarbrough's US Securities and Exchange Commission Experience January 2011 - May 2011
Job Associate Attorney
Industry Law Practice
Experience
Empire Petroleum Partners, LLC July 2015 - Present
Proskauer Rose LLP August 2011 - April 2015
US Securities and Exchange Commission January 2011 - May 2011
Woolf Simmonds Solicitors May 2010 - August 2010
Baltimore City Circuit Court, 8th Judicial Circuit May 2006 - August 2006
Education
Pepperdine University School of Law 2008 — 2011
JD, Law
The Johns Hopkins University 2004 — 2008
BA, History, Political Science
Empire Petroleum Partners, LLC July 2015 - Present
Proskauer Rose LLP August 2011 - April 2015
US Securities and Exchange Commission January 2011 - May 2011
Woolf Simmonds Solicitors May 2010 - August 2010
Baltimore City Circuit Court, 8th Judicial Circuit May 2006 - August 2006
Education
Pepperdine University School of Law 2008 — 2011
JD, Law
The Johns Hopkins University 2004 — 2008
BA, History, Political Science
Neil Weingarten Neil Weingarten's US Securities and Exchange Commission Experience June 2012 - June 2014
Job Partner at PwC
Industry Accounting
Ryan Carpenter Ryan Carpenter's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at Proskauer Rose LLP
Industry Law Practice
Experience
Proskauer Rose LLP September 2014 - Present
Proskauer Rose LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Liberty Mutual June 2009 - August 2011
Solios Asset Management LLC June 2006 - May 2009
Skadden Arps Slate Meagher & Flom LLP June 2005 - May 2006
Skills
Securities Regulation, Securities, Investments, Due Diligence, Private Equity, Valuation, SEC filings, Corporate Law
Education
University of Connecticut School of Law 2011 — 2014
J.D., with High Honors
Princeton University 2001 — 2005
A.B., Politics
St. Joseph High School
Proskauer Rose LLP September 2014 - Present
Proskauer Rose LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Liberty Mutual June 2009 - August 2011
Solios Asset Management LLC June 2006 - May 2009
Skadden Arps Slate Meagher & Flom LLP June 2005 - May 2006
Skills
Securities Regulation, Securities, Investments, Due Diligence, Private Equity, Valuation, SEC filings, Corporate Law
Education
University of Connecticut School of Law 2011 — 2014
J.D., with High Honors
Princeton University 2001 — 2005
A.B., Politics
St. Joseph High School
Verena Gibbs Verena Gibbs's US Securities and Exchange Commission Experience November 2012 - April 2015
Job Management Analyst at US Securities and Exchange Commission
Industry Human Resources
Experience
US Securities and Exchange Commission November 2012 - April 2015
US Army Corps of Engineers September 2011 - November 2012
US Army November 2008 - August 2011
Honeywell Technology Solutions, Inc. June 2008 - October 2008
US Army July 2004 - June 2008
Skills
Military, Logistics, Military Experience, Logistics Management, Military Operations, Government, Army, Windows Vista, DoD, Strategic Planning, Microsoft Office, Management, Training, National Security, Defense, Operational Planning
Education
University of Oklahoma
Master of Arts (M.A.), Business/Managerial Economics and Communication
Park University
Bachelor of Science (B.S.), Social Psychology
US Securities and Exchange Commission November 2012 - April 2015
US Army Corps of Engineers September 2011 - November 2012
US Army November 2008 - August 2011
Honeywell Technology Solutions, Inc. June 2008 - October 2008
US Army July 2004 - June 2008
Skills
Military, Logistics, Military Experience, Logistics Management, Military Operations, Government, Army, Windows Vista, DoD, Strategic Planning, Microsoft Office, Management, Training, National Security, Defense, Operational Planning
Education
University of Oklahoma
Master of Arts (M.A.), Business/Managerial Economics and Communication
Park University
Bachelor of Science (B.S.), Social Psychology
Jay Knight's US Securities and Exchange Commission Experience August 2007 - May 2012
Job Partner Bass, Berry & Sims PLC; Leader, Capital Markets Subgroup
Industry Law Practice
Experience
Bass, Berry & Sims May 2012 - Present
US Securities and Exchange Commission August 2007 - May 2012
George Mason University School of Law August 2010 - December 2010
Keating, Muething & Klekamp September 2005 - August 2007
Skills
Securities Regulation, Corporate Governance, Private Placements, SEC filings, IPO, Structured Finance, Mergers, Securitization, Investment Company Act, Investment Advisers Act, REITs, Securities Act of 1933, Securities Exchange Act..., Securities Law, Capital Markets, Equity Capital Markets
Education
Northern Kentucky University—Salmon P. Chase College of Law 2002 — 2005
Eastern Kentucky University
B.B.A., Finance
Bass, Berry & Sims May 2012 - Present
US Securities and Exchange Commission August 2007 - May 2012
George Mason University School of Law August 2010 - December 2010
Keating, Muething & Klekamp September 2005 - August 2007
Skills
Securities Regulation, Corporate Governance, Private Placements, SEC filings, IPO, Structured Finance, Mergers, Securitization, Investment Company Act, Investment Advisers Act, REITs, Securities Act of 1933, Securities Exchange Act..., Securities Law, Capital Markets, Equity Capital Markets
Education
Northern Kentucky University—Salmon P. Chase College of Law 2002 — 2005
Eastern Kentucky University
B.B.A., Finance
Thomas D'Orazio Thomas D'Orazio's US Securities and Exchange Commission Experience May 2013 - Present
Job Technical Accounting Staff Division of Corporation Finance | U.S. Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission May 2013 - Present
Sensus April 2005 - December 2012
R.H. Donnelley Corporation 2004 - 2005
Pillowtex Corporation 2001 - 2003
Glatfelter 1998 - 2001
Skills
Forecasting, Financial Reporting, Sarbanes-Oxley Act, Revenue Recognition, SEC filings, Managerial Finance, Finance, Budgets, Internal Controls, Variance Analysis, Corporate Tax, Accounting, SAP, Start-ups, Mergers & Acquisitions, Sarbanes-Oxley, Cost Accounting, US GAAP, Financial Audits, Acquisition Integration, Hyperion Enterprise, GAAP, Financial Accounting, Cash Management, Corporate Finance, Restructuring, Financial Modeling, Financial Analysis, Consolidation, Due Diligence, Strategic Financial..., Cash Flow, Auditing, Executive Management, Financial Planning, Internal Audit, SEC Filings
Education
Pace University - Lubin School of Business
B.B.A., Accounting and Financial Management
US Securities and Exchange Commission May 2013 - Present
Sensus April 2005 - December 2012
R.H. Donnelley Corporation 2004 - 2005
Pillowtex Corporation 2001 - 2003
Glatfelter 1998 - 2001
Skills
Forecasting, Financial Reporting, Sarbanes-Oxley Act, Revenue Recognition, SEC filings, Managerial Finance, Finance, Budgets, Internal Controls, Variance Analysis, Corporate Tax, Accounting, SAP, Start-ups, Mergers & Acquisitions, Sarbanes-Oxley, Cost Accounting, US GAAP, Financial Audits, Acquisition Integration, Hyperion Enterprise, GAAP, Financial Accounting, Cash Management, Corporate Finance, Restructuring, Financial Modeling, Financial Analysis, Consolidation, Due Diligence, Strategic Financial..., Cash Flow, Auditing, Executive Management, Financial Planning, Internal Audit, SEC Filings
Education
Pace University - Lubin School of Business
B.B.A., Accounting and Financial Management
Nicole Escobar Nicole Escobar's US Securities and Exchange Commission Experience May 2008 - August 2008
Job Associate
Industry Legal Services
Experience
Paul, Weiss, Rifkind, Wharton & Garrison LLP September 2014 - Present
Sutherland Asbill & Brennan LLP May 2012 - July 2012
Simpson Thacher & Bartlett LLP July 2010 - July 2011
U.S. Department of Justice August 2009 - July 2010
US Securities and Exchange Commission May 2008 - August 2008
Lehman Brothers May 2007 - July 2007
Kick Law Firm May 2006 - July 2006
Education
New York University School of Law 2011 — 2014
J.D., Law
Swarthmore College 2005 — 2009
B.A., Economics & Public Policy
The London School of Economics and Political Science (LSE) 2007 — 2008
Study Abroad
Southwest Miami High 2001 — 2005
HS Diploma
Paul, Weiss, Rifkind, Wharton & Garrison LLP September 2014 - Present
Sutherland Asbill & Brennan LLP May 2012 - July 2012
Simpson Thacher & Bartlett LLP July 2010 - July 2011
U.S. Department of Justice August 2009 - July 2010
US Securities and Exchange Commission May 2008 - August 2008
Lehman Brothers May 2007 - July 2007
Kick Law Firm May 2006 - July 2006
Education
New York University School of Law 2011 — 2014
J.D., Law
Swarthmore College 2005 — 2009
B.A., Economics & Public Policy
The London School of Economics and Political Science (LSE) 2007 — 2008
Study Abroad
Southwest Miami High 2001 — 2005
HS Diploma
David Zack David Zack's US Securities and Exchange Commission Experience November 1997 - January 2001
Job Chief Compliance Officer Equities and Investment Banking at Seaport Global Securities LLC
Industry Financial Services
Experience
Seaport Global Securities LLC September 2014 - Present
Global Hunter Securities, LLC June 2012 - Present
Credit Agricole Cheuvreux North America, Inc. February 2002 - June 2012
Knight Securities LP January 2001 - October 2001
US Securities and Exchange Commission November 1997 - January 2001
Susquehanna Investment Group August 1992 - November 1997
Skills
AML, Compliance, Regulatory Affairs, Regulatory Reporting, Securities Regulation, Risk Management, Credit Risk, Implementation Of..., Development Of Policies, Continuing Education, Compliance Audits, Securities, Capital Markets, Internal Controls, Client Services, Quality Auditing, Internal Audit, Equities, Banking, Series 24, Operational Risk, Financial Markets, Investment Banking, Hedge Funds, Electronic Trading, Financial Services, FINRA, Broker-Dealer, Policy, USA PATRIOT Act, SEC, Trading, KYC, Series 7, OFAC, Series 63, Anti Money Laundering
Education
FINRA Institute / Wharton School of the University of Pennsylvania 2000 — 2003
Certified Regulatory and Compliance Professional, Compliance
Philadelphia University 1996 — 1998
Master of Science, Taxation
Pennsylvania State University 1985 — 1989
Bachelor of Science, Accounting
Seaport Global Securities LLC September 2014 - Present
Global Hunter Securities, LLC June 2012 - Present
Credit Agricole Cheuvreux North America, Inc. February 2002 - June 2012
Knight Securities LP January 2001 - October 2001
US Securities and Exchange Commission November 1997 - January 2001
Susquehanna Investment Group August 1992 - November 1997
Skills
AML, Compliance, Regulatory Affairs, Regulatory Reporting, Securities Regulation, Risk Management, Credit Risk, Implementation Of..., Development Of Policies, Continuing Education, Compliance Audits, Securities, Capital Markets, Internal Controls, Client Services, Quality Auditing, Internal Audit, Equities, Banking, Series 24, Operational Risk, Financial Markets, Investment Banking, Hedge Funds, Electronic Trading, Financial Services, FINRA, Broker-Dealer, Policy, USA PATRIOT Act, SEC, Trading, KYC, Series 7, OFAC, Series 63, Anti Money Laundering
Education
FINRA Institute / Wharton School of the University of Pennsylvania 2000 — 2003
Certified Regulatory and Compliance Professional, Compliance
Philadelphia University 1996 — 1998
Master of Science, Taxation
Pennsylvania State University 1985 — 1989
Bachelor of Science, Accounting
David Torreblanca's US Securities and Exchange Commission Experience September 2012 - November 2012
Job Associate at Collins, McDonald & Gann, P.C.
Industry Law Practice
Experience
Collins, McDonald & Gann, P.C. September 2013 - Present
US Securities and Exchange Commission September 2012 - November 2012
Jaspan Schlesinger LLP May 2012 - August 2012
New York State Supreme Court June 2011 - August 2011
CHUNGDAHM Learning November 2009 - June 2010
Skills
Legal Writing, Legal Research, Corporate Law, Intellectual Property, LexisNexis
Education
St. John's University 2010 — 2013
Doctor of Law (J.D.)
Providence College 2005 — 2009
Bachelor of Arts (B.A.), Psychology
Collins, McDonald & Gann, P.C. September 2013 - Present
US Securities and Exchange Commission September 2012 - November 2012
Jaspan Schlesinger LLP May 2012 - August 2012
New York State Supreme Court June 2011 - August 2011
CHUNGDAHM Learning November 2009 - June 2010
Skills
Legal Writing, Legal Research, Corporate Law, Intellectual Property, LexisNexis
Education
St. John's University 2010 — 2013
Doctor of Law (J.D.)
Providence College 2005 — 2009
Bachelor of Arts (B.A.), Psychology
Nuveen Dhingra Nuveen Dhingra's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Law Clerk at Davis Polk & Wardwell LLP
Industry Law Practice
Experience
Davis Polk & Wardwell LLP October 2014 - Present
Davis Polk & Wardwell LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
PayPal June 2011 - August 2011
Education
NYU School of Law 2011 — 2014
JD, Law
University of California, Berkeley
B.A., Economics, Minor in Rhetoric
Davis Polk & Wardwell LLP October 2014 - Present
Davis Polk & Wardwell LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
PayPal June 2011 - August 2011
Education
NYU School of Law 2011 — 2014
JD, Law
University of California, Berkeley
B.A., Economics, Minor in Rhetoric
Samantha Chu's US Securities and Exchange Commission Experience August 2013 - December 2013
Job Recent graduate of the University of Connecticut School of Law
Industry Law Practice
Experience
NYC Department of Finance March 2015 - Present
US Securities and Exchange Commission August 2013 - December 2013
Hinckley Allen May 2013 - August 2013
Day Pitney LLP May 2012 - August 2012
Milbank, Tweed, Hadley & McCloy LLP August 2009 - June 2011
Skills
Legal Research, Legal Writing, Lexis, Legal Assistance, Research, Document Drafting, Editing, PowerPoint, Microsoft Office, Litigation Support, Westlaw, Policy Analysis, Commercial Litigation, Courts, Civil Litigation
Education
New York University School of Law
Master's Degree, Graduate Tax LL.M Program
The University of Connecticut School of Law 2011 — 2014
Doctor of Law (J.D.), Intellectual Property Law
Wellesley College 2005 — 2009
B.A., Political Science, History, Sociology
Kent School 2002 — 2005
H.S. Diploma
NYC Department of Finance March 2015 - Present
US Securities and Exchange Commission August 2013 - December 2013
Hinckley Allen May 2013 - August 2013
Day Pitney LLP May 2012 - August 2012
Milbank, Tweed, Hadley & McCloy LLP August 2009 - June 2011
Skills
Legal Research, Legal Writing, Lexis, Legal Assistance, Research, Document Drafting, Editing, PowerPoint, Microsoft Office, Litigation Support, Westlaw, Policy Analysis, Commercial Litigation, Courts, Civil Litigation
Education
New York University School of Law
Master's Degree, Graduate Tax LL.M Program
The University of Connecticut School of Law 2011 — 2014
Doctor of Law (J.D.), Intellectual Property Law
Wellesley College 2005 — 2009
B.A., Political Science, History, Sociology
Kent School 2002 — 2005
H.S. Diploma
Everett Mattox's US Securities and Exchange Commission Experience May 2012 - August 2012
Job JDMBA '15 Duke University
Industry Law Practice
Experience
Simpson Thacher & Bartlett LLP May 2013 - July 2013
US Securities and Exchange Commission May 2012 - August 2012
IntercontintalExchange August 2009 - June 2011
Standard & Poor's June 2008 - August 2008
Skills
Finance, Trading, Policy, Equities, Bonds, Analysis
Education
Duke University, JD-MBA Program 2012 — 2015
JD-MBA
Northwestern University School of Law 2011 — 2012
J.D.
The University of Georgia, Honors Program 2005 — 2009
B.B.A., Economics
The University of Georgia, Honors Program 2005 — 2009
B.A., Political Science
Episcopal High School 2002 — 2005
Simpson Thacher & Bartlett LLP May 2013 - July 2013
US Securities and Exchange Commission May 2012 - August 2012
IntercontintalExchange August 2009 - June 2011
Standard & Poor's June 2008 - August 2008
Skills
Finance, Trading, Policy, Equities, Bonds, Analysis
Education
Duke University, JD-MBA Program 2012 — 2015
JD-MBA
Northwestern University School of Law 2011 — 2012
J.D.
The University of Georgia, Honors Program 2005 — 2009
B.B.A., Economics
The University of Georgia, Honors Program 2005 — 2009
B.A., Political Science
Episcopal High School 2002 — 2005
Chris Muscarella's US Securities and Exchange Commission Experience August 1990 - August 1991
Job Professor of Finance at Penn State University
Industry Higher Education
Experience
Penn State University August 1991 - Present
US Securities and Exchange Commission August 1990 - August 1991
Education
Purdue University - Krannert School of Management
PhD, Finance
University of Notre Dame - Mendoza College of Business
MBA, Finance
Penn State University August 1991 - Present
US Securities and Exchange Commission August 1990 - August 1991
Education
Purdue University - Krannert School of Management
PhD, Finance
University of Notre Dame - Mendoza College of Business
MBA, Finance
Kyle Pine Kyle Pine's US Securities and Exchange Commission Experience May 2008 - August 2008
Job Associate at Goodwin Procter LLP
Industry Law Practice
Experience
Goodwin Procter LLP October 2013 - Present
Winston & Strawn LLP January 2011 - October 2013
Winston & Strawn LLP June 2009 - July 2009
US Securities and Exchange Commission May 2008 - August 2008
PricewaterhouseCoopers 2005 - 2007
Skills
Corporate Law, Due Diligence, Legal Research, Mergers & Acquisitions, Private Equity, Corporate Governance, Tax
Education
Northwestern University School of Law
Juris Doctor, cum laude, Law
University of Michigan - Stephen M. Ross School of Business
MAcc, Accounting
University of Michigan - Stephen M. Ross School of Business
BBA, with distinction, Business, Accounting
Goodwin Procter LLP October 2013 - Present
Winston & Strawn LLP January 2011 - October 2013
Winston & Strawn LLP June 2009 - July 2009
US Securities and Exchange Commission May 2008 - August 2008
PricewaterhouseCoopers 2005 - 2007
Skills
Corporate Law, Due Diligence, Legal Research, Mergers & Acquisitions, Private Equity, Corporate Governance, Tax
Education
Northwestern University School of Law
Juris Doctor, cum laude, Law
University of Michigan - Stephen M. Ross School of Business
MAcc, Accounting
University of Michigan - Stephen M. Ross School of Business
BBA, with distinction, Business, Accounting
Charlotte Newell's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Associate at Dechert LLP
Industry Law Practice
Experience
Dechert LLP October 2013 - Present
The Delaware Court of Chancery August 2012 - August 2013
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2011 - July 2011
US Securities and Exchange Commission June 2010 - August 2010
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates June 2008 - July 2009
Education
University of Pennsylvania Law School
Doctor of Law (J.D.), Law
Penn State University
Dechert LLP October 2013 - Present
The Delaware Court of Chancery August 2012 - August 2013
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2011 - July 2011
US Securities and Exchange Commission June 2010 - August 2010
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates June 2008 - July 2009
Education
University of Pennsylvania Law School
Doctor of Law (J.D.), Law
Penn State University
Michael Coffee Michael Coffee's US Securities and Exchange Commission Experience May 2012 - December 2012
Job Associate at Davis Polk & Wardwell LLP
Industry Law Practice
Experience
Davis Polk & Wardwell LLP January 2014 - Present
Financial Industry Regulatory Authority June 2013 - January 2014
The George Washington University Law School Small Business & Community Economic Development Clinic September 2012 - May 2013
The George Washington University Law School, Small Business & Community Economic Development Clinic May 2011 - May 2013
US Securities and Exchange Commission May 2012 - December 2012
Commodity Futures Trading Commission January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
Transport for London May 2008 - July 2008
Education
The George Washington University Law School 2010 — 2013
Doctor of Law (J.D.)
Providence College 2006 — 2010
BA, Quantitative Economics, Political Science (minor) Magna Cum Laude
Davis Polk & Wardwell LLP January 2014 - Present
Financial Industry Regulatory Authority June 2013 - January 2014
The George Washington University Law School Small Business & Community Economic Development Clinic September 2012 - May 2013
The George Washington University Law School, Small Business & Community Economic Development Clinic May 2011 - May 2013
US Securities and Exchange Commission May 2012 - December 2012
Commodity Futures Trading Commission January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
Transport for London May 2008 - July 2008
Education
The George Washington University Law School 2010 — 2013
Doctor of Law (J.D.)
Providence College 2006 — 2010
BA, Quantitative Economics, Political Science (minor) Magna Cum Laude
Douglas Witter Douglas Witter's US Securities and Exchange Commission Experience 1998 - 1999
Job Senior Compliance Officer at Oppenheimer & Co. Inc.
Industry Financial Services
Experience
Oppenheimer & Co. Inc. 2015 - Present
The Guardian Life Insurance Company of America 2008 - 2015
NYSE 2005 - 2008
J.P. Morgan 2003 - 2005
Keefe Managers and Keefe Ventures 2002 - 2003
Cantey Hanger LLP 1999 - 1999
US Securities and Exchange Commission 1998 - 1999
Skills
Securities, FINRA, Hedge Funds, Securities Regulation, Equities, Series 7, AML, Mutual Funds, Investments, Capital Markets, Financial Services, Asset Managment, SEC, Fixed Income, Investment Banking, Trading, Risk Management, Corporate Finance, Options, Private Equity, USA PATRIOT Act, Broker-Dealer, Investment Advisory, Series 24, Series 63, Financial Risk, Litigation, Derivatives, Financial Markets, Alternative Investments, Asset Management, Private Placements, KYC, Corporate Law, Banking, Financial Advisory, Corporate Governance, Wealth Management, Due Diligence, Bloomberg, Investment Management, Operational Risk, Bonds, Structured Finance, ETFs, Emerging Markets, Portfolio Management, Trading Systems
Education
University of Rochester
MBA, Finance and Accounting
Texas A&M University
JD, Securities, Corporate, and Taxation Law
Pace University
BS, Economics
Oppenheimer & Co. Inc. 2015 - Present
The Guardian Life Insurance Company of America 2008 - 2015
NYSE 2005 - 2008
J.P. Morgan 2003 - 2005
Keefe Managers and Keefe Ventures 2002 - 2003
Cantey Hanger LLP 1999 - 1999
US Securities and Exchange Commission 1998 - 1999
Skills
Securities, FINRA, Hedge Funds, Securities Regulation, Equities, Series 7, AML, Mutual Funds, Investments, Capital Markets, Financial Services, Asset Managment, SEC, Fixed Income, Investment Banking, Trading, Risk Management, Corporate Finance, Options, Private Equity, USA PATRIOT Act, Broker-Dealer, Investment Advisory, Series 24, Series 63, Financial Risk, Litigation, Derivatives, Financial Markets, Alternative Investments, Asset Management, Private Placements, KYC, Corporate Law, Banking, Financial Advisory, Corporate Governance, Wealth Management, Due Diligence, Bloomberg, Investment Management, Operational Risk, Bonds, Structured Finance, ETFs, Emerging Markets, Portfolio Management, Trading Systems
Education
University of Rochester
MBA, Finance and Accounting
Texas A&M University
JD, Securities, Corporate, and Taxation Law
Pace University
BS, Economics
Anna Peckjian Anna Peckjian's US Securities and Exchange Commission Experience June 2010 - September 2010
Job J.D. Candidate at Northwestern University School of Law
Industry Financial Services
Experience
Northwestern University School of Law August 2015 - Present
Deloitte August 2013 - July 2015
Deloitte June 2011 - August 2013
US Securities and Exchange Commission June 2010 - September 2010
Skills
Strategy, Financial Analysis, Management Consulting, Financial Modeling, Valuation
Education
Northwestern University 2007 — 2011
Bachelor's Degree, Economics, Psychology, Cum Laude
Northwestern University School of Law August 2015 - Present
Deloitte August 2013 - July 2015
Deloitte June 2011 - August 2013
US Securities and Exchange Commission June 2010 - September 2010
Skills
Strategy, Financial Analysis, Management Consulting, Financial Modeling, Valuation
Education
Northwestern University 2007 — 2011
Bachelor's Degree, Economics, Psychology, Cum Laude
Thomas Cimino Thomas Cimino's US Securities and Exchange Commission Experience September 1995 - October 1998
Job Vice President CFO at AEI Services LLC
Industry Oil & Energy
Experience
AEI Services LLC September 2012 - Present
AEI Svcs LLC May 2007 - September 2012
PricewaterhouseCoopers January 2003 - May 2007
US Securities and Exchange Commission September 1995 - October 1998
Education
Rice University 2010 — 2012
Executive MBA
Penn State University 1986 — 1990
Bachelor's degree
AEI Services LLC September 2012 - Present
AEI Svcs LLC May 2007 - September 2012
PricewaterhouseCoopers January 2003 - May 2007
US Securities and Exchange Commission September 1995 - October 1998
Education
Rice University 2010 — 2012
Executive MBA
Penn State University 1986 — 1990
Bachelor's degree
Anthony J Young, CPA/CGMA Anthony J Young, CPA/CGMA's US Securities and Exchange Commission Experience February 2013 - Present
Job Staff Accountant, Office of Compliance Inspections and Examinations at US Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission February 2013 - Present
Credit Suisse April 2012 - February 2013
BNP Paribas January 2012 - April 2012
MF Global February 2009 - November 2011
MF Global Inc. March 2006 - February 2009
Deloitte & Touche, LLP September 2003 - February 2006
MF Global February 2001 - August 2002
Merrill Lynch May 2000 - February 2001
Skills
Commodities, Accounting, Energy, Derivatives, Financial Reporting, Options, Financial Analysis, Trading, Capital Markets, SOX, Internal Controls, Financial Markets, Corporate Finance, Audit, Financial Accounting, Auditing, Commodity, SEC filings, Valuation, Equities, Budgets, Financial Risk, Sarbanes-Oxley Act, Financial Modeling, Process Improvement, Private Equity, Risk Management, Finance, Due Diligence, Hedge Funds, Bloomberg, Financial Services, Futures, Hedging, Strategy, Fixed Income, Cash Flow, Asset Management, Alternative Investments, FX Options, Investment Banking, Securities, Cash Management, Bonds, Middle Office, Portfolio Management, Investments, SEC Filings
Education
Pace University - Lubin School of Business 1999 — 2003
BBA
US Securities and Exchange Commission February 2013 - Present
Credit Suisse April 2012 - February 2013
BNP Paribas January 2012 - April 2012
MF Global February 2009 - November 2011
MF Global Inc. March 2006 - February 2009
Deloitte & Touche, LLP September 2003 - February 2006
MF Global February 2001 - August 2002
Merrill Lynch May 2000 - February 2001
Skills
Commodities, Accounting, Energy, Derivatives, Financial Reporting, Options, Financial Analysis, Trading, Capital Markets, SOX, Internal Controls, Financial Markets, Corporate Finance, Audit, Financial Accounting, Auditing, Commodity, SEC filings, Valuation, Equities, Budgets, Financial Risk, Sarbanes-Oxley Act, Financial Modeling, Process Improvement, Private Equity, Risk Management, Finance, Due Diligence, Hedge Funds, Bloomberg, Financial Services, Futures, Hedging, Strategy, Fixed Income, Cash Flow, Asset Management, Alternative Investments, FX Options, Investment Banking, Securities, Cash Management, Bonds, Middle Office, Portfolio Management, Investments, SEC Filings
Education
Pace University - Lubin School of Business 1999 — 2003
BBA
Christine Parlour Christine Parlour's US Securities and Exchange Commission Experience 2000 - 2001
Job Associate Professor, Haas Finance Group
Industry Higher Education
Experience
Haas School of Business 2006 - Present
Carnegie Mellon University 2003 - Present
Haas School of Business 2005 - 2006
Carnegie Mellon University 1995 - 2002
US Securities and Exchange Commission 2000 - 2001
Education
Queen's University 1991 — 1995
Ph.D., Economics
Queen's University 1989 — 1991
MA, Economics
University of Ottawa
BSocSci
Haas School of Business 2006 - Present
Carnegie Mellon University 2003 - Present
Haas School of Business 2005 - 2006
Carnegie Mellon University 1995 - 2002
US Securities and Exchange Commission 2000 - 2001
Education
Queen's University 1991 — 1995
Ph.D., Economics
Queen's University 1989 — 1991
MA, Economics
University of Ottawa
BSocSci
Daniel Hiltgen Daniel Hiltgen's US Securities and Exchange Commission Experience June 2010 - Present
Job Financial Economist
Industry Investment Management
Experience
US Securities and Exchange Commission June 2010 - Present
Skills
Leadership, Management, Risk Management, Financial Modeling, SAS, Matlab, Data Mining, Quantitative Analytics, Microsoft Excel, Forecasting, C++, LaTeX, Economics, Fortran, Teaching, Perl, Monte Carlo Simulation, Finance
Education
Purdue University - Krannert School of Management
MBA:, Investments and Corporate Finance
The University of Texas at Austin
Masters & Ph.D., Astrophysics
University of Wisconsin-Madison
US Securities and Exchange Commission June 2010 - Present
Skills
Leadership, Management, Risk Management, Financial Modeling, SAS, Matlab, Data Mining, Quantitative Analytics, Microsoft Excel, Forecasting, C++, LaTeX, Economics, Fortran, Teaching, Perl, Monte Carlo Simulation, Finance
Education
Purdue University - Krannert School of Management
MBA:, Investments and Corporate Finance
The University of Texas at Austin
Masters & Ph.D., Astrophysics
University of Wisconsin-Madison
Yuzhe PengLing's US Securities and Exchange Commission Experience August 2013 - December 2013
Job Litigation Associate at Paul Hastings
Industry Law Practice
Experience
US Securities and Exchange Commission August 2013 - December 2013
Morris, Manning & Martin, LLP May 2013 - June 2013
Ministry of Commerce People's Republic of China (MOFCOM) May 2012 - July 2012
Skills
Research, Legal Research, Event Planning, Policy, Government, International Relations, Editing, International..., Policy Analysis, Public Speaking, English, Microsoft Office, International Trade Law, Public Policy, Politics, Legal Writing, Corporate Law, Intellectual Property, International Law, Litigation, Arbitration, Commercial Litigation
Education
University of Michigan Law School 2011 — 2014
Doctor of Law (JD), Law
Yale University 2008 — 2010
PKU-Yale Joint Program
Peking University 2006 — 2010
BA, International Relations
Zhengzhou Foreign Language School 2003 — 2006
High School, Liberal Arts
US Securities and Exchange Commission August 2013 - December 2013
Morris, Manning & Martin, LLP May 2013 - June 2013
Ministry of Commerce People's Republic of China (MOFCOM) May 2012 - July 2012
Skills
Research, Legal Research, Event Planning, Policy, Government, International Relations, Editing, International..., Policy Analysis, Public Speaking, English, Microsoft Office, International Trade Law, Public Policy, Politics, Legal Writing, Corporate Law, Intellectual Property, International Law, Litigation, Arbitration, Commercial Litigation
Education
University of Michigan Law School 2011 — 2014
Doctor of Law (JD), Law
Yale University 2008 — 2010
PKU-Yale Joint Program
Peking University 2006 — 2010
BA, International Relations
Zhengzhou Foreign Language School 2003 — 2006
High School, Liberal Arts
Nicole Castano's US Securities and Exchange Commission Experience September 2012 - November 2012
Job Associate Attorney at Law Offices of Hoffman & Hoffman
Industry Law Practice
Experience
Law Offices of Hoffman & Hoffman May 2015 - Present
Quintairos, Prieto, Wood, & Boyer, P.A. February 2014 - May 2015
Higer Lichter & Givner 2013 - 2013
US Securities and Exchange Commission September 2012 - November 2012
Arnstein & Lehr LLP May 2012 - July 2012
Nova Southeastern University January 2012 - May 2012
Nova Southeastern University May 2011 - January 2012
Miami-Dade Public Defender's Office May 2011 - July 2011
Education
Nova Southeastern University 2010 — 2013
Juris Doctor, Summa Cum Laude, Class Rank: 2 out of 239
Law Offices of Hoffman & Hoffman May 2015 - Present
Quintairos, Prieto, Wood, & Boyer, P.A. February 2014 - May 2015
Higer Lichter & Givner 2013 - 2013
US Securities and Exchange Commission September 2012 - November 2012
Arnstein & Lehr LLP May 2012 - July 2012
Nova Southeastern University January 2012 - May 2012
Nova Southeastern University May 2011 - January 2012
Miami-Dade Public Defender's Office May 2011 - July 2011
Education
Nova Southeastern University 2010 — 2013
Juris Doctor, Summa Cum Laude, Class Rank: 2 out of 239
Terri Powell's US Securities and Exchange Commission Experience March 1998 - Present
Job
Industry Legal Services
Experience
US Securities and Exchange Commission March 1998 - Present
USN September 1982 - January 2003
US Navy Marine Corps Court of Criminal Appeals March 1994 - February 1998
Skills
PowerPoint, Microsoft Excel, Microsoft Word, Writing, Internet, Employee Benefits, Office Administration, Office Management, Proofreading, Research, Customer Service, Social Media, Typing, Windows, Microsoft Office, Youth Ministry, Public Speaking, Access, Software Documentation, Legal Research, Legal Documents, Courts, Adobe Acrobat, Government
Education
Northern Virginia Community College 2014 — 2014
Communication, General, 3.00
Strayer University (VA) 1998 — 1998
Bachelor of Business Administration (B.B.A.)
Strayer University (VA) 1991 — 1991
Business Admin
University of Southern Maine 1989 — 1989
Art; Real Estate, B, C
Charles County Community College Lexington Park, MD 1985 — 1985
Economics; Psycology, C; B
Brevard Jr College 1981 — 1982
Fine Arts
US Securities and Exchange Commission March 1998 - Present
USN September 1982 - January 2003
US Navy Marine Corps Court of Criminal Appeals March 1994 - February 1998
Skills
PowerPoint, Microsoft Excel, Microsoft Word, Writing, Internet, Employee Benefits, Office Administration, Office Management, Proofreading, Research, Customer Service, Social Media, Typing, Windows, Microsoft Office, Youth Ministry, Public Speaking, Access, Software Documentation, Legal Research, Legal Documents, Courts, Adobe Acrobat, Government
Education
Northern Virginia Community College 2014 — 2014
Communication, General, 3.00
Strayer University (VA) 1998 — 1998
Bachelor of Business Administration (B.B.A.)
Strayer University (VA) 1991 — 1991
Business Admin
University of Southern Maine 1989 — 1989
Art; Real Estate, B, C
Charles County Community College Lexington Park, MD 1985 — 1985
Economics; Psycology, C; B
Brevard Jr College 1981 — 1982
Fine Arts
David Rowe's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Litigation Associate at Paul, Weiss, Rifkind, Wharton & Garrison LLP
Industry Law Practice
Experience
Paul, Weiss, Rifkind, Wharton & Garrison LLP March 2013 - Present
United States District Court for the Eastern District of New York November 2011 - January 2013
The Honorable Deanell Tacha, Tenth Circuit Court of Appeals March 2011 - April 2011
US Securities and Exchange Commission June 2010 - August 2010
Dean Kenneth Starr, Pepperdine University School of Law June 2009 - May 2010
Apex Systems Inc. February 2007 - October 2007
Apex Systems Inc. August 2006 - August 2007
Education
Pepperdine School of Law 2008 — 2011
JD
University of California, Los Angeles 2002 — 2006
Bachelor of Arts (B.A.)
Paul, Weiss, Rifkind, Wharton & Garrison LLP March 2013 - Present
United States District Court for the Eastern District of New York November 2011 - January 2013
The Honorable Deanell Tacha, Tenth Circuit Court of Appeals March 2011 - April 2011
US Securities and Exchange Commission June 2010 - August 2010
Dean Kenneth Starr, Pepperdine University School of Law June 2009 - May 2010
Apex Systems Inc. February 2007 - October 2007
Apex Systems Inc. August 2006 - August 2007
Education
Pepperdine School of Law 2008 — 2011
JD
University of California, Los Angeles 2002 — 2006
Bachelor of Arts (B.A.)
Clint Ward's US Securities and Exchange Commission Experience 1995 - 1999
Job Chief Compliance Officer at Atlantic Trust
Industry Financial Services
Experience
Atlantic Trust September 2013 - Present
Sterling Capital Management October 2010 - September 2013
BB&T Asset Management, Inc. July 2004 - September 2010
Evergreen Investments 2002 - 2004
Banc of America Investments 1999 - 2002
US Securities and Exchange Commission 1995 - 1999
USS La Moure County LST-1194 October 1988 - July 1990
Skills
Securities, Mutual Funds, Asset Managment, Investments, Alternative Investments, Equities, Hedge Funds, Wealth Management, Fixed Income, Asset Allocation, Investment Management, Risk Management, Bloomberg, Investment Advisory, AML
Education
North Carolina State University - College of Management 2005 — 2007
Masters, Economics
Texas A&M University 1990 — 1994
BS, Economics
Atlantic Trust September 2013 - Present
Sterling Capital Management October 2010 - September 2013
BB&T Asset Management, Inc. July 2004 - September 2010
Evergreen Investments 2002 - 2004
Banc of America Investments 1999 - 2002
US Securities and Exchange Commission 1995 - 1999
USS La Moure County LST-1194 October 1988 - July 1990
Skills
Securities, Mutual Funds, Asset Managment, Investments, Alternative Investments, Equities, Hedge Funds, Wealth Management, Fixed Income, Asset Allocation, Investment Management, Risk Management, Bloomberg, Investment Advisory, AML
Education
North Carolina State University - College of Management 2005 — 2007
Masters, Economics
Texas A&M University 1990 — 1994
BS, Economics
Hudson Hollister's US Securities and Exchange Commission Experience July 2008 - September 2009
Job Executive Director at Data Transparency Coalition
Industry Government Administration
Experience
Data Transparency Coalition February 2012 - Present
House Committee on Oversight and Government Reform October 2009 - January 2012
US Securities and Exchange Commission July 2008 - September 2009
Latham & Watkins September 2005 - July 2008
Skills
Government, Litigation, Technology Policy, Commercial Litigation, Securities, Securities Litigation, Enforcement, Policy
Education
Northwestern University School of Law 2002 — 2005
J.D.
University of St. Francis 1999 — 2002
B.A., Political Science, Mass Communication
Data Transparency Coalition February 2012 - Present
House Committee on Oversight and Government Reform October 2009 - January 2012
US Securities and Exchange Commission July 2008 - September 2009
Latham & Watkins September 2005 - July 2008
Skills
Government, Litigation, Technology Policy, Commercial Litigation, Securities, Securities Litigation, Enforcement, Policy
Education
Northwestern University School of Law 2002 — 2005
J.D.
University of St. Francis 1999 — 2002
B.A., Political Science, Mass Communication
Marc Fagel's US Securities and Exchange Commission Experience September 1997 - April 2013
Job Partner at Gibson, Dunn & Crutcher LLP
Industry Law Practice
Experience
Gibson, Dunn & Crutcher LLP May 2013 - Present
US Securities and Exchange Commission September 1997 - April 2013
Morrison & Foerster LLP September 1991 - August 1997
Education
University of Chicago Law School 1988 — 1991
J.D., Law
Princeton University 1984 — 1988
A.B., Politics, Economics
Highland Park High School 1980 — 1984
Gibson, Dunn & Crutcher LLP May 2013 - Present
US Securities and Exchange Commission September 1997 - April 2013
Morrison & Foerster LLP September 1991 - August 1997
Education
University of Chicago Law School 1988 — 1991
J.D., Law
Princeton University 1984 — 1988
A.B., Politics, Economics
Highland Park High School 1980 — 1984
Danielle (Doherty) Pisani's US Securities and Exchange Commission Experience July 2013 - Present
Job Deputy Chief of Staff, Chief Operating Officer
Industry Government Administration
Experience
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission April 2009 - Present
Ascella Technologies October 2008 - March 2009
Delta Solutions & Technologies, Inc May 2007 - October 2008
CGI Federal February 2005 - May 2007
Skills
Project Management, Business Analysis, Government, Program Management, Process Improvement, Business Intelligence, Change Management, Consulting, PMP, Budgets, IT Strategy, Management, Leadership, Analysis, Business Process..., Management Consulting, SDLC, Financial Reporting, Team Management, Business Process
Education
Penn State University 2000 — 2004
Marketing and International Business, International Business, Economics
University of Westminster 2003 — 2003
International Business
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission April 2009 - Present
Ascella Technologies October 2008 - March 2009
Delta Solutions & Technologies, Inc May 2007 - October 2008
CGI Federal February 2005 - May 2007
Skills
Project Management, Business Analysis, Government, Program Management, Process Improvement, Business Intelligence, Change Management, Consulting, PMP, Budgets, IT Strategy, Management, Leadership, Analysis, Business Process..., Management Consulting, SDLC, Financial Reporting, Team Management, Business Process
Education
Penn State University 2000 — 2004
Marketing and International Business, International Business, Economics
University of Westminster 2003 — 2003
International Business
Christine Bashaw Adams's US Securities and Exchange Commission Experience May 2004 - Present
Job Accounting Expert
Industry Graphic Design
Experience
US Securities and Exchange Commission May 2004 - Present
Rohm and Haas September 2001 - May 2004
Education
Penn State University 1986 — 1991
US Securities and Exchange Commission May 2004 - Present
Rohm and Haas September 2001 - May 2004
Education
Penn State University 1986 — 1991
Patrick Defontnouvelle's US Securities and Exchange Commission Experience June 1999 - July 2002
Job Vice President at Federal Reserve Bank of Boston
Industry Banking
Experience
Federal Reserve Bank of Boston January 2005 - Present
US Securities and Exchange Commission June 1999 - July 2002
General Electric 1997 - 1999
GE Global Research 1997 - 1999
Insurance Services Office 1987 - 1990
Skills
Risk Management, Basel II, Operational Risk, Capital Markets, Financial Risk, Financial Modeling, Econometrics, Banking, Quantitative Analytics, Economics, Financial Analysis
Education
University of Wisconsin-Madison 1990 — 1995
PhD, Economics
Princeton University 1983 — 1987
Bachelor of Arts (BA), Mathematics
Federal Reserve Bank of Boston January 2005 - Present
US Securities and Exchange Commission June 1999 - July 2002
General Electric 1997 - 1999
GE Global Research 1997 - 1999
Insurance Services Office 1987 - 1990
Skills
Risk Management, Basel II, Operational Risk, Capital Markets, Financial Risk, Financial Modeling, Econometrics, Banking, Quantitative Analytics, Economics, Financial Analysis
Education
University of Wisconsin-Madison 1990 — 1995
PhD, Economics
Princeton University 1983 — 1987
Bachelor of Arts (BA), Mathematics
Virginia Rosado Desilets's US Securities and Exchange Commission Experience March 2013 - Present
Job Staff Attorney at US Securities and Exchange Commission, Division of Enforcement
Industry Law Practice
Experience
US Securities and Exchange Commission March 2013 - Present
Covington & Burling LLP September 2002 - March 2013
Skills
Commercial Litigation, Litigation, Securities Regulation
Education
New York University School of Law 1999 — 2002
Doctor of Law (J.D.)
Yale University 1995 — 1999
B.A., History, Spanish
US Securities and Exchange Commission March 2013 - Present
Covington & Burling LLP September 2002 - March 2013
Skills
Commercial Litigation, Litigation, Securities Regulation
Education
New York University School of Law 1999 — 2002
Doctor of Law (J.D.)
Yale University 1995 — 1999
B.A., History, Spanish
Jim Canavan, CFA's US Securities and Exchange Commission Experience August 2008 - Present
Job Branch Chief at US Securities and Exchange Commission
Industry Investment Management
Experience
US Securities and Exchange Commission August 2008 - Present
Fairfield Residential August 2005 - May 2008
Fannie Mae January 2001 - August 2005
Oxford Tax Exempt Fund August 1998 - September 2000
First USA 1996 - 1998
Eastern Mortgage Services 1993 - 1994
Arthur Andersen 1990 - 1993
Education
Penn State University 1985 — 1989
BS, Accounting
US Securities and Exchange Commission August 2008 - Present
Fairfield Residential August 2005 - May 2008
Fannie Mae January 2001 - August 2005
Oxford Tax Exempt Fund August 1998 - September 2000
First USA 1996 - 1998
Eastern Mortgage Services 1993 - 1994
Arthur Andersen 1990 - 1993
Education
Penn State University 1985 — 1989
BS, Accounting
Frank Dreano's US Securities and Exchange Commission Experience 1998 - 2001
Job Owner, Dreano Consulting
Industry Government Administration
Experience
Dreano Consulting Indpendent ConsultantMaster Key Consulting2001 - Present
Department of Justice 2000 - Present
U.S. Department of Justice 2001 - 2008
U.S. Dept of Justice - Office of Justice Programs 2001 - 2008
USPTO 2005 - 2007
Master Key Resources 2001 - 2005
Office of Justice Programs (OJP) 2000 - 2005
US Dept of Justice 2000 - 2001
US Securities and Exchange Commission 1998 - 2001
Skills
SDLC, Analysis, Project Management, Government, Project Planning, Enterprise Architecture, Business Analysis, Strategy, Management Consulting, Program Management, Testing, Leadership, Management, Change Management, Security, Customer Service, SharePoint, Requirements Analysis, Process Improvement, Integration, Information Assurance, Risk Management, Budgets, PMP, Governance, Information Technology, Business Process..., IT Strategy
Education
Old Dominion University 1980 — 1985
Dreano Consulting Indpendent ConsultantMaster Key Consulting2001 - Present
Department of Justice 2000 - Present
U.S. Department of Justice 2001 - 2008
U.S. Dept of Justice - Office of Justice Programs 2001 - 2008
USPTO 2005 - 2007
Master Key Resources 2001 - 2005
Office of Justice Programs (OJP) 2000 - 2005
US Dept of Justice 2000 - 2001
US Securities and Exchange Commission 1998 - 2001
Skills
SDLC, Analysis, Project Management, Government, Project Planning, Enterprise Architecture, Business Analysis, Strategy, Management Consulting, Program Management, Testing, Leadership, Management, Change Management, Security, Customer Service, SharePoint, Requirements Analysis, Process Improvement, Integration, Information Assurance, Risk Management, Budgets, PMP, Governance, Information Technology, Business Process..., IT Strategy
Education
Old Dominion University 1980 — 1985
Thomas Mester, CFA's US Securities and Exchange Commission Experience January 2011 - October 2013
Job Executive Director at JPMorgan Chase
Industry Financial Services
Experience
JPMorgan Chase October 2013 - Present
US Securities and Exchange Commission January 2011 - October 2013
Newedge USA August 2008 - January 2011
Citadel Derivatives Group July 2005 - August 2008
Skills
Trading, Risk Management, Regulatory Affairs, Derivatives Trading, Options Strategies, Compliance, Risk Compliance, Electronic Trading, Equities, Trading Systems, Options
Education
Northwestern University - Kellogg School of Management 1990 — 1992
Master of Business Administration (MBA), Finance and Financial Management Services
University of Virginia 1983 — 1987
Bachelor of Arts (BA), Economics
JPMorgan Chase October 2013 - Present
US Securities and Exchange Commission January 2011 - October 2013
Newedge USA August 2008 - January 2011
Citadel Derivatives Group July 2005 - August 2008
Skills
Trading, Risk Management, Regulatory Affairs, Derivatives Trading, Options Strategies, Compliance, Risk Compliance, Electronic Trading, Equities, Trading Systems, Options
Education
Northwestern University - Kellogg School of Management 1990 — 1992
Master of Business Administration (MBA), Finance and Financial Management Services
University of Virginia 1983 — 1987
Bachelor of Arts (BA), Economics
Barry Bazian's US Securities and Exchange Commission Experience January 2012 - April 2012
Job Associate at Lowenstein Sandler LLP
Industry Law Practice
Experience
Lowenstein Sandler LLP September 2014 - Present
United States Bankruptcy Court, Eastern District of New York September 2013 - August 2014
Forman Holt Eliades Ravin & Youngman May 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - January 2012
St. John's University School of Law June 2011 - September 2011
Honorable Martin E. Ritholtz, Supreme Court, Queens County June 2011 - July 2011
Education
St. John's University School of Law 2010 — 2013
J.D., Law
Queens College 2007 — 2010
B.A., English, cum laude
Lowenstein Sandler LLP September 2014 - Present
United States Bankruptcy Court, Eastern District of New York September 2013 - August 2014
Forman Holt Eliades Ravin & Youngman May 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - January 2012
St. John's University School of Law June 2011 - September 2011
Honorable Martin E. Ritholtz, Supreme Court, Queens County June 2011 - July 2011
Education
St. John's University School of Law 2010 — 2013
J.D., Law
Queens College 2007 — 2010
B.A., English, cum laude
Sean Weisberg's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Associate at Latham & Watkins
Industry Legal Services
Experience
Latham & Watkins May 2011 - July 2011
US Securities and Exchange Commission June 2010 - August 2010
JPMorgan July 2007 - September 2008
Skills
Research, Securities Regulation, Data Analysis, Legal Research, Legal Writing, Financial Modeling, Emerging Markets, Corporate Governance, Private Equity, Mergers & Acquisitions, Securities, Corporate Finance
Education
New York University School of Law
Doctor of Law (J.D.)
Stanford University
M.A.
Stanford University
B.A.
Latham & Watkins May 2011 - July 2011
US Securities and Exchange Commission June 2010 - August 2010
JPMorgan July 2007 - September 2008
Skills
Research, Securities Regulation, Data Analysis, Legal Research, Legal Writing, Financial Modeling, Emerging Markets, Corporate Governance, Private Equity, Mergers & Acquisitions, Securities, Corporate Finance
Education
New York University School of Law
Doctor of Law (J.D.)
Stanford University
M.A.
Stanford University
B.A.
David Michehl's US Securities and Exchange Commission Experience April 2005 - Present
Job Special Counsel at US Securities and Exchange Commission
Industry Capital Markets
Experience
US Securities and Exchange Commission April 2005 - Present
K&L Gates September 2002 - April 2005
US Department of Defense 1994 - 1998
Skills
Securities Regulation, Corporate Governance, Securities, Corporate Law, Internal Investigations, Financial Regulation, Legal Research, Due Diligence, Private Equity, Capital Markets, Consumer Law, Intellectual Property
Education
Northwestern University - Kellogg School of Management 1998 — 2002
JD/MBA
Northwestern University School of Law 1998 — 2002
JD/MBA
University of Illinois at Urbana-Champaign - College of Business 1990 — 1994
B.S., Accountancy
US Securities and Exchange Commission April 2005 - Present
K&L Gates September 2002 - April 2005
US Department of Defense 1994 - 1998
Skills
Securities Regulation, Corporate Governance, Securities, Corporate Law, Internal Investigations, Financial Regulation, Legal Research, Due Diligence, Private Equity, Capital Markets, Consumer Law, Intellectual Property
Education
Northwestern University - Kellogg School of Management 1998 — 2002
JD/MBA
Northwestern University School of Law 1998 — 2002
JD/MBA
University of Illinois at Urbana-Champaign - College of Business 1990 — 1994
B.S., Accountancy
Marta Chaffee's US Securities and Exchange Commission Experience August 2011 - April 2015
Job Advisor at Federal Reserve Board
Industry Financial Services
Experience
Federal Reserve Board April 2015 - Present
US Securities and Exchange Commission August 2011 - April 2015
US Securities and Exchange Commission June 2010 - August 2011
US Securities and Exchange Commission November 2007 - June 2010
US Government Accountability Office August 2004 - November 2007
PricewaterhouseCoopers July 2000 - July 2004
Education
University of Michigan 1998 — 2000
MPP, Public Policy
Occidental College 1994 — 1998
BA, Public Policy
Federal Reserve Board April 2015 - Present
US Securities and Exchange Commission August 2011 - April 2015
US Securities and Exchange Commission June 2010 - August 2011
US Securities and Exchange Commission November 2007 - June 2010
US Government Accountability Office August 2004 - November 2007
PricewaterhouseCoopers July 2000 - July 2004
Education
University of Michigan 1998 — 2000
MPP, Public Policy
Occidental College 1994 — 1998
BA, Public Policy
Heidi Adams, CPA, CGFM's US Securities and Exchange Commission Experience February 2007 - July 2008
Job Financial Management Officer at U.S. Department of State
Industry Accounting
Experience
U.S. Department of State June 2014 - Present
Kearney & Company July 2008 - Present
US Securities and Exchange Commission February 2007 - July 2008
US Small Business Administration February 2005 - February 2007
Skills
Financial Reporting, CPA, Internal Controls, GAAP, Auditing
Education
George Mason University - School of Business 2006 — 2008
MBA, Accounting
Penn State University 1998 — 2002
B.S, Accounting
U.S. Department of State June 2014 - Present
Kearney & Company July 2008 - Present
US Securities and Exchange Commission February 2007 - July 2008
US Small Business Administration February 2005 - February 2007
Skills
Financial Reporting, CPA, Internal Controls, GAAP, Auditing
Education
George Mason University - School of Business 2006 — 2008
MBA, Accounting
Penn State University 1998 — 2002
B.S, Accounting
Laurie Green's US Securities and Exchange Commission Experience August 1988 - July 1999
Job Partner at Holland & Knight LLP
Industry Law Practice
Experience
Holland & Knight LLP January 2007 - Present
Akerman Senterfitt August 1999 - December 2006
US Securities and Exchange Commission August 1988 - July 1999
U.S. Securities & Exchange Commission 1988 - 1999
Skills
Venture Capital, Mergers & Acquisitions, Mergers, Securities Regulation, Corporate Finance, Corporate Law, Corporate Governance, Litigation
Education
Nova Southeastern University—Shepard Broad Law Center 1985 — 1988
jd, Law
Holland & Knight LLP January 2007 - Present
Akerman Senterfitt August 1999 - December 2006
US Securities and Exchange Commission August 1988 - July 1999
U.S. Securities & Exchange Commission 1988 - 1999
Skills
Venture Capital, Mergers & Acquisitions, Mergers, Securities Regulation, Corporate Finance, Corporate Law, Corporate Governance, Litigation
Education
Nova Southeastern University—Shepard Broad Law Center 1985 — 1988
jd, Law
Jerome Roche's US Securities and Exchange Commission Experience September 1997 - September 2000
Job
Industry Legal Services
Experience
Mayer Brown March 2007 - Present
TIAA-CREF December 2005 - March 2007
WilmerHale September 2000 - November 2005
US Securities and Exchange Commission September 1997 - September 2000
Interstate Electronics February 1993 - August 1994
Skills
Securities, Corporate Law, Corporate Governance, FCPA, Banking Law, Legal Research, Legal Writing, Internal Investigations, Privacy Law, FINRA, Litigation Management, Mergers, Cross-border..., Legal Advice, Legal Compliance, Financial Regulation, Dodd-Frank, Broker-Dealer, Securities Regulation
Education
University of Michigan Law School 1994 — 1997
JD
Purdue University 1988 — 1992
BS
Highland High School 1984 — 1988
HS Diploma
Mayer Brown March 2007 - Present
TIAA-CREF December 2005 - March 2007
WilmerHale September 2000 - November 2005
US Securities and Exchange Commission September 1997 - September 2000
Interstate Electronics February 1993 - August 1994
Skills
Securities, Corporate Law, Corporate Governance, FCPA, Banking Law, Legal Research, Legal Writing, Internal Investigations, Privacy Law, FINRA, Litigation Management, Mergers, Cross-border..., Legal Advice, Legal Compliance, Financial Regulation, Dodd-Frank, Broker-Dealer, Securities Regulation
Education
University of Michigan Law School 1994 — 1997
JD
Purdue University 1988 — 1992
BS
Highland High School 1984 — 1988
HS Diploma
Kristin Shifflett (Medvetz)'s US Securities and Exchange Commission Experience November 2004 - Present
Job Accountant at US Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission November 2004 - Present
Watermark Press December 2000 - October 2004
Arthur Andersen September 1996 - December 2000
Shreve Bowersox, P.C. 1995 - July 1996
Skills
Accounting, SEC filings, Financial Reporting, US GAAP, Internal Controls, Sarbanes-Oxley Act, CPA, GAAP
Education
University of Maryland College Park 1993 — 1995
Bachelor of Science, Accounting and Finance
Penn State University 1991 — 1993
US Securities and Exchange Commission November 2004 - Present
Watermark Press December 2000 - October 2004
Arthur Andersen September 1996 - December 2000
Shreve Bowersox, P.C. 1995 - July 1996
Skills
Accounting, SEC filings, Financial Reporting, US GAAP, Internal Controls, Sarbanes-Oxley Act, CPA, GAAP
Education
University of Maryland College Park 1993 — 1995
Bachelor of Science, Accounting and Finance
Penn State University 1991 — 1993
Bob Hartman's US Securities and Exchange Commission Experience 2013 - Present
Job US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission 2013 - Present
KPMG 2008 - 2013
KPMG 2004 - 2008
KPMG 2002 - 2004
Skills
Fraud, Due Diligence, Internal Controls, Risk Management, Sarbanes-Oxley Act, Forensic Accounting, Risk Assessment, Private Investigations, Forensic Analysis, Auditing, Internal Audit, Compliance, Accounting
Education
Purdue University 1997 — 2001
Accounting, Finance
US Securities and Exchange Commission 2013 - Present
KPMG 2008 - 2013
KPMG 2004 - 2008
KPMG 2002 - 2004
Skills
Fraud, Due Diligence, Internal Controls, Risk Management, Sarbanes-Oxley Act, Forensic Accounting, Risk Assessment, Private Investigations, Forensic Analysis, Auditing, Internal Audit, Compliance, Accounting
Education
Purdue University 1997 — 2001
Accounting, Finance
Richard (DJ) Gorman's US Securities and Exchange Commission Experience January 2000 - May 2006
Job CCO Oakmark Funds at Harris Associates Investment Trust
Industry Investment Management
Experience
Harris Associates Investment Trust June 2006 - Present
US Securities and Exchange Commission January 2000 - May 2006
US Securities and Exchange Commission September 1994 - November 1999
Education
Providence College
B.A., History
University of Detroit Law School
J.D.
Harris Associates Investment Trust June 2006 - Present
US Securities and Exchange Commission January 2000 - May 2006
US Securities and Exchange Commission September 1994 - November 1999
Education
Providence College
B.A., History
University of Detroit Law School
J.D.
Karina Dorin's US Securities and Exchange Commission Experience October 2012 - Present
Job Staff Attorney at US Securities and Exchange Commission
Industry Legal Services
Experience
US Securities and Exchange Commission October 2012 - Present
Dewey & LeBoeuf LLP February 2010 - May 2012
Milbank, Tweed, Hadley & McCloy October 2001 - January 2010
Education
New York University School of Law 1998 — 2001
JD
The University of Chicago 1994 — 1997
BA, Political Science
Winston Churchill High School 1990 — 1994
US Securities and Exchange Commission October 2012 - Present
Dewey & LeBoeuf LLP February 2010 - May 2012
Milbank, Tweed, Hadley & McCloy October 2001 - January 2010
Education
New York University School of Law 1998 — 2001
JD
The University of Chicago 1994 — 1997
BA, Political Science
Winston Churchill High School 1990 — 1994
Kashya Shei's US Securities and Exchange Commission Experience December 2000 - Present
Job Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission December 2000 - Present
Coudert Brothers September 1997 - June 2000
Lillick & Charles LLP October 1994 - August 1997
Education
New York University School of Law 1991 — 1994
JD, LAW
University of California, Berkeley 1986 — 1990
A.B., Political Science
US Securities and Exchange Commission December 2000 - Present
Coudert Brothers September 1997 - June 2000
Lillick & Charles LLP October 1994 - August 1997
Education
New York University School of Law 1991 — 1994
JD, LAW
University of California, Berkeley 1986 — 1990
A.B., Political Science
Alexander Marriott's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at Cameron LLP
Industry Law Practice
Experience
Cameron LLP August 2014 - Present
Hogan Law Associates January 2014 - August 2014
U.S. Senate Committee on the Judiciary, Oversight and Investigative Unit January 2013 - April 2013
Federal Public Defender September 2012 - December 2012
US Securities and Exchange Commission May 2012 - August 2012
Federal Trade Commission January 2009 - August 2011
Department of Homeland Security August 2008 - January 2009
Skills
Public Policy, Legislative Relations, Political Campaigns, Westlaw, Legal Writing, Policy Analysis, Politics, Lexis, Editing, Legal Research, Public Speaking, Community Outreach, Courts, Legislation, Litigation
Education
The George Washington University Law School 2011 — 2014
Doctor of Law (J.D.), cum laude
Providence College 2004 — 2008
Bachelor's degree, English/Political Science
Cameron LLP August 2014 - Present
Hogan Law Associates January 2014 - August 2014
U.S. Senate Committee on the Judiciary, Oversight and Investigative Unit January 2013 - April 2013
Federal Public Defender September 2012 - December 2012
US Securities and Exchange Commission May 2012 - August 2012
Federal Trade Commission January 2009 - August 2011
Department of Homeland Security August 2008 - January 2009
Skills
Public Policy, Legislative Relations, Political Campaigns, Westlaw, Legal Writing, Policy Analysis, Politics, Lexis, Editing, Legal Research, Public Speaking, Community Outreach, Courts, Legislation, Litigation
Education
The George Washington University Law School 2011 — 2014
Doctor of Law (J.D.), cum laude
Providence College 2004 — 2008
Bachelor's degree, English/Political Science
Carolyn Schenck's US Securities and Exchange Commission Experience 2003 - 2004
Job Senior Counsel
Industry Law Enforcement
Experience
Pepperdine University School of Law August 2007 - Present
U.S. Department of the Treasury, Internal Revenue Service May 2006 - Present
US Securities and Exchange Commission 2003 - 2004
Skills
IRS, SEC filings, Securities Fraud, Fraud Detection, Fraud, International Tax, Tax, FATCA, Political Campaigns, International Law, International Banking...
Education
Pepperdine University School of Law 2000 — 2003
J.D., Law
Northern Arizona University
Bachelor of Science (B.S.)
Pepperdine University School of Law August 2007 - Present
U.S. Department of the Treasury, Internal Revenue Service May 2006 - Present
US Securities and Exchange Commission 2003 - 2004
Skills
IRS, SEC filings, Securities Fraud, Fraud Detection, Fraud, International Tax, Tax, FATCA, Political Campaigns, International Law, International Banking...
Education
Pepperdine University School of Law 2000 — 2003
J.D., Law
Northern Arizona University
Bachelor of Science (B.S.)
Mike Balducci's US Securities and Exchange Commission Experience September 1996 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Capital Markets
Experience
US Securities and Exchange Commission September 1996 - Present
Education
Pace University 1992 — 1996
BBA, Finance/Economics
US Securities and Exchange Commission September 1996 - Present
Education
Pace University 1992 — 1996
BBA, Finance/Economics
Lesley Ward, CRCP's US Securities and Exchange Commission Experience November 2014 - Present
Job Senior Program Adviser at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission March 2013 - November 2014
U.S. Securities & Exchange Commission March 2007 - March 2013
SEC June 1999 - March 2007
Education
Old Dominion University 1996 — 1999
BS, Finance
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission March 2013 - November 2014
U.S. Securities & Exchange Commission March 2007 - March 2013
SEC June 1999 - March 2007
Education
Old Dominion University 1996 — 1999
BS, Finance
Jon Block's US Securities and Exchange Commission Experience October 2004 - October 2007
Job Director Public Policy and External Affairs at Grant Thornton International Ltd.
Industry Public Policy
Experience
Grant Thornton International Ltd November 2007 - Present
US Securities and Exchange Commission October 2004 - October 2007
Wilson Sonsini Goodrich and Rosati October 1997 - September 2004
United States Court of Appeals for the Fifth Circuit September 1996 - September 1997
Education
New York University School of Law 1993 — 1996
JD, laq
University of Michigan 1987 — 1991
BA, Economics, History
Grant Thornton International Ltd November 2007 - Present
US Securities and Exchange Commission October 2004 - October 2007
Wilson Sonsini Goodrich and Rosati October 1997 - September 2004
United States Court of Appeals for the Fifth Circuit September 1996 - September 1997
Education
New York University School of Law 1993 — 1996
JD, laq
University of Michigan 1987 — 1991
BA, Economics, History
Joyce Lai, CFA's US Securities and Exchange Commission Experience July 1997 - Present
Job SEC Examiner
Industry Investment Management
Experience
US Securities and Exchange Commission July 1997 - Present
Federal Deposit Insurance Corporation May 1991 - July 1997
Gaklis Real Estate August 1989 - April 1991
Neworld Bank October 1985 - September 1989
Skills
Banking, Auditing, Real Estate, Due Diligence, Credit, Private Equity, Mutual Funds, Loans
Education
Northeastern University 1986 — 1991
BS Business Administration, Finance and Real Estate
US Securities and Exchange Commission July 1997 - Present
Federal Deposit Insurance Corporation May 1991 - July 1997
Gaklis Real Estate August 1989 - April 1991
Neworld Bank October 1985 - September 1989
Skills
Banking, Auditing, Real Estate, Due Diligence, Credit, Private Equity, Mutual Funds, Loans
Education
Northeastern University 1986 — 1991
BS Business Administration, Finance and Real Estate
Lila Brolsma's US Securities and Exchange Commission Experience May 1995 - September 1998
Job Accounting Professional
Industry Accounting
Experience
Enspire Inc. March 2014 - Present
Resources Global Professionals June 2003 - November 2008
ABB CAPITAL B.V. November 2001 - October 2002
Dell July 2000 - May 2001
Resources Global Professionals March 2000 - July 2000
Arthur Andersen, LLP September 1998 - October 1999
US Securities and Exchange Commission May 1995 - September 1998
Skills
Internal Controls, Financial Analysis, Internal Audit, General Ledger, GAAP, Auditing, US GAAP, Finance, Accounting, Process Improvement
Education
Our Lady of the Lake University 1989 — 1993
BBA, Accounting
Enspire Inc. March 2014 - Present
Resources Global Professionals June 2003 - November 2008
ABB CAPITAL B.V. November 2001 - October 2002
Dell July 2000 - May 2001
Resources Global Professionals March 2000 - July 2000
Arthur Andersen, LLP September 1998 - October 1999
US Securities and Exchange Commission May 1995 - September 1998
Skills
Internal Controls, Financial Analysis, Internal Audit, General Ledger, GAAP, Auditing, US GAAP, Finance, Accounting, Process Improvement
Education
Our Lady of the Lake University 1989 — 1993
BBA, Accounting
Belinda Blaine's US Securities and Exchange Commission Experience 1997 - 2002
Job Executive Director Morgan Stanley & Co.
Industry Financial Services
Experience
Morgan Stanley & Co. 2004 - Present
Morgan Stanley International October 2002 - September 2004
US Securities and Exchange Commission 1997 - 2002
Skills
Securities Regulation
Education
Pomona College
BA
University of California, Los Angeles - School of Law
JD
Morgan Stanley & Co. 2004 - Present
Morgan Stanley International October 2002 - September 2004
US Securities and Exchange Commission 1997 - 2002
Skills
Securities Regulation
Education
Pomona College
BA
University of California, Los Angeles - School of Law
JD
Coy Garrison's US Securities and Exchange Commission Experience September 2013 - Present
Job AttorneyAdvisor, Division of Corporation Finance at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission September 2013 - Present
United States Court of Appeals for the Fourth Circuit August 2012 - August 2013
NBCUniversal, Inc. September 2011 - April 2012
US Securities and Exchange Commission June 2011 - August 2011
Hogan Lovells September 2010 - December 2010
Key Health May 2010 - July 2010
Case New Holland May 2008 - August 2009
Case New Holland May 2005 - April 2008
Education
Pepperdine University School of Law 2009 — 2012
J.D.
University of Maryland College Park 2004 — 2008
B.A., Government & Politics
US Securities and Exchange Commission September 2013 - Present
United States Court of Appeals for the Fourth Circuit August 2012 - August 2013
NBCUniversal, Inc. September 2011 - April 2012
US Securities and Exchange Commission June 2011 - August 2011
Hogan Lovells September 2010 - December 2010
Key Health May 2010 - July 2010
Case New Holland May 2008 - August 2009
Case New Holland May 2005 - April 2008
Education
Pepperdine University School of Law 2009 — 2012
J.D.
University of Maryland College Park 2004 — 2008
B.A., Government & Politics
Michael S. Caccese's US Securities and Exchange Commission Experience June 1979 - May 1980
Job Investment Management Partner at K&L Gates. A global law firm of over 2,000 lawyers across 4 continents
Industry Law Practice
Experience
K&L Gates LLP March 2001 - Present
CFA Institute January 1993 - October 2000
Russell Investments October 1983 - January 1993
Federated Investors May 1980 - October 1983
US Securities and Exchange Commission June 1979 - May 1980
Skills
Investment Management, Securities Regulation, Private Equity, Hedge Funds, Investment Advisory, FINRA, Broker-Dealer, Investment Companies, Investment Advisor..., GIPS Compliance, Investment Advisers Act
Education
Temple University - James E. Beasley School of Law 1977 — 1980
Doctor of Law (JD)
Penn State University 1973 — 1977
Bachelor of Arts (BA), American Studies
K&L Gates LLP March 2001 - Present
CFA Institute January 1993 - October 2000
Russell Investments October 1983 - January 1993
Federated Investors May 1980 - October 1983
US Securities and Exchange Commission June 1979 - May 1980
Skills
Investment Management, Securities Regulation, Private Equity, Hedge Funds, Investment Advisory, FINRA, Broker-Dealer, Investment Companies, Investment Advisor..., GIPS Compliance, Investment Advisers Act
Education
Temple University - James E. Beasley School of Law 1977 — 1980
Doctor of Law (JD)
Penn State University 1973 — 1977
Bachelor of Arts (BA), American Studies
Bob Bristow, CFA's US Securities and Exchange Commission Experience November 1990 - November 1994
Job Chief Compliance Officer at Upromise Investments, Inc.
Industry Financial Services
Experience
Upromise Investments, Inc. January 2012 - Present
Regulatory Compliance, Inc. October 2010 - December 2011
Fidelity Investments November 1994 - July 2011
CFS Consulting Services, LLC. 2009 - 2010
COLT Telecom August 2003 - August 2005
US Securities and Exchange Commission November 1990 - November 1994
Skills
Regulatory Compliance
Education
Pace University - Lubin School of Business 1985 — 1987
MBA, Executive Management
United States Military Academy at West Point 1974 — 1978
BS, Engineering
Upromise Investments, Inc. January 2012 - Present
Regulatory Compliance, Inc. October 2010 - December 2011
Fidelity Investments November 1994 - July 2011
CFS Consulting Services, LLC. 2009 - 2010
COLT Telecom August 2003 - August 2005
US Securities and Exchange Commission November 1990 - November 1994
Skills
Regulatory Compliance
Education
Pace University - Lubin School of Business 1985 — 1987
MBA, Executive Management
United States Military Academy at West Point 1974 — 1978
BS, Engineering
Laura Singer's US Securities and Exchange Commission Experience 1990 - 1996
Job Securities Regulation and Broker Dealer Expertise
Industry Law Practice
Experience
E*TRADE Financial January 2001 - June 2006
US Securities and Exchange Commission 1990 - 1996
Education
Northwestern University School of Law 1975 — 1978
JD
Northwestern University 1971 — 1975
BA, Psych, English
E*TRADE Financial January 2001 - June 2006
US Securities and Exchange Commission 1990 - 1996
Education
Northwestern University School of Law 1975 — 1978
JD
Northwestern University 1971 — 1975
BA, Psych, English
James Blenko's US Securities and Exchange Commission Experience 2007 - Present
Job Attorney at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission 2007 - Present
Sidley Austin 2002 - 2007
Skills
Securities Regulation, Securities Litigation, Legal Writing
Education
University of Chicago Law School 1998 — 2001
J.D.
University of Michigan 1992 — 1997
M.A., English
Princeton University 1987 — 1991
A.B.
US Securities and Exchange Commission 2007 - Present
Sidley Austin 2002 - 2007
Skills
Securities Regulation, Securities Litigation, Legal Writing
Education
University of Chicago Law School 1998 — 2001
J.D.
University of Michigan 1992 — 1997
M.A., English
Princeton University 1987 — 1991
A.B.
Ralph Heil's US Securities and Exchange Commission Experience October 2003 - Present
Job Branch Chief at SEC
Industry Government Administration
Sonya Still's US Securities and Exchange Commission Experience 1977 - 1986
Job General Counsel / Senior Securities Counsel
Industry Financial Services
Experience
The Ethical Community Charter School of Jersey City January 2011 - Present
Attorney at Law 2011 - Present
Seaboard Securities, Inc. 2000 - 2010
Semper Vivum 2002 - 2004
New Jersey Bureau of Securities (BOS) 1986 - 1999
US Securities and Exchange Commission 1977 - 1986
Skills
Compliance, Litigation, Securities, Arbitration, SEC reporting, Investigations, AML, FINRA, Licensing, Due Diligence, Investment Advisory, Securities Law, Securities Regulation, Private Investigations, Corporate Law, Corporate Governance, Finance, Fraud, SEC
Education
NYU School of Law 1980 — 1982
Corporate Regulation LLM
Rutgers University School of Law - Newark 1974 — 1977
JD, Law
The Ethical Community Charter School of Jersey City January 2011 - Present
Attorney at Law 2011 - Present
Seaboard Securities, Inc. 2000 - 2010
Semper Vivum 2002 - 2004
New Jersey Bureau of Securities (BOS) 1986 - 1999
US Securities and Exchange Commission 1977 - 1986
Skills
Compliance, Litigation, Securities, Arbitration, SEC reporting, Investigations, AML, FINRA, Licensing, Due Diligence, Investment Advisory, Securities Law, Securities Regulation, Private Investigations, Corporate Law, Corporate Governance, Finance, Fraud, SEC
Education
NYU School of Law 1980 — 1982
Corporate Regulation LLM
Rutgers University School of Law - Newark 1974 — 1977
JD, Law
Anna Slyuzberg's US Securities and Exchange Commission Experience March 2008 - May 2008
Job attorney at Law Office of Boris B. Maiden
Industry Law Practice
Experience
Law Office of Boris B. Maiden August 2009 - Present
Donovan Hatem PC February 2009 - May 2009
Northeastern University School of Law 2006 - 2009
Mintz Levin August 2008 - November 2008
US Securities and Exchange Commission March 2008 - May 2008
United States Attorney's Office September 2007 - November 2007
Boris Maiden, Attorney at Law April 2002 - October 2004
Skills
Legal Research, Legal Writing, Westlaw, Lexis, Corporate Law, consumer bankruptcy, Real Estate
Education
Northeastern University School of Law 2006 — 2009
JD, Law
University of Massachusetts Boston 2002 — 2004
BS, Finance
RWTH Aachen University 1999 — 2002
Computer Science, Economics
Law Office of Boris B. Maiden August 2009 - Present
Donovan Hatem PC February 2009 - May 2009
Northeastern University School of Law 2006 - 2009
Mintz Levin August 2008 - November 2008
US Securities and Exchange Commission March 2008 - May 2008
United States Attorney's Office September 2007 - November 2007
Boris Maiden, Attorney at Law April 2002 - October 2004
Skills
Legal Research, Legal Writing, Westlaw, Lexis, Corporate Law, consumer bankruptcy, Real Estate
Education
Northeastern University School of Law 2006 — 2009
JD, Law
University of Massachusetts Boston 2002 — 2004
BS, Finance
RWTH Aachen University 1999 — 2002
Computer Science, Economics
Nicholas Carroll's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Villanova University School of Law JD/MBA Candidate
Industry Law Practice
Experience
Dechert LLP May 2014 - July 2014
US Securities and Exchange Commission May 2013 - August 2013
Ernst & Young July 2008 - July 2012
Skills
Accounting, Financial Reporting, Financial Analysis, Legal Research, Legal Writing, M&A experience, Corporate Finance, Due Diligence, Financial Services, SEC filings, US GAAP
Education
Villanova University School of Law 2012 — 2015
Doctor of Law (J.D.), Magna Cum Laude, Order of the Coif
Villanova School of Business 2013 — 2015
Master of Business Administration (MBA)
Penn State University 2004 — 2008
Bachelors of Science, Accounting
Dechert LLP May 2014 - July 2014
US Securities and Exchange Commission May 2013 - August 2013
Ernst & Young July 2008 - July 2012
Skills
Accounting, Financial Reporting, Financial Analysis, Legal Research, Legal Writing, M&A experience, Corporate Finance, Due Diligence, Financial Services, SEC filings, US GAAP
Education
Villanova University School of Law 2012 — 2015
Doctor of Law (J.D.), Magna Cum Laude, Order of the Coif
Villanova School of Business 2013 — 2015
Master of Business Administration (MBA)
Penn State University 2004 — 2008
Bachelors of Science, Accounting
Sarah Buescher's US Securities and Exchange Commission Experience November 2009 - Present
Job Attorney
Industry Investment Management
Experience
U.S. Securities and Exchange Commission November 2009 - Present
Vanguard April 2007 - October 2009
Vanguard May 1999 - April 2007
US Securities and Exchange Commission September 1994 - May 1999
Education
University of Notre Dame Law School 1991 — 1994
J.D., Law
Northwestern University 1985 — 1989
B.S., Communications/Economics
U.S. Securities and Exchange Commission November 2009 - Present
Vanguard April 2007 - October 2009
Vanguard May 1999 - April 2007
US Securities and Exchange Commission September 1994 - May 1999
Education
University of Notre Dame Law School 1991 — 1994
J.D., Law
Northwestern University 1985 — 1989
B.S., Communications/Economics
Charles Rowe's US Securities and Exchange Commission Experience September 2002 - April 2005
Job System Administrator at NewOak Capital
Industry Information Technology and Services
Experience
NewOak Capital April 2012 - Present
SupportSpace, Ltd. May 2008 - April 2010
LPL Financial August 2007 - March 2009
UBS Investment Bank April 2005 - February 2007
US Securities and Exchange Commission September 2002 - April 2005
Skills
Troubleshooting, Active Directory, Windows Server, Microsoft Exchange, Information Technology, Technical Support, DNS, SharePoint, IT Service Management, IT Management, Software Documentation, Data Center
Education
Pace University 2000 — 2005
Bachelor of Science, Information Systems
NewOak Capital April 2012 - Present
SupportSpace, Ltd. May 2008 - April 2010
LPL Financial August 2007 - March 2009
UBS Investment Bank April 2005 - February 2007
US Securities and Exchange Commission September 2002 - April 2005
Skills
Troubleshooting, Active Directory, Windows Server, Microsoft Exchange, Information Technology, Technical Support, DNS, SharePoint, IT Service Management, IT Management, Software Documentation, Data Center
Education
Pace University 2000 — 2005
Bachelor of Science, Information Systems
Barbara Whisler (Turano)'s US Securities and Exchange Commission Experience December 1991 - February 1997
Job Law Practice Professional
Industry Law Practice
Experience
Van Kampen Funds December 1999 - March 2002
Allstate Financial March 1997 - November 1999
US Securities and Exchange Commission December 1991 - February 1997
Jones Day September 1989 - November 1991
Skills
Financial Services, Investment Management..., Securities, Mutual Funds, Investment Company Act, Investment Company and..., Insurance Company..., SEC filings
Education
Northwestern University School of Law 1986 — 1989
J.D.
The George Washington University 1982 — 1985
B.A. w/distinction
Van Kampen Funds December 1999 - March 2002
Allstate Financial March 1997 - November 1999
US Securities and Exchange Commission December 1991 - February 1997
Jones Day September 1989 - November 1991
Skills
Financial Services, Investment Management..., Securities, Mutual Funds, Investment Company Act, Investment Company and..., Insurance Company..., SEC filings
Education
Northwestern University School of Law 1986 — 1989
J.D.
The George Washington University 1982 — 1985
B.A. w/distinction
Michael Wajda's US Securities and Exchange Commission Experience 2002 - 2002
Job Senior Counsel at FINRA
Industry Financial Services
Experience
FINRA August 2012 - Present
JPMorgan May 2011 - August 2012
Morgan Stanley June 2006 - May 2011
Fried Frank September 2004 - May 2006
US Securities and Exchange Commission 2002 - 2002
Education
New York University School of Law 2001 — 2004
JD, Law
University of Wisconsin-Madison 1997 — 2001
Bachelor of Arts, Sociology (Concentration in Analysis and Research), Certificate in Business
James Madison Memorial High School 1993 — 1997
9-12
FINRA August 2012 - Present
JPMorgan May 2011 - August 2012
Morgan Stanley June 2006 - May 2011
Fried Frank September 2004 - May 2006
US Securities and Exchange Commission 2002 - 2002
Education
New York University School of Law 2001 — 2004
JD, Law
University of Wisconsin-Madison 1997 — 2001
Bachelor of Arts, Sociology (Concentration in Analysis and Research), Certificate in Business
James Madison Memorial High School 1993 — 1997
9-12
Janet Kotz's US Securities and Exchange Commission Experience December 2010 - February 2014
Job Paralegal
Industry Financial Services
Experience
Susquehanna International Group, LLP (SIG) February 2014 - Present
US Securities and Exchange Commission December 2010 - February 2014
The Bancorp Bank March 2008 - February 2010
The Bancorp Bank May 2006 - March 2008
Skills
Notary Public, Legal Research, Document Review, Lexis, Bankruptcy, File Management, Spreadsheets, Accounts Receivable, Confidentiality, Westlaw, Litigation Support, PACER, Paralegals, Legal Assistance, CaseMap, Microsoft Word, Loans, Microsoft Excel, Legal Writing, Legal Documents, Legal Issues, Civil Litigation, Administrative..., Records Management, Financial Regulation, Portfolio Management, PowerPoint, Securities Litigation, Calendaring, Outlook, OFAC, Banking, Legal Compliance, Attorneys, SEC, Microsoft Office, Research, Financial Services, Customer Service, Anti Money Laundering, Editing
Education
Community College of Philadelphia 2009 — 2010
AAS, Paralegal Studies, 4.0
Northampton Community College 1998 — 2001
AAS, General Studies
Susquehanna International Group, LLP (SIG) February 2014 - Present
US Securities and Exchange Commission December 2010 - February 2014
The Bancorp Bank March 2008 - February 2010
The Bancorp Bank May 2006 - March 2008
Skills
Notary Public, Legal Research, Document Review, Lexis, Bankruptcy, File Management, Spreadsheets, Accounts Receivable, Confidentiality, Westlaw, Litigation Support, PACER, Paralegals, Legal Assistance, CaseMap, Microsoft Word, Loans, Microsoft Excel, Legal Writing, Legal Documents, Legal Issues, Civil Litigation, Administrative..., Records Management, Financial Regulation, Portfolio Management, PowerPoint, Securities Litigation, Calendaring, Outlook, OFAC, Banking, Legal Compliance, Attorneys, SEC, Microsoft Office, Research, Financial Services, Customer Service, Anti Money Laundering, Editing
Education
Community College of Philadelphia 2009 — 2010
AAS, Paralegal Studies, 4.0
Northampton Community College 1998 — 2001
AAS, General Studies
Edward Wong, ETA CPP's US Securities and Exchange Commission Experience June 1999 - December 2001
Job
Industry Financial Services
Experience
VAPOR CORP November 2009 - April 2013
WADE GLOBAL ENTERPRISES LLC January 2008 - March 2013
Atkins January 2008 - December 2008
Noven Pharmaceuticals May 2007 - December 2007
Ryder System, Inc. May 2005 - May 2007
Mallah Furman January 2004 - May 2005
US Securities and Exchange Commission June 1999 - December 2001
Skills
Financial Accounting, Financial Reporting, Sarbanes-Oxley Act, SEC filings, Financial Analysis, Internal Controls, Accounting, Auditing, Financial Services, Tax, Finance, Strategic Financial..., Financial Risk, Accounts Receivable, Forecasting, Executive Management
Education
Nova Southeastern University 2009 — 2010
MASTER OF ACCOUNTING
University of Miami - School of Business 2000 — 2003
B.A.
VAPOR CORP November 2009 - April 2013
WADE GLOBAL ENTERPRISES LLC January 2008 - March 2013
Atkins January 2008 - December 2008
Noven Pharmaceuticals May 2007 - December 2007
Ryder System, Inc. May 2005 - May 2007
Mallah Furman January 2004 - May 2005
US Securities and Exchange Commission June 1999 - December 2001
Skills
Financial Accounting, Financial Reporting, Sarbanes-Oxley Act, SEC filings, Financial Analysis, Internal Controls, Accounting, Auditing, Financial Services, Tax, Finance, Strategic Financial..., Financial Risk, Accounts Receivable, Forecasting, Executive Management
Education
Nova Southeastern University 2009 — 2010
MASTER OF ACCOUNTING
University of Miami - School of Business 2000 — 2003
B.A.
Kyle Phillips's US Securities and Exchange Commission Experience January 2010 - April 2010
Job Tax Associate at Shearman & Sterling LLP
Industry Law Practice
Experience
Shearman & Sterling LLP June 2015 - Present
Best Best & Krieger LLP September 2014 - May 2015
KPMG July 2012 - July 2014
KPMG June 2011 - July 2012
US Securities and Exchange Commission January 2010 - April 2010
Doyle, Barlow & Mazard, PLLC June 2009 - August 2009
Canterbury Consulting November 2005 - August 2008
Morgan Stanley Smith Barney June 2004 - November 2005
Skills
Tax, Income Tax, Corporate Tax, International Tax, Tax Law, Private Equity, Tax Advisory, Accounting, Financial Analysis, Mergers, Legal Writing, Legal Research
Education
New York University School of Law 2010 — 2011
LL.M., Taxation
Loyola Law School, Los Angeles 2008 — 2010
J.D.
University of Southern California - Marshall School of Business 2002 — 2004
B.S., Finance / Marketing
Shearman & Sterling LLP June 2015 - Present
Best Best & Krieger LLP September 2014 - May 2015
KPMG July 2012 - July 2014
KPMG June 2011 - July 2012
US Securities and Exchange Commission January 2010 - April 2010
Doyle, Barlow & Mazard, PLLC June 2009 - August 2009
Canterbury Consulting November 2005 - August 2008
Morgan Stanley Smith Barney June 2004 - November 2005
Skills
Tax, Income Tax, Corporate Tax, International Tax, Tax Law, Private Equity, Tax Advisory, Accounting, Financial Analysis, Mergers, Legal Writing, Legal Research
Education
New York University School of Law 2010 — 2011
LL.M., Taxation
Loyola Law School, Los Angeles 2008 — 2010
J.D.
University of Southern California - Marshall School of Business 2002 — 2004
B.S., Finance / Marketing
Alexander Chun's US Securities and Exchange Commission Experience June 2008 - August 2008
Job Business Intelligence Manager at Sungevity
Industry Renewables & Environment
Experience
Sungevity January 2015 - Present
Sungevity May 2014 - December 2014
The Cambridge Group January 2012 - June 2013
The Cambridge Group September 2009 - December 2011
US Securities and Exchange Commission June 2008 - August 2008
Skills
Growth Strategies, Segmentation, Analytics, Management Consulting, Data Analysis, Customer Insight, Market Research, Economics, Business Strategy, Pricing Strategy, Stata, Quantitative Analytics, Marketing, Analysis, Strategy, Financial Modeling, Competitive Analysis, Management
Education
Haas School of Business, UC Berkeley 2013 — 2015
Master of Business Administration (MBA)
Northwestern University 2005 — 2009
BA, Mathematical Methods in the Social Sciences, Mathematics, Economics
Sungevity January 2015 - Present
Sungevity May 2014 - December 2014
The Cambridge Group January 2012 - June 2013
The Cambridge Group September 2009 - December 2011
US Securities and Exchange Commission June 2008 - August 2008
Skills
Growth Strategies, Segmentation, Analytics, Management Consulting, Data Analysis, Customer Insight, Market Research, Economics, Business Strategy, Pricing Strategy, Stata, Quantitative Analytics, Marketing, Analysis, Strategy, Financial Modeling, Competitive Analysis, Management
Education
Haas School of Business, UC Berkeley 2013 — 2015
Master of Business Administration (MBA)
Northwestern University 2005 — 2009
BA, Mathematical Methods in the Social Sciences, Mathematics, Economics
Leslie Wharton's US Securities and Exchange Commission Experience May 2009 - October 2010
Job Attorney at Securities and Exchange Commission
Industry Law Practice
Experience
Securities and Exchange Commission Senior E-Discocvery CounselU.S. Securities & Exchange Commission2010 - Present
US Securities and Exchange Commission May 2009 - October 2010
Arnold & Porter LLP 1993 - 2009
Skills
Legal Writing, Securities Regulation, Litigation, Legal Research, E-Discovery Consulting, Commercial Litigation, Civil Litigation
Education
Harvard Law School 1981 — 1984
Princeton University 1973 — 1979
Ph.D., History
Boston University 1969 — 1973
BA, Philosophy, History
Securities and Exchange Commission Senior E-Discocvery CounselU.S. Securities & Exchange Commission2010 - Present
US Securities and Exchange Commission May 2009 - October 2010
Arnold & Porter LLP 1993 - 2009
Skills
Legal Writing, Securities Regulation, Litigation, Legal Research, E-Discovery Consulting, Commercial Litigation, Civil Litigation
Education
Harvard Law School 1981 — 1984
Princeton University 1973 — 1979
Ph.D., History
Boston University 1969 — 1973
BA, Philosophy, History
Erin Golding's US Securities and Exchange Commission Experience September 2010 - December 2010
Job Associate Attorney
Industry Legal Services
Experience
Burr Law Firm August 2011 - Present
Internal Revenue Service January 2011 - April 2011
US Securities and Exchange Commission September 2010 - December 2010
SECTION27, incorporating the AIDS Law Project May 2010 - August 2010
U.S Small Business Administration June 2009 - August 2009
The Brookings Institution July 2006 - July 2008
Education Nationale September 2005 - July 2006
Pomona Self-Help Legal Access Center January 2004 - May 2004
Office of Senator Patrick Leahy May 2003 - August 2003
Skills
Legal Writing, Legal Research, Litigation, Editing, Courts, Politics, Alternative Dispute..., Mediation, Human Rights, Civil Litigation, Research, Public Speaking, Policy, Hearings, Community Outreach
Education
The George Washington University Law School 2008 — 2011
J.D., cum laude
Pomona College 2001 — 2005
B.A., cum laude, Politics & Psychology
Burr Law Firm August 2011 - Present
Internal Revenue Service January 2011 - April 2011
US Securities and Exchange Commission September 2010 - December 2010
SECTION27, incorporating the AIDS Law Project May 2010 - August 2010
U.S Small Business Administration June 2009 - August 2009
The Brookings Institution July 2006 - July 2008
Education Nationale September 2005 - July 2006
Pomona Self-Help Legal Access Center January 2004 - May 2004
Office of Senator Patrick Leahy May 2003 - August 2003
Skills
Legal Writing, Legal Research, Litigation, Editing, Courts, Politics, Alternative Dispute..., Mediation, Human Rights, Civil Litigation, Research, Public Speaking, Policy, Hearings, Community Outreach
Education
The George Washington University Law School 2008 — 2011
J.D., cum laude
Pomona College 2001 — 2005
B.A., cum laude, Politics & Psychology
BJ Pivonka's US Securities and Exchange Commission Experience September 2011 - December 2011
Job Strategic Sourcing Specialist at University of Connecticut
Industry Law Practice
Experience
University of Connecticut February 2013 - Present
University of Connecticut Innovation Accelerator January 2011 - May 2012
US Securities and Exchange Commission September 2011 - December 2011
Connecticut Center for Entrepreneurship and Innovation January 2011 - May 2011
Xclusive Sports Management February 2008 - January 2010
Newport Gulls May 2007 - August 2008
Skills
Startup Consulting, Organizational..., Sales Management, Hiring, Training & Development, Market Research, Securities Law, Small Business Law, Policy Analysis, Business Analysis, Business Strategy, Business Intelligence, Business Planning, Business Management, New Business Development, Entrepreneurship, Entrepreneurial..., Entrepreneurship..., Contract Negotiations, Marketing Strategy, Start-ups, Research, Event Planning, Analysis, Venture Capital, Policy, Contract Negotiation, Event Management, Recruiting, Product Development, Leadership, Strategy, Team Leadership
Education
The University of Connecticut School of Law 2008 — 2012
Doctor of Law (J.D.)
Salve Regina University 2005 — 2008
BA/MBA, Business Management
Northeastern University
University of Connecticut February 2013 - Present
University of Connecticut Innovation Accelerator January 2011 - May 2012
US Securities and Exchange Commission September 2011 - December 2011
Connecticut Center for Entrepreneurship and Innovation January 2011 - May 2011
Xclusive Sports Management February 2008 - January 2010
Newport Gulls May 2007 - August 2008
Skills
Startup Consulting, Organizational..., Sales Management, Hiring, Training & Development, Market Research, Securities Law, Small Business Law, Policy Analysis, Business Analysis, Business Strategy, Business Intelligence, Business Planning, Business Management, New Business Development, Entrepreneurship, Entrepreneurial..., Entrepreneurship..., Contract Negotiations, Marketing Strategy, Start-ups, Research, Event Planning, Analysis, Venture Capital, Policy, Contract Negotiation, Event Management, Recruiting, Product Development, Leadership, Strategy, Team Leadership
Education
The University of Connecticut School of Law 2008 — 2012
Doctor of Law (J.D.)
Salve Regina University 2005 — 2008
BA/MBA, Business Management
Northeastern University
Nicholas Adkins's US Securities and Exchange Commission Experience June 2012 - August 2012
Job Marketing Analyst at SeatGeek
Industry Higher Education
Experience
SeatGeek September 2014 - Present
Stax Inc. August 2013 - August 2013
Princeton University 2009 - June 2013
US Securities and Exchange Commission June 2012 - August 2012
BSA Troop 100 2002 - 2008
Skills
Stata, Economics, Econometrics, Statistics, Research, R, Data Analysis, Microsoft Office, Macroeconomics, Quantitative Analytics, Qualitative Research
Education
Princeton University 2009 — 2013
Bachelor's degree, Economics
Dreher
Dreher
SeatGeek September 2014 - Present
Stax Inc. August 2013 - August 2013
Princeton University 2009 - June 2013
US Securities and Exchange Commission June 2012 - August 2012
BSA Troop 100 2002 - 2008
Skills
Stata, Economics, Econometrics, Statistics, Research, R, Data Analysis, Microsoft Office, Macroeconomics, Quantitative Analytics, Qualitative Research
Education
Princeton University 2009 — 2013
Bachelor's degree, Economics
Dreher
Dreher
Vanessa Savino's US Securities and Exchange Commission Experience June 2011 - August 2011
Job Associate at Cahill Gordon & Reindel
Industry Legal Services
Experience
Cahill Gordon & Reindel September 2013 - Present
Cahill Gordon & Reindel May 2012 - June 2012
US Securities and Exchange Commission June 2011 - August 2011
Federal Reserve Bank of New York June 2008 - August 2010
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Research, Corporate Law, Policy Analysis, Civil Litigation, LexisNexis, Courts
Education
University of Illinois College of Law 2010 — 2013
J.D., Law
Pace University 2004 — 2008
B.S., Economics
Cahill Gordon & Reindel September 2013 - Present
Cahill Gordon & Reindel May 2012 - June 2012
US Securities and Exchange Commission June 2011 - August 2011
Federal Reserve Bank of New York June 2008 - August 2010
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Research, Corporate Law, Policy Analysis, Civil Litigation, LexisNexis, Courts
Education
University of Illinois College of Law 2010 — 2013
J.D., Law
Pace University 2004 — 2008
B.S., Economics
John G. Iannacone's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Assistant District Attorney at Philadelphia District Attorney's Office
Industry Legal Services
Experience
Philadelphia District Attorney's Office October 2014 - Present
First Judicial District of Pennsylvania August 2013 - October 2014
US Securities and Exchange Commission May 2012 - August 2012
United Nations Association of Greater Philadelphia September 2011 - December 2011
United Nations World Food Programme July 2011 - August 2011
KPMG US September 2007 - May 2011
Skills
Due Diligence, Corporate Finance, Financial Analysis, Legal Writing, Legal Research, Private Equity, Corporate Governance, Tax, Corporate Law, Mergers & Acquisitions, Securities, Litigation Support
Education
Temple University - James E. Beasley School of Law 2010 — 2013
Doctor of Law (JD)
Penn State University 2003 — 2007
BS Finance, International Business Minor
Philadelphia District Attorney's Office October 2014 - Present
First Judicial District of Pennsylvania August 2013 - October 2014
US Securities and Exchange Commission May 2012 - August 2012
United Nations Association of Greater Philadelphia September 2011 - December 2011
United Nations World Food Programme July 2011 - August 2011
KPMG US September 2007 - May 2011
Skills
Due Diligence, Corporate Finance, Financial Analysis, Legal Writing, Legal Research, Private Equity, Corporate Governance, Tax, Corporate Law, Mergers & Acquisitions, Securities, Litigation Support
Education
Temple University - James E. Beasley School of Law 2010 — 2013
Doctor of Law (JD)
Penn State University 2003 — 2007
BS Finance, International Business Minor
Richard M. Smith's US Securities and Exchange Commission Experience 1975 - 1979
Job Legal Services Professional
Industry Legal Services
Experience
SD&A Teleservices, Inc. March 2009 - November 2010
SD&A Teleservices, Inc. January 2007 - March 2009
SD&A Teleservices, Inc. May 2005 - January 2007
The Eason Firm, LLC 1998 - 2002
Long and Foster Real Estate 1984 - 1997
Private Legal Practice 1980 - 1984
US Securities and Exchange Commission 1975 - 1979
Philadelphia Phillies 1963 - 1967
United States Army Reserve 1960 - 1966
Philadelphia Phillies 1958 - 1962
Education
University of Miami School of Law 1973 — 1974
Oklahoma City University School of Law 1971 — 1973
Juris Doctorate
University of Miami 1968 — 1969
University of Miami 1963 — 1967
Bachelor of Arts in History
SD&A Teleservices, Inc. March 2009 - November 2010
SD&A Teleservices, Inc. January 2007 - March 2009
SD&A Teleservices, Inc. May 2005 - January 2007
The Eason Firm, LLC 1998 - 2002
Long and Foster Real Estate 1984 - 1997
Private Legal Practice 1980 - 1984
US Securities and Exchange Commission 1975 - 1979
Philadelphia Phillies 1963 - 1967
United States Army Reserve 1960 - 1966
Philadelphia Phillies 1958 - 1962
Education
University of Miami School of Law 1973 — 1974
Oklahoma City University School of Law 1971 — 1973
Juris Doctorate
University of Miami 1968 — 1969
University of Miami 1963 — 1967
Bachelor of Arts in History
Susan White Haag's US Securities and Exchange Commission Experience 2001 - 2003
Job Counsel, Consumer Financial Protection Bureau
Industry Legal Services
Experience
Consumer Financial Protection Bureau September 2011 - Present
Sidley Austin LLP 2004 - September 2011
National Law Center on Homelessness and Poverty 2003 - 2004
US Securities and Exchange Commission 2001 - 2003
Sidley Austin LLP 1995 - 1997
Fried Frank 1984 - 1995
Skills
Financial Regulation, Banking Law, Administrative Law, Financial Institutions, Politics, Federal Government, White Collar Criminal..., Trials, Regulations, Criminal Law, Patents, Hearings, Immigration Law, Legal Advice, Fraud, Alternative Dispute..., Legislation, Trade Secrets, Constitutional Law
Education
New York University School of Law 1981 — 1984
J.D.
University of Massachusetts, Amherst
B.A., English
Consumer Financial Protection Bureau September 2011 - Present
Sidley Austin LLP 2004 - September 2011
National Law Center on Homelessness and Poverty 2003 - 2004
US Securities and Exchange Commission 2001 - 2003
Sidley Austin LLP 1995 - 1997
Fried Frank 1984 - 1995
Skills
Financial Regulation, Banking Law, Administrative Law, Financial Institutions, Politics, Federal Government, White Collar Criminal..., Trials, Regulations, Criminal Law, Patents, Hearings, Immigration Law, Legal Advice, Fraud, Alternative Dispute..., Legislation, Trade Secrets, Constitutional Law
Education
New York University School of Law 1981 — 1984
J.D.
University of Massachusetts, Amherst
B.A., English
Martin E. Lybecker's US Securities and Exchange Commission Experience June 1978 - June 1981
Job Partner, Perkins Coie LLP
Industry Law Practice
Experience
Georgetown University Law Center September 2015 - Present
Perkins Coie LLP November 2010 - Present
Duke University School of Law January 2000 - May 2015
WilmerHale February 2002 - October 2010
Ropes & Gray LLP April 1987 - January 2002
Drinker Biddle & Reath LLP June 1981 - April 1987
US Securities and Exchange Commission June 1978 - June 1981
University at Buffalo June 1975 - May 1978
Skills
Securities Regulation, Securities, Finance, Private Equity, Banking Law, Investment Management, Legal Advice, Venture Capital, Legal Research, Corporate Governance, Family Office, Hedge Funds, Appeals, Capital Markets, Cross-border..., Courts, Asset Management, Investments
Education
University of Pennsylvania School of Law 1971 — 1973
Master of Laws (LL.M.), Banking and Securities Law
New York University School of Law 1970 — 1971
LL.M. (in Taxation), Taxation
University of Washington School of Law 1967 — 1970
Doctor of Law (J.D.), Corporate, Finance, and Securities Law
University of Washington 1963 — 1967
Bachelor of Business Administration (B.B.A.), Accounting
Georgetown University Law Center September 2015 - Present
Perkins Coie LLP November 2010 - Present
Duke University School of Law January 2000 - May 2015
WilmerHale February 2002 - October 2010
Ropes & Gray LLP April 1987 - January 2002
Drinker Biddle & Reath LLP June 1981 - April 1987
US Securities and Exchange Commission June 1978 - June 1981
University at Buffalo June 1975 - May 1978
Skills
Securities Regulation, Securities, Finance, Private Equity, Banking Law, Investment Management, Legal Advice, Venture Capital, Legal Research, Corporate Governance, Family Office, Hedge Funds, Appeals, Capital Markets, Cross-border..., Courts, Asset Management, Investments
Education
University of Pennsylvania School of Law 1971 — 1973
Master of Laws (LL.M.), Banking and Securities Law
New York University School of Law 1970 — 1971
LL.M. (in Taxation), Taxation
University of Washington School of Law 1967 — 1970
Doctor of Law (J.D.), Corporate, Finance, and Securities Law
University of Washington 1963 — 1967
Bachelor of Business Administration (B.B.A.), Accounting
Vaishali Javeri's US Securities and Exchange Commission Experience 1997 - 2000
Job Director & Counsel at Credit Suisse
Industry Financial Services
Experience
Credit Suisse 2005 - Present
Morgan Stanley 2003 - 2005
Island ECN 2000 - 2003
US Securities and Exchange Commission 1997 - 2000
Education
Northwestern University
BA
University of Iowa College of Law
JD
Credit Suisse 2005 - Present
Morgan Stanley 2003 - 2005
Island ECN 2000 - 2003
US Securities and Exchange Commission 1997 - 2000
Education
Northwestern University
BA
University of Iowa College of Law
JD
Melissa Melendez, MBA's US Securities and Exchange Commission Experience 2003 - 2005
Job Manager, Internal Audit at World Fuel Services
Industry Oil & Energy
Experience
World Fuel Services April 2015 - Present
World Fuel Services April 2014 - April 2015
World Fuel Services October 2012 - April 2014
Jackson Health System April 2012 - October 2012
Jackson Health System February 2011 - April 2012
Burger King Corporation December 2005 - December 2010
US Securities and Exchange Commission 2003 - 2005
Skills
IT Audit, Internal Audit, Budgets, Sarbanes-Oxley Act, Auditing, GAAP, Internal Controls, Financial Reporting, Forecasting, Financial Accounting, Accounting, Sarbanes-Oxley, Financial Analysis, SEC filings, Process Improvement, Management
Education
Nova Southeastern University 2005 — 2007
Master of Business Administration (MBA), Finance, General
University of Miami 2000 — 2004
Bachelor of Business Administration (BBA), Accounting
World Fuel Services April 2015 - Present
World Fuel Services April 2014 - April 2015
World Fuel Services October 2012 - April 2014
Jackson Health System April 2012 - October 2012
Jackson Health System February 2011 - April 2012
Burger King Corporation December 2005 - December 2010
US Securities and Exchange Commission 2003 - 2005
Skills
IT Audit, Internal Audit, Budgets, Sarbanes-Oxley Act, Auditing, GAAP, Internal Controls, Financial Reporting, Forecasting, Financial Accounting, Accounting, Sarbanes-Oxley, Financial Analysis, SEC filings, Process Improvement, Management
Education
Nova Southeastern University 2005 — 2007
Master of Business Administration (MBA), Finance, General
University of Miami 2000 — 2004
Bachelor of Business Administration (BBA), Accounting
Anand Indoori's US Securities and Exchange Commission Experience January 2010 - September 2011
Job Sr QA Test Engineer at Intersections Inc.
Industry Financial Services
Experience
Intersections Inc. October 2011 - Present
US Securities and Exchange Commission January 2010 - September 2011
GEICO January 2006 - December 2009
Equifax 2005 - 2006
Skills
QTP, Quality Assurance, Quality Center, Performance Testing, SQL, PL SQL, Unix, Oracle SQL, Team Track, JIRA
Education
Osmania University 1995 — 1997
Master of Business Administration (MBA), Accounting and Finance
Intersections Inc. October 2011 - Present
US Securities and Exchange Commission January 2010 - September 2011
GEICO January 2006 - December 2009
Equifax 2005 - 2006
Skills
QTP, Quality Assurance, Quality Center, Performance Testing, SQL, PL SQL, Unix, Oracle SQL, Team Track, JIRA
Education
Osmania University 1995 — 1997
Master of Business Administration (MBA), Accounting and Finance
Nick Corsi's US Securities and Exchange Commission Experience April 2013 - February 2015
Job EMS Engineer at SMS Data Products Group, Inc.
Industry Information Technology and Services
Experience
SMS Data Products Group, Inc. March 2015 - Present
US Securities and Exchange Commission April 2013 - February 2015
Lockheed Martin Corp. January 2001 - July 2012
Global Management Systems, Inc. August 1998 - January 2001
Presearch Inc. - SAIC December 1997 - August 1998
Fiber Optic Systems Inc. March 1995 - September 1997
Westinghouse Electric Corporation September 1978 - December 1991
Skills
Network Management..., Analog and Digital..., Security+, IAVMs, POAMs, SRRs,, DIACAP, Systems Engineering, Information Assurance..., Security Clearance, DoD, Information Assurance, Security, Computer Security, Information Security, Vulnerability Assessment, Network Security, Network Engineering, Integration, Configuration Management, Information Security..., System Architecture, Enterprise Architecture, Network Architecture, Disaster Recovery, Cisco Technologies, Network Administration
Education
Penn State University
Bachelor of Science (BS), Electrical and Electronics Engineering
SMS Data Products Group, Inc. March 2015 - Present
US Securities and Exchange Commission April 2013 - February 2015
Lockheed Martin Corp. January 2001 - July 2012
Global Management Systems, Inc. August 1998 - January 2001
Presearch Inc. - SAIC December 1997 - August 1998
Fiber Optic Systems Inc. March 1995 - September 1997
Westinghouse Electric Corporation September 1978 - December 1991
Skills
Network Management..., Analog and Digital..., Security+, IAVMs, POAMs, SRRs,, DIACAP, Systems Engineering, Information Assurance..., Security Clearance, DoD, Information Assurance, Security, Computer Security, Information Security, Vulnerability Assessment, Network Security, Network Engineering, Integration, Configuration Management, Information Security..., System Architecture, Enterprise Architecture, Network Architecture, Disaster Recovery, Cisco Technologies, Network Administration
Education
Penn State University
Bachelor of Science (BS), Electrical and Electronics Engineering
Timothy Wei's US Securities and Exchange Commission Experience October 2004 - August 2008
Job Counsel at Dimensional Fund Advisors
Industry Government Administration
Experience
Dimensional Fund Advisors July 2014 - Present
Teacher Retirement System of Texas October 2008 - June 2014
US Securities and Exchange Commission October 2004 - August 2008
Heller Ehrman March 2003 - September 2004
Milbank, Tweed, Hadley & McCloy LLP 1999 - 2003
United States Court of Appeasl for the Second Circuit 1998 - 1999
Skills
Legal Research, Litigation, Corporate Law, Legal Writing, Securities Regulation, Corporate Governance, Civil Litigation, Commercial Litigation, Due Diligence, Securities
Education
NYU School of Law 1995 — 1998
Doctor of Law (J.D.)
Reed College 1986 — 1991
Bachelor of Arts (B.A.), History
Holderness School 1982 — 1986
Dimensional Fund Advisors July 2014 - Present
Teacher Retirement System of Texas October 2008 - June 2014
US Securities and Exchange Commission October 2004 - August 2008
Heller Ehrman March 2003 - September 2004
Milbank, Tweed, Hadley & McCloy LLP 1999 - 2003
United States Court of Appeasl for the Second Circuit 1998 - 1999
Skills
Legal Research, Litigation, Corporate Law, Legal Writing, Securities Regulation, Corporate Governance, Civil Litigation, Commercial Litigation, Due Diligence, Securities
Education
NYU School of Law 1995 — 1998
Doctor of Law (J.D.)
Reed College 1986 — 1991
Bachelor of Arts (B.A.), History
Holderness School 1982 — 1986
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency