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
Dan Wake Dan Wake's US Securities and Exchange Commission Experience 1986 - 1988
Job Litigation attorney, Shook Hardy & Bacon LLP
Industry Law Practice
Experience
Shook, Hardy & Bacon L.L.P. 2014 - 2015
Shook, Hardy & Bacon L.L.P. 2014 - 2015
Sander Ingebretsen & Wake, P.C. 2006 - 2014
Horowitz Wake & Forbes, P.C. 2000 - 2006
US Securities and Exchange Commission 1986 - 1988
Skills
FINRA Dispute..., Securities, Litigation, Arbitration, Mediation, Personal Injury, Dispute Resolution, Corporate Governance, Class Actions, Commercial Litigation, Securities Litigation, Securities Regulation, Dispute, Appeals, Business Litigation, Finance, Breach Of Contract, Non-compete Agreements, Trial Practice, Business Transactions
Education
Stanford University Law School 1978 — 1981
J.D.
University of Arizona 1974 — 1978
B.A., With Highest Distinction, Economics
Shook, Hardy & Bacon L.L.P. 2014 - 2015
Shook, Hardy & Bacon L.L.P. 2014 - 2015
Sander Ingebretsen & Wake, P.C. 2006 - 2014
Horowitz Wake & Forbes, P.C. 2000 - 2006
US Securities and Exchange Commission 1986 - 1988
Skills
FINRA Dispute..., Securities, Litigation, Arbitration, Mediation, Personal Injury, Dispute Resolution, Corporate Governance, Class Actions, Commercial Litigation, Securities Litigation, Securities Regulation, Dispute, Appeals, Business Litigation, Finance, Breach Of Contract, Non-compete Agreements, Trial Practice, Business Transactions
Education
Stanford University Law School 1978 — 1981
J.D.
University of Arizona 1974 — 1978
B.A., With Highest Distinction, Economics
Marshall Gandy Marshall Gandy's US Securities and Exchange Commission Experience March 2012 - Present
Job Senior Officer and Associate Regional Director United States Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission March 2012 - Present
Financial Industry Regulatory Authority January 2008 - March 2012
Skills
Securities Regulation, FINRA, Securities, Securities Litigation, Internal Investigations, FCPA, SEC, Broker-Dealer, AML, Fraud, Arbitration, Litigation, Corporate Governance, USA PATRIOT Act, Commercial Litigation, Trials, Hedge Funds, Courts, Investment Advisers Act, White Collar Criminal..., Financial Regulation, Series 24, Legal Compliance, Securities Offerings, Private Placements, Broker-Dealer Compliance, Litigation Management, Investments
Education
SMU 1976 — 1979
Doctor of Law (JD)
US Securities and Exchange Commission March 2012 - Present
Financial Industry Regulatory Authority January 2008 - March 2012
Skills
Securities Regulation, FINRA, Securities, Securities Litigation, Internal Investigations, FCPA, SEC, Broker-Dealer, AML, Fraud, Arbitration, Litigation, Corporate Governance, USA PATRIOT Act, Commercial Litigation, Trials, Hedge Funds, Courts, Investment Advisers Act, White Collar Criminal..., Financial Regulation, Series 24, Legal Compliance, Securities Offerings, Private Placements, Broker-Dealer Compliance, Litigation Management, Investments
Education
SMU 1976 — 1979
Doctor of Law (JD)
Harvey Westbrook Jr. Harvey Westbrook Jr.'s US Securities and Exchange Commission Experience February 2011 - September 2015
Job Senior Manager, Deloitte Transactions and Business Analytics LLP
Industry Financial Services
Experience
Deloitte Transactions and Business Analytics LLP September 2015 - Present
US Securities and Exchange Commission February 2011 - September 2015
US Securities and Exchange Commission January 2010 - January 2012
United States Securities and Exchange Commission 2008 - 2011
US Securities and Exchange Commission May 2007 - December 2009
UNX July 2006 - August 2007
Securities and Exchange Commission September 2000 - July 2006
Skills
Financial Modeling, Quantitative Research, Quantitative Analytics, Quantitative Risk, Econometrics, Hedge Funds, Investment Management, Quantitative Finance, Equities, Financial Risk, Economics, Derivatives, Fixed Income, Capital Markets, Finance, Securities, Risk Management, Financial Analysis
Education
University of Illinois at Urbana-Champaign 1992 — 2001
Phd, Economics
Rice University 1988 — 1992
BA, Economics, Managerial Studies
Deloitte Transactions and Business Analytics LLP September 2015 - Present
US Securities and Exchange Commission February 2011 - September 2015
US Securities and Exchange Commission January 2010 - January 2012
United States Securities and Exchange Commission 2008 - 2011
US Securities and Exchange Commission May 2007 - December 2009
UNX July 2006 - August 2007
Securities and Exchange Commission September 2000 - July 2006
Skills
Financial Modeling, Quantitative Research, Quantitative Analytics, Quantitative Risk, Econometrics, Hedge Funds, Investment Management, Quantitative Finance, Equities, Financial Risk, Economics, Derivatives, Fixed Income, Capital Markets, Finance, Securities, Risk Management, Financial Analysis
Education
University of Illinois at Urbana-Champaign 1992 — 2001
Phd, Economics
Rice University 1988 — 1992
BA, Economics, Managerial Studies
Ashley N. Rodriguez's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at Orrick, Herrington & Sutcliffe LLP
Industry Law Practice
Experience
U.S. Department of Justice September 2013 - December 2013
Orrick, Herrington & Sutcliffe LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Bridgeway Capital Management March 2006 - August 2011
Bridgeway Foundation April 2007 - April 2010
U.S. Department of Labor- Office of Disability Employment Policy 2004 - 2004
World Affairs Council of Houston 2004 - 2004
Rice University 2003 - 2003
IBM Tivoli Software 2001 - 2001
Education
University of California, Berkeley - School of Law 2011 — 2014
Doctor of Law (J.D.)
London School of Economics and Political Science 2004 — 2005
Master of Science (M.Sc.)
Rice University 2000 — 2004
Bachelor of Arts (B.A.)
U.S. Department of Justice September 2013 - December 2013
Orrick, Herrington & Sutcliffe LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Bridgeway Capital Management March 2006 - August 2011
Bridgeway Foundation April 2007 - April 2010
U.S. Department of Labor- Office of Disability Employment Policy 2004 - 2004
World Affairs Council of Houston 2004 - 2004
Rice University 2003 - 2003
IBM Tivoli Software 2001 - 2001
Education
University of California, Berkeley - School of Law 2011 — 2014
Doctor of Law (J.D.)
London School of Economics and Political Science 2004 — 2005
Master of Science (M.Sc.)
Rice University 2000 — 2004
Bachelor of Arts (B.A.)
Jordan Billig's US Securities and Exchange Commission Experience September 2012 - November 2012
Job Campaign Manager at CitizenNet
Industry Law Practice
Experience
CitizenNet, Social Media Advertising Technology February 2015 - Present
Russ, August & Kabat August 2013 - February 2015
Association International Moringa Ayiti September 2014 - January 2015
US Securities and Exchange Commission September 2012 - November 2012
the International Relations Journal September 2011 - May 2012
San Francisco State University January 2011 - May 2012
Coalition of Concerned Legal Professionals September 2010 - September 2011
Skills
Brand Development, Marketing Strategy, Crowdfunding, Social Media Marketing, International Relations, Legal Research, Legal Writing, Policy Analysis, Foreign Policy, Public Policy, Microsoft Office, Microsoft Excel, PowerPoint, Social Media, Public Speaking
Education
San Francisco State University 2008 — 2012
BA, International Relations
UCLA 2012 — 2012
ABA paralegal certification
Palos Verdes Peninsula High School 2004 — 2008
CitizenNet, Social Media Advertising Technology February 2015 - Present
Russ, August & Kabat August 2013 - February 2015
Association International Moringa Ayiti September 2014 - January 2015
US Securities and Exchange Commission September 2012 - November 2012
the International Relations Journal September 2011 - May 2012
San Francisco State University January 2011 - May 2012
Coalition of Concerned Legal Professionals September 2010 - September 2011
Skills
Brand Development, Marketing Strategy, Crowdfunding, Social Media Marketing, International Relations, Legal Research, Legal Writing, Policy Analysis, Foreign Policy, Public Policy, Microsoft Office, Microsoft Excel, PowerPoint, Social Media, Public Speaking
Education
San Francisco State University 2008 — 2012
BA, International Relations
UCLA 2012 — 2012
ABA paralegal certification
Palos Verdes Peninsula High School 2004 — 2008
Leslie Fisher's US Securities and Exchange Commission Experience 2003 - 2008
Job Counsel Transaction Management & Corporate Governance
Industry Law Practice
Experience
BSI Financial Services July 2015 - Present
Strasburger & Price, LLP July 2013 - August 2014
Greenberg Traurig, LLP 2010 - 2013
Munsch Hardt Kopf & Harr PC 2008 - April 2009
US Securities and Exchange Commission 2003 - 2008
Jones Day April 2002 - July 2003
Gibson, Dunn & Crutcher LLP November 2000 - April 2002
Skills
Commercial Litigation, Litigation, Securities Regulation, Corporate Governance, Securities, Complex Litigation, Mergers & Acquisitions, Partnerships, Operating Agreements, Private Placements
Education
Southern Methodist University Dedman School of Law 1997 — 2000
JD
Cox School of Business, Southern Methodist University 1995 — 2000
Master
Southern Methodist University 1989 — 1993
Bachelor of Science
Stavanger American School 1980 — 1989
HS Diploma
BSI Financial Services July 2015 - Present
Strasburger & Price, LLP July 2013 - August 2014
Greenberg Traurig, LLP 2010 - 2013
Munsch Hardt Kopf & Harr PC 2008 - April 2009
US Securities and Exchange Commission 2003 - 2008
Jones Day April 2002 - July 2003
Gibson, Dunn & Crutcher LLP November 2000 - April 2002
Skills
Commercial Litigation, Litigation, Securities Regulation, Corporate Governance, Securities, Complex Litigation, Mergers & Acquisitions, Partnerships, Operating Agreements, Private Placements
Education
Southern Methodist University Dedman School of Law 1997 — 2000
JD
Cox School of Business, Southern Methodist University 1995 — 2000
Master
Southern Methodist University 1989 — 1993
Bachelor of Science
Stavanger American School 1980 — 1989
HS Diploma
James Zier James Zier's US Securities and Exchange Commission Experience 1999 - 1999
Job Law Office of James Zier, P.C.
Industry Law Practice
Experience
Law Office of James Zier, P.C. 2007 - Present
Texas State Securities Board 2003 - 2007
Mitsui, Yasuda, Wani & Maeda 2001 - 2003
Spagnoletti & Associates 2000 - 2001
US Securities and Exchange Commission 1999 - 1999
Skills
Commercial Litigation, Personal Injury, Business Litigation, Criminal Defense, Criminal Law, Wrongful Death, White Collar Criminal..., Securities, Litigation, Civil Litigation, Corporate Law, Contract Negotiation, Corporate Finance, Internal Investigations, International Business
Education
South Texas College of Law
JD
Doshisha University
Semester Abroad, International and Comparative Law
Texas State University-San Marcos
BBA, Economics, magna cum laude
Law Office of James Zier, P.C. 2007 - Present
Texas State Securities Board 2003 - 2007
Mitsui, Yasuda, Wani & Maeda 2001 - 2003
Spagnoletti & Associates 2000 - 2001
US Securities and Exchange Commission 1999 - 1999
Skills
Commercial Litigation, Personal Injury, Business Litigation, Criminal Defense, Criminal Law, Wrongful Death, White Collar Criminal..., Securities, Litigation, Civil Litigation, Corporate Law, Contract Negotiation, Corporate Finance, Internal Investigations, International Business
Education
South Texas College of Law
JD
Doshisha University
Semester Abroad, International and Comparative Law
Texas State University-San Marcos
BBA, Economics, magna cum laude
Karen (Marra) O'Brien Karen (Marra) O'Brien's US Securities and Exchange Commission Experience 1986 - 1990
Job Principal, Financial Industry Service Group LLC and Principal, Independent Review Group LLC
Industry Financial Services
Experience
Financial Industry Service Group LLC ("FInseg") September 2000 - Present
North American Securities Administrators Association "NASAA" September 1991 - September 2000
US Securities and Exchange Commission 1986 - 1990
Education
Syracuse University College of Law 1980 — 1982
JD, Majored in Business Law
State University of New York College at Geneseo 1976 — 1980
BA, Economics and Political Science
Financial Industry Service Group LLC ("FInseg") September 2000 - Present
North American Securities Administrators Association "NASAA" September 1991 - September 2000
US Securities and Exchange Commission 1986 - 1990
Education
Syracuse University College of Law 1980 — 1982
JD, Majored in Business Law
State University of New York College at Geneseo 1976 — 1980
BA, Economics and Political Science
Gregorie Sylvester Gregorie Sylvester's US Securities and Exchange Commission Experience November 2013 - Present
Job Document Management Specialist at US Securities and Exchange Commission
Industry Information Technology and Services
Experience
US Securities and Exchange Commission November 2013 - Present
Law School Admission Council Examination Proctor August 2011 - Present
New York Families for Autistic Children May 2013 - November 2013
New York Families For Autistic Children August 2012 - May 2013
GameStop August 2009 - May 2013
St. Mary Star of the Sea Church/School July 2008 - August 2008
Rockaway Development and Revitalization Corporation December 2007 - July 2008
NYC Councilman Sanders Office July 2006 - August 2006
Skills
Languages: C/C++, Basic..., Environments: Windows,..., Words-Per-Minute: 60, Data Entry, Research
Education
St. John's University 2008 — 2012
BS, Computer Science
US Securities and Exchange Commission November 2013 - Present
Law School Admission Council Examination Proctor August 2011 - Present
New York Families for Autistic Children May 2013 - November 2013
New York Families For Autistic Children August 2012 - May 2013
GameStop August 2009 - May 2013
St. Mary Star of the Sea Church/School July 2008 - August 2008
Rockaway Development and Revitalization Corporation December 2007 - July 2008
NYC Councilman Sanders Office July 2006 - August 2006
Skills
Languages: C/C++, Basic..., Environments: Windows,..., Words-Per-Minute: 60, Data Entry, Research
Education
St. John's University 2008 — 2012
BS, Computer Science
Fausto A. Rosales, Esq. Fausto A. Rosales, Esq.'s US Securities and Exchange Commission Experience January 2012 - April 2012
Job Attorney at Law at Naderpour & Associates, P.A.
Industry Law Practice
Experience
Naderpour & Associates, P.A. October 2013 - Present
The Law Office of Fausto A. Rosales, P.A. April 2013 - October 2013
Trump Dezer Development April 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
UBS Wealth Management June 2008 - July 2010
UBS AG 2008 - July 2010
UBS Wealth Management-Chicago December 2008 - January 2009
Skills
Legal Writing
Education
St. Thomas University School of Law 2010 — 2012
Juris Doctor (JD), Banking, Corporate, Finance, and Securities Law
University of Miami - School of Business 2005 — 2008
BBA, International Finance & Marketing; Business Management & Organization; Business Law
Coral Reef Senior High 2001 — 2005
International Baccalaureate (IB) Program
Naderpour & Associates, P.A. October 2013 - Present
The Law Office of Fausto A. Rosales, P.A. April 2013 - October 2013
Trump Dezer Development April 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
UBS Wealth Management June 2008 - July 2010
UBS AG 2008 - July 2010
UBS Wealth Management-Chicago December 2008 - January 2009
Skills
Legal Writing
Education
St. Thomas University School of Law 2010 — 2012
Juris Doctor (JD), Banking, Corporate, Finance, and Securities Law
University of Miami - School of Business 2005 — 2008
BBA, International Finance & Marketing; Business Management & Organization; Business Law
Coral Reef Senior High 2001 — 2005
International Baccalaureate (IB) Program
Margeaux Davitte Margeaux Davitte's US Securities and Exchange Commission Experience January 2014 - March 2014
Job Staff Attorney at Troutman Sanders LLP
Industry Law Practice
Experience
Troutman Sanders LLP November 2014 - Present
US Securities and Exchange Commission January 2014 - March 2014
National Labor Relations Board May 2013 - December 2013
Polaris Project June 2012 - August 2012
National Oceanic and Atmospheric Administration May 2009 - July 2011
Skills
Human Resources, Employee Relations, Labor Relations, Strategy, Marketing, Policy, Government, Operations Management, Project Planning
Education
Seattle University School of Law 2011 — 2014
Doctor of Law (J.D.), Law, cum laude
The George Washington University Law School 2013 — 2013
Doctor of Law (JD)
University of Washington 2006 — 2010
Bachelor of Arts (B.A.), Philosophy and Political Science, Minor in French, 3.58
Troutman Sanders LLP November 2014 - Present
US Securities and Exchange Commission January 2014 - March 2014
National Labor Relations Board May 2013 - December 2013
Polaris Project June 2012 - August 2012
National Oceanic and Atmospheric Administration May 2009 - July 2011
Skills
Human Resources, Employee Relations, Labor Relations, Strategy, Marketing, Policy, Government, Operations Management, Project Planning
Education
Seattle University School of Law 2011 — 2014
Doctor of Law (J.D.), Law, cum laude
The George Washington University Law School 2013 — 2013
Doctor of Law (JD)
University of Washington 2006 — 2010
Bachelor of Arts (B.A.), Philosophy and Political Science, Minor in French, 3.58
Steve Bacica Steve Bacica's US Securities and Exchange Commission Experience June 1996 - August 1999
Job Executive Vice President & Chief Financial Officer at Kastle Systems International
Industry Information Technology and Services
Experience
Kastle Systems International June 2014 - Present
Staples August 2012 - June 2014
MCG Capital Corporation May 2008 - May 2012
Marriott International May 2002 - May 2008
PricewaterhouseCoopers September 1999 - May 2002
US Securities and Exchange Commission June 1996 - August 1999
PricewaterhouseCoopers September 1993 - June 1996
Skills
Forecasting, Financial Analysis, Process Improvement, Retail, P&L, Inventory Management, Financial Reporting, Sarbanes-Oxley Act, Budgets, Microsoft Excel, Accounting, Cross-functional Team..., Essbase, Internal Controls, Inventory Control, Strategic Planning, Business Process..., Access, Management, Financial Modeling, Customer Service, Income Statement, Finance, Corporate Finance, General Ledger, Auditing
Education
Saint Joseph's University 1989 — 1993
Bachelor of Science (BS), Accounting and Finance, summa cum laude
Kastle Systems International June 2014 - Present
Staples August 2012 - June 2014
MCG Capital Corporation May 2008 - May 2012
Marriott International May 2002 - May 2008
PricewaterhouseCoopers September 1999 - May 2002
US Securities and Exchange Commission June 1996 - August 1999
PricewaterhouseCoopers September 1993 - June 1996
Skills
Forecasting, Financial Analysis, Process Improvement, Retail, P&L, Inventory Management, Financial Reporting, Sarbanes-Oxley Act, Budgets, Microsoft Excel, Accounting, Cross-functional Team..., Essbase, Internal Controls, Inventory Control, Strategic Planning, Business Process..., Access, Management, Financial Modeling, Customer Service, Income Statement, Finance, Corporate Finance, General Ledger, Auditing
Education
Saint Joseph's University 1989 — 1993
Bachelor of Science (BS), Accounting and Finance, summa cum laude
Sean De Winter Sean De Winter's US Securities and Exchange Commission Experience October 1996 - June 1998
Job Assurance Partner at PwC
Industry Accounting
Experience
PricewaterhouseCoopers 1991 - Present
New Heights Academy Charter School September 2010 - August 2012
US Securities and Exchange Commission October 1996 - June 1998
Education
San Diego State University-California State University 1987 — 1991
Bachelor of Science (BS), Accounting
PricewaterhouseCoopers 1991 - Present
New Heights Academy Charter School September 2010 - August 2012
US Securities and Exchange Commission October 1996 - June 1998
Education
San Diego State University-California State University 1987 — 1991
Bachelor of Science (BS), Accounting
Shenggang Zhu Shenggang Zhu'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 January 2014 - Present
Shearman & Sterling LLP November 2012 - December 2013
Shearman & Sterling LLP May 2011 - July 2011
US Securities and Exchange Commission January 2011 - April 2011
Prudential Financial June 2010 - August 2010
Education
The George Washington University Law School 2009 — 2012
Juris Doctor, Law
Shanghai Institute of Foreign Trade
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates January 2014 - Present
Shearman & Sterling LLP November 2012 - December 2013
Shearman & Sterling LLP May 2011 - July 2011
US Securities and Exchange Commission January 2011 - April 2011
Prudential Financial June 2010 - August 2010
Education
The George Washington University Law School 2009 — 2012
Juris Doctor, Law
Shanghai Institute of Foreign Trade
Allen J. Genaldi's US Securities and Exchange Commission Experience November 2012 - Present
Job Forensic Accountant at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission November 2012 - Present
Allen J. Genaldi, P. A. March 1993 - Present
DC Government June 2010 - May 2012
CFP Board March 2012 - March 2012
National Insurance Crime Bureau April 2009 - May 2010
Alvarez & Marsal 2006 - 2008
Grant Thornton April 2004 - December 2005
PricewaterhouseCoopers July 1998 - July 2003
Florida Department of Law Enforcement May 1985 - July 1997
Pinellas County Sheriff's Office November 1978 - May 1985
Skills
Compliance, Corporate Governance, AML, FCPA, Audit, Auditing, Fraud, Certified Fraud Examiner
Education
University of South Florida - College of Business Administration 1988 — 1992
Bachelor of Science, Accounting
St. Petersburg College 1976 — 1978
AA, Police Administration
Bishop Connolly High School
US Securities and Exchange Commission November 2012 - Present
Allen J. Genaldi, P. A. March 1993 - Present
DC Government June 2010 - May 2012
CFP Board March 2012 - March 2012
National Insurance Crime Bureau April 2009 - May 2010
Alvarez & Marsal 2006 - 2008
Grant Thornton April 2004 - December 2005
PricewaterhouseCoopers July 1998 - July 2003
Florida Department of Law Enforcement May 1985 - July 1997
Pinellas County Sheriff's Office November 1978 - May 1985
Skills
Compliance, Corporate Governance, AML, FCPA, Audit, Auditing, Fraud, Certified Fraud Examiner
Education
University of South Florida - College of Business Administration 1988 — 1992
Bachelor of Science, Accounting
St. Petersburg College 1976 — 1978
AA, Police Administration
Bishop Connolly High School
Shoshana Thoma-Isgur's US Securities and Exchange Commission Experience August 2003 - June 2011
Job Partner at Haynes and Boone, LLP
Industry Law Practice
Experience
Haynes and Boone, LLP September 2014 - Present
K&L Gates June 2011 - August 2014
US Securities and Exchange Commission August 2003 - June 2011
Law, Snakard & Gambill, P.C. August 1998 - June 2003
Skills
Investments, Criminal Law, Fraud, Securities, Mutual Funds, SEC, Investment Adviser..., SEC Examinations and..., Due Diligence, Asset Management, Investment Management, Securities Regulation, Legal Compliance, Hedge Funds, Commercial Litigation, Legal Research, Corporate Governance, White Collar Criminal..., Class Actions, Civil Litigation, Litigation, Securities Litigation, Corporate Law, FCPA
Education
St. Mary's University School of Law 1995 — 1998
Doctor of Law (J.D.), cum laude
University of California, Santa Barbara 1986 — 1990
Bachelor of Arts (B.A.)
Haynes and Boone, LLP September 2014 - Present
K&L Gates June 2011 - August 2014
US Securities and Exchange Commission August 2003 - June 2011
Law, Snakard & Gambill, P.C. August 1998 - June 2003
Skills
Investments, Criminal Law, Fraud, Securities, Mutual Funds, SEC, Investment Adviser..., SEC Examinations and..., Due Diligence, Asset Management, Investment Management, Securities Regulation, Legal Compliance, Hedge Funds, Commercial Litigation, Legal Research, Corporate Governance, White Collar Criminal..., Class Actions, Civil Litigation, Litigation, Securities Litigation, Corporate Law, FCPA
Education
St. Mary's University School of Law 1995 — 1998
Doctor of Law (J.D.), cum laude
University of California, Santa Barbara 1986 — 1990
Bachelor of Arts (B.A.)
Brandee Green Brandee Green's US Securities and Exchange Commission Experience May 2003 - April 2005
Job Director of Accounting and Financial Reporting at Chipotle Mexican Grill
Industry Restaurants
Experience
Chipotle Mexican Grill April 2005 - Present
US Securities and Exchange Commission May 2003 - April 2005
AT&T Broadband November 2000 - May 2003
Ernst & Young July 1992 - September 2000
Skills
Financial Reporting, SEC filings, Auditing, Internal Controls, Financial Analysis, Financial Accounting, General Ledger, US GAAP, CPA, Cash Management, Microsoft Excel, Internal Audit, Tax, Treasury Management, IPO, Stock based compensation, Treasury, Accounting, Cash Flow
Education
Southern Methodist University - Cox School of Business 1988 — 1992
BBA, Accounting
Chipotle Mexican Grill April 2005 - Present
US Securities and Exchange Commission May 2003 - April 2005
AT&T Broadband November 2000 - May 2003
Ernst & Young July 1992 - September 2000
Skills
Financial Reporting, SEC filings, Auditing, Internal Controls, Financial Analysis, Financial Accounting, General Ledger, US GAAP, CPA, Cash Management, Microsoft Excel, Internal Audit, Tax, Treasury Management, IPO, Stock based compensation, Treasury, Accounting, Cash Flow
Education
Southern Methodist University - Cox School of Business 1988 — 1992
BBA, Accounting
Tim Hoke, MBA, CISA, CGFM Tim Hoke, MBA, CISA, CGFM's US Securities and Exchange Commission Experience October 2010 - July 2011
Job IT Audit Manager
Industry Government Administration
Experience
Heroic Aleworks 2013 - Present
Accenture May 2012 - Present
US Army July 2011 - May 2012
US Securities and Exchange Commission October 2010 - July 2011
Booz Allen Hamilton January 2009 - October 2010
Defense Finance and Accounting Service April 2008 - January 2009
Defense Commissary Agency January 2006 - April 2008
Skills
Change Leadership, Change Management, Strategic Communications, Statistical Analysis, Data Management, ERP Implementation, Relationship Development, Lean Six Sigma, Team Leadership, Integration, ERP, Strategy, SDLC, Project Management, Leadership, Management, Program Management, Project Planning, Software Documentation, Business Process..., Governance, Analysis, Management Consulting, Process Improvement, Training
Education
Virginia Polytechnic Institute and State University - Pamplin College of Business 2008 — 2011
MBA, Business
Southern Illinois University, Carbondale 1996 — 2003
BA, Russian
Heroic Aleworks 2013 - Present
Accenture May 2012 - Present
US Army July 2011 - May 2012
US Securities and Exchange Commission October 2010 - July 2011
Booz Allen Hamilton January 2009 - October 2010
Defense Finance and Accounting Service April 2008 - January 2009
Defense Commissary Agency January 2006 - April 2008
Skills
Change Leadership, Change Management, Strategic Communications, Statistical Analysis, Data Management, ERP Implementation, Relationship Development, Lean Six Sigma, Team Leadership, Integration, ERP, Strategy, SDLC, Project Management, Leadership, Management, Program Management, Project Planning, Software Documentation, Business Process..., Governance, Analysis, Management Consulting, Process Improvement, Training
Education
Virginia Polytechnic Institute and State University - Pamplin College of Business 2008 — 2011
MBA, Business
Southern Illinois University, Carbondale 1996 — 2003
BA, Russian
Susannah Ragab's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Real Estate Associate at Drinker Biddle & Reath LLP
Industry Law Practice
Experience
Drinker Biddle & Reath LLP April 2015 - Present
United States Bankruptcy Court August 2014 - April 2015
US Securities and Exchange Commission May 2013 - August 2013
U.S. District Court, Northern District of California, San Jose Courthouse May 2012 - July 2012
Superior Court of Santa Clara County September 2011 - December 2011
UBS Financial Services Inc. August 2007 - June 2010
Drinker Biddle & Reath LLP December 2006 - August 2007
Office of San Francisco District Attorney May 2005 - August 2005
Skills
Legal Research, Westlaw, Civil Litigation, Lexis, Legal Writing, Courts
Education
Santa Clara University School of Law 2011 — 2013
Doctor of Law (J.D.), magna cum laude
Wesleyan University 2002 — 2006
Bachelor of Arts, Government & English
FHS
Drinker Biddle & Reath LLP April 2015 - Present
United States Bankruptcy Court August 2014 - April 2015
US Securities and Exchange Commission May 2013 - August 2013
U.S. District Court, Northern District of California, San Jose Courthouse May 2012 - July 2012
Superior Court of Santa Clara County September 2011 - December 2011
UBS Financial Services Inc. August 2007 - June 2010
Drinker Biddle & Reath LLP December 2006 - August 2007
Office of San Francisco District Attorney May 2005 - August 2005
Skills
Legal Research, Westlaw, Civil Litigation, Lexis, Legal Writing, Courts
Education
Santa Clara University School of Law 2011 — 2013
Doctor of Law (J.D.), magna cum laude
Wesleyan University 2002 — 2006
Bachelor of Arts, Government & English
FHS
Brian V. Breheny Brian V. Breheny's US Securities and Exchange Commission Experience November 2007 - September 2010
Job Partner at Skadden, Arps, Slate, Meagher & Flom LLP
Industry Law Practice
Experience
Skadden, Arps, Slate, Meagher & Flom LLP October 2010 - Present
U.S. Securities and Exchange Commission November 2007 - September 2010
US Securities and Exchange Commission July 2003 - October 2007
Clifford Chance (London and New York offices) September 1996 - July 2003
Clifford Chance US LLP September 1996 - July 2003
Clifford Chance 1995 - July 2003
Rogers & Wells 1996 - 1999
KPMG Peat Marwick September 1990 - January 1994
KPMG LLP May 1989 - January 1994
Education
St. John's University School of Law 1994 — 1996
St. John's University, The Peter J. Tobin College of Business 1986 — 1990
B.S., Accounting
Skadden, Arps, Slate, Meagher & Flom LLP October 2010 - Present
U.S. Securities and Exchange Commission November 2007 - September 2010
US Securities and Exchange Commission July 2003 - October 2007
Clifford Chance (London and New York offices) September 1996 - July 2003
Clifford Chance US LLP September 1996 - July 2003
Clifford Chance 1995 - July 2003
Rogers & Wells 1996 - 1999
KPMG Peat Marwick September 1990 - January 1994
KPMG LLP May 1989 - January 1994
Education
St. John's University School of Law 1994 — 1996
St. John's University, The Peter J. Tobin College of Business 1986 — 1990
B.S., Accounting
Alex Hensel Alex Hensel's US Securities and Exchange Commission Experience April 2013 - April 2014
Job AML Analyst at Promontory Financial Group, LLC
Industry Law Practice
Experience
Promontory Financial Group, LLC May 2015 - Present
Robert Half Legal December 2014 - May 2015
Hire Counsel December 2014 - May 2015
Hudson Legal May 2014 - November 2014
US Securities and Exchange Commission April 2013 - April 2014
Hudson Legal January 2012 - April 2013
Cartee Law Firm, P.C. November 2012 - December 2012
Law Offices of Kevin J. Dolley February 2012 - March 2012
Cervantes and Associates May 2009 - May 2011
McCarthy Building Company February 2007 - September 2007
Skills
Legal Writing, Legal Research, Depositions, Personal Injury, Medical Malpractice, Product Liability, Torts, Westlaw, Civil Litigation, Litigation, Legal Issues, Family Law, Courts, Litigation Support, Workers Compensation, Premises Liability, Wrongful Death, Divorce, Motions, Trials, Commercial Litigation, Appeals, Legal Documents, Mediation, Legal Compliance, Banking Law, Anti Money Laundering, Government Compliance
Education
Saint Louis University School of Law 2008 — 2011
Juris Doctor, Law
Saint Louis University 2004 — 2008
Bachelor's Degree, Business Administration, Management and Operations
Promontory Financial Group, LLC May 2015 - Present
Robert Half Legal December 2014 - May 2015
Hire Counsel December 2014 - May 2015
Hudson Legal May 2014 - November 2014
US Securities and Exchange Commission April 2013 - April 2014
Hudson Legal January 2012 - April 2013
Cartee Law Firm, P.C. November 2012 - December 2012
Law Offices of Kevin J. Dolley February 2012 - March 2012
Cervantes and Associates May 2009 - May 2011
McCarthy Building Company February 2007 - September 2007
Skills
Legal Writing, Legal Research, Depositions, Personal Injury, Medical Malpractice, Product Liability, Torts, Westlaw, Civil Litigation, Litigation, Legal Issues, Family Law, Courts, Litigation Support, Workers Compensation, Premises Liability, Wrongful Death, Divorce, Motions, Trials, Commercial Litigation, Appeals, Legal Documents, Mediation, Legal Compliance, Banking Law, Anti Money Laundering, Government Compliance
Education
Saint Louis University School of Law 2008 — 2011
Juris Doctor, Law
Saint Louis University 2004 — 2008
Bachelor's Degree, Business Administration, Management and Operations
Megan Deschenes Megan Deschenes's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Fund Accountant at State Street
Industry Financial Services
Experience
State Street June 2011 - Present
Boston Scientific August 2010 - December 2010
US Securities and Exchange Commission June 2010 - August 2010
Law Offices of James S. Aven January 2010 - August 2010
Worcester Public Schools August 2004 - January 2010
Fidelity Investments May 2008 - August 2008
Congressman James McGovern May 2008 - August 2008
Campaign for Deval Patrick/ Tim Murray for Governor/Lt. Governor June 2006 - November 2006
Education
Stonehill College 2007 — 2011
Economics
State Street June 2011 - Present
Boston Scientific August 2010 - December 2010
US Securities and Exchange Commission June 2010 - August 2010
Law Offices of James S. Aven January 2010 - August 2010
Worcester Public Schools August 2004 - January 2010
Fidelity Investments May 2008 - August 2008
Congressman James McGovern May 2008 - August 2008
Campaign for Deval Patrick/ Tim Murray for Governor/Lt. Governor June 2006 - November 2006
Education
Stonehill College 2007 — 2011
Economics
Heather Speers Heather Speers's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Law Student
Industry Law Practice
Experience
University of San Diego School of Law August 2012 - May 2015
California Attorney General - Correctional Writs and Appeals September 2014 - November 2014
Cooley LLP May 2014 - July 2014
United States District Court Southern District of California - Honorable M. James Lorenz January 2014 - April 2014
California Department of Business Oversight September 2013 - November 2013
US Securities and Exchange Commission May 2013 - August 2013
CBIZ MHM, LLC January 2012 - August 2012
McGladrey January 2011 - August 2011
CBIZ MHM 2006 - 2010
Skills
Auditing, GAAP, FASB, SEC filings, Financial Analysis, SEC Filings, Accounting, CPA, Corporate Tax, Financial Accounting
Education
University of San Diego School of Law 2012 — 2015
Doctor of Law (J.D.)
San Diego State University-California State University
Master of Business Administration (M.B.A.), Accounting, 3.5
San Diego State University-California State University 2002 — 2006
Bachelor of Science (BS), Accounting
University of San Diego School of Law August 2012 - May 2015
California Attorney General - Correctional Writs and Appeals September 2014 - November 2014
Cooley LLP May 2014 - July 2014
United States District Court Southern District of California - Honorable M. James Lorenz January 2014 - April 2014
California Department of Business Oversight September 2013 - November 2013
US Securities and Exchange Commission May 2013 - August 2013
CBIZ MHM, LLC January 2012 - August 2012
McGladrey January 2011 - August 2011
CBIZ MHM 2006 - 2010
Skills
Auditing, GAAP, FASB, SEC filings, Financial Analysis, SEC Filings, Accounting, CPA, Corporate Tax, Financial Accounting
Education
University of San Diego School of Law 2012 — 2015
Doctor of Law (J.D.)
San Diego State University-California State University
Master of Business Administration (M.B.A.), Accounting, 3.5
San Diego State University-California State University 2002 — 2006
Bachelor of Science (BS), Accounting
Lou Mejia Lou Mejia's US Securities and Exchange Commission Experience November 1999 - December 2009
Job Partner at Perkins Coie LLP
Industry Law Practice
Experience
Perkins Coie LLP January 2014 - Present
DLA Piper December 2009 - January 2014
US Securities and Exchange Commission November 1999 - December 2009
Akin Gump Strauss Hauer & Feld LLP March 1990 - November 1999
Skills
Securities Litigation, Securities Regulation, Internal Investigations, FCPA, Fraud, Class Actions, Securities, Business Litigation, Civil Litigation, Trials, Commercial Litigation, Courts, Criminal Law, Litigation, Trial Practice, White Collar Criminal..., Administrative Law, Alternative Dispute..., Criminal Defense
Education
The George Washington University Law School 1984 — 1987
JD
San Diego State University-California State University
BA, Political Science, Economics
Perkins Coie LLP January 2014 - Present
DLA Piper December 2009 - January 2014
US Securities and Exchange Commission November 1999 - December 2009
Akin Gump Strauss Hauer & Feld LLP March 1990 - November 1999
Skills
Securities Litigation, Securities Regulation, Internal Investigations, FCPA, Fraud, Class Actions, Securities, Business Litigation, Civil Litigation, Trials, Commercial Litigation, Courts, Criminal Law, Litigation, Trial Practice, White Collar Criminal..., Administrative Law, Alternative Dispute..., Criminal Defense
Education
The George Washington University Law School 1984 — 1987
JD
San Diego State University-California State University
BA, Political Science, Economics
Danielle (Hrzenak) Ryea's US Securities and Exchange Commission Experience June 2010 - August 2011
Job Senior Manager Financial Services Office at EY
Industry Investment Management
Experience
EY August 2011 - Present
US Securities and Exchange Commission June 2010 - August 2011
US Securities and Exchange Commission June 2005 - June 2010
US Securities and Exchange Commission March 2001 - June 2005
Mottern, Fisher & Rosenthal, PC September 1999 - March 2001
Skills
Securities Regulation, Financial Services, Securities, Hedge Funds, Alternative Investments, SEC, SEC filings, Mutual Funds, Private Equity, Accounting, Capital Markets, Investment Advisory, Risk Management, Internal Controls, Financial Risk, Asset Managment
Education
Stetson University College of Law 1996 — 1999
JD, Law
University of South Florida 1992 — 1996
B.S., Accounting
Cypress Lake High School 1986 — 1990
EY August 2011 - Present
US Securities and Exchange Commission June 2010 - August 2011
US Securities and Exchange Commission June 2005 - June 2010
US Securities and Exchange Commission March 2001 - June 2005
Mottern, Fisher & Rosenthal, PC September 1999 - March 2001
Skills
Securities Regulation, Financial Services, Securities, Hedge Funds, Alternative Investments, SEC, SEC filings, Mutual Funds, Private Equity, Accounting, Capital Markets, Investment Advisory, Risk Management, Internal Controls, Financial Risk, Asset Managment
Education
Stetson University College of Law 1996 — 1999
JD, Law
University of South Florida 1992 — 1996
B.S., Accounting
Cypress Lake High School 1986 — 1990
Paul Garcia's US Securities and Exchange Commission Experience June 2010 - February 2012
Job Pokemon Expert/trainer
Industry Computer Software
Experience
LiveIntent, Inc. August 2014 - Present
MetroClick August 2013 - June 2014
CrispolAndrea Eyewear February 2008 - June 2014
Prime Realty New York August 2012 - August 2013
CheckM8 August 2012 - June 2013
Michael C. Fina February 2012 - March 2012
US Securities and Exchange Commission June 2010 - February 2012
H&R Block December 2009 - April 2010
Skills
CSS, JavaScript, Java, HTML 5, Web Development, HTML, User Experience, Agile Methodologies, jQuery, HTML5, Linux, Cloud Computing, Databases, AngularJS, Accounting, Node.js, sleeping, Pen, DoubleClick, Facebook API, MongoDB, REST, taking notes, Notepad, Note Taking, Cross-browser..., twitter api, Scalability, express, JSON, github, firebase, cordova, Backbone.js, underscore, E-commerce
Education
New York institute of Technology 2011 — 2015
Bachelor of Science; Associate of Applied Science, Information Technology; Cyber Security; Accounting
Queensborough Community College 2009 — 2011
Associates of Applied Science, Accounting
LiveIntent, Inc. August 2014 - Present
MetroClick August 2013 - June 2014
CrispolAndrea Eyewear February 2008 - June 2014
Prime Realty New York August 2012 - August 2013
CheckM8 August 2012 - June 2013
Michael C. Fina February 2012 - March 2012
US Securities and Exchange Commission June 2010 - February 2012
H&R Block December 2009 - April 2010
Skills
CSS, JavaScript, Java, HTML 5, Web Development, HTML, User Experience, Agile Methodologies, jQuery, HTML5, Linux, Cloud Computing, Databases, AngularJS, Accounting, Node.js, sleeping, Pen, DoubleClick, Facebook API, MongoDB, REST, taking notes, Notepad, Note Taking, Cross-browser..., twitter api, Scalability, express, JSON, github, firebase, cordova, Backbone.js, underscore, E-commerce
Education
New York institute of Technology 2011 — 2015
Bachelor of Science; Associate of Applied Science, Information Technology; Cyber Security; Accounting
Queensborough Community College 2009 — 2011
Associates of Applied Science, Accounting
Nanika Shaw Nanika Shaw's US Securities and Exchange Commission Experience September 2011 - December 2011
Job Barclays Capital, Assistant Vice President
Industry Financial Services
Experience
Barclays July 2013 - Present
US Securities and Exchange Commission September 2011 - December 2011
Gallo Vitucci Klar LLP May 2011 - August 2011
Office of the City Solicitor July 2010 - August 2010
Tennessee Attorney General's Office May 2010 - July 2010
Deutsche Bank Securities July 2007 - July 2009
Georgia Secretary of State September 2006 - December 2006
Skills
Legal Research, Bankruptcy, Negotiation, Legal Writing, Securities, Courts, Litigation, Nonprofits, Trials, Finance, Hearings, Training, Corporate Law, Investments, Research, Analysis
Education
Vanderbilt University Law School 2009 — 2012
Doctor of Law (J.D.)
Spelman College 2003 — 2007
Bachelor of Arts (B.A.), Economics
Stephenson High School
Barclays July 2013 - Present
US Securities and Exchange Commission September 2011 - December 2011
Gallo Vitucci Klar LLP May 2011 - August 2011
Office of the City Solicitor July 2010 - August 2010
Tennessee Attorney General's Office May 2010 - July 2010
Deutsche Bank Securities July 2007 - July 2009
Georgia Secretary of State September 2006 - December 2006
Skills
Legal Research, Bankruptcy, Negotiation, Legal Writing, Securities, Courts, Litigation, Nonprofits, Trials, Finance, Hearings, Training, Corporate Law, Investments, Research, Analysis
Education
Vanderbilt University Law School 2009 — 2012
Doctor of Law (J.D.)
Spelman College 2003 — 2007
Bachelor of Arts (B.A.), Economics
Stephenson High School
Cynthia Vuong Cynthia Vuong's US Securities and Exchange Commission Experience June 2013 - August 2013
Job Law Clerk at NYSUT
Industry Law Practice
Experience
Rutgers Civil Justice Legal Clinic September 2013 - September 2014
NYSUT January 2014 - May 2014
US Securities and Exchange Commission June 2013 - August 2013
ACLU-American Civil Liberties Union of New Jersey January 2013 - April 2013
Asian American Legal Defense and Education Fund September 2012 - January 2013
Prudential Financial May 2012 - July 2012
Asian Pacific American Legal Center November 2009 - August 2010
EEOC June 2009 - August 2009
OCA June 2009 - August 2009
UCLA Alumni Association September 2005 - June 2009
Skills
Westlaw, Legal Research, Legal Writing, Research, Lexis, Litigation, Courts, Civil Litigation, Public Policy, Legal Assistance, Editing, Policy Analysis, Immigration Law, Community Outreach, Non-profits, Civil Rights, Fundraising, Public Speaking, Microsoft Office, PowerPoint, Appeals
Education
University of California, Los Angeles 2005 — 2009
BA, Political Science and Asian American Studies
Rutgers University School of Law - Newark
JD, Law
Rutgers Civil Justice Legal Clinic September 2013 - September 2014
NYSUT January 2014 - May 2014
US Securities and Exchange Commission June 2013 - August 2013
ACLU-American Civil Liberties Union of New Jersey January 2013 - April 2013
Asian American Legal Defense and Education Fund September 2012 - January 2013
Prudential Financial May 2012 - July 2012
Asian Pacific American Legal Center November 2009 - August 2010
EEOC June 2009 - August 2009
OCA June 2009 - August 2009
UCLA Alumni Association September 2005 - June 2009
Skills
Westlaw, Legal Research, Legal Writing, Research, Lexis, Litigation, Courts, Civil Litigation, Public Policy, Legal Assistance, Editing, Policy Analysis, Immigration Law, Community Outreach, Non-profits, Civil Rights, Fundraising, Public Speaking, Microsoft Office, PowerPoint, Appeals
Education
University of California, Los Angeles 2005 — 2009
BA, Political Science and Asian American Studies
Rutgers University School of Law - Newark
JD, Law
John Riedel John Riedel's US Securities and Exchange Commission Experience February 2001 - February 2003
Job Associate General Counsel at CPA Global
Industry Telecommunications
Experience
CPA Global May 2013 - Present
CPA Global December 2011 - May 2013
CPA Global August 2010 - January 2012
CPA Global 2009 - September 2010
Sprint Nextel Corp June 2006 - March 2009
Civic Service, Incorporated February 2003 - June 2006
US Securities and Exchange Commission February 2001 - February 2003
Swidler Berlin Sherref Friedman, LLP September 1998 - January 2001
Rosenman & Colin August 1997 - September 1998
Commodity Futures Trading Commission 1996 - 1997
Skills
Corporate Law, Patent Prosecution, Bankruptcy, Intellectual Property, Mergers & Acquisitions, Leadership, Strategy, Legal Research, Private Equity, Strategic Partnerships, Legal Advice, Securities Regulation, Joint Ventures, Privacy Law, Corporate Governance, Licensing, Due Diligence, Legal Writing, Litigation, Patents, Copyright Law, Securities, Competition Law, Legal Assistance, Trademarks, Dispute Resolution, Commercial Litigation, International Law, Employment Law, Software Licensing, Arbitration, Patent Litigation, Litigation Support
Education
The George Washington University Law School 1994 — 1997
JD
The George Washington University 1987 — 1991
BA, International Affairs
上智大学 1989 — 1990
Two Year Study Abroad
Saint Mary's International School 1984 — 1986
CPA Global May 2013 - Present
CPA Global December 2011 - May 2013
CPA Global August 2010 - January 2012
CPA Global 2009 - September 2010
Sprint Nextel Corp June 2006 - March 2009
Civic Service, Incorporated February 2003 - June 2006
US Securities and Exchange Commission February 2001 - February 2003
Swidler Berlin Sherref Friedman, LLP September 1998 - January 2001
Rosenman & Colin August 1997 - September 1998
Commodity Futures Trading Commission 1996 - 1997
Skills
Corporate Law, Patent Prosecution, Bankruptcy, Intellectual Property, Mergers & Acquisitions, Leadership, Strategy, Legal Research, Private Equity, Strategic Partnerships, Legal Advice, Securities Regulation, Joint Ventures, Privacy Law, Corporate Governance, Licensing, Due Diligence, Legal Writing, Litigation, Patents, Copyright Law, Securities, Competition Law, Legal Assistance, Trademarks, Dispute Resolution, Commercial Litigation, International Law, Employment Law, Software Licensing, Arbitration, Patent Litigation, Litigation Support
Education
The George Washington University Law School 1994 — 1997
JD
The George Washington University 1987 — 1991
BA, International Affairs
上智大学 1989 — 1990
Two Year Study Abroad
Saint Mary's International School 1984 — 1986
Otis Pratt Otis Pratt's US Securities and Exchange Commission Experience December 2012 - Present
Job Market Intel Enforcement Prog Anal. at US Securities and Exchange Commission
Industry Market Research
Experience
US Securities and Exchange Commission December 2012 - Present
US Department of Homeland Security January 2010 - December 2012
Office of the Comptroller of the Currency November 2002 - December 2009
Skills
Law Enforcement..., Enforcement, Internal Investigations, Investigative Reporting, Legal Research, Legal Writing, Legal Assistance, Legal Documents, Identity Theft, Freedom of Information..., Planning Budgeting &..., Program Management, Analysis, Data Analysis, Market Analysis, Business Intelligence, Strategic Planning, Leadership, Law Enforcement, Public Speaking, Management, Customer Service, Team Building, Microsoft Excel, Training, Policy
Education
USA Graduate School 2010 — 2012
Organizational Leadership, 3.89
USA Graduate School - For Federal Employees 2003 — 2006
Advanced Certification, Legal Studies, General
Southeastern University 1993 — 1998
Business Mgmt
Douglas Junior High
US Securities and Exchange Commission December 2012 - Present
US Department of Homeland Security January 2010 - December 2012
Office of the Comptroller of the Currency November 2002 - December 2009
Skills
Law Enforcement..., Enforcement, Internal Investigations, Investigative Reporting, Legal Research, Legal Writing, Legal Assistance, Legal Documents, Identity Theft, Freedom of Information..., Planning Budgeting &..., Program Management, Analysis, Data Analysis, Market Analysis, Business Intelligence, Strategic Planning, Leadership, Law Enforcement, Public Speaking, Management, Customer Service, Team Building, Microsoft Excel, Training, Policy
Education
USA Graduate School 2010 — 2012
Organizational Leadership, 3.89
USA Graduate School - For Federal Employees 2003 — 2006
Advanced Certification, Legal Studies, General
Southeastern University 1993 — 1998
Business Mgmt
Douglas Junior High
Dan Viola's US Securities and Exchange Commission Experience August 1992 - August 1995
Job Partner at Sadis & Goldberg LLP/FINRA Arbitrator
Industry Law Practice
Experience
Sadis & Goldberg LLP October 2006 - Present
Financial Industry Regulatory Authority 1998 - Present
Carlin Financial Group August 2002 - April 2006
VIOCO August 1995 - June 2005
US Securities and Exchange Commission August 1992 - August 1995
Skills
Structures and..., Regulatory Compliance, Compliance Policy..., Mock SEC compliance..., Compliance Training, Investments, Hedge Funds, FINRA, SEC, Securities, Options, Equities, Financial Markets, Alternative Investments, Asset Management, Capital Markets, Derivatives, Trading, Private Placements, Broker-Dealer, Private Equity, Corporate Governance, Securities Regulation, Trading Systems, Arbitration, Litigation, Commodity, Due Diligence, Investment Advisers Act, Securities Litigation, Venture Capital, Investment Company Act, AML, Series 24, ERISA, Investment Management, Series 7, Financial Regulation, Corporate Law, Fund Of Funds, Mutual Funds, Dodd-Frank, Investment Advisory, Financial Services, Equity Trading, Proprietary Trading, Prime Brokerage, ETFs, Securities Offerings, Structured Finance
Education
Saint John's University School of Law 1993 — 1996
Doctor of Law (J.D.), Law
Saint John's University 1989 — 1992
Bachelor of Science (B.S.), Finance, General
Sadis & Goldberg LLP October 2006 - Present
Financial Industry Regulatory Authority 1998 - Present
Carlin Financial Group August 2002 - April 2006
VIOCO August 1995 - June 2005
US Securities and Exchange Commission August 1992 - August 1995
Skills
Structures and..., Regulatory Compliance, Compliance Policy..., Mock SEC compliance..., Compliance Training, Investments, Hedge Funds, FINRA, SEC, Securities, Options, Equities, Financial Markets, Alternative Investments, Asset Management, Capital Markets, Derivatives, Trading, Private Placements, Broker-Dealer, Private Equity, Corporate Governance, Securities Regulation, Trading Systems, Arbitration, Litigation, Commodity, Due Diligence, Investment Advisers Act, Securities Litigation, Venture Capital, Investment Company Act, AML, Series 24, ERISA, Investment Management, Series 7, Financial Regulation, Corporate Law, Fund Of Funds, Mutual Funds, Dodd-Frank, Investment Advisory, Financial Services, Equity Trading, Proprietary Trading, Prime Brokerage, ETFs, Securities Offerings, Structured Finance
Education
Saint John's University School of Law 1993 — 1996
Doctor of Law (J.D.), Law
Saint John's University 1989 — 1992
Bachelor of Science (B.S.), Finance, General
Evan Allen Evan Allen's US Securities and Exchange Commission Experience January 2014 - May 2014
Job ThirdYear Student at University of San Diego School of Law
Industry Law Practice
Experience
California Department of Justice, Office of the Attorney General January 2015 - Present
University of San Diego School of Law January 2015 - Present
Arena Pharmaceuticals June 2014 - November 2014
US Securities and Exchange Commission January 2014 - May 2014
National Conflict Resolution Center September 2013 - November 2013
Employee Rights Center June 2013 - August 2013
Pebble Beach Company June 2007 - July 2012
Skills
Interpersonal Skill, Outstanding..., Task-oriented, Legal Research, Legal Writing, Critical Thinking, Legal Issues, Mediation, Document Review, Litigation, Westlaw, Lexis, Courts, Corporate Law, Legal Assistance, Legal Compliance, Public Speaking, Research, Microsoft Office, Civil Litigation, LexisNexis, Microsoft Word
Education
University of San Diego School of Law 2012 — 2015
J.D. Candidate 2015, Law
San Diego State University-California State University 2006 — 2010
Bachelor of Science (B.S.), Business Administration and Management, General
California Department of Justice, Office of the Attorney General January 2015 - Present
University of San Diego School of Law January 2015 - Present
Arena Pharmaceuticals June 2014 - November 2014
US Securities and Exchange Commission January 2014 - May 2014
National Conflict Resolution Center September 2013 - November 2013
Employee Rights Center June 2013 - August 2013
Pebble Beach Company June 2007 - July 2012
Skills
Interpersonal Skill, Outstanding..., Task-oriented, Legal Research, Legal Writing, Critical Thinking, Legal Issues, Mediation, Document Review, Litigation, Westlaw, Lexis, Courts, Corporate Law, Legal Assistance, Legal Compliance, Public Speaking, Research, Microsoft Office, Civil Litigation, LexisNexis, Microsoft Word
Education
University of San Diego School of Law 2012 — 2015
J.D. Candidate 2015, Law
San Diego State University-California State University 2006 — 2010
Bachelor of Science (B.S.), Business Administration and Management, General
Christi Harlan's US Securities and Exchange Commission Experience January 2002 - April 2003
Job Senior Writer at Public Company Accounting Oversight Board
Industry Writing and Editing
Experience
Public Company Accounting Oversight Board March 2011 - Present
George Washington University September 2010 - May 2011
American Red Cross November 2010 - February 2011
Harlan Consulting January 2007 - February 2011
Public Company Accounting Oversight Board April 2003 - October 2006
US Securities and Exchange Commission January 2002 - April 2003
Federal Emergency Management Agency July 2001 - October 2001
Senate Committee on Banking, Housing and Urban Affairs January 1999 - July 2001
Austin American-Statesman August 1995 - December 1998
The Wall Street Journal August 1988 - September 1994
Skills
Newspapers, Financial Services, Magazines, Press Releases, Crisis Communications, Strategic Communications, Public Speaking, Publications, Media Relations, Journalism, Public Affairs, Editing, Management, Research, Public Relations, Publishing, Government, Spokesperson, Social Media, Storytelling, Copy Editing, Leadership, News Writing, Nonprofits, Legislation
Education
Yale Law School 1994 — 1995
Masters, Studies of Law
Stephen F. Austin State University 1975 — 1978
BA, Journalism, English, Poltical Science
Public Company Accounting Oversight Board March 2011 - Present
George Washington University September 2010 - May 2011
American Red Cross November 2010 - February 2011
Harlan Consulting January 2007 - February 2011
Public Company Accounting Oversight Board April 2003 - October 2006
US Securities and Exchange Commission January 2002 - April 2003
Federal Emergency Management Agency July 2001 - October 2001
Senate Committee on Banking, Housing and Urban Affairs January 1999 - July 2001
Austin American-Statesman August 1995 - December 1998
The Wall Street Journal August 1988 - September 1994
Skills
Newspapers, Financial Services, Magazines, Press Releases, Crisis Communications, Strategic Communications, Public Speaking, Publications, Media Relations, Journalism, Public Affairs, Editing, Management, Research, Public Relations, Publishing, Government, Spokesperson, Social Media, Storytelling, Copy Editing, Leadership, News Writing, Nonprofits, Legislation
Education
Yale Law School 1994 — 1995
Masters, Studies of Law
Stephen F. Austin State University 1975 — 1978
BA, Journalism, English, Poltical Science
Rose Romero Rose Romero's US Securities and Exchange Commission Experience March 2006 - July 2011
Job Principle, Law Offices of Romero | Kozub White Collar Defense SEC Enforcement Data Privacy and Cyber Security
Industry Law Practice
Experience
Thompson & Knight LLP September 2011 - Present
US Securities and Exchange Commission March 2006 - July 2011
U.S. Department of Justice March 1989 - March 2006
Skills
Securities Regulation, Securities Litigation, White Collar Criminal..., Litigation, Trade Secrets, Corporate Governance, Corporate Law, Civil Litigation, FCPA, Cross-border..., Securities, Internal Investigations, Fraud, Criminal Law, SEC, Private Investigations, Enforcement, Trials, Courts
Education
Southern Methodist University Dedman School of Law 1984 — 1987
Doctor of Law (JD)
Texas Christian University 1977 — 1980
Bachelor's degree
Thompson & Knight LLP September 2011 - Present
US Securities and Exchange Commission March 2006 - July 2011
U.S. Department of Justice March 1989 - March 2006
Skills
Securities Regulation, Securities Litigation, White Collar Criminal..., Litigation, Trade Secrets, Corporate Governance, Corporate Law, Civil Litigation, FCPA, Cross-border..., Securities, Internal Investigations, Fraud, Criminal Law, SEC, Private Investigations, Enforcement, Trials, Courts
Education
Southern Methodist University Dedman School of Law 1984 — 1987
Doctor of Law (JD)
Texas Christian University 1977 — 1980
Bachelor's degree
Tim Simons Tim Simons's US Securities and Exchange Commission Experience May 1988 - June 2000
Job Senior Managing Member at Focus 1 Associates LLC
Industry Financial Services
Experience
Focus 1 Associates LLC July 2010 - Present
National Society of Compliance Professionals 2004 - 2011
Ashland Compliance Group LLC January 2005 - July 2010
Ashland Partners and Company LLP July 2000 - June 2010
US Securities and Exchange Commission May 1988 - June 2000
Education
George Mason University - School of Business 1983 — 1987
MBA, Finance, Accounting
Rutgers University-New Brunswick 1964 — 1968
BS, Engineering
Focus 1 Associates LLC July 2010 - Present
National Society of Compliance Professionals 2004 - 2011
Ashland Compliance Group LLC January 2005 - July 2010
Ashland Partners and Company LLP July 2000 - June 2010
US Securities and Exchange Commission May 1988 - June 2000
Education
George Mason University - School of Business 1983 — 1987
MBA, Finance, Accounting
Rutgers University-New Brunswick 1964 — 1968
BS, Engineering
Jamie Couch Karutz Jamie Couch Karutz's US Securities and Exchange Commission Experience June 1990 - June 1995
Job Independent Photography Professional
Industry Photography
Experience
Jamie Karutz, Photographer 2005 - Present
Eye Care Centers of America 1997 - 1998
U.S. Long Distance August 1995 - July 1996
US Securities and Exchange Commission June 1990 - June 1995
Commerce Savings Association July 1986 - May 1990
Ernst & Whinney June 1982 - June 1986
Ernst & Young 1982 - 1986
Skills
Photojournalism, Food, Photography, Editorial, Magazines, Event Photography, Photos, Newspapers, Social Media Marketing, Social Networking, Fine Art Photography
Education
San Antonio College 1999 — 2003
Art, Photography
Trinity University 1978 — 1982
B.S., Business Administration, Accounting Concentration
Jamie Karutz, Photographer 2005 - Present
Eye Care Centers of America 1997 - 1998
U.S. Long Distance August 1995 - July 1996
US Securities and Exchange Commission June 1990 - June 1995
Commerce Savings Association July 1986 - May 1990
Ernst & Whinney June 1982 - June 1986
Ernst & Young 1982 - 1986
Skills
Photojournalism, Food, Photography, Editorial, Magazines, Event Photography, Photos, Newspapers, Social Media Marketing, Social Networking, Fine Art Photography
Education
San Antonio College 1999 — 2003
Art, Photography
Trinity University 1978 — 1982
B.S., Business Administration, Accounting Concentration
Natalie Lentz Natalie Lentz's US Securities and Exchange Commission Experience October 2010 - Present
Job at US Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission October 2010 - Present
SIGTARP September 2009 - October 2010
Deloitte & Touche October 2005 - September 2009
CACI September 2004 - October 2005
United Negro College Fund September 2003 - July 2005
Skills
Forensic Accounting, Auditing, Accounting, Internal Controls, Internal Audit, GAAP, Financial Statements, SEC filings, Certified Fraud Examiner, Management, CPA, Fraud, Financial Analysis, Budgets, Finance, Sarbanes-Oxley Act, Due Diligence, Financial Reporting, Risk Assessment, Financial Accounting, Risk Management, IFRS, Financial Risk, External Audit, Big 4, Financial Audits, US GAAP, FCPA, Forensic Analysis, Litigation Consulting
Education
Stevenson University 2007 — 2010
Master's, Forensic Studies - Accounting
Saint Vincent College 1994 — 1998
Bachelor's, Accounting
Greater Latrobe
US Securities and Exchange Commission October 2010 - Present
SIGTARP September 2009 - October 2010
Deloitte & Touche October 2005 - September 2009
CACI September 2004 - October 2005
United Negro College Fund September 2003 - July 2005
Skills
Forensic Accounting, Auditing, Accounting, Internal Controls, Internal Audit, GAAP, Financial Statements, SEC filings, Certified Fraud Examiner, Management, CPA, Fraud, Financial Analysis, Budgets, Finance, Sarbanes-Oxley Act, Due Diligence, Financial Reporting, Risk Assessment, Financial Accounting, Risk Management, IFRS, Financial Risk, External Audit, Big 4, Financial Audits, US GAAP, FCPA, Forensic Analysis, Litigation Consulting
Education
Stevenson University 2007 — 2010
Master's, Forensic Studies - Accounting
Saint Vincent College 1994 — 1998
Bachelor's, Accounting
Greater Latrobe
Alex Kennedy Alex Kennedy's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Associate, Compliance, Control Room
Industry Investment Banking
Experience
Goldman Sachs August 2014 - Present
Franklin County Prosecutor August 2013 - March 2014
US Securities and Exchange Commission May 2013 - August 2013
Ohio Treasurer of State August 2012 - November 2012
Freshfields Bruckhaus Deringer LLP May 2012 - August 2012
Indego Africa September 2010 - May 2011
Goldman Sachs July 2007 - August 2010
BP June 2005 - August 2005
Skills
Corporate Finance, Corporate Law, Securities, Corporate Governance, Securities Regulation, Due Diligence, Legal Research, Mergers, Capital Markets, Emerging Markets, Investment Banking
Education
HBX Harvard Business School 2015 — 2015
Core: Credential of Readiness
The Ohio State University Moritz College of Law 2011 — 2014
Juris Doctor (J.D.)
School of Oriental and African Studies, U. of London 2005 — 2006
Master's degree, African Studies
Smith College 2001 — 2005
Bachelor's degree, African Studies, Honors
Goldman Sachs August 2014 - Present
Franklin County Prosecutor August 2013 - March 2014
US Securities and Exchange Commission May 2013 - August 2013
Ohio Treasurer of State August 2012 - November 2012
Freshfields Bruckhaus Deringer LLP May 2012 - August 2012
Indego Africa September 2010 - May 2011
Goldman Sachs July 2007 - August 2010
BP June 2005 - August 2005
Skills
Corporate Finance, Corporate Law, Securities, Corporate Governance, Securities Regulation, Due Diligence, Legal Research, Mergers, Capital Markets, Emerging Markets, Investment Banking
Education
HBX Harvard Business School 2015 — 2015
Core: Credential of Readiness
The Ohio State University Moritz College of Law 2011 — 2014
Juris Doctor (J.D.)
School of Oriental and African Studies, U. of London 2005 — 2006
Master's degree, African Studies
Smith College 2001 — 2005
Bachelor's degree, African Studies, Honors
Calvin Inge Calvin Inge's US Securities and Exchange Commission Experience April 2010 - Present
Job US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission April 2010 - Present
Confidential 2009 - April 2010
Wachovia Securities September 2005 - September 2008
Wachovia Securities, LLC September 2002 - September 2005
Wachovia Securities, LLC September 2000 - September 2002
Merrill Lynch August 1997 - September 2000
Olde Brokerage 1996 - 1997
Skills
Compliance, Brokerage Operations, Prime Brokerage, FINOP, Financial Risk, Broker-Dealer, series 27, Clearance & Settlement, Regulatory Reporting, Back Office, Securities, Operational Risk, Mutual Funds, Investments, Securities Lending, Accounting, FINRA, Capital Markets, Account Reconciliation, Wealth Management, Banking, Derivatives, Series 63, Settlement, AML, Series 24, Asset Managment, Portfolio Management, Hedge Funds, Mortgage Lending, Series 7, Middle Office, Risk Management, Financial Services, Equities, Fixed Income, Asset Management, Brokers, Financial Markets, Credit Risk, Finance, Bloomberg, Operational Risk..., Due Diligence, Asset Allocation, Internal Audit, Investment Advisory, Financial Regulation, USA PATRIOT Act, Cash Management
Education
Rutgers, The State University of New Jersey-New Brunswick 1994 — 1996
Business Administration
Rutgers University – Camden 1991 — 1993
Pennsuaken Technical High School 1987 — 1991
US Securities and Exchange Commission April 2010 - Present
Confidential 2009 - April 2010
Wachovia Securities September 2005 - September 2008
Wachovia Securities, LLC September 2002 - September 2005
Wachovia Securities, LLC September 2000 - September 2002
Merrill Lynch August 1997 - September 2000
Olde Brokerage 1996 - 1997
Skills
Compliance, Brokerage Operations, Prime Brokerage, FINOP, Financial Risk, Broker-Dealer, series 27, Clearance & Settlement, Regulatory Reporting, Back Office, Securities, Operational Risk, Mutual Funds, Investments, Securities Lending, Accounting, FINRA, Capital Markets, Account Reconciliation, Wealth Management, Banking, Derivatives, Series 63, Settlement, AML, Series 24, Asset Managment, Portfolio Management, Hedge Funds, Mortgage Lending, Series 7, Middle Office, Risk Management, Financial Services, Equities, Fixed Income, Asset Management, Brokers, Financial Markets, Credit Risk, Finance, Bloomberg, Operational Risk..., Due Diligence, Asset Allocation, Internal Audit, Investment Advisory, Financial Regulation, USA PATRIOT Act, Cash Management
Education
Rutgers, The State University of New Jersey-New Brunswick 1994 — 1996
Business Administration
Rutgers University – Camden 1991 — 1993
Pennsuaken Technical High School 1987 — 1991
Patrick Dennis Patrick Dennis's US Securities and Exchange Commission Experience June 1991 - December 1996
Job Founding Principal & Managing Director, Oyster Consulting, LLC
Industry Financial Services
Experience
Oyster Consulting, LLC August 2008 - Present
Wachovia Securities, LLC 1998 - 2008
Banc One Securities Corporation December 1996 - December 1998
U.S. Securities and Exchange Commission June 1991 - December 1996
Cadwalader, Wickersham & Taft LLP January 1989 - June 1991
US Securities and Exchange Commission January 1986 - January 1989
Skills
FINRA, Securities, Securities Regulation, Investment Advisory, AML, Series 7, Capital Markets, SEC, Mutual Funds, Risk Management, Hedge Funds, Corporate Governance, Private Equity, Asset Managment, Investments, Equities, Licensing, Series 63, Due Diligence, Fixed Income, Golf Resorts, Asset Management, Golf Courses, Mergers & Acquisitions, Series 24, Investment Management, Financial Services, Alternative Investments, Corporate Finance, Wealth Management, Arbitration, Financial Markets, Options, Derivatives, ETFs
Education
University of Wisconsin-Madison 1984 — 1985
JD, Law
Rochester Institute of Technology 1973 — 1975
BS, Management
Oyster Consulting, LLC August 2008 - Present
Wachovia Securities, LLC 1998 - 2008
Banc One Securities Corporation December 1996 - December 1998
U.S. Securities and Exchange Commission June 1991 - December 1996
Cadwalader, Wickersham & Taft LLP January 1989 - June 1991
US Securities and Exchange Commission January 1986 - January 1989
Skills
FINRA, Securities, Securities Regulation, Investment Advisory, AML, Series 7, Capital Markets, SEC, Mutual Funds, Risk Management, Hedge Funds, Corporate Governance, Private Equity, Asset Managment, Investments, Equities, Licensing, Series 63, Due Diligence, Fixed Income, Golf Resorts, Asset Management, Golf Courses, Mergers & Acquisitions, Series 24, Investment Management, Financial Services, Alternative Investments, Corporate Finance, Wealth Management, Arbitration, Financial Markets, Options, Derivatives, ETFs
Education
University of Wisconsin-Madison 1984 — 1985
JD, Law
Rochester Institute of Technology 1973 — 1975
BS, Management
Rita Bolger Rita Bolger's US Securities and Exchange Commission Experience November 2013 - Present
Job Assistant Director, US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission November 2013 - Present
RMBolger & Associates, LLC December 2012 - October 2013
Standard & Poor's April 2006 - November 2012
Standard & Poor's December 2001 - March 2006
Standard & Poor's March 1990 - December 2001
Dechert LLP October 1989 - March 1990
Skills
Legal, Regulatory Affairs, Regulatory Requirements, Regulations, Policy Analysis, Regulatory Agencies, Regulatory Policy, Regulatory Guidelines, Legal Compliance, Leadership, Strategic Leadership, Thought Leadership, Management, Advocacy, Public Speaking, Public Relations, Collaborative Problem..., Collaborative Leadership, Crisis Management, Global Management, Global Strategy, Dynamic Speaker, Legal Advice, Team Leadership, Securities, Financial Services, Capital Markets, Fixed Income, Financial Regulation, Hedge Funds, Securities Regulation, Securitization, Structured Finance, Dodd-Frank, Derivatives, Equities, Structured Products, Financial Institutions, Bonds, Emerging Markets, Alternative Investments, FINRA, Private Equity, Private Placements, AML, CDO, Financial Structuring, MBS, Due Diligence
Education
Smith College
Bachelor of Arts (BA), Government
Tulane University
Doctor of Law (JD)
US Securities and Exchange Commission November 2013 - Present
RMBolger & Associates, LLC December 2012 - October 2013
Standard & Poor's April 2006 - November 2012
Standard & Poor's December 2001 - March 2006
Standard & Poor's March 1990 - December 2001
Dechert LLP October 1989 - March 1990
Skills
Legal, Regulatory Affairs, Regulatory Requirements, Regulations, Policy Analysis, Regulatory Agencies, Regulatory Policy, Regulatory Guidelines, Legal Compliance, Leadership, Strategic Leadership, Thought Leadership, Management, Advocacy, Public Speaking, Public Relations, Collaborative Problem..., Collaborative Leadership, Crisis Management, Global Management, Global Strategy, Dynamic Speaker, Legal Advice, Team Leadership, Securities, Financial Services, Capital Markets, Fixed Income, Financial Regulation, Hedge Funds, Securities Regulation, Securitization, Structured Finance, Dodd-Frank, Derivatives, Equities, Structured Products, Financial Institutions, Bonds, Emerging Markets, Alternative Investments, FINRA, Private Equity, Private Placements, AML, CDO, Financial Structuring, MBS, Due Diligence
Education
Smith College
Bachelor of Arts (BA), Government
Tulane University
Doctor of Law (JD)
Juan Migone Juan Migone's US Securities and Exchange Commission Experience December 2009 - Present
Job SK14 Accounting Examiner at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission December 2009 - Present
US Securities and Exchange Commission October 2005 - December 2009
US Securities and Exchange Commission August 2004 - October 2005
PwC January 2000 - June 2004
Skills
Financial Reporting, GAAP, SEC filings, CPA, US GAAP, Accounting, Sarbanes-Oxley Act, IFRS, Internal Controls, Auditing, SEC Financial Reporting, Project Management, Sarbanes-Oxley, Consolidation, Corporate Finance, External Audit, Finance, Internal Audit, Revenue Recognition, SEC, SEC Filings
Education
Robert Morris University 1997 — 2000
BS/BA, Accounting
Fox Chapel H.S. 1994 — 1997
US Securities and Exchange Commission December 2009 - Present
US Securities and Exchange Commission October 2005 - December 2009
US Securities and Exchange Commission August 2004 - October 2005
PwC January 2000 - June 2004
Skills
Financial Reporting, GAAP, SEC filings, CPA, US GAAP, Accounting, Sarbanes-Oxley Act, IFRS, Internal Controls, Auditing, SEC Financial Reporting, Project Management, Sarbanes-Oxley, Consolidation, Corporate Finance, External Audit, Finance, Internal Audit, Revenue Recognition, SEC, SEC Filings
Education
Robert Morris University 1997 — 2000
BS/BA, Accounting
Fox Chapel H.S. 1994 — 1997
Richard Hrvatin, CFA Richard Hrvatin, CFA's US Securities and Exchange Commission Experience December 2012 - Present
Job Division of Trading and Markets at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission December 2012 - Present
St. John's University January 2004 - Present
Citi May 2011 - December 2012
DBRS January 2011 - May 2011
Fitch Ratings l Algorithmics June 1998 - January 2011
Financial Security Assurance June 1996 - June 1998
Skills
CDO, Compliance, Corporate Finance, Credit Analysis, Credit Derivatives, Financial Modeling, MBS, Monte Carlo modeling, Monte Carlo Simulation, Mortgage Servicing..., Quantitative Analytics, Quantitative Research, Ratings, Ratings Advisory, Rating Agency Relations, Regulatory, Valuation, Valuation Modeling, Credit Risk, Regulations, Financial Risk, Quantitative Finance, Fixed Income, Capital Markets, Risk Management, Credit, Trading, Analysis, Analytics
Education
Rochester Institute of Technology
BS, Manufacturing Engineering
St. John's University, The Peter J. Tobin College of Business
MBA, International Finance
US Securities and Exchange Commission December 2012 - Present
St. John's University January 2004 - Present
Citi May 2011 - December 2012
DBRS January 2011 - May 2011
Fitch Ratings l Algorithmics June 1998 - January 2011
Financial Security Assurance June 1996 - June 1998
Skills
CDO, Compliance, Corporate Finance, Credit Analysis, Credit Derivatives, Financial Modeling, MBS, Monte Carlo modeling, Monte Carlo Simulation, Mortgage Servicing..., Quantitative Analytics, Quantitative Research, Ratings, Ratings Advisory, Rating Agency Relations, Regulatory, Valuation, Valuation Modeling, Credit Risk, Regulations, Financial Risk, Quantitative Finance, Fixed Income, Capital Markets, Risk Management, Credit, Trading, Analysis, Analytics
Education
Rochester Institute of Technology
BS, Manufacturing Engineering
St. John's University, The Peter J. Tobin College of Business
MBA, International Finance
Doug Besch Doug Besch's US Securities and Exchange Commission Experience April 2008 - June 2010
Job Partner at KPMG LLP
Industry Accounting
Experience
KPMG LLP June 2010 - Present
US Securities and Exchange Commission April 2008 - June 2010
KPMG LLP August 1995 - April 2008
Skills
Internal Controls, Financial Accounting, Auditing, US GAAP, SEC filings, GAAP, Sarbanes-Oxley Act, CPA, Big 4, Accounting, Revenue Recognition, Financial Reporting, IFRS, Assurance, External Audit, Consolidation, Tax, Sarbanes-Oxley, IPO, Financial Analysis, Discipline
Education
Shippensburg University of Pennsylvania 1991 — 1995
BSBA, Accounting
KPMG LLP June 2010 - Present
US Securities and Exchange Commission April 2008 - June 2010
KPMG LLP August 1995 - April 2008
Skills
Internal Controls, Financial Accounting, Auditing, US GAAP, SEC filings, GAAP, Sarbanes-Oxley Act, CPA, Big 4, Accounting, Revenue Recognition, Financial Reporting, IFRS, Assurance, External Audit, Consolidation, Tax, Sarbanes-Oxley, IPO, Financial Analysis, Discipline
Education
Shippensburg University of Pennsylvania 1991 — 1995
BSBA, Accounting
Hugh Haworth Hugh Haworth's US Securities and Exchange Commission Experience 1976 - 1995
Job Economic Officer at USAID
Industry International Trade and Development
Experience
USAID June 2013 - Present
USAID March 2012 - June 2013
USAID October 2010 - January 2012
USAID 1995 - October 2010
USAID 1995 - October 2010
US Securities and Exchange Commission 1976 - 1995
Skills
Economics, Program Management, Management, Finance, International..., Financial Markets, Private Sector..., Microfinance, Capacity Building, International Relations, Economic Development, Africa, Development Economics, Public/private..., Afghanistan, Public Policy, Emerging Markets, Macroeconomics, International Trade, Econometrics, International Business, International Economics, NGOs, Public Finance, International Project..., Technical Assistance, Financial Analysis, Policy Analysis, Strategy, Value Chain Analysis, Poverty Reduction, Policy, Financial Regulation, Foreign Policy, Governance, European Union, Public-private..., Risk Management, Corporate Social..., Economic Policy, Rural Development, Strategic Planning, Analysis, Research, Stata, Capacity Development, Latin America, Politics, Corporate Finance
Education
Stockholm University 1969 — 1971
masters(equivalent), International Economics
USAID June 2013 - Present
USAID March 2012 - June 2013
USAID October 2010 - January 2012
USAID 1995 - October 2010
USAID 1995 - October 2010
US Securities and Exchange Commission 1976 - 1995
Skills
Economics, Program Management, Management, Finance, International..., Financial Markets, Private Sector..., Microfinance, Capacity Building, International Relations, Economic Development, Africa, Development Economics, Public/private..., Afghanistan, Public Policy, Emerging Markets, Macroeconomics, International Trade, Econometrics, International Business, International Economics, NGOs, Public Finance, International Project..., Technical Assistance, Financial Analysis, Policy Analysis, Strategy, Value Chain Analysis, Poverty Reduction, Policy, Financial Regulation, Foreign Policy, Governance, European Union, Public-private..., Risk Management, Corporate Social..., Economic Policy, Rural Development, Strategic Planning, Analysis, Research, Stata, Capacity Development, Latin America, Politics, Corporate Finance
Education
Stockholm University 1969 — 1971
masters(equivalent), International Economics
Jessica Trinh's US Securities and Exchange Commission Experience September 2008 - December 2008
Job Associate Manager, Legal & Contract Management at Accenture
Industry Legal Services
Experience
Accenture November 2013 - Present
Accenture May 2012 - November 2013
Solena Group, Inc. June 2010 - May 2012
The Chambers of the Honorable Diane O Leasure, Howard County Circuit Court, Maryland January 2009 - May 2009
US Securities and Exchange Commission September 2008 - December 2008
World Organization for Human Rights-USA May 2008 - August 2008
University of Maryland School of Law January 2008 - June 2008
Equal Employment Opportunities Commission May 2007 - August 2007
REI June 2006 - August 2006
Skills
Research, Commercial Litigation, Policy Analysis, Recruiting, Litigation, Hearings, Employment Law, Management, International Relations, Corporate Law, Legal Writing, Public Speaking, Microsoft Office, Mediation, Legal Assistance, Interviews, Civil Litigation, Contract Management, Legal Research
Education
University of Maryland Francis King Carey School of Law 2006 — 2009
Juris Doctor, International Law, Business Law
St. Mary's College of Maryland 2002 — 2006
B.A., Economics, Political Science, French
Accenture November 2013 - Present
Accenture May 2012 - November 2013
Solena Group, Inc. June 2010 - May 2012
The Chambers of the Honorable Diane O Leasure, Howard County Circuit Court, Maryland January 2009 - May 2009
US Securities and Exchange Commission September 2008 - December 2008
World Organization for Human Rights-USA May 2008 - August 2008
University of Maryland School of Law January 2008 - June 2008
Equal Employment Opportunities Commission May 2007 - August 2007
REI June 2006 - August 2006
Skills
Research, Commercial Litigation, Policy Analysis, Recruiting, Litigation, Hearings, Employment Law, Management, International Relations, Corporate Law, Legal Writing, Public Speaking, Microsoft Office, Mediation, Legal Assistance, Interviews, Civil Litigation, Contract Management, Legal Research
Education
University of Maryland Francis King Carey School of Law 2006 — 2009
Juris Doctor, International Law, Business Law
St. Mary's College of Maryland 2002 — 2006
B.A., Economics, Political Science, French
Karen Walsh-Lesko's US Securities and Exchange Commission Experience July 1991 - February 1996
Job Independent Consultant Accounting
Industry Accounting
Experience
Independent December 2012 - Present
Software USA August 1996 - February 1997
Ernst & Young February 1996 - July 1996
US Securities and Exchange Commission July 1991 - February 1996
ExxonMobil January 1990 - July 1991
Deloitte June 1987 - January 1990
Skills
Business, Financial Accounting, Auditing, Internal Audit, Financial Analysis, Financial Reporting, securities, SEC Financial Reporting, IPO, Accounting, GAAP, SEC filings, Financial Statements, Finance, Internal Controls, Financial Audits, External Audit, Budgets, SEC Filings, Management
Education
Rutgers, The State University of New Jersey-Newark 1982 — 1987
Bachelor of Science (B.S.), Accounting
Independent December 2012 - Present
Software USA August 1996 - February 1997
Ernst & Young February 1996 - July 1996
US Securities and Exchange Commission July 1991 - February 1996
ExxonMobil January 1990 - July 1991
Deloitte June 1987 - January 1990
Skills
Business, Financial Accounting, Auditing, Internal Audit, Financial Analysis, Financial Reporting, securities, SEC Financial Reporting, IPO, Accounting, GAAP, SEC filings, Financial Statements, Finance, Internal Controls, Financial Audits, External Audit, Budgets, SEC Filings, Management
Education
Rutgers, The State University of New Jersey-Newark 1982 — 1987
Bachelor of Science (B.S.), Accounting
Amanda Bronson Amanda Bronson's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Controls Room Data Analytics
Industry Financial Services
Experience
JPMorgan Chase & Co. July 2015 - Present
JPMorgan Chase & Co. February 2015 - Present
JPMorgan Chase & Co. August 2014 - January 2015
JPMorgan Chase & Co. June 2013 - August 2013
US Securities and Exchange Commission January 2013 - April 2013
Citi September 2012 - December 2012
Skills
Microsoft Excel, Strategic Communications, Time Management, Leadership, Research, Social Networking, Project Management, Computer Proficiency, Performance Attribution, Quantitative Analytics, Data Analysis
Education
Seton Hall University 2010 — 2014
Stillman School of Business 2010 — 2014
Bachelor of Science, Business Administration; Mathematical Finance, 3.8
JPMorgan Chase & Co. July 2015 - Present
JPMorgan Chase & Co. February 2015 - Present
JPMorgan Chase & Co. August 2014 - January 2015
JPMorgan Chase & Co. June 2013 - August 2013
US Securities and Exchange Commission January 2013 - April 2013
Citi September 2012 - December 2012
Skills
Microsoft Excel, Strategic Communications, Time Management, Leadership, Research, Social Networking, Project Management, Computer Proficiency, Performance Attribution, Quantitative Analytics, Data Analysis
Education
Seton Hall University 2010 — 2014
Stillman School of Business 2010 — 2014
Bachelor of Science, Business Administration; Mathematical Finance, 3.8
Rachel Greenleaf Rachel Greenleaf's US Securities and Exchange Commission Experience January 2011 - April 2011
Job Bankruptcy & Creditors' Rights Attorney
Industry Law Practice
Experience
Hirschler Fleischer September 2013 - Present
U.S. Bankruptcy Court August 2012 - August 2013
U.S. Court of Appeals for Veterans Claims May 2011 - May 2012
US Securities and Exchange Commission January 2011 - April 2011
U.S. District Court for the District of Maryland June 2010 - August 2010
Skills
Legal Writing, Legal Research, Westlaw, Courts, Bankruptcy, Legal Issues, Lexis, Creditors' Rights, Motions, Business Litigation, Pleadings, Appellate Practice, Legal Assistance
Education
The George Washington University Law School 2009 — 2012
Doctor of Law (J.D.), Law, with Honors
Randolph-Macon Woman's College 2005 — 2009
Bachelor of Arts (B.A.), Philosophy, Magna Cum Laude
Hirschler Fleischer September 2013 - Present
U.S. Bankruptcy Court August 2012 - August 2013
U.S. Court of Appeals for Veterans Claims May 2011 - May 2012
US Securities and Exchange Commission January 2011 - April 2011
U.S. District Court for the District of Maryland June 2010 - August 2010
Skills
Legal Writing, Legal Research, Westlaw, Courts, Bankruptcy, Legal Issues, Lexis, Creditors' Rights, Motions, Business Litigation, Pleadings, Appellate Practice, Legal Assistance
Education
The George Washington University Law School 2009 — 2012
Doctor of Law (J.D.), Law, with Honors
Randolph-Macon Woman's College 2005 — 2009
Bachelor of Arts (B.A.), Philosophy, Magna Cum Laude
Ivan J. Mendizabal's US Securities and Exchange Commission Experience May 2011 - September 2011
Job Associate at Goldman Sachs
Industry Capital Markets
Experience
Goldman Sachs July 2014 - Present
Financial Industry Regulatory Authority January 2014 - July 2014
Financial Industry Regulatory Authority November 2012 - January 2014
Kreindler & Kreindler LLP January 2012 - May 2012
Rutgers Law School-Newark December 2010 - January 2012
US Securities and Exchange Commission May 2011 - September 2011
U.S. Department of Labor-Office of the Solicitor, Plan Benefits Security Division May 2010 - August 2010
Ipreo January 2007 - August 2008
Skills
Legal Research, Legal Writing, Bankruptcy, Westlaw, Securities, Immigration Law, Criminal Law, Fraud, Litigation, Civil Litigation, Product Liability, Lexis, Courts, Commercial Litigation
Education
Rutgers University School of Law - Newark 2009 — 2012
JD
University of Maryland College Park 2002 — 2006
Goldman Sachs July 2014 - Present
Financial Industry Regulatory Authority January 2014 - July 2014
Financial Industry Regulatory Authority November 2012 - January 2014
Kreindler & Kreindler LLP January 2012 - May 2012
Rutgers Law School-Newark December 2010 - January 2012
US Securities and Exchange Commission May 2011 - September 2011
U.S. Department of Labor-Office of the Solicitor, Plan Benefits Security Division May 2010 - August 2010
Ipreo January 2007 - August 2008
Skills
Legal Research, Legal Writing, Bankruptcy, Westlaw, Securities, Immigration Law, Criminal Law, Fraud, Litigation, Civil Litigation, Product Liability, Lexis, Courts, Commercial Litigation
Education
Rutgers University School of Law - Newark 2009 — 2012
JD
University of Maryland College Park 2002 — 2006
Alec Powell's US Securities and Exchange Commission Experience June 2013 - August 2013
Job Computer Science at Stanford | Summer Analyst at BlackRock
Industry Computer Software
Experience
Stanford Student Enterprises Capital Group September 2013 - Present
BlackRock June 2015 - August 2015
Bloomberg LP June 2014 - September 2014
US Securities and Exchange Commission June 2013 - August 2013
Northrop Grumman Corporation July 2010 - August 2011
Education
Stanford University 2012 — 2016
Bachelor of Science (B.S.), Computer Science
Thomas Jefferson High School for Science and Technology 2008 — 2012
Stanford Student Enterprises Capital Group September 2013 - Present
BlackRock June 2015 - August 2015
Bloomberg LP June 2014 - September 2014
US Securities and Exchange Commission June 2013 - August 2013
Northrop Grumman Corporation July 2010 - August 2011
Education
Stanford University 2012 — 2016
Bachelor of Science (B.S.), Computer Science
Thomas Jefferson High School for Science and Technology 2008 — 2012
Jack Blum Jack Blum's US Securities and Exchange Commission Experience August 2010 - December 2010
Job Commercial Litigation and Employment Associate at Paley Rothman
Industry Law Practice
Experience
Paley Rothman August 2012 - Present
Paley Rothman May 2011 - May 2012
US Securities and Exchange Commission August 2010 - December 2010
Maryland Office of the Attorney General June 2010 - July 2010
Sughrue Mion PLLC May 2008 - August 2009
Skills
Legal Research, Legal Writing, Employment Law, Westlaw, Litigation, Commercial Litigation, Civil Litigation, Microsoft Office, Public Speaking, Critical Thinking, Writing, Real Estate Litigation, Environmental Litigation, Trial Practice, Motions Argument, Depositions
Education
University of Maryland School of Law 2009 — 2012
J.D., magna cum laude
St. Mary's College of Maryland 2003 — 2007
B.A., cum laude, Economics, History
Paley Rothman August 2012 - Present
Paley Rothman May 2011 - May 2012
US Securities and Exchange Commission August 2010 - December 2010
Maryland Office of the Attorney General June 2010 - July 2010
Sughrue Mion PLLC May 2008 - August 2009
Skills
Legal Research, Legal Writing, Employment Law, Westlaw, Litigation, Commercial Litigation, Civil Litigation, Microsoft Office, Public Speaking, Critical Thinking, Writing, Real Estate Litigation, Environmental Litigation, Trial Practice, Motions Argument, Depositions
Education
University of Maryland School of Law 2009 — 2012
J.D., magna cum laude
St. Mary's College of Maryland 2003 — 2007
B.A., cum laude, Economics, History
Bradley Coleman Bradley Coleman's US Securities and Exchange Commission Experience August 2012 - Present
Job Financial Analyst at US Securities and Exchange Commission
Industry Information Technology and Services
Experience
US Securities and Exchange Commission August 2012 - Present
ProxyDemocracy November 2008 - August 2012
Lockheed Martin 2003 - 2005
Johnson & Johnson January 2001 - January 2003
Skills
XBRL, Python, Algorithms, Algorithm Design, Corporate Governance, Computational Geometry, Corporate Finance, Data Analysis
Education
Simon Fraser University 2008 — 2011
Master's Degree, Computational Geometry
Rutgers University-New Brunswick 1998 — 2003
BS, Computer Science
US Securities and Exchange Commission August 2012 - Present
ProxyDemocracy November 2008 - August 2012
Lockheed Martin 2003 - 2005
Johnson & Johnson January 2001 - January 2003
Skills
XBRL, Python, Algorithms, Algorithm Design, Corporate Governance, Computational Geometry, Corporate Finance, Data Analysis
Education
Simon Fraser University 2008 — 2011
Master's Degree, Computational Geometry
Rutgers University-New Brunswick 1998 — 2003
BS, Computer Science
Charles Manzoni Charles Manzoni's US Securities and Exchange Commission Experience December 1972 - 1975
Job Managing Director at Nuveen Investments
Industry Investment Management
Experience
Nuveen Investments January 2011 - Present
Gardner Carton & Douglas 1977 - 2004
Zurich Scudder Investments 1996 - 1998
A.G. Becker 1975 - 1977
US Securities and Exchange Commission December 1972 - 1975
Skills
Series 7, Securities, Asset Management, Alternative Investments, Asset Managment, Investments, Management, Hedge Funds, Mutual Funds, Asset Allocation, ETFs, Separately Managed...
Education
University of Santa Clara 1965 — 1972
BA and JD, History and Law
Nuveen Investments January 2011 - Present
Gardner Carton & Douglas 1977 - 2004
Zurich Scudder Investments 1996 - 1998
A.G. Becker 1975 - 1977
US Securities and Exchange Commission December 1972 - 1975
Skills
Series 7, Securities, Asset Management, Alternative Investments, Asset Managment, Investments, Management, Hedge Funds, Mutual Funds, Asset Allocation, ETFs, Separately Managed...
Education
University of Santa Clara 1965 — 1972
BA and JD, History and Law
Porsha Robinson's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Attorney
Industry Law Practice
Experience
Legal Aid of North Carolina September 2014 - September 2015
Quintiles January 2014 - April 2014
US Securities and Exchange Commission May 2013 - August 2013
North Carolina General Assembly May 2012 - December 2012
University of North Carolina School of Law May 2012 - August 2012
Bernstein & Manahan LLC February 2011 - May 2011
Rider University; Gill Chapel September 2007 - May 2011
NJ Dept. of Human Services September 2010 - January 2011
Skills
Research, Legal Research, Analysis, Legal Writing, Westlaw, Public Speaking, Community Outreach, Microsoft Office, Budgets, PowerPoint, Editing
Education
University of North Carolina School of Law 2011 — 2014
Juris Doctor (J.D.)
Rider University 2007 — 2011
Bachelor of Science, Business Economics & Finance
Legal Aid of North Carolina September 2014 - September 2015
Quintiles January 2014 - April 2014
US Securities and Exchange Commission May 2013 - August 2013
North Carolina General Assembly May 2012 - December 2012
University of North Carolina School of Law May 2012 - August 2012
Bernstein & Manahan LLC February 2011 - May 2011
Rider University; Gill Chapel September 2007 - May 2011
NJ Dept. of Human Services September 2010 - January 2011
Skills
Research, Legal Research, Analysis, Legal Writing, Westlaw, Public Speaking, Community Outreach, Microsoft Office, Budgets, PowerPoint, Editing
Education
University of North Carolina School of Law 2011 — 2014
Juris Doctor (J.D.)
Rider University 2007 — 2011
Bachelor of Science, Business Economics & Finance
Christina Ann Simpson Christina Ann Simpson's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Student Washington University School of Law
Industry Law Practice
Experience
Taft Stettinius & Hollister LLP May 2014 - July 2014
US Securities and Exchange Commission May 2013 - August 2013
Illinois Department of Agriculture June 2012 - August 2012
Prairie Farms January 2012 - March 2012
Illinois Environmental Protection Agency June 2011 - August 2011
Walgreens March 2008 - August 2011
Education
Washington University in St. Louis School of Law 2012 — 2015
Saint Louis University 2008 — 2011
Honors Bachelor of Arts, Political Science, summa cum laude
Loyola University John Felice Rome Center
Study Abroad in Rome, Italy
Taft Stettinius & Hollister LLP May 2014 - July 2014
US Securities and Exchange Commission May 2013 - August 2013
Illinois Department of Agriculture June 2012 - August 2012
Prairie Farms January 2012 - March 2012
Illinois Environmental Protection Agency June 2011 - August 2011
Walgreens March 2008 - August 2011
Education
Washington University in St. Louis School of Law 2012 — 2015
Saint Louis University 2008 — 2011
Honors Bachelor of Arts, Political Science, summa cum laude
Loyola University John Felice Rome Center
Study Abroad in Rome, Italy
Menachem Striks Menachem Striks's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Attorney at Securities Compliance Group
Industry Financial Services
Experience
US Securities and Exchange Commission January 2014 - May 2014
Southwestern Law School August 2013 - March 2014
Financial Industry Regulatory Authority August 2013 - December 2013
Southwestern Law School May 2013 - August 2013
LA District Attorney June 2012 - August 2012
Pearlman & Tishbi April 2011 - August 2011
Skills
Corporate Law, Legal Research, Lexis, Litigation, Intellectual Property, Mediation, Westlaw, Legal Writing, Research, Civil Litigation, Courts
Education
Southwestern University School of Law 2011 — 2014
US Securities and Exchange Commission January 2014 - May 2014
Southwestern Law School August 2013 - March 2014
Financial Industry Regulatory Authority August 2013 - December 2013
Southwestern Law School May 2013 - August 2013
LA District Attorney June 2012 - August 2012
Pearlman & Tishbi April 2011 - August 2011
Skills
Corporate Law, Legal Research, Lexis, Litigation, Intellectual Property, Mediation, Westlaw, Legal Writing, Research, Civil Litigation, Courts
Education
Southwestern University School of Law 2011 — 2014
Emily Farinacci Emily Farinacci's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at Thompson Hine LLP
Industry Law Practice
Experience
Thompson Hine LLP September 2013 - Present
The Ohio State University Moritz College of Law August 2010 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
Eikenberry Law May 2011 - August 2011
Javitch, Block & Rathbone June 2010 - August 2010
Greater Than One Europe November 2009 - March 2010
Comunidad de Madrid 2009 - 2010
Cuyahoga County Court of Common Pleas June 2009 - August 2009
Skills
Legal Research, Research, Legal Writing
Education
The Ohio State University 2010 — 2013
Juris Doctorate
Saint Louis University 2005 — 2009
B.S., B.A, Economics, Political Science
Thompson Hine LLP September 2013 - Present
The Ohio State University Moritz College of Law August 2010 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
Eikenberry Law May 2011 - August 2011
Javitch, Block & Rathbone June 2010 - August 2010
Greater Than One Europe November 2009 - March 2010
Comunidad de Madrid 2009 - 2010
Cuyahoga County Court of Common Pleas June 2009 - August 2009
Skills
Legal Research, Research, Legal Writing
Education
The Ohio State University 2010 — 2013
Juris Doctorate
Saint Louis University 2005 — 2009
B.S., B.A, Economics, Political Science
Adam Reiser Adam Reiser's US Securities and Exchange Commission Experience January 2009 - August 2009
Job Attorney at Cohne Kinghorn
Industry Law Practice
Experience
Cohne Kinghorn, P.C. July 2014 - Present
Duval & Stachenfeld LLP September 2012 - August 2013
New York Supreme Court August 2010 - August 2012
US Securities and Exchange Commission January 2009 - August 2009
University Venture Fund 2008 - 2009
Utah Supreme Court May 2008 - July 2008
Federal Judicial Center May 2007 - August 2007
University Neighborhood Partners September 2005 - April 2006
Utah's Health: An Annual Review April 2005 - April 2006
United States Senate June 2005 - August 2005
Skills
Legal Writing, Commercial Litigation, Legal Research, Courts, Corporate Governance, Public Speaking, Pleadings, Securities Regulation, Nonprofits, Appeals, Family Law, Corporate Law, Microsoft Office, Civil Litigation
Education
St. John's University 2013 — 2014
LL.M., Corporate Bankruptcy and Reorganization
University of Utah S.J. Quinney College of Law 2007 — 2010
JD with High Honors
University of Utah - David Eccles School of Business 2006 — 2010
MBA, Beta Gamma Sigma
University of Utah 2000 — 2006
Bachelor of Arts (B.A.), Political Science
Cohne Kinghorn, P.C. July 2014 - Present
Duval & Stachenfeld LLP September 2012 - August 2013
New York Supreme Court August 2010 - August 2012
US Securities and Exchange Commission January 2009 - August 2009
University Venture Fund 2008 - 2009
Utah Supreme Court May 2008 - July 2008
Federal Judicial Center May 2007 - August 2007
University Neighborhood Partners September 2005 - April 2006
Utah's Health: An Annual Review April 2005 - April 2006
United States Senate June 2005 - August 2005
Skills
Legal Writing, Commercial Litigation, Legal Research, Courts, Corporate Governance, Public Speaking, Pleadings, Securities Regulation, Nonprofits, Appeals, Family Law, Corporate Law, Microsoft Office, Civil Litigation
Education
St. John's University 2013 — 2014
LL.M., Corporate Bankruptcy and Reorganization
University of Utah S.J. Quinney College of Law 2007 — 2010
JD with High Honors
University of Utah - David Eccles School of Business 2006 — 2010
MBA, Beta Gamma Sigma
University of Utah 2000 — 2006
Bachelor of Arts (B.A.), Political Science
George Shires George Shires's US Securities and Exchange Commission Experience August 2009 - November 2009
Job Associate Attorney Hameline & Eccleston; and Paralegal Instructor with SMU CAPE Program
Industry Law Practice
Experience
Southern Methodist University Continuing and Professional Education (CAPE) Program April 2014 - Present
Hameline & Eccleston, LLP January 2011 - Present
Ready Real Estate September 2012 - Present
George Shires, Attorney at Law November 2010 - Present
Cimmaron Field Services May 2010 - November 2010
US Securities and Exchange Commission August 2009 - November 2009
SMU Civil Legal Clinic May 2009 - July 2009
U.S. Department of Justice November 2008 - April 2009
First United Bank and Trust August 2005 - August 2008
Bank of Texas May 2002 - May 2005
Skills
Contract Negotiation, Estate Planning, Legal Research, Legal Writing, Due Diligence, Courts, Bankruptcy, Corporate Law, Real Estate, Leases, Litigation, Civil Litigation, Westlaw, Commercial Litigation
Education
Texas A&M University-Commerce 2015 — 2016
Master of Science (MS), Accounting
Southern Methodist University Dedman School of Law 2007 — 2010
JD, Law
Southeastern Oklahoma State University 1997 — 2001
BBA, Business Management
Denison High School 1993 — 1997
Diploma
Southern Methodist University Continuing and Professional Education (CAPE) Program April 2014 - Present
Hameline & Eccleston, LLP January 2011 - Present
Ready Real Estate September 2012 - Present
George Shires, Attorney at Law November 2010 - Present
Cimmaron Field Services May 2010 - November 2010
US Securities and Exchange Commission August 2009 - November 2009
SMU Civil Legal Clinic May 2009 - July 2009
U.S. Department of Justice November 2008 - April 2009
First United Bank and Trust August 2005 - August 2008
Bank of Texas May 2002 - May 2005
Skills
Contract Negotiation, Estate Planning, Legal Research, Legal Writing, Due Diligence, Courts, Bankruptcy, Corporate Law, Real Estate, Leases, Litigation, Civil Litigation, Westlaw, Commercial Litigation
Education
Texas A&M University-Commerce 2015 — 2016
Master of Science (MS), Accounting
Southern Methodist University Dedman School of Law 2007 — 2010
JD, Law
Southeastern Oklahoma State University 1997 — 2001
BBA, Business Management
Denison High School 1993 — 1997
Diploma
Abel Ramirez, J.D. Abel Ramirez, J.D.'s US Securities and Exchange Commission Experience September 2011 - December 2011
Job Juris Doctor, May 2013
Industry Law Practice
Experience
Zendeh Del Law Firm, PLLC May 2014 - Present
The Fillmore Law Firm August 2013 - November 2013
Scheef & Stone, LLP January 2013 - May 2013
SMU Dedman School of Law Civil Clinic May 2012 - December 2012
SMU Dedman School of Law September 2011 - May 2012
US Securities and Exchange Commission September 2011 - December 2011
SoftLayer Technologies, Inc. June 2011 - August 2011
Tax Ease Lien Investments, LLC May 2010 - June 2011
Robertson, Griege & Thoele, LLC May 2008 - January 2009
Fidelity Investments, LLC2006-2008 August 2006 - May 2008
Skills
Investments, Securities, Legal Writing, Legal Research, Litigation, Civil Litigation, Mergers & Acquisitions, Trials, Legal Issues, Bankruptcy, Securities Regulation, Pleadings, Real Estate, Tax
Education
Southern Methodist University Dedman School of Law 2011 — 2013
Doctor of Law (JD), Law
Southern Methodist University 2001 — 2004
B.A, English; Creative Writing
Zendeh Del Law Firm, PLLC May 2014 - Present
The Fillmore Law Firm August 2013 - November 2013
Scheef & Stone, LLP January 2013 - May 2013
SMU Dedman School of Law Civil Clinic May 2012 - December 2012
SMU Dedman School of Law September 2011 - May 2012
US Securities and Exchange Commission September 2011 - December 2011
SoftLayer Technologies, Inc. June 2011 - August 2011
Tax Ease Lien Investments, LLC May 2010 - June 2011
Robertson, Griege & Thoele, LLC May 2008 - January 2009
Fidelity Investments, LLC2006-2008 August 2006 - May 2008
Skills
Investments, Securities, Legal Writing, Legal Research, Litigation, Civil Litigation, Mergers & Acquisitions, Trials, Legal Issues, Bankruptcy, Securities Regulation, Pleadings, Real Estate, Tax
Education
Southern Methodist University Dedman School of Law 2011 — 2013
Doctor of Law (JD), Law
Southern Methodist University 2001 — 2004
B.A, English; Creative Writing
Sophia Valentim Sophia Valentim's US Securities and Exchange Commission Experience May 2008 - August 2008
Job Associate General Counsel at Barracuda (NYSE: CUDA)
Industry Law Practice
Experience
Barracuda (NYSE: CUDA) April 2015 - Present
Barracuda (NYSE: CUDA) July 2013 - April 2015
Extreme Networks May 2010 - July 2013
Google January 2010 - May 2010
US Securities and Exchange Commission May 2008 - August 2008
Loring Ward September 2004 - August 2007
Skills
Foreign Languages, Corporate Law, Legal Writing, Securities, Research, Contract Negotiation, Legal Advice, SEC filings, Intellectual Property, Negotiation, Securities Regulation, Licensing, Mergers & Acquisitions, International Law, Process Improvement, Training, Management, Marketing, Accounting
Education
Santa Clara University 2006 — 2009
J.D., Law
Santa Clara University School of Law 2006 — 2009
J.D., Law
University of the Pacific
B.A., Theatre
Barracuda (NYSE: CUDA) April 2015 - Present
Barracuda (NYSE: CUDA) July 2013 - April 2015
Extreme Networks May 2010 - July 2013
Google January 2010 - May 2010
US Securities and Exchange Commission May 2008 - August 2008
Loring Ward September 2004 - August 2007
Skills
Foreign Languages, Corporate Law, Legal Writing, Securities, Research, Contract Negotiation, Legal Advice, SEC filings, Intellectual Property, Negotiation, Securities Regulation, Licensing, Mergers & Acquisitions, International Law, Process Improvement, Training, Management, Marketing, Accounting
Education
Santa Clara University 2006 — 2009
J.D., Law
Santa Clara University School of Law 2006 — 2009
J.D., Law
University of the Pacific
B.A., Theatre
John J. Carney John J. Carney's US Securities and Exchange Commission Experience 1990 - 1995
Job Partner at Baker Hostetler
Industry Law Practice
Experience
Baker Hostetler June 2005 - Present
United States Attorney's Office 1995 - 2005
U.S. Attorney's Office, District of New Jersey 1995 - 2005
US Securities and Exchange Commission 1990 - 1995
United States Attorney's - District of Columbia 1993 - 1993
KPMG Peat Marwick January 1984 - January 1989
Skills
FCPA, Litigation, Internal Investigations, White Collar Criminal..., Securities Regulation
Education
Rutgers University School of Law - Newark 1987 — 1990
Rutgers, The State University of New Jersey-Newark
BA, Accounting
Baker Hostetler June 2005 - Present
United States Attorney's Office 1995 - 2005
U.S. Attorney's Office, District of New Jersey 1995 - 2005
US Securities and Exchange Commission 1990 - 1995
United States Attorney's - District of Columbia 1993 - 1993
KPMG Peat Marwick January 1984 - January 1989
Skills
FCPA, Litigation, Internal Investigations, White Collar Criminal..., Securities Regulation
Education
Rutgers University School of Law - Newark 1987 — 1990
Rutgers, The State University of New Jersey-Newark
BA, Accounting
Jonathan Phelan CFA, CFP Jonathan Phelan CFA, CFP's US Securities and Exchange Commission Experience January 2000 - August 2005
Job Owner, Waterford Financial Management, LLC
Industry Investment Management
Experience
Waterford Financial Management, LLC January 2007 - Present
Thompson-Phelan Group, Inc. June 2006 - Present
US Securities and Exchange Commission January 2000 - August 2005
Skills
Investments, Portfolio Management, Mutual Funds, Securities, Valuation, Investment Management, Financial Advisory, Hedge Funds, Strategic Financial..., Financial Analysis, Private Equity, Asset Management
Education
Saginaw Valley State University 1995 — 1999
BBA, Finance
Waterford Financial Management, LLC January 2007 - Present
Thompson-Phelan Group, Inc. June 2006 - Present
US Securities and Exchange Commission January 2000 - August 2005
Skills
Investments, Portfolio Management, Mutual Funds, Securities, Valuation, Investment Management, Financial Advisory, Hedge Funds, Strategic Financial..., Financial Analysis, Private Equity, Asset Management
Education
Saginaw Valley State University 1995 — 1999
BBA, Finance
Kevin Harnisch's US Securities and Exchange Commission Experience September 1995 - July 1999
Job Partner, Securities Litigation & Enforcement Group, at Steptoe & Johnson LLP
Industry Law Practice
Experience
Steptoe & Johnson LLP January 2014 - Present
Fried Frank September 2004 - January 2014
Fried Frank July 1999 - August 2004
US Securities and Exchange Commission September 1995 - July 1999
Education
Seattle University School of Law 1992 — 1995
Doctor of Law (JD), Magna Cum Laude
University of Notre Dame 1988 — 1992
Bachelor of Business Administration (BBA), Magna Cum Laude
Steptoe & Johnson LLP January 2014 - Present
Fried Frank September 2004 - January 2014
Fried Frank July 1999 - August 2004
US Securities and Exchange Commission September 1995 - July 1999
Education
Seattle University School of Law 1992 — 1995
Doctor of Law (JD), Magna Cum Laude
University of Notre Dame 1988 — 1992
Bachelor of Business Administration (BBA), Magna Cum Laude
Brian Hamburger Brian Hamburger's US Securities and Exchange Commission Experience 1997 - 1997
Job Founder of MarketCounsel and the Hamburger Law Firm
Industry Investment Management
Experience
MarketCounsel August 2000 - Present
Hamburger Law Firm August 2000 - Present
Stark & Stark August 1998 - July 2000
US Securities and Exchange Commission 1997 - 1997
Florida Third District Court of Appeal 1997 - 1997
Skills
Securities, Hedge Funds, FINRA, Investment Advisory, Securities Regulation, Financial Advisory, Broker-Dealer, Entrepreneurship, Investment Advisory..., Investment Management, Financial Services, Wealth Management..., Business Process, Corporate Law, SEC, Mutual Funds, Business Strategy, Business Planning, Employment Law, Alternative Investments, Start-up Consulting, Mergers & Acquisitions, Asset Management, Registered Investment..., Investment Advisers Act, Advocacy, Negotiation, Restrictive Covenants, Regulatory Compliance
Education
Wharton School, University of Pennsylvania 2001 — 2003
CRCP
University of Miami School of Law 1995 — 1998
JD
Quinnipiac University 1990 — 1994
BS
MarketCounsel August 2000 - Present
Hamburger Law Firm August 2000 - Present
Stark & Stark August 1998 - July 2000
US Securities and Exchange Commission 1997 - 1997
Florida Third District Court of Appeal 1997 - 1997
Skills
Securities, Hedge Funds, FINRA, Investment Advisory, Securities Regulation, Financial Advisory, Broker-Dealer, Entrepreneurship, Investment Advisory..., Investment Management, Financial Services, Wealth Management..., Business Process, Corporate Law, SEC, Mutual Funds, Business Strategy, Business Planning, Employment Law, Alternative Investments, Start-up Consulting, Mergers & Acquisitions, Asset Management, Registered Investment..., Investment Advisers Act, Advocacy, Negotiation, Restrictive Covenants, Regulatory Compliance
Education
Wharton School, University of Pennsylvania 2001 — 2003
CRCP
University of Miami School of Law 1995 — 1998
JD
Quinnipiac University 1990 — 1994
BS
Craig Carpenito Craig Carpenito's US Securities and Exchange Commission Experience August 2000 - September 2005
Job Partner,CoHead of the White Collar and Investigations Group at Alston & Bird LLP
Industry Law Practice
Experience
Alston & Bird LLP January 2010 - Present
Alston & Bird LLP March 2008 - December 2009
United States Attorney's Office September 2005 - February 2008
United States Attorney's Office November 2003 - September 2005
US Securities and Exchange Commission August 2000 - September 2005
Skills
Litigation, White Collar Criminal..., Securities Regulation, FCPA, Internal Investigations, Securities Litigation, Corporate Governance, Commercial Litigation, Criminal Law, Civil Litigation, Corporate Law, Legal Research, Appeals, Fraud, Private Investigations, Criminal Defense, Courts, Trials, Arbitration, Litigation Support, Dispute Resolution, Legal Writing, Business Litigation, Product Liability, Privacy Law, Trade Secrets, Class Actions, Trial Practice
Education
Seton Hall University School of Law 1997 — 2000
J.D., Law
MTHS
Rider University
B.A., Political Science
Alston & Bird LLP January 2010 - Present
Alston & Bird LLP March 2008 - December 2009
United States Attorney's Office September 2005 - February 2008
United States Attorney's Office November 2003 - September 2005
US Securities and Exchange Commission August 2000 - September 2005
Skills
Litigation, White Collar Criminal..., Securities Regulation, FCPA, Internal Investigations, Securities Litigation, Corporate Governance, Commercial Litigation, Criminal Law, Civil Litigation, Corporate Law, Legal Research, Appeals, Fraud, Private Investigations, Criminal Defense, Courts, Trials, Arbitration, Litigation Support, Dispute Resolution, Legal Writing, Business Litigation, Product Liability, Privacy Law, Trade Secrets, Class Actions, Trial Practice
Education
Seton Hall University School of Law 1997 — 2000
J.D., Law
MTHS
Rider University
B.A., Political Science
Brian Heckler's US Securities and Exchange Commission Experience June 1995 - June 1997
Job National Sector Leader at KPMG LLP
Industry Management Consulting
Experience
KPMG LLP August 2015 - Present
KPMG August 2015 - Present
KPMG Advisory October 2012 - Present
KPMG US 1984 - Present
KPMG LLP September 2008 - June 2013
US Securities and Exchange Commission June 1995 - June 1997
Skills
Acquisitions, SEC filings, US GAAP, Financial Reporting, Accounting, IFRS, Internal Controls, Mergers, GAAP, Restructuring, SEC, Sarbanes-Oxley Act, Mergers & Acquisitions, IPO, Revenue Recognition, Auditing, CPA, Big 4, Forensic Accounting, Divestitures, External Audit, Consolidation, Business Valuation, Sarbanes-Oxley, SEC Filings, Due Diligence, Financial Analysis, Leadership, Management, Financial Accounting
Education
Shippensburg University of Pennsylvania 1980 — 1984
BSBA, Accounting
Windber Area High School 1975 — 1980
High School Diploma
KPMG LLP August 2015 - Present
KPMG August 2015 - Present
KPMG Advisory October 2012 - Present
KPMG US 1984 - Present
KPMG LLP September 2008 - June 2013
US Securities and Exchange Commission June 1995 - June 1997
Skills
Acquisitions, SEC filings, US GAAP, Financial Reporting, Accounting, IFRS, Internal Controls, Mergers, GAAP, Restructuring, SEC, Sarbanes-Oxley Act, Mergers & Acquisitions, IPO, Revenue Recognition, Auditing, CPA, Big 4, Forensic Accounting, Divestitures, External Audit, Consolidation, Business Valuation, Sarbanes-Oxley, SEC Filings, Due Diligence, Financial Analysis, Leadership, Management, Financial Accounting
Education
Shippensburg University of Pennsylvania 1980 — 1984
BSBA, Accounting
Windber Area High School 1975 — 1980
High School Diploma
Marisa Mahlenkamp Marisa Mahlenkamp's US Securities and Exchange Commission Experience June 2012 - August 2012
Job Investment Banking Analyst
Industry Financial Services
Experience
Bank of America Merrill Lynch July 2014 - Present
Bank of America Merrill Lynch June 2013 - August 2013
US Securities and Exchange Commission June 2012 - August 2012
Wellesley College September 2011 - May 2012
Wellesley College May 2011 - May 2012
Education
Wellesley College 2010 — 2014
Bachelor of Arts (B.A.), Economics
Institut d'Etudes politiques de Paris / Sciences Po Paris
Bank of America Merrill Lynch July 2014 - Present
Bank of America Merrill Lynch June 2013 - August 2013
US Securities and Exchange Commission June 2012 - August 2012
Wellesley College September 2011 - May 2012
Wellesley College May 2011 - May 2012
Education
Wellesley College 2010 — 2014
Bachelor of Arts (B.A.), Economics
Institut d'Etudes politiques de Paris / Sciences Po Paris
Chris Gay's US Securities and Exchange Commission Experience June 2007 - August 2007
Job Software Engineer and Product Management
Industry Computer Software
Experience
Creative Media Groupe July 2011 - Present
Startup Institute September 2013 - Present
Goldman Sachs June 2008 - June 2011
US Securities and Exchange Commission June 2007 - August 2007
Collins Stewart July 2002 - June 2005
Skills
Web Development, Software Development, Product Management, Software Engineering, Healthcare Information..., Financial Modeling, Private Equity, Venture Capital, Valuation, Strategy, Investment Banking, Corporate Finance, Asset Management, Mergers & Acquisitions, Start-ups, Business Strategy, Corporate Development, Entrepreneurship, Equity Research, Due Diligence, Equities, Capital Markets, Emerging Markets, Competitive Analysis, Portfolio Management, Hedge Funds, Investments, Finance, Alternative Investments, Fixed Income, Management Consulting, Executive Management, Financial Analysis, Business Development, M&A experience, Financial Services, Bloomberg, Business Valuation, Derivatives
Education
The University of Chicago Booth School of Business 2006 — 2008
MBA, Finance and Accounting
University of Chicago Law School 2006 — 2007
Coursework, Advanced Legal Research, Corporate Law, Bankruptcy and Restructuring
United States Military Academy at West Point 1995 — 1999
BS, International Relations and Computer Science
Stanford University
Computer Science
Culver
Creative Media Groupe July 2011 - Present
Startup Institute September 2013 - Present
Goldman Sachs June 2008 - June 2011
US Securities and Exchange Commission June 2007 - August 2007
Collins Stewart July 2002 - June 2005
Skills
Web Development, Software Development, Product Management, Software Engineering, Healthcare Information..., Financial Modeling, Private Equity, Venture Capital, Valuation, Strategy, Investment Banking, Corporate Finance, Asset Management, Mergers & Acquisitions, Start-ups, Business Strategy, Corporate Development, Entrepreneurship, Equity Research, Due Diligence, Equities, Capital Markets, Emerging Markets, Competitive Analysis, Portfolio Management, Hedge Funds, Investments, Finance, Alternative Investments, Fixed Income, Management Consulting, Executive Management, Financial Analysis, Business Development, M&A experience, Financial Services, Bloomberg, Business Valuation, Derivatives
Education
The University of Chicago Booth School of Business 2006 — 2008
MBA, Finance and Accounting
University of Chicago Law School 2006 — 2007
Coursework, Advanced Legal Research, Corporate Law, Bankruptcy and Restructuring
United States Military Academy at West Point 1995 — 1999
BS, International Relations and Computer Science
Stanford University
Computer Science
Culver
Patrick Craine Patrick Craine's US Securities and Exchange Commission Experience 2003 - 2005
Job Chief Compliance Officer at Chesapeake Energy
Industry Oil & Energy
Experience
Chesapeake Energy June 2013 - Present
Bracewell & Giuliani LLP 2007 - 2013
Financial Industry Regulatory Authority 2010 - 2011
Munsch Hardt Kopf & Harr, P.C. 1998 - 2007
US Securities and Exchange Commission 2003 - 2005
Skills
Internal Investigations, White Collar Criminal..., Regulatory Agencies, Securities Litigation, Securities Regulation, Litigation, FINRA, Corporate Governance, SEC, Civil Litigation, Competition Law, Private Investigations, Securities, FCPA, Criminal Law, Fraud, Litigation Support, Broker-Dealer, Trials, Mediation, Employment Law, Arbitration, Dispute Resolution, Courts, Appeals, Legal Compliance, Banking Law, Commercial Litigation, Class Actions, Corporate Law, Business Litigation, Licensing
Education
Southern Methodist University Dedman School of Law 1994 — 1997
JD
Wabash College 1990 — 1994
Chesapeake Energy June 2013 - Present
Bracewell & Giuliani LLP 2007 - 2013
Financial Industry Regulatory Authority 2010 - 2011
Munsch Hardt Kopf & Harr, P.C. 1998 - 2007
US Securities and Exchange Commission 2003 - 2005
Skills
Internal Investigations, White Collar Criminal..., Regulatory Agencies, Securities Litigation, Securities Regulation, Litigation, FINRA, Corporate Governance, SEC, Civil Litigation, Competition Law, Private Investigations, Securities, FCPA, Criminal Law, Fraud, Litigation Support, Broker-Dealer, Trials, Mediation, Employment Law, Arbitration, Dispute Resolution, Courts, Appeals, Legal Compliance, Banking Law, Commercial Litigation, Class Actions, Corporate Law, Business Litigation, Licensing
Education
Southern Methodist University Dedman School of Law 1994 — 1997
JD
Wabash College 1990 — 1994
Elizabeth Mazer Elizabeth Mazer's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Trading Associate
Industry Financial Services
Experience
EJF Capital LLC April 2013 - Present
Emmanuel Cancer Foundation May 2010 - Present
Rutgers Business School September 2011 - January 2013
East Coast Warehouse and Distribution September 2012 - December 2012
US Securities and Exchange Commission May 2012 - August 2012
JPMorgan Chase November 2010 - August 2011
Scottrade July 2008 - August 2009
Skills
Credit, Finance, Banking, Data Analysis
Education
Rutgers, The State University of New Jersey-New Brunswick 2011 — 2013
MBA, Finance, Supply Chain, 3.9
The College of New Jersey 2006 — 2010
B.S., Finance, Minor in Italian, 3.6
Clearview Regional H.S. 2002 — 2006
EJF Capital LLC April 2013 - Present
Emmanuel Cancer Foundation May 2010 - Present
Rutgers Business School September 2011 - January 2013
East Coast Warehouse and Distribution September 2012 - December 2012
US Securities and Exchange Commission May 2012 - August 2012
JPMorgan Chase November 2010 - August 2011
Scottrade July 2008 - August 2009
Skills
Credit, Finance, Banking, Data Analysis
Education
Rutgers, The State University of New Jersey-New Brunswick 2011 — 2013
MBA, Finance, Supply Chain, 3.9
The College of New Jersey 2006 — 2010
B.S., Finance, Minor in Italian, 3.6
Clearview Regional H.S. 2002 — 2006
J Bryan White's US Securities and Exchange Commission Experience September 2013 - November 2013
Job Associate Attorney at Baker & McKenzie
Industry Law Practice
Experience
Baker & McKenzie August 2015 - Present
North American Coal Corporation June 2014 - February 2015
AT&T September 2014 - December 2014
Munck Wilson Mandala LLP May 2014 - June 2014
Blue River Partners, LLC December 2013 - April 2014
US Securities and Exchange Commission September 2013 - November 2013
Ursus Advisors, LLC May 2013 - August 2013
Hail Merry LLC July 2012 - May 2013
Tyson Foods January 2011 - May 2012
Skills
Financial Analysis, Microsoft Excel
Education
Southern Methodist University Dedman School of Law 2012 — 2015
J.D.
University of Arkansas at Fayetteville 2008 — 2012
BSBA, Finance
Baker & McKenzie August 2015 - Present
North American Coal Corporation June 2014 - February 2015
AT&T September 2014 - December 2014
Munck Wilson Mandala LLP May 2014 - June 2014
Blue River Partners, LLC December 2013 - April 2014
US Securities and Exchange Commission September 2013 - November 2013
Ursus Advisors, LLC May 2013 - August 2013
Hail Merry LLC July 2012 - May 2013
Tyson Foods January 2011 - May 2012
Skills
Financial Analysis, Microsoft Excel
Education
Southern Methodist University Dedman School of Law 2012 — 2015
J.D.
University of Arkansas at Fayetteville 2008 — 2012
BSBA, Finance
Nicholas Cooley Nicholas Cooley's US Securities and Exchange Commission Experience May 2011 - November 2011
Job Financial Institution Specialist at Federal Deposit Insurance Corporation
Industry Banking
Experience
Federal Deposit Insurance Corporation July 2012 - Present
Federal Deposit Insurance Corporation (FDIC) July 2012 - July 2013
US Securities and Exchange Commission May 2011 - November 2011
Fire Island Ferries Inc. May 2009 - September 2010
Skills
PowerPoint, Data Entry, Compliance Regulations, Risk Management, Financial Risk..., Financial Regulation, Bank Accounting, Regulatory Guidelines, Government Experience, Bloomberg Terminal, Compliance, Microsoft Word, Finance, Analysis, Digital Photography, Microsoft Excel, Microsoft Office, Photoshop, Financial Modeling
Education
Seton Hall University 2008 — 2012
Bachelor of Science (B.S.), Finance, Economics
University of Westminster 2010 — 2010
Business Administration and Management, General
Federal Deposit Insurance Corporation July 2012 - Present
Federal Deposit Insurance Corporation (FDIC) July 2012 - July 2013
US Securities and Exchange Commission May 2011 - November 2011
Fire Island Ferries Inc. May 2009 - September 2010
Skills
PowerPoint, Data Entry, Compliance Regulations, Risk Management, Financial Risk..., Financial Regulation, Bank Accounting, Regulatory Guidelines, Government Experience, Bloomberg Terminal, Compliance, Microsoft Word, Finance, Analysis, Digital Photography, Microsoft Excel, Microsoft Office, Photoshop, Financial Modeling
Education
Seton Hall University 2008 — 2012
Bachelor of Science (B.S.), Finance, Economics
University of Westminster 2010 — 2010
Business Administration and Management, General
Matthew Rogers, CPA CFF Matthew Rogers, CPA CFF's US Securities and Exchange Commission Experience March 1999 - November 2004
Job Director at AlixPartners
Industry Accounting
Experience
AlixPartners November 2009 - Present
PCAOB April 2006 - November 2009
LECG November 2004 - March 2006
US Securities and Exchange Commission March 1999 - November 2004
US Securities and Exchange Commission September 1997 - March 1999
United Technologies September 1996 - September 1997
KPMG September 1988 - September 1996
Skills
Litigation Support, Internal Investigations, GAAP, GAAS, Interviewing, FCPA Investigations and..., Internal Audit..., PCAOB standards, Financial Crime, Anti-corruption, Auditing Standards, Fraud, Interviews, Private Investigations, Internal Audit, FCPA, Forensic Accounting, Internal Controls, Securities Regulation, Due Diligence, Certified Fraud Examiner, Auditing, Accounting, CPA, Litigation Consulting, External Audit, Financial Reporting, US GAAP, Finance, Corporate Governance, Financial Statements, Forensic Analysis, SEC filings
Education
State University of New York College at Oswego 1984 — 1988
BS, Accounting
AlixPartners November 2009 - Present
PCAOB April 2006 - November 2009
LECG November 2004 - March 2006
US Securities and Exchange Commission March 1999 - November 2004
US Securities and Exchange Commission September 1997 - March 1999
United Technologies September 1996 - September 1997
KPMG September 1988 - September 1996
Skills
Litigation Support, Internal Investigations, GAAP, GAAS, Interviewing, FCPA Investigations and..., Internal Audit..., PCAOB standards, Financial Crime, Anti-corruption, Auditing Standards, Fraud, Interviews, Private Investigations, Internal Audit, FCPA, Forensic Accounting, Internal Controls, Securities Regulation, Due Diligence, Certified Fraud Examiner, Auditing, Accounting, CPA, Litigation Consulting, External Audit, Financial Reporting, US GAAP, Finance, Corporate Governance, Financial Statements, Forensic Analysis, SEC filings
Education
State University of New York College at Oswego 1984 — 1988
BS, Accounting
Eva Marie Carney's US Securities and Exchange Commission Experience 1993 - 1998
Job Securities Regulation and Compliance Partner and Executive Committee Member at Richards Kibbe & Orbe LLP
Industry Law Practice
Experience
Richards Kibbe & Orbe LLP April 2003 - Present
Citizen Potawatomi Nation April 2008 - Present
US Securities and Exchange Commission 1993 - 1998
US Securities and Exchange Commission 1990 - 1992
Skills
Securities Regulation, Corporate Governance, Litigation, Legal Advice, Internal Investigations, Securities, Commercial Litigation, Corporate Law, SEC filings, Arbitration, Legal Compliance, Policy, Joint Ventures, Securities Litigation, Regulatory Reporting, SEC reporting, Board Governance, Administrative Law, Legal Research, Legal Writing, Appeals, Investment Advisers Act, Hedge Funds, Due Diligence, SEC, Financial Regulation, Private Equity, General Corporate..., Hearings, Broker-Dealer, Private Investigations, FINRA
Education
Stanford University Law School 1980 — 1983
J.D., Law
University of San Francisco 1976 — 1980
1980, History, magna cum laude
Richards Kibbe & Orbe LLP April 2003 - Present
Citizen Potawatomi Nation April 2008 - Present
US Securities and Exchange Commission 1993 - 1998
US Securities and Exchange Commission 1990 - 1992
Skills
Securities Regulation, Corporate Governance, Litigation, Legal Advice, Internal Investigations, Securities, Commercial Litigation, Corporate Law, SEC filings, Arbitration, Legal Compliance, Policy, Joint Ventures, Securities Litigation, Regulatory Reporting, SEC reporting, Board Governance, Administrative Law, Legal Research, Legal Writing, Appeals, Investment Advisers Act, Hedge Funds, Due Diligence, SEC, Financial Regulation, Private Equity, General Corporate..., Hearings, Broker-Dealer, Private Investigations, FINRA
Education
Stanford University Law School 1980 — 1983
J.D., Law
University of San Francisco 1976 — 1980
1980, History, magna cum laude
Kaitlyn Piper Kaitlyn Piper's US Securities and Exchange Commission Experience February 2011 - May 2011
Job Associate at Morgan, Lewis & Bockius LLP
Industry Law Practice
Experience
BlackRock August 2015 - Present
Morgan, Lewis & Bockius LLP October 2011 - August 2015
US Securities and Exchange Commission February 2011 - May 2011
The Honorable Sherry Klein Heitler September 2010 - December 2010
U.S. Department of Justice June 2010 - August 2010
IDASA June 2009 - August 2009
Education
Fordham University School of Law
J.D.
SUNY Geneseo
Bachelor of Science, Business Administration
BlackRock August 2015 - Present
Morgan, Lewis & Bockius LLP October 2011 - August 2015
US Securities and Exchange Commission February 2011 - May 2011
The Honorable Sherry Klein Heitler September 2010 - December 2010
U.S. Department of Justice June 2010 - August 2010
IDASA June 2009 - August 2009
Education
Fordham University School of Law
J.D.
SUNY Geneseo
Bachelor of Science, Business Administration
Elysse Frick's US Securities and Exchange Commission Experience 2007 - Present
Job
Industry Financial Services
Experience
US Securities and Exchange Commission 2007 - Present
Education
Southern Methodist University - Cox School of Business
MBA
US Securities and Exchange Commission 2007 - Present
Education
Southern Methodist University - Cox School of Business
MBA
Rebekah Blakeley Lindsey's US Securities and Exchange Commission Experience November 2008 - Present
Job Senior Staff Accountant at SEC
Industry Accounting
Experience
US Securities and Exchange Commission November 2008 - Present
Office of the Comptroller of the Currency March 2008 - November 2008
US Securities and Exchange Commission August 2004 - February 2008
Freddie Mac March 2004 - July 2004
Perry-Smith LLP September 2000 - February 2004
Skills
Corporate Finance, Accounting, SEC filings, SEC Financial Reporting, GAAP, IFRS, Auditing, CPA, Sarbanes-Oxley Act, Financial Statements, US GAAP, Revenue Recognition, Internal Controls, SEC Filings, Financial Analysis
Education
Sonoma State University 1996 — 2000
Bachelor of Science, Business Administration, Accounting
US Securities and Exchange Commission November 2008 - Present
Office of the Comptroller of the Currency March 2008 - November 2008
US Securities and Exchange Commission August 2004 - February 2008
Freddie Mac March 2004 - July 2004
Perry-Smith LLP September 2000 - February 2004
Skills
Corporate Finance, Accounting, SEC filings, SEC Financial Reporting, GAAP, IFRS, Auditing, CPA, Sarbanes-Oxley Act, Financial Statements, US GAAP, Revenue Recognition, Internal Controls, SEC Filings, Financial Analysis
Education
Sonoma State University 1996 — 2000
Bachelor of Science, Business Administration, Accounting
Janaya Moscony's US Securities and Exchange Commission Experience 1995 - 2000
Job President, SEC Compliance Consultants, Inc
Industry Financial Services
Experience
SEC Compliance Consultants, Inc. (SEC3) 2003 - Present
Bank of Hawaii 2001 - 2003
SEC 1995 - 2000
US Securities and Exchange Commission 1995 - 2000
Skills
Investments, Hedge Funds, FINRA, Mutual Funds, Asset Management, Securities, AML, Alternative Investments, Equities, Project Management, Series 7, Investment Advisory, Private Equity, Investment Management, Fixed Income
Education
Rutgers, The State University of New Jersey-New Brunswick 1993 — 1995
Bachelors of Art, Economics and Spanish
SEC Compliance Consultants, Inc. (SEC3) 2003 - Present
Bank of Hawaii 2001 - 2003
SEC 1995 - 2000
US Securities and Exchange Commission 1995 - 2000
Skills
Investments, Hedge Funds, FINRA, Mutual Funds, Asset Management, Securities, AML, Alternative Investments, Equities, Project Management, Series 7, Investment Advisory, Private Equity, Investment Management, Fixed Income
Education
Rutgers, The State University of New Jersey-New Brunswick 1993 — 1995
Bachelors of Art, Economics and Spanish
Bridget Ireland's US Securities and Exchange Commission Experience June 1995 - March 1998
Job Chief Compliance Officer Oppenheimer Funds Services, VP of Compliance at OppenheimerFunds, Inc
Industry Financial Services
Experience
OppenheimerFunds, Inc January 2004 - Present
INVESCO April 2000 - December 2003
Meridian Investments March 1998 - March 2000
US Securities and Exchange Commission June 1995 - March 1998
Skills
Mutual Funds, FINRA, Financial Services, Due Diligence, Investment Advisory, AML, Fixed Annuities, Risk Management, Fixed Income, Capital Markets, Asset Managment, Trading, Series 6, Portfolio Management, Series 7, Alternative Investments, Securities Regulation, Securities, Corporate Finance, 401k, Series 63, Program Management, Series 24, Management, Fund Accounting, Asset Management, Investments, Relationship Management, Equities, Leadership, Finance, Analysis, Training, USA PATRIOT Act, Hedge Funds, Investment Management, Broker-Dealer, Separately Managed..., ERISA, Investment Company Act, SEC filings
Education
Regis University 1991 — 1995
OppenheimerFunds, Inc January 2004 - Present
INVESCO April 2000 - December 2003
Meridian Investments March 1998 - March 2000
US Securities and Exchange Commission June 1995 - March 1998
Skills
Mutual Funds, FINRA, Financial Services, Due Diligence, Investment Advisory, AML, Fixed Annuities, Risk Management, Fixed Income, Capital Markets, Asset Managment, Trading, Series 6, Portfolio Management, Series 7, Alternative Investments, Securities Regulation, Securities, Corporate Finance, 401k, Series 63, Program Management, Series 24, Management, Fund Accounting, Asset Management, Investments, Relationship Management, Equities, Leadership, Finance, Analysis, Training, USA PATRIOT Act, Hedge Funds, Investment Management, Broker-Dealer, Separately Managed..., ERISA, Investment Company Act, SEC filings
Education
Regis University 1991 — 1995
Valentina Ambarchyan's US Securities and Exchange Commission Experience January 2010 - May 2010
Job Attorney at Morris Polich & Purdy LLP
Industry Law Practice
Experience
Morris Polich & Purdy LLP May 2012 - Present
Bonne Bridges Mueller O'Keefe & Nichols December 2010 - May 2012
Bonne Bridges Mueller O'Keefe & Nichols September 2010 - December 2010
US Securities and Exchange Commission January 2010 - May 2010
Bonne Bridges Mueller O'Keefe & Nichols June 2008 - January 2010
Skills
Civil Litigation, Westlaw, Legal Research, Legal Writing, Litigation, Trials, Courts, Personal Injury, Medical Malpractice, Elder Law, Mediation, Arbitration, Litigation Management, Litigation Support, Premises Liability..., Real Estate
Education
Southwestern Law School 2007 — 2010
J.D., Law
University of California, Los Angeles 2004 — 2007
Bachelor of Arts, Sociology/Political Science (Minor)
Morris Polich & Purdy LLP May 2012 - Present
Bonne Bridges Mueller O'Keefe & Nichols December 2010 - May 2012
Bonne Bridges Mueller O'Keefe & Nichols September 2010 - December 2010
US Securities and Exchange Commission January 2010 - May 2010
Bonne Bridges Mueller O'Keefe & Nichols June 2008 - January 2010
Skills
Civil Litigation, Westlaw, Legal Research, Legal Writing, Litigation, Trials, Courts, Personal Injury, Medical Malpractice, Elder Law, Mediation, Arbitration, Litigation Management, Litigation Support, Premises Liability..., Real Estate
Education
Southwestern Law School 2007 — 2010
J.D., Law
University of California, Los Angeles 2004 — 2007
Bachelor of Arts, Sociology/Political Science (Minor)
Brandy Hare's US Securities and Exchange Commission Experience September 2011 - Present
Job Sr. Program Specialist TCRs at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission September 2011 - Present
US Securities and Exchange Commission March 2008 - September 2011
US Securities and Exchange Commission September 2004 - March 2008
Kovack Securities, Inc. January 2000 - September 2004
Skills
Securities Regulation, AML, FINRA, Risk Management, Corporate Governance, Securities, Hedge Funds, Government, Fraud, SEC, Enforcement, Broker-Dealer, Internal Investigations, FCPA, Bank Secrecy Act, Financial Regulation, Mutual Funds, Series 24, Securities Offerings, Securities Litigation, OFAC
Education
Stetson University 1990 — 1994
US Securities and Exchange Commission September 2011 - Present
US Securities and Exchange Commission March 2008 - September 2011
US Securities and Exchange Commission September 2004 - March 2008
Kovack Securities, Inc. January 2000 - September 2004
Skills
Securities Regulation, AML, FINRA, Risk Management, Corporate Governance, Securities, Hedge Funds, Government, Fraud, SEC, Enforcement, Broker-Dealer, Internal Investigations, FCPA, Bank Secrecy Act, Financial Regulation, Mutual Funds, Series 24, Securities Offerings, Securities Litigation, OFAC
Education
Stetson University 1990 — 1994
Karla Jones's US Securities and Exchange Commission Experience March 2012 - April 2013
Job Senior Corporate Recruiter at MAXIMUS
Industry Government Administration
Experience
MAXIMUS April 2015 - Present
Capital One August 2014 - December 2014
US Securities and Exchange Commission March 2012 - April 2013
Public Company Accounting Oversight Board (PCAOB) June 2011 - November 2011
Freddie Mac July 2010 - June 2011
PNC Financial Services Group December 2009 - July 2010
Fannie Mae April 2006 - January 2009
ICR 1999 - 2002
Skills
Recruiting, Contract Recruitment, Talent Acquisition, Applicant Tracking..., Taleo, BrassRing, PeopleSoft, HR Consulting, Interviewing Skills, Behavioral Interviewing, Employee Benefits, Onboarding, Negotiation, New Hire Orientations, Project Management, Business Process, Human Resources, Technical Recruiting, Employee Relations, Leadership, Personnel Management, College Recruiting, Sourcing, Talent Management, Management, Benefits Negotiation, Time Management, Interviews
Education
Southern University and Agricultural and Mechanical College at Baton Rouge
Bachelor of Science, Marketing
MAXIMUS April 2015 - Present
Capital One August 2014 - December 2014
US Securities and Exchange Commission March 2012 - April 2013
Public Company Accounting Oversight Board (PCAOB) June 2011 - November 2011
Freddie Mac July 2010 - June 2011
PNC Financial Services Group December 2009 - July 2010
Fannie Mae April 2006 - January 2009
ICR 1999 - 2002
Skills
Recruiting, Contract Recruitment, Talent Acquisition, Applicant Tracking..., Taleo, BrassRing, PeopleSoft, HR Consulting, Interviewing Skills, Behavioral Interviewing, Employee Benefits, Onboarding, Negotiation, New Hire Orientations, Project Management, Business Process, Human Resources, Technical Recruiting, Employee Relations, Leadership, Personnel Management, College Recruiting, Sourcing, Talent Management, Management, Benefits Negotiation, Time Management, Interviews
Education
Southern University and Agricultural and Mechanical College at Baton Rouge
Bachelor of Science, Marketing
Kevin Gross's US Securities and Exchange Commission Experience 1997 - 2008
Job Senior Counsel, Compliance, Investigations & Policy at Chevron
Industry Legal Services
Experience
Chevron 2008 - Present
US Securities and Exchange Commission 1997 - 2008
Drinker Biddle LLP 1990 - 1997
Hughes Hubbard & Reed LLP 1988 - 1990
Skills
Corporate Governance, Due Diligence, FCPA, Corporate Law, Litigation Management, Legal Compliance, Litigation, Securities Regulation, Contract Negotiation, Anti-corruption, Internal Investigations, Sarbanes-Oxley Act, Mediation, SEC, Regulatory Affairs, Oil&Gas, Joint Ventures, Contract Negotiations, SOX, D&O Insurance, Compliance..., Energy, Investor Relations, EEO, Federal Government, SEC compliance, White Collar Criminal..., Commercial Litigation, Legal Writing, Civil Litigation, Legal Research
Education
University of California, Los Angeles - School of Law 1985 — 1988
JD, Law
Stanford University 1982 — 1985
A.B., History and Economics
Chevron 2008 - Present
US Securities and Exchange Commission 1997 - 2008
Drinker Biddle LLP 1990 - 1997
Hughes Hubbard & Reed LLP 1988 - 1990
Skills
Corporate Governance, Due Diligence, FCPA, Corporate Law, Litigation Management, Legal Compliance, Litigation, Securities Regulation, Contract Negotiation, Anti-corruption, Internal Investigations, Sarbanes-Oxley Act, Mediation, SEC, Regulatory Affairs, Oil&Gas, Joint Ventures, Contract Negotiations, SOX, D&O Insurance, Compliance..., Energy, Investor Relations, EEO, Federal Government, SEC compliance, White Collar Criminal..., Commercial Litigation, Legal Writing, Civil Litigation, Legal Research
Education
University of California, Los Angeles - School of Law 1985 — 1988
JD, Law
Stanford University 1982 — 1985
A.B., History and Economics
Christine (Chehanske) Curley's US Securities and Exchange Commission Experience September 2004 - January 2013
Job Branch Chief at US Securities & Exchange Commission
Industry Law Practice
Experience
U.S. Securities & Exchange Commission January 2013 - Present
US Securities and Exchange Commission September 2004 - January 2013
Skills
Commercial Litigation, Corporate Law, Legal Writing, Litigation, Securities Regulation
Education
Seton Hall University School of Law 2000 — 2003
Doctor of Law (JD)
Rutgers University-New Brunswick 1997 — 2000
BA, Economics & Political Science
University of Maryland College Park 1996 — 1997
U.S. Securities & Exchange Commission January 2013 - Present
US Securities and Exchange Commission September 2004 - January 2013
Skills
Commercial Litigation, Corporate Law, Legal Writing, Litigation, Securities Regulation
Education
Seton Hall University School of Law 2000 — 2003
Doctor of Law (JD)
Rutgers University-New Brunswick 1997 — 2000
BA, Economics & Political Science
University of Maryland College Park 1996 — 1997
Lizardo Coronado's US Securities and Exchange Commission Experience May 2013 - Present
Job SEC
Industry Legal Services
Experience
US Securities and Exchange Commission May 2013 - Present
Promontory Financial Group, LLC January 2012 - January 2013
NRT Reoexperts, LLC July 2011 - October 2011
Watson Title Insurance Inc. February 2008 - May 2011
Shendell & Pollock, PL September 2007 - February 2008
Sunrise Title Inc. November 1998 - January 2007
United States Air Force December 1991 - December 1993
Skills
Short Sales, REO, Real Estate, Mortgage, Excel, Title Insurance, First Time Home Buyers, FHA, VA, Refinance, Mortgage Lending, Conventional, Purchase, Loans, Residential, Investment Properties, Investors, Property Management, Negotiation, Compliance, Single Family Homes, Investments, Problem Solving, Closings, Word, Budgeting, Notary Public, Condos, PowerPoint, Credit, Mortgage Banking, Underwriting, Real Estate Transactions, Funding, Access, Mortgage Industry, Asset Management, Insurance, Outlook, Financial Analysis, Strategic Planning, ACRIS (New York State), PACER, Westlaw, Lexis Nexis, AACER, LPS Desktop, Equator, Axcelerate by Recommind, Commercial Real Estate
Education
St. Thomas University 1994 — 1998
Bachelor of Arts (B.A.), Political Science, 3.0
US Securities and Exchange Commission May 2013 - Present
Promontory Financial Group, LLC January 2012 - January 2013
NRT Reoexperts, LLC July 2011 - October 2011
Watson Title Insurance Inc. February 2008 - May 2011
Shendell & Pollock, PL September 2007 - February 2008
Sunrise Title Inc. November 1998 - January 2007
United States Air Force December 1991 - December 1993
Skills
Short Sales, REO, Real Estate, Mortgage, Excel, Title Insurance, First Time Home Buyers, FHA, VA, Refinance, Mortgage Lending, Conventional, Purchase, Loans, Residential, Investment Properties, Investors, Property Management, Negotiation, Compliance, Single Family Homes, Investments, Problem Solving, Closings, Word, Budgeting, Notary Public, Condos, PowerPoint, Credit, Mortgage Banking, Underwriting, Real Estate Transactions, Funding, Access, Mortgage Industry, Asset Management, Insurance, Outlook, Financial Analysis, Strategic Planning, ACRIS (New York State), PACER, Westlaw, Lexis Nexis, AACER, LPS Desktop, Equator, Axcelerate by Recommind, Commercial Real Estate
Education
St. Thomas University 1994 — 1998
Bachelor of Arts (B.A.), Political Science, 3.0
Barbara Endres's US Securities and Exchange Commission Experience September 1995 - April 1997
Job Counsel at Sidley Austin LLP
Industry Law Practice
Experience
Sidley Austin LLP July 2013 - Present
Sidley Austin LLP July 2003 - June 2013
Sidley Austin LLP May 1997 - June 2003
US Securities and Exchange Commission September 1995 - April 1997
Brown & Wood LLP September 1991 - September 1995
Education
The College of William and Mary - Marshall Wythe Law School 1988 — 1991
Stony Brook University 1984 — 1988
B.A., Philosophy Major
Sidley Austin LLP July 2013 - Present
Sidley Austin LLP July 2003 - June 2013
Sidley Austin LLP May 1997 - June 2003
US Securities and Exchange Commission September 1995 - April 1997
Brown & Wood LLP September 1991 - September 1995
Education
The College of William and Mary - Marshall Wythe Law School 1988 — 1991
Stony Brook University 1984 — 1988
B.A., Philosophy Major
Richard G. Stoltz's US Securities and Exchange Commission Experience August 2004 - Present
Job Attorney
Industry Law Practice
Experience
US Securities and Exchange Commission August 2004 - Present
Education
Saint Louis University School of Law 2001 — 2004
Law
Saint Louis University
B.A.
US Securities and Exchange Commission August 2004 - Present
Education
Saint Louis University School of Law 2001 — 2004
Law
Saint Louis University
B.A.
Sean Farrell's US Securities and Exchange Commission Experience October 2003 - June 2006
Job Compliance Officer at Greenlight Capital
Industry Financial Services
Experience
Greenlight Capital April 2011 - Present
Level Global Investors September 2010 - April 2011
Epoch Investment Partners August 2009 - September 2010
ACA Compliance Group July 2006 - August 2009
US Securities and Exchange Commission October 2003 - June 2006
Deloitte & Touche 2002 - 2003
Smith & Smith Public Accountants January 2000 - September 2002
United States Air Force April 1994 - January 2000
Education
Rutgers University-New Brunswick 2000 — 2002
BS, Accounting
Greenlight Capital April 2011 - Present
Level Global Investors September 2010 - April 2011
Epoch Investment Partners August 2009 - September 2010
ACA Compliance Group July 2006 - August 2009
US Securities and Exchange Commission October 2003 - June 2006
Deloitte & Touche 2002 - 2003
Smith & Smith Public Accountants January 2000 - September 2002
United States Air Force April 1994 - January 2000
Education
Rutgers University-New Brunswick 2000 — 2002
BS, Accounting
Heather Panko's US Securities and Exchange Commission Experience 2005 - 2005
Job Associate at Stutzman, Bromberg, Esserman & Plifka, P.C.
Industry Law Practice
Experience
Stutzman, Bromberg, Esserman & Plifka, P.C. September 2006 - Present
United States Bankruptcy Court for the Northern District of Texas January 2006 - May 2006
SMU Dedman School of Law August 2004 - May 2006
United States District Court for the Northern District of Texas January 2005 - May 2005
US Securities and Exchange Commission 2005 - 2005
Electronic Data Systems May 2004 - August 2004
Skills
Bankruptcy, Legal Research, Litigation, Creditors' Rights, Westlaw, Trials, Corporate Law, Legal Writing
Education
Southern Methodist University Dedman School of Law 2003 — 2006
Juris Doctor
University of Texas at Dallas - Naveen Jindal School of Management 1999 — 2002
BSBA, Management Information Systems
Stutzman, Bromberg, Esserman & Plifka, P.C. September 2006 - Present
United States Bankruptcy Court for the Northern District of Texas January 2006 - May 2006
SMU Dedman School of Law August 2004 - May 2006
United States District Court for the Northern District of Texas January 2005 - May 2005
US Securities and Exchange Commission 2005 - 2005
Electronic Data Systems May 2004 - August 2004
Skills
Bankruptcy, Legal Research, Litigation, Creditors' Rights, Westlaw, Trials, Corporate Law, Legal Writing
Education
Southern Methodist University Dedman School of Law 2003 — 2006
Juris Doctor
University of Texas at Dallas - Naveen Jindal School of Management 1999 — 2002
BSBA, Management Information Systems
Victor Cairo's US Securities and Exchange Commission Experience December 2012 - Present
Job Sr. Contract Specialist
Industry Government Administration
Experience
US Securities and Exchange Commission December 2012 - Present
U.S. Department of Education August 2007 - January 2013
US Department of Education 2001 - August 2007
U.S. Department of Education July 2006 - July 2007
Skills
Federal Government, Proposal Writing, Government Procurement, Government, Government Contracting, FAR, Contract Management, Air Force
Education
State University of New York at New Paltz 1995 — 2000
Bachelor of Arts (B.A.), Sociology
US Securities and Exchange Commission December 2012 - Present
U.S. Department of Education August 2007 - January 2013
US Department of Education 2001 - August 2007
U.S. Department of Education July 2006 - July 2007
Skills
Federal Government, Proposal Writing, Government Procurement, Government, Government Contracting, FAR, Contract Management, Air Force
Education
State University of New York at New Paltz 1995 — 2000
Bachelor of Arts (B.A.), Sociology
Sam Sunukjian's US Securities and Exchange Commission Experience January 1986 - October 1986
Job VP, IT Services at MAR, Incorporated
Industry Information Technology and Services
Experience
CA March 2000 - August 2002
Applied Management Systems 1986 - 2000
US Securities and Exchange Commission January 1986 - October 1986
Bureau of Labor Statistics June 1976 - January 1986
Skills
Program Management, Enterprise Architecture, Information Assurance, IT Strategy, SDLC, Integration, IT Management, Process Improvement, Security, Information Security
Education
State University of New York College at Oswego 1972 — 1976
BA, Computer Science
CA March 2000 - August 2002
Applied Management Systems 1986 - 2000
US Securities and Exchange Commission January 1986 - October 1986
Bureau of Labor Statistics June 1976 - January 1986
Skills
Program Management, Enterprise Architecture, Information Assurance, IT Strategy, SDLC, Integration, IT Management, Process Improvement, Security, Information Security
Education
State University of New York College at Oswego 1972 — 1976
BA, Computer Science
Lisa Mitrovich (Kurtz)'s US Securities and Exchange Commission Experience May 1993 - February 2006
Job Partner at Deloitte & Touche
Industry Accounting
Experience
Deloitte 2006 - Present
US Securities and Exchange Commission May 1993 - February 2006
Ernst & Young 1988 - 1993
Education
San Diego State University-California State University 1983 — 1988
Business Administration, Accounting
Deloitte 2006 - Present
US Securities and Exchange Commission May 1993 - February 2006
Ernst & Young 1988 - 1993
Education
San Diego State University-California State University 1983 — 1988
Business Administration, Accounting
Scott Holleman's US Securities and Exchange Commission Experience January 2007 - May 2007
Job Associate at Johnson & Weaver, LLP
Industry Law Practice
Experience
Johnson & Weaver, LLP September 2013 - Present
Levi & Korsinsky LLP May 2009 - August 2013
Bloomberg April 2009 - May 2009
Balestriere Lanza PLLC October 2007 - March 2009
US Securities and Exchange Commission January 2007 - May 2007
FINRA (formerly NASD) May 2006 - August 2006
Skills
Class Actions, AML, OFAC, Commercial Litigation, Securities Regulation, Securities, Competition Law, Civil Litigation, Corporate Governance, Financial Services, Litigation, Fraud, Legal Research, Mutual Funds, Courts, Legal Writing, Corporate Law, Trials, Trade Secrets, Arbitration, Securities Litigation, Appeals, Litigation Support, Business Litigation, Westlaw
Education
Saint John's University School of Law 2004 — 2007
J.D.
University of North Carolina at Chapel Hill 1999 — 2003
B.A., Political Science
Myers Park High School 1995 — 1999
International Baccalaureate (IB)
Johnson & Weaver, LLP September 2013 - Present
Levi & Korsinsky LLP May 2009 - August 2013
Bloomberg April 2009 - May 2009
Balestriere Lanza PLLC October 2007 - March 2009
US Securities and Exchange Commission January 2007 - May 2007
FINRA (formerly NASD) May 2006 - August 2006
Skills
Class Actions, AML, OFAC, Commercial Litigation, Securities Regulation, Securities, Competition Law, Civil Litigation, Corporate Governance, Financial Services, Litigation, Fraud, Legal Research, Mutual Funds, Courts, Legal Writing, Corporate Law, Trials, Trade Secrets, Arbitration, Securities Litigation, Appeals, Litigation Support, Business Litigation, Westlaw
Education
Saint John's University School of Law 2004 — 2007
J.D.
University of North Carolina at Chapel Hill 1999 — 2003
B.A., Political Science
Myers Park High School 1995 — 1999
International Baccalaureate (IB)
Tom Selman, CFA's US Securities and Exchange Commission Experience 1987 - 1992
Job Executive Vice President, Regulatory Policy and Legal Compliance Officer, FINRA
Industry Capital Markets
Experience
Financial Industry Regulatory Authority 1996 - Present
Investment Company Institute 1992 - 1996
US Securities and Exchange Commission 1987 - 1992
Skills
Securities, Capital Markets, Equities, FINRA, Securities Regulation, Corporate Governance, Due Diligence, Corporate Law, Hedge Funds, Private Equity, Mergers & Acquisitions, Alternative Investments, Mutual Funds, Financial Services
Education
The University of Texas School of Law 1980 — 1983
Doctor of Law (J.D.), Law
Rice University 1976 — 1980
Bachelors of Arts, Economics and History
Financial Industry Regulatory Authority 1996 - Present
Investment Company Institute 1992 - 1996
US Securities and Exchange Commission 1987 - 1992
Skills
Securities, Capital Markets, Equities, FINRA, Securities Regulation, Corporate Governance, Due Diligence, Corporate Law, Hedge Funds, Private Equity, Mergers & Acquisitions, Alternative Investments, Mutual Funds, Financial Services
Education
The University of Texas School of Law 1980 — 1983
Doctor of Law (J.D.), Law
Rice University 1976 — 1980
Bachelors of Arts, Economics and History
Aaron Washington's US Securities and Exchange Commission Experience August 2014 - Present
Job Attorney at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission August 2014 - Present
State of New Jersey Department of Banking and Insurance January 2014 - May 2014
Kates Nussman Rapone Ellis & Farhi, LLP August 2013 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
JP Morgan Chase July 2010 - May 2013
THE BUDGET GROUP LLC September 2008 - March 2010
Merrill Lynch 2005 - 2008
Travelers March 2003 - November 2005
Computershare May 2000 - September 2002
Skills
Investments, Securities, Fixed Annuities, Insurance, Retirement, Equities, Portfolio Management, Estate Planning, Credit, Banking, Mortgage Lending, Strategic Planning, Series 7, Finance, Mutual Funds, Financial Modeling, Series 63, Securities Regulation, Corporate Finance, Investment Advisory, Legal Writing, Public Speaking
Education
Rutgers University School of Law - Newark 2010 — 2014
Juris Doctorate, Law
Eagleton Institute of Politics, Rutgers–The State University of New Jersey 2013 — 2014
Graduate Fellowship in Government and Politics, Govenor's Executive Fellow
Rutgers, The State University of New Jersey-New Brunswick 1996 — 2001
BA, African American Studies, Political Science
U.S. Securities and Exchange Commission August 2014 - Present
State of New Jersey Department of Banking and Insurance January 2014 - May 2014
Kates Nussman Rapone Ellis & Farhi, LLP August 2013 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
JP Morgan Chase July 2010 - May 2013
THE BUDGET GROUP LLC September 2008 - March 2010
Merrill Lynch 2005 - 2008
Travelers March 2003 - November 2005
Computershare May 2000 - September 2002
Skills
Investments, Securities, Fixed Annuities, Insurance, Retirement, Equities, Portfolio Management, Estate Planning, Credit, Banking, Mortgage Lending, Strategic Planning, Series 7, Finance, Mutual Funds, Financial Modeling, Series 63, Securities Regulation, Corporate Finance, Investment Advisory, Legal Writing, Public Speaking
Education
Rutgers University School of Law - Newark 2010 — 2014
Juris Doctorate, Law
Eagleton Institute of Politics, Rutgers–The State University of New Jersey 2013 — 2014
Graduate Fellowship in Government and Politics, Govenor's Executive Fellow
Rutgers, The State University of New Jersey-New Brunswick 1996 — 2001
BA, African American Studies, Political Science
Derek Zaba's US Securities and Exchange Commission Experience 2003 - 2003
Job Principal at CamberView Partners
Industry Investment Management
Experience
CamberView Partners, LLC January 2015 - Present
Voce Capital January 2012 - Present
Scoggin Capital April 2006 - January 2011
Wachtell, Lipton, Rosen & Katz September 2004 - March 2006
US Securities and Exchange Commission 2003 - 2003
Capital One March 1999 - June 2001
Education
Stanford University Law School 2001 — 2004
JD, Law
Washington University in St. Louis 1994 — 1998
BS/MBA, Engineering/Finance
CamberView Partners, LLC January 2015 - Present
Voce Capital January 2012 - Present
Scoggin Capital April 2006 - January 2011
Wachtell, Lipton, Rosen & Katz September 2004 - March 2006
US Securities and Exchange Commission 2003 - 2003
Capital One March 1999 - June 2001
Education
Stanford University Law School 2001 — 2004
JD, Law
Washington University in St. Louis 1994 — 1998
BS/MBA, Engineering/Finance
Mark Pesta's US Securities and Exchange Commission Experience October 2003 - June 2004
Job Corporate Controller, TechPrecision Corporation
Industry Management Consulting
Experience
TechPrecision Corporation October 2009 - Present
AC Lordi Consulting, LLC December 2004 - April 2009
US Securities and Exchange Commission October 2003 - June 2004
AMETEK, Inc. June 1999 - May 2003
West Pharmaceutical Services June 1978 - June 1999
Education
Widener University 1978 — 1981
MBA, Finance
St. Thomas University 1971 — 1974
BA, Business Administration
TechPrecision Corporation October 2009 - Present
AC Lordi Consulting, LLC December 2004 - April 2009
US Securities and Exchange Commission October 2003 - June 2004
AMETEK, Inc. June 1999 - May 2003
West Pharmaceutical Services June 1978 - June 1999
Education
Widener University 1978 — 1981
MBA, Finance
St. Thomas University 1971 — 1974
BA, Business Administration
Z. Eric Stephens, CFA's US Securities and Exchange Commission Experience September 1992 - October 1998
Job Vice President at The BVA Group LLC
Industry Financial Services
Experience
The BVA Group LLC April 2015 - Present
RENN Capital Group January 2006 - April 2015
CBIZ Valuation Group October 1998 - January 2006
US Securities and Exchange Commission September 1992 - October 1998
Skills
Portfolio Management, Investments, Equities, Financial Modeling, Hedge Funds, Valuation, Capital Markets, Private Equity, Alternative Investments, Due Diligence, Asset Management, Investment Banking, Financial Analysis, Mergers & Acquisitions, Corporate Finance, Credit Analysis, Strategic Planning, Investment Advisory, Securities, Bloomberg, Management, Asset Managment, Venture Capital, Equity Research, Business Valuation, Expert Witness
Education
Texas A&M University 1990 — 1992
Master of Business Administration (MBA), MBA
Southwestern Oklahoma State University 1988 — 1990
Bachelor of Arts (B.A.), Economics/Finance
The BVA Group LLC April 2015 - Present
RENN Capital Group January 2006 - April 2015
CBIZ Valuation Group October 1998 - January 2006
US Securities and Exchange Commission September 1992 - October 1998
Skills
Portfolio Management, Investments, Equities, Financial Modeling, Hedge Funds, Valuation, Capital Markets, Private Equity, Alternative Investments, Due Diligence, Asset Management, Investment Banking, Financial Analysis, Mergers & Acquisitions, Corporate Finance, Credit Analysis, Strategic Planning, Investment Advisory, Securities, Bloomberg, Management, Asset Managment, Venture Capital, Equity Research, Business Valuation, Expert Witness
Education
Texas A&M University 1990 — 1992
Master of Business Administration (MBA), MBA
Southwestern Oklahoma State University 1988 — 1990
Bachelor of Arts (B.A.), Economics/Finance
Luis Betancourt's US Securities and Exchange Commission Experience July 2013 - July 2014
Job Associate Professor at James Madison University
Industry Accounting
Experience
James Madison University August 2011 - Present
US Securities and Exchange Commission July 2013 - July 2014
James Madison University August 2008 - August 2011
Office of the Comptroller of the Currency 2006 - 2008
James Madison University 2003 - 2006
Freddie Mac 1998 - 2003
American University August 1995 - August 1998
Freddie Mac January 1993 - August 1995
Rowles & Company May 1984 - May 1985
Education
University of Central Florida 1990 — 1995
PhD, Accounting
University of Maryland - Robert H. Smith School of Business 1985 — 1987
MBA, Finance
Salisbury State University 1980 — 1983
BS, Accounting
James Madison University August 2011 - Present
US Securities and Exchange Commission July 2013 - July 2014
James Madison University August 2008 - August 2011
Office of the Comptroller of the Currency 2006 - 2008
James Madison University 2003 - 2006
Freddie Mac 1998 - 2003
American University August 1995 - August 1998
Freddie Mac January 1993 - August 1995
Rowles & Company May 1984 - May 1985
Education
University of Central Florida 1990 — 1995
PhD, Accounting
University of Maryland - Robert H. Smith School of Business 1985 — 1987
MBA, Finance
Salisbury State University 1980 — 1983
BS, Accounting
James A. Prestiano's US Securities and Exchange Commission Experience September 1990 - November 1993
Job Owner, The Law Offices of James A. Prestiano, P.C.
Industry Law Practice
Experience
The Law Offices of James A. Prestiano, P.C. December 2003 - Present
US Securities and Exchange Commission September 1990 - November 1993
Skills
Securities Law, Commercial Litigation, Corporate Law, Securities Regulation, FINRA, SEC reporting, Securities Litigation, Mergers, Hedge Funds, Trial Practice, Litigation, Due Diligence, Arbitration, Civil Litigation, Legal Writing, Mediation, Legal Research, Litigation Management, Investment Advisers Act, Legal Issues, Joint Ventures, Product Liability, Competition Law, Class Actions, Securities, Private Equity, Insurance Law, Construction Law, Torts, Executive Pay, Cross-border..., IPO, SEC filings, Legal Advice, Corporate Governance, Licensing, Corporate Finance, Personal Injury, Private Placements, Appeals, Intellectual Property, Venture Capital, Contract Negotiation, Legal Compliance, Capital Markets, SEC
Education
St. John's University School of Law 1987 — 1990
JD, Law
Saint John's University 1983 — 1987
BA, Major: English
The Law Offices of James A. Prestiano, P.C. December 2003 - Present
US Securities and Exchange Commission September 1990 - November 1993
Skills
Securities Law, Commercial Litigation, Corporate Law, Securities Regulation, FINRA, SEC reporting, Securities Litigation, Mergers, Hedge Funds, Trial Practice, Litigation, Due Diligence, Arbitration, Civil Litigation, Legal Writing, Mediation, Legal Research, Litigation Management, Investment Advisers Act, Legal Issues, Joint Ventures, Product Liability, Competition Law, Class Actions, Securities, Private Equity, Insurance Law, Construction Law, Torts, Executive Pay, Cross-border..., IPO, SEC filings, Legal Advice, Corporate Governance, Licensing, Corporate Finance, Personal Injury, Private Placements, Appeals, Intellectual Property, Venture Capital, Contract Negotiation, Legal Compliance, Capital Markets, SEC
Education
St. John's University School of Law 1987 — 1990
JD, Law
Saint John's University 1983 — 1987
BA, Major: English
Meredith Munro's US Securities and Exchange Commission Experience 1999 - 2004
Job Attorney at King & Greisen LLP
Industry Law Practice
Experience
Hamil/Hecht LLC December 2007 - February 2015
Steese Evans & Frankel, P.C. 2004 - 2007
US Securities and Exchange Commission 1999 - 2004
U.S. Securities and Exchange Commission 1999 - 2004
Davis Graham & Stubbs LLP 1993 - 1999
Fulbright & Jaworski 1992 - 1995
U.S. Ninth Circuit Court of Appeals 1991 - 1992
Skills
Legal Research, Civil Litigation, Securities Regulation, Litigation, Enforcement, Arbitration, Intellectual Property, Legal Writing, Commercial Litigation, Appeals, Legal Advice, Securities Litigation, Trial Practice, Corporate Law, Trade Secrets, Corporate Governance, Business Litigation, Due Diligence, Trademarks, International Law, Westlaw, Copyright Law, Public Policy, Courts, Product Liability, Mediation, Trials, Class Actions, Employment Law, Bankruptcy, Document Review, Privacy Law
Education
University of California, Hastings College of the Law 1988 — 1991
JD
Rice University 1984 — 1988
BA, Economics and English
Hamil/Hecht LLC December 2007 - February 2015
Steese Evans & Frankel, P.C. 2004 - 2007
US Securities and Exchange Commission 1999 - 2004
U.S. Securities and Exchange Commission 1999 - 2004
Davis Graham & Stubbs LLP 1993 - 1999
Fulbright & Jaworski 1992 - 1995
U.S. Ninth Circuit Court of Appeals 1991 - 1992
Skills
Legal Research, Civil Litigation, Securities Regulation, Litigation, Enforcement, Arbitration, Intellectual Property, Legal Writing, Commercial Litigation, Appeals, Legal Advice, Securities Litigation, Trial Practice, Corporate Law, Trade Secrets, Corporate Governance, Business Litigation, Due Diligence, Trademarks, International Law, Westlaw, Copyright Law, Public Policy, Courts, Product Liability, Mediation, Trials, Class Actions, Employment Law, Bankruptcy, Document Review, Privacy Law
Education
University of California, Hastings College of the Law 1988 — 1991
JD
Rice University 1984 — 1988
BA, Economics and English
Lynn Perez's US Securities and Exchange Commission Experience 1994 - 1995
Job Royalty Manager/Consultant at Facts On File, Inc.
Industry Publishing
Experience
INFOBASE LEARNING March 1998 - Present
KPMG Peat Marwick 1995 - 1998
US Securities and Exchange Commission 1994 - 1995
Skills
Publishing, Ebooks, Adobe Acrobat, Books
Education
Queens College
BA, Accounting
INFOBASE LEARNING March 1998 - Present
KPMG Peat Marwick 1995 - 1998
US Securities and Exchange Commission 1994 - 1995
Skills
Publishing, Ebooks, Adobe Acrobat, Books
Education
Queens College
BA, Accounting
Sean Gorman's US Securities and Exchange Commission Experience March 2004 - March 2005
Job Vice President at Barclays
Industry Financial Services
Experience
Barclays Wealth and Investment Management 2013 - Present
Credit Suisse May 2009 - May 2013
Lehman Brothers/Barclays July 2006 - April 2009
Banc of America Securities March 2005 - July 2006
US Securities and Exchange Commission March 2004 - March 2005
Fioretti, Des Jardins & Reda, Ltd. September 2001 - March 2004
Skills
Series 7, Series 9, Series 10, Fixed Income, Investment Advisory, Fund Of Funds, Leveraged Finance, Back Office, Private Wealth..., Compliance, Series 24
Education
Quinlan School of Business, Loyola University Chicago 2000 — 2003
MBA, Finance & International Business
University of Iowa 1994 — 1998
BA, Political Science
Barclays Wealth and Investment Management 2013 - Present
Credit Suisse May 2009 - May 2013
Lehman Brothers/Barclays July 2006 - April 2009
Banc of America Securities March 2005 - July 2006
US Securities and Exchange Commission March 2004 - March 2005
Fioretti, Des Jardins & Reda, Ltd. September 2001 - March 2004
Skills
Series 7, Series 9, Series 10, Fixed Income, Investment Advisory, Fund Of Funds, Leveraged Finance, Back Office, Private Wealth..., Compliance, Series 24
Education
Quinlan School of Business, Loyola University Chicago 2000 — 2003
MBA, Finance & International Business
University of Iowa 1994 — 1998
BA, Political Science
Consuelo Hitchcock's US Securities and Exchange Commission Experience 2001 - 2006
Job Principal at Deloitte LLP
Industry Accounting
Experience
Deloitte LLP August 2006 - Present
US Securities and Exchange Commission 2001 - 2006
Fried, Frank, Harris, Shriver & Jacobson 1994 - 2001
Skills
Private Equity, US GAAP, IPO, Auditing, FCPA, Corporate Law, GAAP
Education
Saint Louis University School of Law 1991 — 1994
JD
Deloitte LLP August 2006 - Present
US Securities and Exchange Commission 2001 - 2006
Fried, Frank, Harris, Shriver & Jacobson 1994 - 2001
Skills
Private Equity, US GAAP, IPO, Auditing, FCPA, Corporate Law, GAAP
Education
Saint Louis University School of Law 1991 — 1994
JD
David Calvert's US Securities and Exchange Commission Experience July 2008 - August 2008
Job Senior Associate at Crestline Investors, Inc.
Industry Investment Management
Experience
Crestline Investors, Inc. January 2015 - Present
Crestline Investors, Inc. September 2013 - December 2014
Cogent Partners December 2012 - August 2013
Cogent Partners December 2010 - November 2012
Raytheon December 2009 - November 2010
Rockwood Investment Partners September 2008 - December 2008
US Securities and Exchange Commission July 2008 - August 2008
Oxford Finance Corporation May 2008 - June 2008
Skills
Portfolio Performance..., Financial Modeling, Due Diligence, Valuation, Private Equity, Real Estate, Venture Capital, Hedge Funds, Asset Management, Financial Analysis, Analysis, Finance, Mutual Funds, Corporate Finance
Education
Southern Methodist University 2005 — 2009
Bachelor of Business Administration, Finance
The Potomac School 2001 — 2005
Crestline Investors, Inc. January 2015 - Present
Crestline Investors, Inc. September 2013 - December 2014
Cogent Partners December 2012 - August 2013
Cogent Partners December 2010 - November 2012
Raytheon December 2009 - November 2010
Rockwood Investment Partners September 2008 - December 2008
US Securities and Exchange Commission July 2008 - August 2008
Oxford Finance Corporation May 2008 - June 2008
Skills
Portfolio Performance..., Financial Modeling, Due Diligence, Valuation, Private Equity, Real Estate, Venture Capital, Hedge Funds, Asset Management, Financial Analysis, Analysis, Finance, Mutual Funds, Corporate Finance
Education
Southern Methodist University 2005 — 2009
Bachelor of Business Administration, Finance
The Potomac School 2001 — 2005
Professor Steven Ramirez's US Securities and Exchange Commission Experience 1988 - 1990
Job Professor of Law, Associate Dean for Research & Faculty Development, and Director, Business Law Center
Industry Legal Services
Experience
Loyola University Chicago August 2006 - Present
Washburn University June 1995 - August 2006
Robinson Curley & Clayton April 1992 - June 1995
FDIC 1990 - 1992
US Securities and Exchange Commission 1988 - 1990
Skills
University Teaching, Graduate Level, Corporate Law, Securities Regulation, Financial Regulation, Public Speaking, Curriculum Design, Curriculum Development, Legal Research, Research, Adult Education, Distance Learning, Program Development, Student Development, Higher Education, Corporate Governance, International Law, Academia, Legal Writing, Securities, Litigation, Policy Analysis, Public Policy, Intellectual Property, Courts, Legal Issues, Mediation, Economics, Administrative Law, Privacy Law, Copyright Law, Westlaw
Education
Saint Louis University School of Law 1983 — 1986
Doctor of Law (J.D.), Business Law
University of Missouri 1979 — 1983
Bachelor of Arts (BA), Economics
Loyola University Chicago August 2006 - Present
Washburn University June 1995 - August 2006
Robinson Curley & Clayton April 1992 - June 1995
FDIC 1990 - 1992
US Securities and Exchange Commission 1988 - 1990
Skills
University Teaching, Graduate Level, Corporate Law, Securities Regulation, Financial Regulation, Public Speaking, Curriculum Design, Curriculum Development, Legal Research, Research, Adult Education, Distance Learning, Program Development, Student Development, Higher Education, Corporate Governance, International Law, Academia, Legal Writing, Securities, Litigation, Policy Analysis, Public Policy, Intellectual Property, Courts, Legal Issues, Mediation, Economics, Administrative Law, Privacy Law, Copyright Law, Westlaw
Education
Saint Louis University School of Law 1983 — 1986
Doctor of Law (J.D.), Business Law
University of Missouri 1979 — 1983
Bachelor of Arts (BA), Economics
Dayanand Kondabathini, PMP's US Securities and Exchange Commission Experience September 2012 - Present
Job IT Project Manager, Office of Information Technology at US Securities and Exchange Commission
Industry Transportation/Trucking/Railroad
Experience
US Securities and Exchange Commission September 2012 - Present
ACS, a Xerox Company 2011 - September 2012
ACS, a Xerox Company 2009 - September 2012
ACS Government Solutions 2005 - 2009
ACS Transportation Solutions Group 2002 - 2005
MFS Transportation Systems (World Comm ETC) 1998 - 2002
E Transit, Inc. 2001 - 2001
Blink Data 2000 - 2001
Controlled Access 2000 - 2000
, SoftNet International LLC 1998 - 1998
Skills
Certified Project..., Project Implementation, Problem Solving, Project Planning, Project Execution, Project Delivery, Software Project..., MS Project, SharePoint, Procurement, New Business Development, Change Management, Cost Estimating, Oral Communications, Cross-functional Team..., Technical Presentations, Customer Presentations, Group Presentations, Event Planning, Live Events, Event Management, Event Hosting, Negotiation, JIRA, Oracle, Java, Websphere, Schedule Development, Schedule Control, Database Management, Performance Analysis, Performance Management, Performance Standards, Risk Management, Enterprise Project..., Risk Assessment, Project Management
Education
Shippensburg University of Pennsylvania 1997 — 1998
Master of Science, Computer Science
University of Dayton 1996 — 1996
Master of Science, Material Science (1 Semester)
Jawaharlal Nehru Technological University, Hyderabad, India 1991 — 1995
Bachelor of Technology, Metallurgical Engineering
US Securities and Exchange Commission September 2012 - Present
ACS, a Xerox Company 2011 - September 2012
ACS, a Xerox Company 2009 - September 2012
ACS Government Solutions 2005 - 2009
ACS Transportation Solutions Group 2002 - 2005
MFS Transportation Systems (World Comm ETC) 1998 - 2002
E Transit, Inc. 2001 - 2001
Blink Data 2000 - 2001
Controlled Access 2000 - 2000
, SoftNet International LLC 1998 - 1998
Skills
Certified Project..., Project Implementation, Problem Solving, Project Planning, Project Execution, Project Delivery, Software Project..., MS Project, SharePoint, Procurement, New Business Development, Change Management, Cost Estimating, Oral Communications, Cross-functional Team..., Technical Presentations, Customer Presentations, Group Presentations, Event Planning, Live Events, Event Management, Event Hosting, Negotiation, JIRA, Oracle, Java, Websphere, Schedule Development, Schedule Control, Database Management, Performance Analysis, Performance Management, Performance Standards, Risk Management, Enterprise Project..., Risk Assessment, Project Management
Education
Shippensburg University of Pennsylvania 1997 — 1998
Master of Science, Computer Science
University of Dayton 1996 — 1996
Master of Science, Material Science (1 Semester)
Jawaharlal Nehru Technological University, Hyderabad, India 1991 — 1995
Bachelor of Technology, Metallurgical Engineering
Joseph Paolo's US Securities and Exchange Commission Experience 1992 - 1997
Job VP & CCO at AXA Equitable
Industry Investment Management
Experience
AXA Equitable Principal ConsultantPricewaterhouseCoopersAugust 1999 - February 2001
Chase Manhattan Bank - Chase Asset Management February 1997 - August 1999
US Securities and Exchange Commission 1992 - 1997
Education
St. Francis College 1988 — 1992
BA/AAS, Economics
AXA Equitable Principal ConsultantPricewaterhouseCoopersAugust 1999 - February 2001
Chase Manhattan Bank - Chase Asset Management February 1997 - August 1999
US Securities and Exchange Commission 1992 - 1997
Education
St. Francis College 1988 — 1992
BA/AAS, Economics
Anish Choksi, Esq.'s US Securities and Exchange Commission Experience September 2012 - January 2013
Job Corporate Legal & Regulatory Compliance
Industry Law Practice
Experience
Summit Securities Group, LLC June 2015 - Present
Gaming Laboratories International September 2013 - June 2015
US Securities and Exchange Commission September 2012 - January 2013
Green Lundgren & Ryan May 2012 - September 2012
Superior Court of New Jersey June 2011 - August 2011
Adler for Congress May 2010 - August 2010
Federal Trade Commission January 2009 - June 2009
Skills
Legal Research, Legal Writing, Westlaw, Securities Regulation, Corporate Governance, Corporate Law, Financial Analysis, Legal Compliance, Bloomberg, Legal Assistance, Corporate Finance, Legal Issues, Trials, LexisNexis, Financial Markets, Securities Law, Mediation, Licensing, Trademarks, Legal Services, Corporate Transactional, SEC Financial Reporting, Securities Exchange Act..., Securities Fraud, Investment Advisor..., Broker-Dealer Compliance, Contract Negotiation, Contract Management, Government Procurement, Employment Law, Global Regulatory..., Policy, Lexis, Intellectual Property, Series 7
Education
Rutgers University School of Law - Camden 2011 — 2013
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law, Cum Laude
The Washington Center for Internships and Academic Seminars 2009 — 2009
Fellow, Trade Regulation
Summit Securities Group, LLC June 2015 - Present
Gaming Laboratories International September 2013 - June 2015
US Securities and Exchange Commission September 2012 - January 2013
Green Lundgren & Ryan May 2012 - September 2012
Superior Court of New Jersey June 2011 - August 2011
Adler for Congress May 2010 - August 2010
Federal Trade Commission January 2009 - June 2009
Skills
Legal Research, Legal Writing, Westlaw, Securities Regulation, Corporate Governance, Corporate Law, Financial Analysis, Legal Compliance, Bloomberg, Legal Assistance, Corporate Finance, Legal Issues, Trials, LexisNexis, Financial Markets, Securities Law, Mediation, Licensing, Trademarks, Legal Services, Corporate Transactional, SEC Financial Reporting, Securities Exchange Act..., Securities Fraud, Investment Advisor..., Broker-Dealer Compliance, Contract Negotiation, Contract Management, Government Procurement, Employment Law, Global Regulatory..., Policy, Lexis, Intellectual Property, Series 7
Education
Rutgers University School of Law - Camden 2011 — 2013
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law, Cum Laude
The Washington Center for Internships and Academic Seminars 2009 — 2009
Fellow, Trade Regulation
Jerry Marlatt's US Securities and Exchange Commission Experience 1978 - 1984
Job Sr. of Counsel at Morrison & Foerster LLP
Industry Law Practice
Experience
Morrison & Foerster LLP 2009 - Present
Clifford Chance US LLP 1998 - 2009
Clifford Chance 1998 - 2009
Stroock & Stroock & Lavan LLP 1996 - 1998
Hunton & Williams LLP 1988 - 1996
Skadden Arps 1987 - 1988
Seward & Kissel LLP 1984 - 1987
US Securities and Exchange Commission 1978 - 1984
The Rand Corporation 1972 - 1978
Skills
Securities Regulation, Cross-border..., Corporate Law, Structured Finance, Securitization, Securities, Capital Markets, Due Diligence, International Law, Financial Structuring
Education
Southwestern Law School 1973 — 1977
JD, law
University of Southern California 1960 — 1967
BA, physics
Morrison & Foerster LLP 2009 - Present
Clifford Chance US LLP 1998 - 2009
Clifford Chance 1998 - 2009
Stroock & Stroock & Lavan LLP 1996 - 1998
Hunton & Williams LLP 1988 - 1996
Skadden Arps 1987 - 1988
Seward & Kissel LLP 1984 - 1987
US Securities and Exchange Commission 1978 - 1984
The Rand Corporation 1972 - 1978
Skills
Securities Regulation, Cross-border..., Corporate Law, Structured Finance, Securitization, Securities, Capital Markets, Due Diligence, International Law, Financial Structuring
Education
Southwestern Law School 1973 — 1977
JD, law
University of Southern California 1960 — 1967
BA, physics
David Wachsman's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Looking for new HR Position
Industry Human Resources
Experience
ServRx, Inc. April 2014 - February 2015
Rosewood Centers for Eating Disorders August 2013 - January 2014
Urban Lending Solutions August 2012 - March 2013
Urban Lending Solutions August 2012 - March 2013
eBay July 2011 - January 2012
US Securities and Exchange Commission June 2010 - August 2010
State Farm Insurance June 2008 - August 2008
Self Employed January 2004 - June 2007
Skills
Recruiting, Talent Acquisition, Human Resources, Networking, Building Relationships, New Hire Orientations, Screening, Internet Recruiting, Technical Recruiting, Process Improvement, Temporary Placement, Training, Employee Relations, HR Consulting, Contract Recruitment, Taleo, Screening Resumes, Performance Management, Succession Planning, Benefits Administration, Hiring, HR Policies, Benefits Negotiation, Staffing Services, Executive Search, PeopleSoft, College Recruiting, Employee Engagement, Workforce Planning, HRIS, Resume Writing, Sourcing
Education
Rutgers, The State University of New Jersey-New Brunswick 2009 — 2011
Masters, Human Resource Management
University of North Carolina at Chapel Hill 2007 — 2008
Bachelors of Arts, Psychology
ServRx, Inc. April 2014 - February 2015
Rosewood Centers for Eating Disorders August 2013 - January 2014
Urban Lending Solutions August 2012 - March 2013
Urban Lending Solutions August 2012 - March 2013
eBay July 2011 - January 2012
US Securities and Exchange Commission June 2010 - August 2010
State Farm Insurance June 2008 - August 2008
Self Employed January 2004 - June 2007
Skills
Recruiting, Talent Acquisition, Human Resources, Networking, Building Relationships, New Hire Orientations, Screening, Internet Recruiting, Technical Recruiting, Process Improvement, Temporary Placement, Training, Employee Relations, HR Consulting, Contract Recruitment, Taleo, Screening Resumes, Performance Management, Succession Planning, Benefits Administration, Hiring, HR Policies, Benefits Negotiation, Staffing Services, Executive Search, PeopleSoft, College Recruiting, Employee Engagement, Workforce Planning, HRIS, Resume Writing, Sourcing
Education
Rutgers, The State University of New Jersey-New Brunswick 2009 — 2011
Masters, Human Resource Management
University of North Carolina at Chapel Hill 2007 — 2008
Bachelors of Arts, Psychology
Terry Ann Pentimonti's US Securities and Exchange Commission Experience 1998 - 2000
Job Financial Accountant
Industry Accounting
Experience
Self-Employed February 2008 - Present
US Securities and Exchange Commission 1998 - 2000
Arthur Andersen LLP 1994 - 1998
Premier Technical Sales 1991 - 1994
Education
Santa Clara University - Leavey School of Business 1994 — 1996
MBA, Accounting
University of Colorado Boulder - Leeds School of Business 1986 — 1990
BS, Marketing
Self-Employed February 2008 - Present
US Securities and Exchange Commission 1998 - 2000
Arthur Andersen LLP 1994 - 1998
Premier Technical Sales 1991 - 1994
Education
Santa Clara University - Leavey School of Business 1994 — 1996
MBA, Accounting
University of Colorado Boulder - Leeds School of Business 1986 — 1990
BS, Marketing
Brian Huchro's US Securities and Exchange Commission Experience June 2001 - July 2006
Job Partner
Industry Security and Investigations
Experience
Deloitte Financial Advisory Services, LLP July 2006 - Present
US Securities and Exchange Commission June 2001 - July 2006
Price Waterhouse April 1996 - June 1998
Education
Siena College
B.S., Finance concentration in Accounting
Deloitte Financial Advisory Services, LLP July 2006 - Present
US Securities and Exchange Commission June 2001 - July 2006
Price Waterhouse April 1996 - June 1998
Education
Siena College
B.S., Finance concentration in Accounting
Travis England's US Securities and Exchange Commission Experience January 2009 - April 2009
Job Trial Attorney at U.S. Department of Justice
Industry Law Practice
Experience
U.S. Department of Justice January 2010 - Present
National Public Radio August 2009 - January 2010
US Securities and Exchange Commission January 2009 - April 2009
Bryan Cave May 2008 - August 2008
Legal Aid Board Justice Centre May 2007 - August 2007
Education
Washington University in St. Louis School of Law 2006 — 2009
J.D.
Saint Louis University 2002 — 2006
B.A., Economics; Political Science
St. Xavier High School 1998 — 2002
U.S. Department of Justice January 2010 - Present
National Public Radio August 2009 - January 2010
US Securities and Exchange Commission January 2009 - April 2009
Bryan Cave May 2008 - August 2008
Legal Aid Board Justice Centre May 2007 - August 2007
Education
Washington University in St. Louis School of Law 2006 — 2009
J.D.
Saint Louis University 2002 — 2006
B.A., Economics; Political Science
St. Xavier High School 1998 — 2002
Adam Washecka's US Securities and Exchange Commission Experience September 2004 - October 2006
Job Founder BTG Advisors, LLC
Industry Accounting
Experience
Towers Watson May 2012 - November 2014
Ernst & Young September 2008 - April 2012
Ernst & Young November 2006 - October 2008
US Securities and Exchange Commission September 2004 - October 2006
KPMG September 2001 - September 2004
Skills
US GAAP, Financial Reporting, SEC Filings, Auditing, Accounting, IFRS, Financial Accounting, Finance, Financial Analysis, Internal Controls
Education
University of Maryland College Park 1998 — 2000
Bachelor's degree, Accounting
Salisbury University 1996 — 1998
Paint Branch High School 1992 — 1996
Towers Watson May 2012 - November 2014
Ernst & Young September 2008 - April 2012
Ernst & Young November 2006 - October 2008
US Securities and Exchange Commission September 2004 - October 2006
KPMG September 2001 - September 2004
Skills
US GAAP, Financial Reporting, SEC Filings, Auditing, Accounting, IFRS, Financial Accounting, Finance, Financial Analysis, Internal Controls
Education
University of Maryland College Park 1998 — 2000
Bachelor's degree, Accounting
Salisbury University 1996 — 1998
Paint Branch High School 1992 — 1996
Jacqueline Iwata's US Securities and Exchange Commission Experience June 2012 - August 2012
Job J.D. Candidate at Stanford Law School
Industry Law Practice
Experience
US Securities and Exchange Commission June 2012 - August 2012
Federal Reserve Board May 2009 - August 2011
George Washington University January 2009 - May 2009
Center for American Progress September 2008 - December 2008
U.S. Department of Commerce 2006 - 2007
Skills
Stata, SAS programming, Matlab
Education
Stanford Law School 2011 — 2014
J.D.
The George Washington University 2005 — 2009
BS, Economics, Statistics, Geography
University of Oxford 2007 — 2008
Politics, Philosophy and Economics
US Securities and Exchange Commission June 2012 - August 2012
Federal Reserve Board May 2009 - August 2011
George Washington University January 2009 - May 2009
Center for American Progress September 2008 - December 2008
U.S. Department of Commerce 2006 - 2007
Skills
Stata, SAS programming, Matlab
Education
Stanford Law School 2011 — 2014
J.D.
The George Washington University 2005 — 2009
BS, Economics, Statistics, Geography
University of Oxford 2007 — 2008
Politics, Philosophy and Economics
Carla Hairston's US Securities and Exchange Commission Experience April 2007 - Present
Job Space Management Specialist, NCIDQ at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission April 2007 - Present
Standard Business Interiors July 2004 - April 2007
Corporate Express Business Interiors 2000 - 2004
Total Office Interiors 1998 - 2000
U.S. Business Interiors 1996 - 1998
Skills
LEED, Interior Design, Interior Architecture, Project Planning, Renovation, Furniture, Project Management
Education
Rhode Island School of Design 1984 — 1987
B. Arch, Architecture
US Securities and Exchange Commission April 2007 - Present
Standard Business Interiors July 2004 - April 2007
Corporate Express Business Interiors 2000 - 2004
Total Office Interiors 1998 - 2000
U.S. Business Interiors 1996 - 1998
Skills
LEED, Interior Design, Interior Architecture, Project Planning, Renovation, Furniture, Project Management
Education
Rhode Island School of Design 1984 — 1987
B. Arch, Architecture
Kenneth Schneider's US Securities and Exchange Commission Experience February 2012 - Present
Job Assistant Regional Director at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission February 2012 - Present
ACA Compliance Group February 2011 - December 2011
US Securities and Exchange Commission April 2007 - February 2011
US Securities and Exchange Commission September 2003 - March 2007
Education
Seattle University 1999 — 2000
MBA, Finance
University of Oregon 1983 — 1986
BS, Finance
U.S. Securities and Exchange Commission February 2012 - Present
ACA Compliance Group February 2011 - December 2011
US Securities and Exchange Commission April 2007 - February 2011
US Securities and Exchange Commission September 2003 - March 2007
Education
Seattle University 1999 — 2000
MBA, Finance
University of Oregon 1983 — 1986
BS, Finance
Todd Abril's US Securities and Exchange Commission Experience October 2003 - Present
Job Securities Compliance Examiner at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission October 2003 - Present
DST International September 2000 - September 2003
Skills
Securities, Hedge Funds, Securities Regulation, Mutual Funds, Legal Research, Legal Writing, Private Equity, Fixed Income, Financial Services, Asset Management, Investments, Equities, Risk Management, Derivatives, Trading, Civil Litigation
Education
Suffolk University - Sawyer Business School 1997 — 2001
Master of Business Administration (M.B.A.), Finance, General
Saint Michael's College 1987 — 1991
Bachelor of Arts (B.A.), Political Science and Government
US Securities and Exchange Commission October 2003 - Present
DST International September 2000 - September 2003
Skills
Securities, Hedge Funds, Securities Regulation, Mutual Funds, Legal Research, Legal Writing, Private Equity, Fixed Income, Financial Services, Asset Management, Investments, Equities, Risk Management, Derivatives, Trading, Civil Litigation
Education
Suffolk University - Sawyer Business School 1997 — 2001
Master of Business Administration (M.B.A.), Finance, General
Saint Michael's College 1987 — 1991
Bachelor of Arts (B.A.), Political Science and Government
Allison Calkins's US Securities and Exchange Commission Experience August 2003 - December 2003
Job Senior Counsel at Clyde & Co US LLP
Industry Law Practice
Experience
Clyde & Co LLP June 2010 - Present
Sedgwick Detert Moran & Arnold LLP November 2004 - June 2010
Medallion Financial May 2003 - November 2004
US Securities and Exchange Commission August 2003 - December 2003
Skills
Accounting, Legal Research, Corporate Governance, Corporate Law, Appeals, Claims Management, Mediation, Commercial Litigation, Insurance, Litigation, Analysis, Courts, Legal Liability, Claim, Civil Litigation, Securities, Mergers, Liability, Legal Writing, Dispute Resolution, Litigation Management, Legal Advice, D, Financial Institutions, Alternative Dispute..., Class Actions
Education
St. John's University School of Law 2001 — 2004
J.D., Law
University at Buffalo 1997 — 2001
B.S., Business Administration - Finance
Clyde & Co LLP June 2010 - Present
Sedgwick Detert Moran & Arnold LLP November 2004 - June 2010
Medallion Financial May 2003 - November 2004
US Securities and Exchange Commission August 2003 - December 2003
Skills
Accounting, Legal Research, Corporate Governance, Corporate Law, Appeals, Claims Management, Mediation, Commercial Litigation, Insurance, Litigation, Analysis, Courts, Legal Liability, Claim, Civil Litigation, Securities, Mergers, Liability, Legal Writing, Dispute Resolution, Litigation Management, Legal Advice, D, Financial Institutions, Alternative Dispute..., Class Actions
Education
St. John's University School of Law 2001 — 2004
J.D., Law
University at Buffalo 1997 — 2001
B.S., Business Administration - Finance
Paul Breucop's US Securities and Exchange Commission Experience January 2011 - April 2011
Job Associate at Kessler Topaz Meltzer & Check, LLP
Industry Law Practice
Experience
Kessler Topaz Meltzer & Check, LLP March 2013 - Present
Dimitriou & Associates, P.C. June 2012 - March 2013
California Teachers Association December 2011 - May 2012
California Teachers Association June 2010 - May 2011
US Securities and Exchange Commission January 2011 - April 2011
Melanie D. Popper, Esq. May 2009 - August 2009
Law Office of Paul M. Curry June 2007 - June 2008
Miranda Correia Amendoeira & Associados January 2007 - February 2007
Skills
Civil Litigation, Litigation, Arbitration, Hearings, Dispute Resolution, Pleadings, Motions, Legal Writing, Legal Research, Westlaw, Editing, Courts, Mediation, Corporate Law, Commercial Litigation, Fraud, Lexis
Education
University of California, Hastings College of the Law 2008 — 2011
J.D.
Santa Clara University 2003 — 2006
BA, Classical Studies and Religious Studies
Kessler Topaz Meltzer & Check, LLP March 2013 - Present
Dimitriou & Associates, P.C. June 2012 - March 2013
California Teachers Association December 2011 - May 2012
California Teachers Association June 2010 - May 2011
US Securities and Exchange Commission January 2011 - April 2011
Melanie D. Popper, Esq. May 2009 - August 2009
Law Office of Paul M. Curry June 2007 - June 2008
Miranda Correia Amendoeira & Associados January 2007 - February 2007
Skills
Civil Litigation, Litigation, Arbitration, Hearings, Dispute Resolution, Pleadings, Motions, Legal Writing, Legal Research, Westlaw, Editing, Courts, Mediation, Corporate Law, Commercial Litigation, Fraud, Lexis
Education
University of California, Hastings College of the Law 2008 — 2011
J.D.
Santa Clara University 2003 — 2006
BA, Classical Studies and Religious Studies
Eric Shu's US Securities and Exchange Commission Experience August 2012 - Present
Job AttorneyAdvisor at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission August 2012 - Present
US Securities and Exchange Commission January 2011 - August 2012
Oswald & Yap April 2007 - December 2010
WTAS January 2006 - April 2007
Skills
Securities, Securities Regulation, Editing, Corporate Governance
Education
Santa Clara University School of Law 2002 — 2005
J.D.
University of California, Los Angeles 1996 — 2001
B.S., Biochemistry
US Securities and Exchange Commission August 2012 - Present
US Securities and Exchange Commission January 2011 - August 2012
Oswald & Yap April 2007 - December 2010
WTAS January 2006 - April 2007
Skills
Securities, Securities Regulation, Editing, Corporate Governance
Education
Santa Clara University School of Law 2002 — 2005
J.D.
University of California, Los Angeles 1996 — 2001
B.S., Biochemistry
Danielle Joseph's US Securities and Exchange Commission Experience November 1997 - August 2001
Job Senior Principal Consultant at ACA Compliance Group
Industry Management Consulting
Experience
ACA Compliance Group April 2009 - Present
Citigroup September 2008 - April 2009
Deutsche Asset Management September 2003 - May 2005
Price Waterhouse Coopers November 2001 - September 2003
US Securities and Exchange Commission November 1997 - August 2001
Skills
Hedge Funds, Securities, Asset Managment, SEC filings, Private Equity, Investment Advisory, Due Diligence, Securities Regulation, SEC, Alternative Investments, Asset Management, Portfolio Management, Client Development, Investments, Equities, Management Consulting, Financial Services, SEC Filings, Fixed Income
Education
Saint John's University - Peter J. Tobin College of Business 1993 — 1997
BS, Marketing
ACA Compliance Group April 2009 - Present
Citigroup September 2008 - April 2009
Deutsche Asset Management September 2003 - May 2005
Price Waterhouse Coopers November 2001 - September 2003
US Securities and Exchange Commission November 1997 - August 2001
Skills
Hedge Funds, Securities, Asset Managment, SEC filings, Private Equity, Investment Advisory, Due Diligence, Securities Regulation, SEC, Alternative Investments, Asset Management, Portfolio Management, Client Development, Investments, Equities, Management Consulting, Financial Services, SEC Filings, Fixed Income
Education
Saint John's University - Peter J. Tobin College of Business 1993 — 1997
BS, Marketing
Janice (Strother) Vowell's US Securities and Exchange Commission Experience May 1981 - October 1983
Job Mortgage Loans, Construction Loans, Agricultural Lending, Farm Loans, Exceptional Customer Service
Industry Financial Services
Experience
Farm Credit Mid-America March 2004 - Present
NAI Knoxville January 2001 - March 2004
US Airways October 1983 - December 1994
US Securities and Exchange Commission May 1981 - October 1983
Skills
Customer Satisfaction, Credit, Customer Service, Troubleshooting, Loans, Outlook, Software Documentation, Microsoft Excel, Microsoft Office, Process Improvement, Microsoft Word, Access, SharePoint, PowerPoint, Time Management, Financial Analysis, Team Building, Sales, Risk Management, Insurance, Windows 7, Coaching, Leadership, Marketing, Real Estate, Mortgage Lending, Investment Properties, First Time Home Buyers
Education
Southern New Hampshire University
Bachelor's Degree, Public Relations, Advertising, and Applied Communication, 4.0
University of Maryland University College 1989 — 1990
Legal Assistant/Paralegal, 4.0
Farm Credit Mid-America March 2004 - Present
NAI Knoxville January 2001 - March 2004
US Airways October 1983 - December 1994
US Securities and Exchange Commission May 1981 - October 1983
Skills
Customer Satisfaction, Credit, Customer Service, Troubleshooting, Loans, Outlook, Software Documentation, Microsoft Excel, Microsoft Office, Process Improvement, Microsoft Word, Access, SharePoint, PowerPoint, Time Management, Financial Analysis, Team Building, Sales, Risk Management, Insurance, Windows 7, Coaching, Leadership, Marketing, Real Estate, Mortgage Lending, Investment Properties, First Time Home Buyers
Education
Southern New Hampshire University
Bachelor's Degree, Public Relations, Advertising, and Applied Communication, 4.0
University of Maryland University College 1989 — 1990
Legal Assistant/Paralegal, 4.0
Jeff Gustafson's US Securities and Exchange Commission Experience 1990 - 1991
Job PartTime CFO for Small Companies
Industry Financial Services
Experience
Self-Employed 2010 - Present
Vetrazzo 2006 - 2010
JP Morgan (Hambrecht & Quist) 1996 - 2006
Coopers & Lybrand 1991 - 1994
US Securities and Exchange Commission 1990 - 1991
Education
Stanford University Graduate School of Business 1994 — 1996
MBA
University of California, Los Angeles 1986 — 1990
BA
Self-Employed 2010 - Present
Vetrazzo 2006 - 2010
JP Morgan (Hambrecht & Quist) 1996 - 2006
Coopers & Lybrand 1991 - 1994
US Securities and Exchange Commission 1990 - 1991
Education
Stanford University Graduate School of Business 1994 — 1996
MBA
University of California, Los Angeles 1986 — 1990
BA
Jay Rogers's US Securities and Exchange Commission Experience June 1990 - July 1992
Job Senior Financial Executive
Industry Consumer Goods
Experience
Ultimark Products 2011 - Present
Blacksmith Brands Holdings, Inc June 2010 - December 2010
Prestige Brands Holdings, Inc October 2001 - May 2010
Bowne Business Solutions January 1999 - October 2001
Sara Lee Corporation January 1996 - January 1999
Lancaster Group USA August 1992 - January 1996
US Securities and Exchange Commission June 1990 - July 1992
Education
Rutgers, The State University of New Jersey-Newark 1995 — 1997
MBA, Finance
Rutgers, The State University of New Jersey-Newark 1987 — 1990
BS, Management w/Finance Concentration
Ultimark Products 2011 - Present
Blacksmith Brands Holdings, Inc June 2010 - December 2010
Prestige Brands Holdings, Inc October 2001 - May 2010
Bowne Business Solutions January 1999 - October 2001
Sara Lee Corporation January 1996 - January 1999
Lancaster Group USA August 1992 - January 1996
US Securities and Exchange Commission June 1990 - July 1992
Education
Rutgers, The State University of New Jersey-Newark 1995 — 1997
MBA, Finance
Rutgers, The State University of New Jersey-Newark 1987 — 1990
BS, Management w/Finance Concentration
Timothy Hansen's US Securities and Exchange Commission Experience September 2000 - April 2005
Job Chief Compliance Officer of Registered Investment Adviser at Morgan Stanley Smith Barney
Industry Financial Services
Experience
Morgan Stanley Smith Barney March 2011 - Present
Morgan Stanley September 2007 - February 2011
Morgan Stanley April 2005 - September 2007
US Securities and Exchange Commission September 2000 - April 2005
US Securities and Exchange Commission August 1999 - August 2000
Lowenstein Sandler PC August 1995 - August 1999
The Honorable Maryanne Trump Barry, USDJ September 1993 - August 1995
Congressman William O. Lipinski (Illinois) January 1989 - August 1990
Skills
Investment Advisory
Education
Rutgers University School of Law - Newark 1990 — 1993
JD
University of Chicago 1983 — 1987
BA, Economics
Morgan Stanley Smith Barney March 2011 - Present
Morgan Stanley September 2007 - February 2011
Morgan Stanley April 2005 - September 2007
US Securities and Exchange Commission September 2000 - April 2005
US Securities and Exchange Commission August 1999 - August 2000
Lowenstein Sandler PC August 1995 - August 1999
The Honorable Maryanne Trump Barry, USDJ September 1993 - August 1995
Congressman William O. Lipinski (Illinois) January 1989 - August 1990
Skills
Investment Advisory
Education
Rutgers University School of Law - Newark 1990 — 1993
JD
University of Chicago 1983 — 1987
BA, Economics
Teresa Tyson's US Securities and Exchange Commission Experience
Job Staff Accountant at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission
Education
Chicago Kent College of Law 1991 — 1995
Doctor of Law (J.D.)
Quincy University
Bachelor of Science (B.S.), Economics
US Securities and Exchange Commission
Education
Chicago Kent College of Law 1991 — 1995
Doctor of Law (J.D.)
Quincy University
Bachelor of Science (B.S.), Economics
William Salzmann's US Securities and Exchange Commission Experience CounselO'Melveny & Myers LLP2000 - 2006
Job Senior Counsel, Enforcement at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission CounselO'Melveny & Myers LLP2000 - 2006
Education
Stanford Law School
J.D.
UC Berkeley
Bachelor of Arts (B.A.)
US Securities and Exchange Commission CounselO'Melveny & Myers LLP2000 - 2006
Education
Stanford Law School
J.D.
UC Berkeley
Bachelor of Arts (B.A.)
Misty Reiter's US Securities and Exchange Commission Experience February 2008 - Present
Job Paralegal at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission February 2008 - Present
Bostwick & Price, PC May 2005 - February 2008
Utah Dispute Resolution September 2004 - May 2005
Skills
Westlaw, Legal Research, Litigation Support, Document Review, Pleadings, Legal Documents, Legal Assistance, Trials, PACER, Paralegals, Depositions, Bankruptcy, Document Drafting, Lexis, Legal Writing
Education
Weber State University 2013 — 2015
Bachelor's Degree, Criminal Justice/Sociology
Salt Lake Community College 2004 — 2005
Associate of Arts and Sciences (A.A.S.), Paralegal Studies
Southern Utah University 2003 — 2005
Utah State University-College of Eastern Utah 1998 — 2000
Associate's Degree, General Studies
US Securities and Exchange Commission February 2008 - Present
Bostwick & Price, PC May 2005 - February 2008
Utah Dispute Resolution September 2004 - May 2005
Skills
Westlaw, Legal Research, Litigation Support, Document Review, Pleadings, Legal Documents, Legal Assistance, Trials, PACER, Paralegals, Depositions, Bankruptcy, Document Drafting, Lexis, Legal Writing
Education
Weber State University 2013 — 2015
Bachelor's Degree, Criminal Justice/Sociology
Salt Lake Community College 2004 — 2005
Associate of Arts and Sciences (A.A.S.), Paralegal Studies
Southern Utah University 2003 — 2005
Utah State University-College of Eastern Utah 1998 — 2000
Associate's Degree, General Studies
William Herchel's US Securities and Exchange Commission Experience August 2011 - December 2011
Job Legal Affairs at Greenskies Renewable Energy LLC
Industry Renewables & Environment
Experience
Greenskies Renewable Energy LLC February 2012 - Present
US Securities and Exchange Commission August 2011 - December 2011
Morrison Mahoney LLP May 2010 - September 2011
Massachusetts Superior Court May 2011 - August 2011
Skills
Litigation, Legal Writing, Westlaw, Legal Research, Civil Litigation
Education
The University of Connecticut School of Law 2009 — 2012
Doctor of Law (J.D.)
Stonehill College 2005 — 2009
Bachelor of Arts (B.A.), Philosophy
Greenskies Renewable Energy LLC February 2012 - Present
US Securities and Exchange Commission August 2011 - December 2011
Morrison Mahoney LLP May 2010 - September 2011
Massachusetts Superior Court May 2011 - August 2011
Skills
Litigation, Legal Writing, Westlaw, Legal Research, Civil Litigation
Education
The University of Connecticut School of Law 2009 — 2012
Doctor of Law (J.D.)
Stonehill College 2005 — 2009
Bachelor of Arts (B.A.), Philosophy
Devin Sullivan's US Securities and Exchange Commission Experience November 2007 - November 2011
Job Senior Counsel at Wells Fargo
Industry Financial Services
Experience
Wells Fargo November 2011 - Present
US Securities and Exchange Commission November 2007 - November 2011
Hogan & Hartson April 2006 - October 2007
Skills
Investment Management, Mutual Funds, Securities Regulation, Investment Company Act, Investment Advisers Act
Education
University of Michigan Law School 2003 — 2005
Juris Doctor
Seattle University 1997 — 2001
Bachelor of Arts (B.A.), English/Philosophy
Wells Fargo November 2011 - Present
US Securities and Exchange Commission November 2007 - November 2011
Hogan & Hartson April 2006 - October 2007
Skills
Investment Management, Mutual Funds, Securities Regulation, Investment Company Act, Investment Advisers Act
Education
University of Michigan Law School 2003 — 2005
Juris Doctor
Seattle University 1997 — 2001
Bachelor of Arts (B.A.), English/Philosophy
lisa candera's US Securities and Exchange Commission Experience November 2010 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission November 2010 - Present
Ballard Spahr LLP April 2006 - November 2010
Hangley Aronchick Segal Pudlin & Schiller September 2004 - April 2006
U.S. Antitrust Division 2003 - 2004
Obermayer Rebmann Maxwell & Hippel LLP 2000 - 2003
Women Against Abuse, Inc 1999 - 2000
Skills
Legal Writing, Litigation, Legal Research, Corporate Law, Securities Regulation, Commercial Litigation
Education
Rutgers University School of Law - Camden 2000 — 2004
Doctor of Law (JD)
University of Scranton 1994 — 1998
US Securities and Exchange Commission November 2010 - Present
Ballard Spahr LLP April 2006 - November 2010
Hangley Aronchick Segal Pudlin & Schiller September 2004 - April 2006
U.S. Antitrust Division 2003 - 2004
Obermayer Rebmann Maxwell & Hippel LLP 2000 - 2003
Women Against Abuse, Inc 1999 - 2000
Skills
Legal Writing, Litigation, Legal Research, Corporate Law, Securities Regulation, Commercial Litigation
Education
Rutgers University School of Law - Camden 2000 — 2004
Doctor of Law (JD)
University of Scranton 1994 — 1998
Azam Riaz's US Securities and Exchange Commission Experience August 2000 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission August 2000 - Present
Skills
SEC Filings, SEC, Securities, Securities Regulation, GAAP, Hedge Funds, FCPA, Internal Controls, Auditing, Fraud, Accounting, Forensic Accounting, Sarbanes-Oxley Act, Financial Analysis, Corporate Governance
Education
Fairleigh Dickinson University-Metropolitan Campus 1999 — 2000
Master of Business Administration (MBA), Global Management
Saint Peter's University 1995 — 1999
Bachelor of Science (B.S.), Biology & Business Management, Minor in Chemistry
US Securities and Exchange Commission August 2000 - Present
Skills
SEC Filings, SEC, Securities, Securities Regulation, GAAP, Hedge Funds, FCPA, Internal Controls, Auditing, Fraud, Accounting, Forensic Accounting, Sarbanes-Oxley Act, Financial Analysis, Corporate Governance
Education
Fairleigh Dickinson University-Metropolitan Campus 1999 — 2000
Master of Business Administration (MBA), Global Management
Saint Peter's University 1995 — 1999
Bachelor of Science (B.S.), Biology & Business Management, Minor in Chemistry
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency