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
US Securities and Exchange Commission List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at US Securities and Exchange Commission. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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US Securities and Exchange Commission Employees
Employee
Years
Job
Industry
Caryn Kauffman Caryn Kauffman's US Securities and Exchange Commission Experience June 2013 - Present
Job Deputy Chief Financial Officer at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission June 2013 - Present
US Securities and Exchange Commission March 2011 - June 2013
PwC 1998 - 2011
Skills
Internal Audit, US GAAP, Internal Controls, Sarbanes-Oxley Act, SEC filings, Accounting, Financial Reporting, Auditing, Assurance, Enterprise Risk..., External Audit, Financial Analysis, Financial Accounting, Finance, GAAP, Sarbanes-Oxley, CPA, SEC Filings, IFRS
Education
University of Richmond
BSBA
US Securities and Exchange Commission June 2013 - Present
US Securities and Exchange Commission March 2011 - June 2013
PwC 1998 - 2011
Skills
Internal Audit, US GAAP, Internal Controls, Sarbanes-Oxley Act, SEC filings, Accounting, Financial Reporting, Auditing, Assurance, Enterprise Risk..., External Audit, Financial Analysis, Financial Accounting, Finance, GAAP, Sarbanes-Oxley, CPA, SEC Filings, IFRS
Education
University of Richmond
BSBA
Pia Figuerola Pia Figuerola's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Analyst at Goldman Sachs
Industry Banking
Experience
Goldman Sachs July 2015 - Present
Goldman Sachs May 2013 - Present
University of Pennsylvania September 2012 - Present
The Wharton School August 2012 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
Education
University of Pennsylvania 2011 — 2015
Bachelor of Arts (B.A.), Economics
Winston Churchill High School 2007 — 2011
Goldman Sachs July 2015 - Present
Goldman Sachs May 2013 - Present
University of Pennsylvania September 2012 - Present
The Wharton School August 2012 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
Education
University of Pennsylvania 2011 — 2015
Bachelor of Arts (B.A.), Economics
Winston Churchill High School 2007 — 2011
Craig Johnsen Craig Johnsen's US Securities and Exchange Commission Experience 2013 - 2013
Job Student at University of Pennsylvania
Industry Law Practice
Experience
US Securities and Exchange Commission 2013 - 2013
Kings County District Attorneys Office June 2012 - August 2012
Loch Nairn Golf Club May 2011 - September 2011
Education
University of Pennsylvania 2010 — 2014
Bachelor of Arts (B.A.), Economics
US Securities and Exchange Commission 2013 - 2013
Kings County District Attorneys Office June 2012 - August 2012
Loch Nairn Golf Club May 2011 - September 2011
Education
University of Pennsylvania 2010 — 2014
Bachelor of Arts (B.A.), Economics
Alexandra Flanagan Alexandra Flanagan's US Securities and Exchange Commission Experience May 2009 - August 2009
Job Associate Merchant at Under Armour
Industry Retail
Experience
Under Armour February 2015 - Present
Under Armour April 2013 - February 2015
Vineyard Vines August 2011 - April 2013
Nordstrom August 2010 - May 2011
J.Crew December 2007 - August 2010
US Securities and Exchange Commission May 2009 - August 2009
Education
University of Miami 2007 — 2011
BBA, Finance, Marketing
Under Armour February 2015 - Present
Under Armour April 2013 - February 2015
Vineyard Vines August 2011 - April 2013
Nordstrom August 2010 - May 2011
J.Crew December 2007 - August 2010
US Securities and Exchange Commission May 2009 - August 2009
Education
University of Miami 2007 — 2011
BBA, Finance, Marketing
Jason Norinsky Jason Norinsky's US Securities and Exchange Commission Experience January 2012 - May 2012
Job Corporate Associate at Weil, Gotshal & Manges LLP
Industry Financial Services
Experience
Harlem Arts Festival February 2015 - Present
Weil, Gotshal & Manges LLP September 2014 - Present
PwC September 2013 - September 2014
Silvercrest Asset Management July 2012 - May 2013
US Securities and Exchange Commission January 2012 - May 2012
Skills
Legal Writing, Valuation, Legal Research, Portfolio Assessment, Securities Regulation, Business Strategy, Analysis, Investments, Courts, Private Equity, Portfolio Management, Due Diligence, Financial Research, Data Analytics, Logical Data Modeling, Leadership, Corporate Law, Equities
Education
University of Virginia School of Law 2010 — 2013
J.D., Banking, Corporate, Finance, and Securities Law
University of Michigan - Stephen M. Ross School of Business 2005 — 2009
Bachelor of Business Administration (B.B.A.); Minor in Global Change
Harlem Arts Festival February 2015 - Present
Weil, Gotshal & Manges LLP September 2014 - Present
PwC September 2013 - September 2014
Silvercrest Asset Management July 2012 - May 2013
US Securities and Exchange Commission January 2012 - May 2012
Skills
Legal Writing, Valuation, Legal Research, Portfolio Assessment, Securities Regulation, Business Strategy, Analysis, Investments, Courts, Private Equity, Portfolio Management, Due Diligence, Financial Research, Data Analytics, Logical Data Modeling, Leadership, Corporate Law, Equities
Education
University of Virginia School of Law 2010 — 2013
J.D., Banking, Corporate, Finance, and Securities Law
University of Michigan - Stephen M. Ross School of Business 2005 — 2009
Bachelor of Business Administration (B.B.A.); Minor in Global Change
Bert Fox Bert Fox's US Securities and Exchange Commission Experience September 2007 - June 2009
Job Partner in Charge of Professional Standards, Midwest Region at Grant Thornton LLP
Industry Accounting
Experience
Grant Thornton LLP August 2010 - Present
Grant Thornton LLP July 2009 - July 2010
US Securities and Exchange Commission September 2007 - June 2009
Grant Thornton LLP November 2004 - August 2007
Grant Thornton LLP June 2002 - October 2004
Arthur Andersen LLP May 1999 - May 2002
McGladrey September 1997 - May 1999
Skills
Auditing, SEC filings, US GAAP, Accounting, GAAP, Assurance, Financial Modeling, Sarbanes-Oxley Act, External Audit, IFRS, Valuation, Due Diligence, Financial Reporting, Forecasting, Cash Flow, CPA, Restructuring, Internal Controls, Consolidation, Financial Analysis, Risk Management, Process Improvement, Transaction Advisory..., Corporate Finance, Revenue Recognition, Restatements, SEC Financial Reporting, Financial Risk..., Tax, Internal Audit, SEC Filings, Forensic Accounting, Corporate Tax
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1992 — 1997
Masters in Accounting, Business
Grant Thornton LLP August 2010 - Present
Grant Thornton LLP July 2009 - July 2010
US Securities and Exchange Commission September 2007 - June 2009
Grant Thornton LLP November 2004 - August 2007
Grant Thornton LLP June 2002 - October 2004
Arthur Andersen LLP May 1999 - May 2002
McGladrey September 1997 - May 1999
Skills
Auditing, SEC filings, US GAAP, Accounting, GAAP, Assurance, Financial Modeling, Sarbanes-Oxley Act, External Audit, IFRS, Valuation, Due Diligence, Financial Reporting, Forecasting, Cash Flow, CPA, Restructuring, Internal Controls, Consolidation, Financial Analysis, Risk Management, Process Improvement, Transaction Advisory..., Corporate Finance, Revenue Recognition, Restatements, SEC Financial Reporting, Financial Risk..., Tax, Internal Audit, SEC Filings, Forensic Accounting, Corporate Tax
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1992 — 1997
Masters in Accounting, Business
Airene Williamson Airene Williamson's US Securities and Exchange Commission Experience May 2008 - August 2008
Job CEO at WA Global Logistics and Technologies, LLC
Industry Law Practice
Experience
WA Global Logistics and Technologies, LLC January 2015 - Present
Williamson Law Office, PLLC November 2012 - Present
Gibbs, Giden, Locher, Turner & Senet LLP August 2008 - November 2012
Judicial Extern to the Honorable Elizabeth Gonzalez, Clark County District Court Department 11 January 2009 - May 2009
US Securities and Exchange Commission May 2008 - August 2008
M&I Bank December 2005 - August 2007
Skills
Mechanics Liens, Legal Research, Landlord/Tenant Matters, Small Business, Litigation, Commercial Litigation, Immigration Law, Bankruptcy, Employment Law, Mediation, Courts, Construction Law, Legal Assistance, Arbitration, Family Law, Real Estate, Contract Negotiation, Civil Litigation, Product Liability, Dispute, Appeals, Intellectual Property, Legal Writing, Alternative Dispute..., Licensing, Commercial Real Estate, Dispute Resolution, Trial Practice, Trials, Hearings, Litigation Support, Personal Injury..., Corporate Law, Estate Planning, Business Litigation, Class Actions, Negotiation, Strategic Planning, Management, Jury Trials
Education
University of Nevada-Las Vegas, William S. Boyd School of Law 2006 — 2009
J.D., Law
University of Nevada Las Vegas Lee Business School 2003 — 2005
B.S. Business Administration, Finance Honors
WA Global Logistics and Technologies, LLC January 2015 - Present
Williamson Law Office, PLLC November 2012 - Present
Gibbs, Giden, Locher, Turner & Senet LLP August 2008 - November 2012
Judicial Extern to the Honorable Elizabeth Gonzalez, Clark County District Court Department 11 January 2009 - May 2009
US Securities and Exchange Commission May 2008 - August 2008
M&I Bank December 2005 - August 2007
Skills
Mechanics Liens, Legal Research, Landlord/Tenant Matters, Small Business, Litigation, Commercial Litigation, Immigration Law, Bankruptcy, Employment Law, Mediation, Courts, Construction Law, Legal Assistance, Arbitration, Family Law, Real Estate, Contract Negotiation, Civil Litigation, Product Liability, Dispute, Appeals, Intellectual Property, Legal Writing, Alternative Dispute..., Licensing, Commercial Real Estate, Dispute Resolution, Trial Practice, Trials, Hearings, Litigation Support, Personal Injury..., Corporate Law, Estate Planning, Business Litigation, Class Actions, Negotiation, Strategic Planning, Management, Jury Trials
Education
University of Nevada-Las Vegas, William S. Boyd School of Law 2006 — 2009
J.D., Law
University of Nevada Las Vegas Lee Business School 2003 — 2005
B.S. Business Administration, Finance Honors
Daniel Prieve Daniel Prieve's US Securities and Exchange Commission Experience May 2011 - August 2011
Job Attorney at Office of the Comptroller of the Currency
Industry Law Practice
Experience
Office of the Comptroller of the Currency August 2012 - Present
University of Michigan Clinical Law Program January 2012 - May 2012
US Securities and Exchange Commission May 2011 - August 2011
University of Michigan Clinical Law Program January 2011 - May 2011
United States District Court of Colorado May 2010 - August 2010
Skills
Legal Writing, Legal Research, Editing, Research, Lexis, Westlaw, Civil Litigation, Banking Law, Administrative Law
Education
University of Michigan Law School 2009 — 2012
J.D., cum laude
University of Michigan 2005 — 2009
B.A., Political Science
Office of the Comptroller of the Currency August 2012 - Present
University of Michigan Clinical Law Program January 2012 - May 2012
US Securities and Exchange Commission May 2011 - August 2011
University of Michigan Clinical Law Program January 2011 - May 2011
United States District Court of Colorado May 2010 - August 2010
Skills
Legal Writing, Legal Research, Editing, Research, Lexis, Westlaw, Civil Litigation, Banking Law, Administrative Law
Education
University of Michigan Law School 2009 — 2012
J.D., cum laude
University of Michigan 2005 — 2009
B.A., Political Science
Jennifer Caringal Jennifer Caringal's US Securities and Exchange Commission Experience September 2011 - December 2011
Job Associate at Robbins Geller Rudman & Dowd LLP
Industry Law Practice
Experience
Robbins Geller Rudman & Dowd LLP September 2012 - Present
Edward Jones January 2012 - May 2012
US Securities and Exchange Commission September 2011 - December 2011
Financial Industry Regulatory Authority (FINRA) May 2011 - August 2011
U.S. Senator Richard J. Durbin July 2010 - August 2010
Winston & Strawn LLP November 2007 - August 2009
Education
Washington University in St. Louis 2009 — 2012
J.D.
University of Illinois at Urbana-Champaign 2003 — 2006
B.A., Political Science
Robbins Geller Rudman & Dowd LLP September 2012 - Present
Edward Jones January 2012 - May 2012
US Securities and Exchange Commission September 2011 - December 2011
Financial Industry Regulatory Authority (FINRA) May 2011 - August 2011
U.S. Senator Richard J. Durbin July 2010 - August 2010
Winston & Strawn LLP November 2007 - August 2009
Education
Washington University in St. Louis 2009 — 2012
J.D.
University of Illinois at Urbana-Champaign 2003 — 2006
B.A., Political Science
Kamal Daghistani Kamal Daghistani's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Financial Analyst at Bay4 Energy Services, LLC
Industry Financial Services
Experience
Bay4 Energy Services, LLC June 2015 - Present
Raymond James Financial Inc. June 2014 - June 2015
University of Miami August 2010 - May 2014
Citizen Energy June 2013 - October 2013
US Securities and Exchange Commission May 2013 - August 2013
Skills
Microsoft Excel, PowerPoint, Finance, Microsoft Word, Bloomberg, LEED Accredited, Market Research, Sustainability, Energy Efficiency, Community Outreach, Analysis, Data Analysis, Research, Auditing, Policy
Education
University of Miami 2010 — 2014
Bachelor of Business Administration (BBA), Finance, General
Bay4 Energy Services, LLC June 2015 - Present
Raymond James Financial Inc. June 2014 - June 2015
University of Miami August 2010 - May 2014
Citizen Energy June 2013 - October 2013
US Securities and Exchange Commission May 2013 - August 2013
Skills
Microsoft Excel, PowerPoint, Finance, Microsoft Word, Bloomberg, LEED Accredited, Market Research, Sustainability, Energy Efficiency, Community Outreach, Analysis, Data Analysis, Research, Auditing, Policy
Education
University of Miami 2010 — 2014
Bachelor of Business Administration (BBA), Finance, General
Angela Schrad Angela Schrad's US Securities and Exchange Commission Experience July 1996 - March 2011
Job Principal at Covered Bridge Compliance LLC
Industry Financial Services
Experience
Covered Bridge Compliance LLC May 2013 - Present
Compliance Resource Partners November 2011 - May 2013
US Securities and Exchange Commission July 1996 - March 2011
Skills
Hedge Funds, Internal Audit, Investment Advisory, Auditing, Financial Analysis, Compliance, SEC Filings
Education
University of Northern Iowa 1992 — 1996
Bachelor of Arts (B.A.), Finance and Economics, 3.65
Covered Bridge Compliance LLC May 2013 - Present
Compliance Resource Partners November 2011 - May 2013
US Securities and Exchange Commission July 1996 - March 2011
Skills
Hedge Funds, Internal Audit, Investment Advisory, Auditing, Financial Analysis, Compliance, SEC Filings
Education
University of Northern Iowa 1992 — 1996
Bachelor of Arts (B.A.), Finance and Economics, 3.65
Kira Whitacre Kira Whitacre's US Securities and Exchange Commission Experience August 2012 - December 2012
Job at
Industry Law Practice
Experience
Her Justice April 2015 - Present
Fried Frank October 2014 - Present
Settlement Housing Fund, Inc. October 2013 - April 2014
US Securities and Exchange Commission August 2012 - December 2012
Southern Environmental Law Center May 2012 - August 2012
North Carolina Office of the Attorney General May 2011 - August 2011
Moore & Van Allen, PLLC September 2008 - August 2010
John Edwards for President November 2007 - February 2008
Crowell & Moring LLP August 2007 - November 2007
Skills
Legal Research, Public Policy, Administrative Law, Legislation, Corporate Law, Nonprofits, Policy, Research, Courts, Mediation, Politics, Westlaw, Public Speaking, Civil Litigation, Editing, Litigation, Legal Writing, International Law, Criminal Law, Policy Analysis, Government, Intellectual Property, Legal Issues, Legislative Relations, Immigration Law, Mergers & Acquisitions, Licensing, Lexis, Appeals
Education
University of North Carolina School of Law 2010 — 2013
University of Virginia
Bachelor of Arts (BA), Cultural Anthropology, Highest Honors
LCHS
Her Justice April 2015 - Present
Fried Frank October 2014 - Present
Settlement Housing Fund, Inc. October 2013 - April 2014
US Securities and Exchange Commission August 2012 - December 2012
Southern Environmental Law Center May 2012 - August 2012
North Carolina Office of the Attorney General May 2011 - August 2011
Moore & Van Allen, PLLC September 2008 - August 2010
John Edwards for President November 2007 - February 2008
Crowell & Moring LLP August 2007 - November 2007
Skills
Legal Research, Public Policy, Administrative Law, Legislation, Corporate Law, Nonprofits, Policy, Research, Courts, Mediation, Politics, Westlaw, Public Speaking, Civil Litigation, Editing, Litigation, Legal Writing, International Law, Criminal Law, Policy Analysis, Government, Intellectual Property, Legal Issues, Legislative Relations, Immigration Law, Mergers & Acquisitions, Licensing, Lexis, Appeals
Education
University of North Carolina School of Law 2010 — 2013
University of Virginia
Bachelor of Arts (BA), Cultural Anthropology, Highest Honors
LCHS
Patricia Santiago's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Law Clerk Office of General Counsel at University of South Florida
Industry Law Practice
Experience
US Securities and Exchange Commission January 2014 - April 2014
Pennsylvania Office of General Counsel May 2013 - August 2013
United States Bankruptcy Court, Eastern District of Pennsylvania June 2012 - August 2012
University of Pennsylvania Law School May 2012 - June 2012
Education
University of Pennsylvania Law School 2011 — 2014
Doctor of Law (J.D.)
University of South Florida 2004 — 2009
Anthropology B.A. & Religious Studies B.A.
US Securities and Exchange Commission January 2014 - April 2014
Pennsylvania Office of General Counsel May 2013 - August 2013
United States Bankruptcy Court, Eastern District of Pennsylvania June 2012 - August 2012
University of Pennsylvania Law School May 2012 - June 2012
Education
University of Pennsylvania Law School 2011 — 2014
Doctor of Law (J.D.)
University of South Florida 2004 — 2009
Anthropology B.A. & Religious Studies B.A.
James Shu's US Securities and Exchange Commission Experience August 2013 - December 2013
Job Investment Analyst, Concise Capital
Industry Investment Management
Experience
Concise Capital Management, LP August 2015 - Present
The Cockrell Group April 2014 - July 2015
Family Office Insights/Bavelas Group November 2013 - March 2014
Wealth Management Insights August 2012 - March 2014
US Securities and Exchange Commission August 2013 - December 2013
Activest Wealth Management & Lumina Investment Advisors October 2012 - February 2013
Skills
Finance, Investments, Derivatives, Hedge Funds, Equities, Structured Products, Portfolio Management, Family Office, Alternative Investments, Capital Markets, Biotechnology Industry, Mutual Funds, Financial Analysis, Bloomberg, Securities, Fixed Income, Healthcare Industry, Investment Banking, Healthcare Consulting, Economics, Capital Markets Analysis, Austrian Economics, Equity Research, Biotechnology, Financial Modeling, Medical Devices, Specialty Pharmaceutical, Valuation, Corporate Finance, Asset Management, austrian investing, Private Placements, Funding, Bloomberg Terminal, Equity Valuation, Fund Of Funds, street smarts
Education
University of Miami
Bachelor of Business Administration (BBA), Finance & Business Management
Concise Capital Management, LP August 2015 - Present
The Cockrell Group April 2014 - July 2015
Family Office Insights/Bavelas Group November 2013 - March 2014
Wealth Management Insights August 2012 - March 2014
US Securities and Exchange Commission August 2013 - December 2013
Activest Wealth Management & Lumina Investment Advisors October 2012 - February 2013
Skills
Finance, Investments, Derivatives, Hedge Funds, Equities, Structured Products, Portfolio Management, Family Office, Alternative Investments, Capital Markets, Biotechnology Industry, Mutual Funds, Financial Analysis, Bloomberg, Securities, Fixed Income, Healthcare Industry, Investment Banking, Healthcare Consulting, Economics, Capital Markets Analysis, Austrian Economics, Equity Research, Biotechnology, Financial Modeling, Medical Devices, Specialty Pharmaceutical, Valuation, Corporate Finance, Asset Management, austrian investing, Private Placements, Funding, Bloomberg Terminal, Equity Valuation, Fund Of Funds, street smarts
Education
University of Miami
Bachelor of Business Administration (BBA), Finance & Business Management
Andrew Feller Andrew Feller's US Securities and Exchange Commission Experience September 2007 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission September 2007 - Present
K&L Gates April 2003 - July 2007
Fenwick & West April 2000 - January 2002
Skills
Securities Regulation, Securities Litigation, Investigation, Legal Research, Structured Products, Securities Fraud, Internal Investigations, Enforcement, White Collar Criminal..., Securities, Fraud, Broker-Dealer, Dodd-Frank, Legal Compliance, Depositions, FINRA, Investment Advisers Act, FCPA, Financial Regulation, SEC, Litigation, Law Enforcement, Corporate Governance, Corporate Law, Legal Writing, Commercial Litigation, Civil Litigation, Due Diligence
Education
University of Michigan Law School 1997 — 1999
Doctor of Law (J.D.)
Williams College 1992 — 1996
Bachelor of Arts (B.A.)
US Securities and Exchange Commission September 2007 - Present
K&L Gates April 2003 - July 2007
Fenwick & West April 2000 - January 2002
Skills
Securities Regulation, Securities Litigation, Investigation, Legal Research, Structured Products, Securities Fraud, Internal Investigations, Enforcement, White Collar Criminal..., Securities, Fraud, Broker-Dealer, Dodd-Frank, Legal Compliance, Depositions, FINRA, Investment Advisers Act, FCPA, Financial Regulation, SEC, Litigation, Law Enforcement, Corporate Governance, Corporate Law, Legal Writing, Commercial Litigation, Civil Litigation, Due Diligence
Education
University of Michigan Law School 1997 — 1999
Doctor of Law (J.D.)
Williams College 1992 — 1996
Bachelor of Arts (B.A.)
Michael Misha Gill's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Principal Attorney at Speedwell Law, PLLC
Industry Law Practice
Experience
Speedwell Law, PLLC August 2015 - Present
Obed Law Group, PLC January 2015 - Present
Luminos, LLC June 2013 - December 2014
US Securities and Exchange Commission January 2013 - April 2013
Overseas Private Investment Corporation May 2012 - August 2012
United States Trustee Program June 2011 - July 2011
Technology Learning Center at the University of Richmond August 2007 - August 2010
York Capital Management May 2009 - August 2009
Pengana Capital, Property Securities Fund May 2008 - July 2008
Skills
Financial Analysis, Legal Research, Legal Writing, Microsoft Excel, PowerPoint, Business Planning, Strategy, Bloomberg, Financial Modeling, Portfolio Management, Mergers & Acquisitions, Management, Corporate Finance, Securities Act of 1933, Securities Exchange Act..., Analysis, Microsoft Office, Finance, Microsoft Word
Education
Pennsylvania State University, The Dickinson School of Law 2010 — 2013
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law, Graduate
University of Richmond - Robins School of Business 2006 — 2010
B.S. in Business Administration, Finance
The Lawrenceville School 2003 — 2006
The Eaglebrook School 2001 — 2003
Speedwell Law, PLLC August 2015 - Present
Obed Law Group, PLC January 2015 - Present
Luminos, LLC June 2013 - December 2014
US Securities and Exchange Commission January 2013 - April 2013
Overseas Private Investment Corporation May 2012 - August 2012
United States Trustee Program June 2011 - July 2011
Technology Learning Center at the University of Richmond August 2007 - August 2010
York Capital Management May 2009 - August 2009
Pengana Capital, Property Securities Fund May 2008 - July 2008
Skills
Financial Analysis, Legal Research, Legal Writing, Microsoft Excel, PowerPoint, Business Planning, Strategy, Bloomberg, Financial Modeling, Portfolio Management, Mergers & Acquisitions, Management, Corporate Finance, Securities Act of 1933, Securities Exchange Act..., Analysis, Microsoft Office, Finance, Microsoft Word
Education
Pennsylvania State University, The Dickinson School of Law 2010 — 2013
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law, Graduate
University of Richmond - Robins School of Business 2006 — 2010
B.S. in Business Administration, Finance
The Lawrenceville School 2003 — 2006
The Eaglebrook School 2001 — 2003
Blair Petrillo's US Securities and Exchange Commission Experience November 2013 - Present
Job Senior Counsel, Office of the Chief Accountant at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission November 2013 - Present
US Securities and Exchange Commission August 2013 - November 2013
US Securities and Exchange Commission May 2013 - August 2013
US Securities and Exchange Commission January 2009 - May 2013
US Securities and Exchange Commission October 2007 - December 2008
Sutherland Asbill & Brennan LLP March 2005 - September 2007
Breyer & Associates September 2004 - March 2005
Sutherland Asbill & Brennan LLP September 2000 - August 2004
Sirote & Permutt, P.C. August 1999 - August 2000
Skills
Securities Regulation, Securities Offerings, Corporate Governance, Corporate Law, Private Placements, Securities Litigation, Investment Company Act, Internal Investigations, Administrative Law
Education
University of Virginia School of Law 1996 — 1999
JD
University of Richmond 1992 — 1996
BA, International Studies, Political Science
US Securities and Exchange Commission November 2013 - Present
US Securities and Exchange Commission August 2013 - November 2013
US Securities and Exchange Commission May 2013 - August 2013
US Securities and Exchange Commission January 2009 - May 2013
US Securities and Exchange Commission October 2007 - December 2008
Sutherland Asbill & Brennan LLP March 2005 - September 2007
Breyer & Associates September 2004 - March 2005
Sutherland Asbill & Brennan LLP September 2000 - August 2004
Sirote & Permutt, P.C. August 1999 - August 2000
Skills
Securities Regulation, Securities Offerings, Corporate Governance, Corporate Law, Private Placements, Securities Litigation, Investment Company Act, Internal Investigations, Administrative Law
Education
University of Virginia School of Law 1996 — 1999
JD
University of Richmond 1992 — 1996
BA, International Studies, Political Science
Brittany Sanok's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Summer Analyst at Huron Consulting Group
Industry Writing and Editing
Experience
University of Notre Dame September 2013 - Present
Huron Consulting Group June 2015 - August 2015
Nordstrom June 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Skills
Writing, Communication, Problem Solving, Microsoft Word, Teamwork, PowerPoint, Microsoft Excel, Leadership, Public Speaking, Microsoft Office, Spanish, Time Management, Social Networking, Social Media, Teaching, Project Management, Editing, Acting, Group Work, Singing
Education
University of Notre Dame 2012 — 2016
International Economics & English
The Potomac School 2008 — 2012
High School Diploma
University of Notre Dame September 2013 - Present
Huron Consulting Group June 2015 - August 2015
Nordstrom June 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Skills
Writing, Communication, Problem Solving, Microsoft Word, Teamwork, PowerPoint, Microsoft Excel, Leadership, Public Speaking, Microsoft Office, Spanish, Time Management, Social Networking, Social Media, Teaching, Project Management, Editing, Acting, Group Work, Singing
Education
University of Notre Dame 2012 — 2016
International Economics & English
The Potomac School 2008 — 2012
High School Diploma
Stanley C. Morris's US Securities and Exchange Commission Experience October 1992 - October 1996
Job Partner Corrigan & Morris LLP
Industry Law Practice
Experience
Corrigan & Morris LLP November 2000 - Present
Financial Industry Regulatory Authority January 1999 - Present
Jones Day October 1996 - April 1998
US Securities and Exchange Commission October 1992 - October 1996
U.S. Department of Justice May 1995 - July 1996
Carter Ledyard & Milburn LLP June 1990 - October 1992
United States Senate 1979 - 1982
Skills
Securities Litigation, Enforcement, White Collar Criminal..., Internal Investigations, FINRA, White Collar, Federal Law, Commercial Litigation, Investigations, Complex Litigation, Securities Law, Litigation, Government..., Civil Litigation, FCPA, Arbitration, Securities, Due Diligence, Finance, Private Investigations, Intellectual Property, Securities Regulation, Mergers & Acquisitions, Legal Research, Legal Writing, Government, Fraud, Mediation, Corporate Governance, Hedge Funds, Courts, Corporate Law, Appeals, SEC
Education
Washington & Lee University School of Law 1987 — 1990
J.D., Law
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1982 — 1986
B.S., Business
Episcopal High School - Alexandria, VA 1978 — 1982
Corrigan & Morris LLP November 2000 - Present
Financial Industry Regulatory Authority January 1999 - Present
Jones Day October 1996 - April 1998
US Securities and Exchange Commission October 1992 - October 1996
U.S. Department of Justice May 1995 - July 1996
Carter Ledyard & Milburn LLP June 1990 - October 1992
United States Senate 1979 - 1982
Skills
Securities Litigation, Enforcement, White Collar Criminal..., Internal Investigations, FINRA, White Collar, Federal Law, Commercial Litigation, Investigations, Complex Litigation, Securities Law, Litigation, Government..., Civil Litigation, FCPA, Arbitration, Securities, Due Diligence, Finance, Private Investigations, Intellectual Property, Securities Regulation, Mergers & Acquisitions, Legal Research, Legal Writing, Government, Fraud, Mediation, Corporate Governance, Hedge Funds, Courts, Corporate Law, Appeals, SEC
Education
Washington & Lee University School of Law 1987 — 1990
J.D., Law
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1982 — 1986
B.S., Business
Episcopal High School - Alexandria, VA 1978 — 1982
Adam Shatek, CPA, CFA Adam Shatek, CPA, CFA's US Securities and Exchange Commission Experience August 2013 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Research
Experience
US Securities and Exchange Commission August 2013 - Present
Credit Suisse HOLT June 2011 - July 2013
Credit Suisse March 2008 - June 2011
United States Army Reserve September 2001 - September 2009
KPMG Advisory September 2006 - March 2008
Skills
Analysis, Due Diligence, Equity Research, Equities, Financial Modeling, Mergers
Education
University of Iowa - Henry B. Tippie College of Business 2005 — 2006
Masters, Accounting
University of Iowa - Henry B. Tippie College of Business 2001 — 2006
Bachelor of Arts, Accounting
US Securities and Exchange Commission August 2013 - Present
Credit Suisse HOLT June 2011 - July 2013
Credit Suisse March 2008 - June 2011
United States Army Reserve September 2001 - September 2009
KPMG Advisory September 2006 - March 2008
Skills
Analysis, Due Diligence, Equity Research, Equities, Financial Modeling, Mergers
Education
University of Iowa - Henry B. Tippie College of Business 2005 — 2006
Masters, Accounting
University of Iowa - Henry B. Tippie College of Business 2001 — 2006
Bachelor of Arts, Accounting
Kelly Rudden Kelly Rudden's US Securities and Exchange Commission Experience May 2009 - August 2009
Job Tax Associate at PricewaterhouseCoopers, LLP
Industry Accounting
Experience
PricewaterhouseCoopers November 2013 - Present
PricewaterhouseCoopers August 2010 - October 2013
PwC August 2010 - October 2013
US Securities and Exchange Commission May 2009 - August 2009
Skills
Auditing, Internal Controls, Financial Analysis, Financial Reporting, Accounting, Cost Accounting, Cost modeling, Process Improvement, Leadership, Data Analysis, Finance, US GAAP, Cost Models, Analysis, Management, Financial Accounting
Education
University of Maryland - Robert H. Smith School of Business 2007 — 2010
River Hill High School
PricewaterhouseCoopers November 2013 - Present
PricewaterhouseCoopers August 2010 - October 2013
PwC August 2010 - October 2013
US Securities and Exchange Commission May 2009 - August 2009
Skills
Auditing, Internal Controls, Financial Analysis, Financial Reporting, Accounting, Cost Accounting, Cost modeling, Process Improvement, Leadership, Data Analysis, Finance, US GAAP, Cost Models, Analysis, Management, Financial Accounting
Education
University of Maryland - Robert H. Smith School of Business 2007 — 2010
River Hill High School
Adam Large Adam Large's US Securities and Exchange Commission Experience July 2014 - Present
Job Attorney at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission July 2014 - Present
Financial Industry Regulatory Authority February 2012 - July 2014
National Consumer Law Center December 2011 - February 2012
US Securities and Exchange Commission January 2011 - April 2011
Iowa Attorney General's Office, Department of Revenue May 2010 - July 2010
Washington University School of Law May 2009 - May 2010
Tribal Judge for Winnebago Tribe, Nebraska May 2009 - July 2009
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Civil Litigation, Intellectual Property, Mediation, Family Law, Criminal Law, Legal Assistance, Commercial Litigation
Education
Washington University in St. Louis School of Law 2008 — 2011
Juris Doctor (J.D.), Cum Laude
University of Iowa 2003 — 2008
B.A., Journalism, Political Science
U.S. Securities and Exchange Commission July 2014 - Present
Financial Industry Regulatory Authority February 2012 - July 2014
National Consumer Law Center December 2011 - February 2012
US Securities and Exchange Commission January 2011 - April 2011
Iowa Attorney General's Office, Department of Revenue May 2010 - July 2010
Washington University School of Law May 2009 - May 2010
Tribal Judge for Winnebago Tribe, Nebraska May 2009 - July 2009
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Civil Litigation, Intellectual Property, Mediation, Family Law, Criminal Law, Legal Assistance, Commercial Litigation
Education
Washington University in St. Louis School of Law 2008 — 2011
Juris Doctor (J.D.), Cum Laude
University of Iowa 2003 — 2008
B.A., Journalism, Political Science
Courtney Windler Courtney Windler's US Securities and Exchange Commission Experience June 2007 - August 2007
Job MBA Intern, Product Management at VMware
Industry Financial Services
Experience
VMware June 2015 - August 2015
Nomura May 2014 - July 2014
Nomura July 2012 - May 2014
BNY Mellon July 2011 - June 2012
BNY Mellon August 2009 - July 2011
US Securities and Exchange Commission June 2007 - August 2007
Skills
Finance, Capital Markets, Microsoft Office, Microsoft Excel, Cross-functional..., Communication, Financial Reporting, Financial Analysis, Budgeting, Budgets
Education
University of Pennsylvania - The Wharton School 2014 — 2016
Master of Business Administration (M.B.A.)
Washington University in St. Louis - Olin Business School 2005 — 2009
BSBA, Finance, Accounting
VMware June 2015 - August 2015
Nomura May 2014 - July 2014
Nomura July 2012 - May 2014
BNY Mellon July 2011 - June 2012
BNY Mellon August 2009 - July 2011
US Securities and Exchange Commission June 2007 - August 2007
Skills
Finance, Capital Markets, Microsoft Office, Microsoft Excel, Cross-functional..., Communication, Financial Reporting, Financial Analysis, Budgeting, Budgets
Education
University of Pennsylvania - The Wharton School 2014 — 2016
Master of Business Administration (M.B.A.)
Washington University in St. Louis - Olin Business School 2005 — 2009
BSBA, Finance, Accounting
James Mariani's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Assistant District Attorney at Kings County District Attorneys Office
Industry Legal Services
Experience
Kings County District Attorneys Office Legal InternBerkman Center for Internet & Society at Harvard UniversityJune 2013 - August 2013
University of Illinois at Urbana-Champaign August 2012 - May 2013
Sandia National Laboratories August 2012 - August 2012
ZentLaw June 2012 - August 2012
Special Narcotics Prosecutor June 2011 - August 2011
New York State Assembly January 2010 - May 2010
US Securities and Exchange Commission June 2009 - August 2009
Skills
Legal Research, Trials, Litigation, Civil Litigation, Courts, Commercial Litigation, Intellectual Property, Westlaw, Corporate Law, Legal Writing, Appeals
Education
University of Illinois College of Law 2010 — 2013
J.D., Law
Macaulay Honors College at Lehman College 2006 — 2010
Bachelor of Science (B.S.) and Bachelor of Arts (B.A.), Anthro, Bio, Chem and Political Science
Kings County District Attorneys Office Legal InternBerkman Center for Internet & Society at Harvard UniversityJune 2013 - August 2013
University of Illinois at Urbana-Champaign August 2012 - May 2013
Sandia National Laboratories August 2012 - August 2012
ZentLaw June 2012 - August 2012
Special Narcotics Prosecutor June 2011 - August 2011
New York State Assembly January 2010 - May 2010
US Securities and Exchange Commission June 2009 - August 2009
Skills
Legal Research, Trials, Litigation, Civil Litigation, Courts, Commercial Litigation, Intellectual Property, Westlaw, Corporate Law, Legal Writing, Appeals
Education
University of Illinois College of Law 2010 — 2013
J.D., Law
Macaulay Honors College at Lehman College 2006 — 2010
Bachelor of Science (B.S.) and Bachelor of Arts (B.A.), Anthro, Bio, Chem and Political Science
Shane Yeargan Shane Yeargan's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Associate at Sullivan & Cromwell LLP
Industry Law Practice
Experience
Sullivan & Cromwell LLP September 2013 - Present
US Securities and Exchange Commission January 2013 - April 2013
Edward Jones September 2012 - November 2012
Financial Industry Regulatory Authority May 2012 - July 2012
Superior Court of the District of Columbia May 2011 - August 2011
University of North Texas January 2004 - July 2010
Education
Washington University in St. Louis School of Law 2010 — 2013
Doctor of Law (JD), Law
University of North Texas
Bachelor of Arts (BA), History
Sullivan & Cromwell LLP September 2013 - Present
US Securities and Exchange Commission January 2013 - April 2013
Edward Jones September 2012 - November 2012
Financial Industry Regulatory Authority May 2012 - July 2012
Superior Court of the District of Columbia May 2011 - August 2011
University of North Texas January 2004 - July 2010
Education
Washington University in St. Louis School of Law 2010 — 2013
Doctor of Law (JD), Law
University of North Texas
Bachelor of Arts (BA), History
Robert Riepe, CFA, CPA's US Securities and Exchange Commission Experience December 2011 - January 2013
Job Chief Accounting Officer, Whitebox Advisors LLC
Industry Investment Management
Experience
Whitebox Advisors LLC January 2015 - Present
Whitebox Advisors LLC October 2014 - January 2015
KPMG January 2013 - October 2014
US Securities and Exchange Commission December 2011 - January 2013
US Securities and Exchange Commission April 2010 - December 2011
KPMG September 2005 - April 2010
Skills
Hedge Funds, Finance, Corporate Finance, Equities, Financial Risk, Accounting, Derivatives, Investments, Fixed Income, Alternative Investments, Sarbanes-Oxley Act, Quantitative Analysis, Private Equity, Brokers
Education
University of Minnesota - Carlson School of Management 2001 — 2005
BA, Finance and Accounting
Whitebox Advisors LLC January 2015 - Present
Whitebox Advisors LLC October 2014 - January 2015
KPMG January 2013 - October 2014
US Securities and Exchange Commission December 2011 - January 2013
US Securities and Exchange Commission April 2010 - December 2011
KPMG September 2005 - April 2010
Skills
Hedge Funds, Finance, Corporate Finance, Equities, Financial Risk, Accounting, Derivatives, Investments, Fixed Income, Alternative Investments, Sarbanes-Oxley Act, Quantitative Analysis, Private Equity, Brokers
Education
University of Minnesota - Carlson School of Management 2001 — 2005
BA, Finance and Accounting
Aaron Brownell's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Judicial Law Clerk to the Honorable John K. Olson, Bankr. S.D. Fla.
Industry Law Practice
Experience
S.D. Fla. U.S. Bankruptcy Court August 2014 - Present
US Securities and Exchange Commission September 2013 - December 2013
United States Department of Defense May 2013 - August 2013
University of North Carolina School of Law June 2012 - August 2012
Education
University of North Carolina School of Law 2011 — 2014
Doctor of Law (J.D.), '14
University of Virginia 2007 — 2011
Bachelor of Arts (B.A.), Anthropology
S.D. Fla. U.S. Bankruptcy Court August 2014 - Present
US Securities and Exchange Commission September 2013 - December 2013
United States Department of Defense May 2013 - August 2013
University of North Carolina School of Law June 2012 - August 2012
Education
University of North Carolina School of Law 2011 — 2014
Doctor of Law (J.D.), '14
University of Virginia 2007 — 2011
Bachelor of Arts (B.A.), Anthropology
J. David Fielder J. David Fielder's US Securities and Exchange Commission Experience March 2009 - November 2011
Job Manager, External Investigations at The World Bank
Industry Law Practice
Experience
The World Bank December 2011 - Present
US Securities and Exchange Commission March 2009 - November 2011
Haynes and Boone July 2007 - February 2009
US Securities and Exchange Commission February 1997 - June 2007
The White House June 1995 - January 1997
Skills
Private Investigations, Fraud, Securities, International Law, Corporate Law, Corporate Governance, Investigation, FCPA, Legal Research, Commercial Litigation, Litigation, Due Diligence, Accounting, Internal Investigations, Stakeholder Management, Litigation Support, Criminal Law, Securities Regulation, Legal Writing, Arbitration, Fraud Detection, Enforcement, Legal Compliance, Competition Law, Public Corruption, Civil Litigation, Corruption, Criminal Investigations, AML, Law Enforcement
Education
University of Michigan Law School 1989 — 1992
J.D.
Pennsylvania State University 1987 — 1989
M.S., Geology
Washington University in St. Louis 1983 — 1987
M.A., Geology
The World Bank December 2011 - Present
US Securities and Exchange Commission March 2009 - November 2011
Haynes and Boone July 2007 - February 2009
US Securities and Exchange Commission February 1997 - June 2007
The White House June 1995 - January 1997
Skills
Private Investigations, Fraud, Securities, International Law, Corporate Law, Corporate Governance, Investigation, FCPA, Legal Research, Commercial Litigation, Litigation, Due Diligence, Accounting, Internal Investigations, Stakeholder Management, Litigation Support, Criminal Law, Securities Regulation, Legal Writing, Arbitration, Fraud Detection, Enforcement, Legal Compliance, Competition Law, Public Corruption, Civil Litigation, Corruption, Criminal Investigations, AML, Law Enforcement
Education
University of Michigan Law School 1989 — 1992
J.D.
Pennsylvania State University 1987 — 1989
M.S., Geology
Washington University in St. Louis 1983 — 1987
M.A., Geology
Amanda Kim, CPA Amanda Kim, CPA's US Securities and Exchange Commission Experience September 2012 - Present
Job Division of Corporation Finance at the US Securities and Exchange Commission
Industry Information Technology and Services
Experience
US Securities and Exchange Commission September 2012 - Present
Deloitte & Touche October 2010 - September 2012
Freddie Mac August 2009 - October 2010
Telarix October 2008 - August 2009
HMSHost April 1999 - October 2008
McGladrey & Pullen July 1998 - April 1999
University System of Maryland April 1997 - October 1997
Giant Foods 1994 - 1996
Safeway 1992 - 1994
Skills
US GAAP, Accounting, Financial Accounting, IFRS, GAAP, Revenue Recognition, Financial Reporting, Technical Accounting, FASB, Accounting Policy, Accounting Standards, Variance Analysis, Consolidation
Education
University of Maryland - Robert H. Smith School of Business
Bachelor of Science, Accounting
Eleanor Roosevelt High
Science, Mathematics, and Technology
US Securities and Exchange Commission September 2012 - Present
Deloitte & Touche October 2010 - September 2012
Freddie Mac August 2009 - October 2010
Telarix October 2008 - August 2009
HMSHost April 1999 - October 2008
McGladrey & Pullen July 1998 - April 1999
University System of Maryland April 1997 - October 1997
Giant Foods 1994 - 1996
Safeway 1992 - 1994
Skills
US GAAP, Accounting, Financial Accounting, IFRS, GAAP, Revenue Recognition, Financial Reporting, Technical Accounting, FASB, Accounting Policy, Accounting Standards, Variance Analysis, Consolidation
Education
University of Maryland - Robert H. Smith School of Business
Bachelor of Science, Accounting
Eleanor Roosevelt High
Science, Mathematics, and Technology
Benjamin Swann's US Securities and Exchange Commission Experience February 2012 - August 2014
Job Jr. Mobility Administrator at U.S. Nuclear Regulatory Commission
Industry Computer Networking
Experience
U.S. Nuclear Regulatory Commission August 2014 - Present
US Securities and Exchange Commission February 2012 - August 2014
NIST April 2010 - June 2010
Destination DC May 2008 - January 2010
Skills
Microsoft Exchange, Active Directory, XP, Windows 7, Help Desk Support, Hardware, Troubleshooting, Microsoft Excel, Access, Windows XP, Security+, Software Installation, Event Planning, Customer Service, VMware, Windows Server, Security, System Administration, Microsoft Office, SharePoint
Education
Suitland High School
University of Maryland University College
U.S. Nuclear Regulatory Commission August 2014 - Present
US Securities and Exchange Commission February 2012 - August 2014
NIST April 2010 - June 2010
Destination DC May 2008 - January 2010
Skills
Microsoft Exchange, Active Directory, XP, Windows 7, Help Desk Support, Hardware, Troubleshooting, Microsoft Excel, Access, Windows XP, Security+, Software Installation, Event Planning, Customer Service, VMware, Windows Server, Security, System Administration, Microsoft Office, SharePoint
Education
Suitland High School
University of Maryland University College
Robert Comment Robert Comment's US Securities and Exchange Commission Experience 1993 - 1997
Job Financial Economist
Industry Higher Education
Experience
self employed 2003 - Present
Johns Hopkins University Carey Business School 2006 - 2010
Analysis Group 1997 - 2003
US Securities and Exchange Commission 1993 - 1997
Simon Graduate School of Business, University of Rochester 1988 - 1993
NYU Stern School of Business 1985 - 1988
Skills
Valuation, Financial Modeling, Securities Litigation, Securities Regulation, Commercial Litigation, Appeals, Economics, Analysis, Corporate Finance, Arbitration, Business Valuation, Expert Witness, Econometrics, Due Diligence, Finance, Quantitative Analytics, Capital Markets, Private Equity, Mergers & Acquisitions, Derivatives, Fixed Income, Hedge Funds, Bloomberg, Quantitative Finance, Equities, Equity Research
Education
University of Michigan - Stephen M. Ross School of Business 1981 — 1985
PhD, Finance
self employed 2003 - Present
Johns Hopkins University Carey Business School 2006 - 2010
Analysis Group 1997 - 2003
US Securities and Exchange Commission 1993 - 1997
Simon Graduate School of Business, University of Rochester 1988 - 1993
NYU Stern School of Business 1985 - 1988
Skills
Valuation, Financial Modeling, Securities Litigation, Securities Regulation, Commercial Litigation, Appeals, Economics, Analysis, Corporate Finance, Arbitration, Business Valuation, Expert Witness, Econometrics, Due Diligence, Finance, Quantitative Analytics, Capital Markets, Private Equity, Mergers & Acquisitions, Derivatives, Fixed Income, Hedge Funds, Bloomberg, Quantitative Finance, Equities, Equity Research
Education
University of Michigan - Stephen M. Ross School of Business 1981 — 1985
PhD, Finance
Dianne Miller Dianne Miller's US Securities and Exchange Commission Experience August 1989 - October 1990
Job Director, Federal Relations, Cornell University
Industry Higher Education
Experience
Cornell University November 2005 - Present
Maryville College April 2004 - October 2005
U.S. House of Representatives July 1997 - April 2004
Securities Industries Association March 1995 - June 1997
KPMG Peat Marwick October 1992 - March 1995
Deloitte & Touche October 1990 - October 1992
US Securities and Exchange Commission August 1989 - October 1990
Skills
Legislative Relations, Politics, Community Outreach, Grant Writing, Public Policy, Policy, Policy Analysis, Government, Legislation, Research, Public Speaking, Political Campaigns, Non-profits, Speech Writing, Media Relations, Nonprofits, Fundraising
Education
University of Michigan Law School 1986 — 1989
Doctor of Law (J.D.)
Western Michigan University 1984 — 1986
B.A., Political Science, Communication, Journalism
Cornell University November 2005 - Present
Maryville College April 2004 - October 2005
U.S. House of Representatives July 1997 - April 2004
Securities Industries Association March 1995 - June 1997
KPMG Peat Marwick October 1992 - March 1995
Deloitte & Touche October 1990 - October 1992
US Securities and Exchange Commission August 1989 - October 1990
Skills
Legislative Relations, Politics, Community Outreach, Grant Writing, Public Policy, Policy, Policy Analysis, Government, Legislation, Research, Public Speaking, Political Campaigns, Non-profits, Speech Writing, Media Relations, Nonprofits, Fundraising
Education
University of Michigan Law School 1986 — 1989
Doctor of Law (J.D.)
Western Michigan University 1984 — 1986
B.A., Political Science, Communication, Journalism
Brian Roberson Brian Roberson's US Securities and Exchange Commission Experience June 2004 - June 2006
Job Partner at KPMG
Industry Accounting
Experience
KPMG June 2006 - Present
US Securities and Exchange Commission June 2004 - June 2006
KPMG US May 2002 - June 2004
Arthur Andersen 1993 - 2002
Skills
SEC filings, US GAAP, Internal Controls, GAAP, Auditing, CPA, Sarbanes-Oxley Act, Accounting, Financial Reporting, Financial Accounting, Sarbanes-Oxley, Assurance, Mergers & Acquisitions, External Audit
Education
University of Mississippi 1988 — 1993
KPMG June 2006 - Present
US Securities and Exchange Commission June 2004 - June 2006
KPMG US May 2002 - June 2004
Arthur Andersen 1993 - 2002
Skills
SEC filings, US GAAP, Internal Controls, GAAP, Auditing, CPA, Sarbanes-Oxley Act, Accounting, Financial Reporting, Financial Accounting, Sarbanes-Oxley, Assurance, Mergers & Acquisitions, External Audit
Education
University of Mississippi 1988 — 1993
Isa Farhat Isa Farhat's US Securities and Exchange Commission Experience 2004 - 2006
Job Partner at Deloitte & Touche LLP
Industry Accounting
Experience
Deloitte & Touche LLP 1999 - Present
US Securities and Exchange Commission 2004 - 2006
Skills
SME Defense Budget and..., Accounting, Audit, SEC reporting, Revenue Recognition, Financial Analysis, Financial Reporting, Auditing, Assurance, Big 4, CPA, Corporate Finance, Corporate Tax, Enterprise Risk..., External Audit, Financial Statements, Internal Audit, Leadership, SEC filings, Sarbanes-Oxley, Tax, Training, Sarbanes-Oxley Act
Education
University of Maryland - Robert H. Smith School of Business 1992 — 1996
BS, Accounting
University of Maryland College Park
Bachelor's degree, Accounting and Business/Management
Deloitte & Touche LLP 1999 - Present
US Securities and Exchange Commission 2004 - 2006
Skills
SME Defense Budget and..., Accounting, Audit, SEC reporting, Revenue Recognition, Financial Analysis, Financial Reporting, Auditing, Assurance, Big 4, CPA, Corporate Finance, Corporate Tax, Enterprise Risk..., External Audit, Financial Statements, Internal Audit, Leadership, SEC filings, Sarbanes-Oxley, Tax, Training, Sarbanes-Oxley Act
Education
University of Maryland - Robert H. Smith School of Business 1992 — 1996
BS, Accounting
University of Maryland College Park
Bachelor's degree, Accounting and Business/Management
Brian Doxey Brian Doxey's US Securities and Exchange Commission Experience 2007 - 2007
Job Vice President of Operations at HYPERLABS
Industry Electrical/Electronic Manufacturing
Experience
HYPERLABS December 2014 - Present
HYPERLABS September 2012 - December 2014
PlanFast LLC January 2012 - August 2012
Frequent Browser, LLC July 2010 - December 2011
University of Illinois College of Law September 2009 - August 2011
Shearman and Sterling May 2008 - August 2008
US Securities and Exchange Commission 2007 - 2007
Ancestry.com March 2005 - August 2006
Fidelity Investments 2004 - 2005
Ancestry.com 2002 - 2004
Skills
Relationship Management, Long-term Customer..., Sales Operations, Entrepreneurship, Marketing Strategy, Management, TDR, Test and Measurement, Signal Integrity, Baluns, RF Components, Electronics, Electronics..., Coding, LabWindows/CVI, C, E-commerce, HTML, Social Networking, Web Analytics, Web Development, Web Design, Web Marketing, SEO, SQL, Strategy, Small Business, Start-ups, Law & Economics, Finance, Corporate Law, Portuguese, Brazilian Portuguese, Software Development
Education
University of Illinois College of Law 2006 — 2009
Juris Doctor (J.D.), Law, Magna cum laude
University of Utah 2002 — 2005
Bachelor of Science (B.S.), Economics
Bountiful High School 1996 — 1999
HYPERLABS December 2014 - Present
HYPERLABS September 2012 - December 2014
PlanFast LLC January 2012 - August 2012
Frequent Browser, LLC July 2010 - December 2011
University of Illinois College of Law September 2009 - August 2011
Shearman and Sterling May 2008 - August 2008
US Securities and Exchange Commission 2007 - 2007
Ancestry.com March 2005 - August 2006
Fidelity Investments 2004 - 2005
Ancestry.com 2002 - 2004
Skills
Relationship Management, Long-term Customer..., Sales Operations, Entrepreneurship, Marketing Strategy, Management, TDR, Test and Measurement, Signal Integrity, Baluns, RF Components, Electronics, Electronics..., Coding, LabWindows/CVI, C, E-commerce, HTML, Social Networking, Web Analytics, Web Development, Web Design, Web Marketing, SEO, SQL, Strategy, Small Business, Start-ups, Law & Economics, Finance, Corporate Law, Portuguese, Brazilian Portuguese, Software Development
Education
University of Illinois College of Law 2006 — 2009
Juris Doctor (J.D.), Law, Magna cum laude
University of Utah 2002 — 2005
Bachelor of Science (B.S.), Economics
Bountiful High School 1996 — 1999
Nathan Struemph Nathan Struemph's US Securities and Exchange Commission Experience February 2008 - May 2008
Job Senior Research Analyst at Summit Strategies
Industry Financial Services
Experience
Summit Strategies June 2014 - Present
Genworth Financial April 2011 - May 2014
US Treasury June 2007 - April 2011
US Securities and Exchange Commission February 2008 - May 2008
Skills
Economics, Analysis, Strategy
Education
Washington University in St. Louis 2006 — 2007
MA, Political Economy
University of Missouri-Columbia 2003 — 2006
BS, Economics
Summit Strategies June 2014 - Present
Genworth Financial April 2011 - May 2014
US Treasury June 2007 - April 2011
US Securities and Exchange Commission February 2008 - May 2008
Skills
Economics, Analysis, Strategy
Education
Washington University in St. Louis 2006 — 2007
MA, Political Economy
University of Missouri-Columbia 2003 — 2006
BS, Economics
Chris Gamboa-Onrubia MBA Chris Gamboa-Onrubia MBA's US Securities and Exchange Commission Experience February 2011 - Present
Job
Industry Publishing
Experience
US Securities and Exchange Commission February 2011 - Present
Skills
Budgets, Program Management, Fundraising, Illustrator, Graphic Design, Editing, Social Media, Project Planning, Analysis, Publications, Project Management, Management, Non-profits, Organizational..., Microsoft Office, Publishing, Books, CRM, OS X, Strategic Planning, QuarkXPress, Research, HTML, Nonprofits, Newsletters
Education
University of Maryland University College
MBA and MS Technology Management
University of Maryland College Park
BS
US Securities and Exchange Commission February 2011 - Present
Skills
Budgets, Program Management, Fundraising, Illustrator, Graphic Design, Editing, Social Media, Project Planning, Analysis, Publications, Project Management, Management, Non-profits, Organizational..., Microsoft Office, Publishing, Books, CRM, OS X, Strategic Planning, QuarkXPress, Research, HTML, Nonprofits, Newsletters
Education
University of Maryland University College
MBA and MS Technology Management
University of Maryland College Park
BS
Jesse Gossett, JD, CFP, CFA Jesse Gossett, JD, CFP, CFA's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Attorney with significant financial and business experience
Industry Law Practice
Experience
Girard Gibbs LLP January 2015 - July 2015
US Securities and Exchange Commission May 2013 - August 2013
United States Attorney's Office January 2013 - April 2013
Legal Aid of Marin May 2012 - August 2012
Integra Capital Group April 2008 - August 2011
Chase Home Finance January 2004 - February 2008
Citibank September 1999 - December 2003
Duerr Financial Corporation October 1998 - September 1999
Travelersgroup August 1997 - September 1998
OppenheimerFunds May 1994 - July 1997
Skills
Management, Asset Allocation, Insurance, Investments, Sales, Mutual Funds, Banking, Financial Regulation, Legal Research, Legal Writing, Finance, Retirement Planning, Estate Planning, Financial Services
Education
University of San Francisco School of Law 2011 — 2014
Juris Doctor, Banking, Corporate, Finance, and Securities Law, 3.75
University of Phoenix 2000 — 2003
BS/BM, Business Management, 3.82
Girard Gibbs LLP January 2015 - July 2015
US Securities and Exchange Commission May 2013 - August 2013
United States Attorney's Office January 2013 - April 2013
Legal Aid of Marin May 2012 - August 2012
Integra Capital Group April 2008 - August 2011
Chase Home Finance January 2004 - February 2008
Citibank September 1999 - December 2003
Duerr Financial Corporation October 1998 - September 1999
Travelersgroup August 1997 - September 1998
OppenheimerFunds May 1994 - July 1997
Skills
Management, Asset Allocation, Insurance, Investments, Sales, Mutual Funds, Banking, Financial Regulation, Legal Research, Legal Writing, Finance, Retirement Planning, Estate Planning, Financial Services
Education
University of San Francisco School of Law 2011 — 2014
Juris Doctor, Banking, Corporate, Finance, and Securities Law, 3.75
University of Phoenix 2000 — 2003
BS/BM, Business Management, 3.82
Richard E. Nathan Richard E. Nathan's US Securities and Exchange Commission Experience 1965 - 1975
Job Attorney
Industry Law Practice
Experience
Nathan Law Office 1992 - Present
Dechert Price & Rhoads 1987 - 1992
Gaston Snow Beekman & Bogue 1982 - 1987
Marshall, Bratter, Greene, Allison & Tucker 1979 - 1982
Commodity Futures Trading Commission 1975 - 1979
US Securities and Exchange Commission 1965 - 1975
Education
University of Pennsylvania Law School
LL.B., cum laude
Wharton School, University of Pennsylvania
B.S. in Econ.
Nathan Law Office 1992 - Present
Dechert Price & Rhoads 1987 - 1992
Gaston Snow Beekman & Bogue 1982 - 1987
Marshall, Bratter, Greene, Allison & Tucker 1979 - 1982
Commodity Futures Trading Commission 1975 - 1979
US Securities and Exchange Commission 1965 - 1975
Education
University of Pennsylvania Law School
LL.B., cum laude
Wharton School, University of Pennsylvania
B.S. in Econ.
Herb Perone Herb Perone's US Securities and Exchange Commission Experience November 2002 - March 2004
Job Vice President of Communications at Investment Adviser Association
Industry Public Relations and Communications
Experience
Investment Adviser Association April 2015 - Present
National Press Club January 2013 - Present
CommCore Consulting Group 2011 - April 2015
Perone Communications & Consulting August 2010 - April 2015
Financial Industry Regulatory Authority March 2004 - August 2010
US Securities and Exchange Commission November 2002 - March 2004
American Council of Life Insurers February 1998 - November 2002
CNN January 1996 - February 1998
Freelance June 1981 - June 1997
ABC News June 1981 - January 1996
Skills
Crisis Communications, Media Relations, Corporate Communications, Public Relations, Video Production, Marketing Communications, Internal Communications, External Relations, Speech Writing, Public Affairs, Media Studies, International Relations, Broadcast, Strategic Communications, Spokesperson, Press Releases, Editing, Newsletters, Strategic Planning, Video, Publicity, Television, Marketing, Crisis Management, Storytelling, Social Media, Radio, Politics, Newspapers, New Media, Strategy, Editorial, Broadcast Journalism, Reputation Management, Magazines, Content Development, Message Development, Public Policy, Journalism, Copywriting, Interviews, Copy Editing, Blogging, Web Content, Digital Media, Leadership, Creative Direction
Education
University of Maryland College Park 1969 — 1973
B.A., Political Science
Investment Adviser Association April 2015 - Present
National Press Club January 2013 - Present
CommCore Consulting Group 2011 - April 2015
Perone Communications & Consulting August 2010 - April 2015
Financial Industry Regulatory Authority March 2004 - August 2010
US Securities and Exchange Commission November 2002 - March 2004
American Council of Life Insurers February 1998 - November 2002
CNN January 1996 - February 1998
Freelance June 1981 - June 1997
ABC News June 1981 - January 1996
Skills
Crisis Communications, Media Relations, Corporate Communications, Public Relations, Video Production, Marketing Communications, Internal Communications, External Relations, Speech Writing, Public Affairs, Media Studies, International Relations, Broadcast, Strategic Communications, Spokesperson, Press Releases, Editing, Newsletters, Strategic Planning, Video, Publicity, Television, Marketing, Crisis Management, Storytelling, Social Media, Radio, Politics, Newspapers, New Media, Strategy, Editorial, Broadcast Journalism, Reputation Management, Magazines, Content Development, Message Development, Public Policy, Journalism, Copywriting, Interviews, Copy Editing, Blogging, Web Content, Digital Media, Leadership, Creative Direction
Education
University of Maryland College Park 1969 — 1973
B.A., Political Science
Gregory Gilman Gregory Gilman's US Securities and Exchange Commission Experience 2001 - Present
Job Senior Enforcement Attorney at US Securities and Exchange Commission and President of NTEU Chapter 293
Industry Law Practice
Experience
National Treasury Employees Union 2006 - Present
US Securities and Exchange Commission 2001 - Present
Cosgrove, Eisenberg & Kiley 1999 - 2001
Massachusetts Office of the Attorney General 1996 - 1999
Ropes & Gray LLP 1991 - 1996
Skills
Administrative Law, Securities Regulation, Appeals, Litigation, Bankruptcy, Securities Litigation, Government, SEC, Civil Litigation, Securities, Corporate Law, Legal Research, Trials, Commercial Litigation, Corporate Governance, White Collar Criminal..., Legal Writing
Education
University of Virginia School of Law 1988 — 1991
JD
University of Massachusetts, Amherst 1985 — 1987
BA
University of New Hampshire 1982 — 1984
Bachelor of Arts
National Treasury Employees Union 2006 - Present
US Securities and Exchange Commission 2001 - Present
Cosgrove, Eisenberg & Kiley 1999 - 2001
Massachusetts Office of the Attorney General 1996 - 1999
Ropes & Gray LLP 1991 - 1996
Skills
Administrative Law, Securities Regulation, Appeals, Litigation, Bankruptcy, Securities Litigation, Government, SEC, Civil Litigation, Securities, Corporate Law, Legal Research, Trials, Commercial Litigation, Corporate Governance, White Collar Criminal..., Legal Writing
Education
University of Virginia School of Law 1988 — 1991
JD
University of Massachusetts, Amherst 1985 — 1987
BA
University of New Hampshire 1982 — 1984
Bachelor of Arts
Bridget Farrell Bridget Farrell's US Securities and Exchange Commission Experience September 2013 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Investment Management
Experience
US Securities and Exchange Commission September 2013 - Present
Morgan Stanley Investment Management May 2011 - September 2013
Linklaters July 2008 - May 2010
Linklaters September 2003 - June 2008
Gibson, Dunn & Crutcher LLP September 2000 - September 2003
Education
University of Pennsylvania Law School 1997 — 2000
JD, Law
The College of William and Mary 1993 — 1997
BA, Economics
US Securities and Exchange Commission September 2013 - Present
Morgan Stanley Investment Management May 2011 - September 2013
Linklaters July 2008 - May 2010
Linklaters September 2003 - June 2008
Gibson, Dunn & Crutcher LLP September 2000 - September 2003
Education
University of Pennsylvania Law School 1997 — 2000
JD, Law
The College of William and Mary 1993 — 1997
BA, Economics
Grant Heskamp Grant Heskamp's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at The Boston Consulting Group
Industry Management Consulting
Experience
The Boston Consulting Group 2014 - Present
The Motley Fool June 2013 - August 2013
UNC STAR Program January 2013 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
Roosevelt Institute 2011 - 2012
Foundation for Sustainable Development (FSD) May 2011 - July 2011
Skills
Statistics, Research, Data Analysis, Policy Analysis, Social Media, Leadership
Education
University of North Carolina at Chapel Hill 2010 — 2014
Public Policy Concentration: Economics and Business Policy
Kenan-Flagler Business School 2012 — 2014
Minor, Business Administration and Management, General
National Outdoor Leadership School 2010 — 2010
The Boston Consulting Group 2014 - Present
The Motley Fool June 2013 - August 2013
UNC STAR Program January 2013 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
Roosevelt Institute 2011 - 2012
Foundation for Sustainable Development (FSD) May 2011 - July 2011
Skills
Statistics, Research, Data Analysis, Policy Analysis, Social Media, Leadership
Education
University of North Carolina at Chapel Hill 2010 — 2014
Public Policy Concentration: Economics and Business Policy
Kenan-Flagler Business School 2012 — 2014
Minor, Business Administration and Management, General
National Outdoor Leadership School 2010 — 2010
Ross Goetz Ross Goetz's US Securities and Exchange Commission Experience November 2014 - Present
Job Financial Economist at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission August 2012 - October 2014
Executive Planners NC June 2011 - July 2011
University of Notre Dame June 2010 - May 2011
Credit Union National Association June 2009 - July 2009
Skills
Portfolio Optimization, Econometrics, SAS, Data Analysis, Corporate Finance, Quantitative Analytics, Finance
Education
Vanderbilt University - Owen Graduate School of Management 2011 — 2012
MS Finance
University of Notre Dame - Mendoza College of Business 2007 — 2011
BBA, Finance
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission August 2012 - October 2014
Executive Planners NC June 2011 - July 2011
University of Notre Dame June 2010 - May 2011
Credit Union National Association June 2009 - July 2009
Skills
Portfolio Optimization, Econometrics, SAS, Data Analysis, Corporate Finance, Quantitative Analytics, Finance
Education
Vanderbilt University - Owen Graduate School of Management 2011 — 2012
MS Finance
University of Notre Dame - Mendoza College of Business 2007 — 2011
BBA, Finance
Catherine Henderson Catherine Henderson's US Securities and Exchange Commission Experience September 2013 - November 2013
Job Associate at Mayer Brown
Industry Law Practice
Experience
Mayer Brown October 2014 - Present
US Securities and Exchange Commission September 2013 - November 2013
Mayer Brown May 2013 - July 2013
Education
University of Pennsylvania Law School 2011 — 2014
University of Pennsylvania 2007 — 2011
BA, Politics, Philosophy, Economics
Mayer Brown October 2014 - Present
US Securities and Exchange Commission September 2013 - November 2013
Mayer Brown May 2013 - July 2013
Education
University of Pennsylvania Law School 2011 — 2014
University of Pennsylvania 2007 — 2011
BA, Politics, Philosophy, Economics
Dylan Slinger Dylan Slinger's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Analyst, Strategic Planning Group at American Express
Industry Management Consulting
Experience
American Express September 2015 - Present
The Wharton School September 2012 - December 2014
PwC June 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Stanford University July 2012 - August 2012
Skills
Public Speaking, Teamwork, Event Planning, Leadership, Politics, Teaching, Problem Solving, PowerPoint, Microsoft Excel, Economics, Public Policy, Management, Analysis, Entrepreneurship, Nonprofits, Research, Data Analysis, Statistics
Education
Wharton School, University of Pennsylvania 2011 — 2015
Bachelor of Science (BS), Economics
Lakeville South High School 2007 — 2011
summa cum laude
American Express September 2015 - Present
The Wharton School September 2012 - December 2014
PwC June 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Stanford University July 2012 - August 2012
Skills
Public Speaking, Teamwork, Event Planning, Leadership, Politics, Teaching, Problem Solving, PowerPoint, Microsoft Excel, Economics, Public Policy, Management, Analysis, Entrepreneurship, Nonprofits, Research, Data Analysis, Statistics
Education
Wharton School, University of Pennsylvania 2011 — 2015
Bachelor of Science (BS), Economics
Lakeville South High School 2007 — 2011
summa cum laude
Joshua Broaded Joshua Broaded's US Securities and Exchange Commission Experience 2003 - 2007
Job Managing Director at ACA Compliance Group
Industry Financial Services
Experience
ACA Compliance Group October 2007 - Present
US Securities and Exchange Commission 2003 - 2007
RSM Equico August 2001 - 2003
Skills
Hedge Funds, SEC, Securities Regulation, Private Equity, Investment Advisory, Alternative Investments, Capital Markets, FINRA, Risk Assessment, Mutual Funds, Equities, Options, Securities, SEC filings, Due Diligence, Asset Management, Fixed Income, Investments, Portfolio Management
Education
University of Pittsburgh 1997 — 2001
Bachelor of Science (B.S.), Finance
ACA Compliance Group October 2007 - Present
US Securities and Exchange Commission 2003 - 2007
RSM Equico August 2001 - 2003
Skills
Hedge Funds, SEC, Securities Regulation, Private Equity, Investment Advisory, Alternative Investments, Capital Markets, FINRA, Risk Assessment, Mutual Funds, Equities, Options, Securities, SEC filings, Due Diligence, Asset Management, Fixed Income, Investments, Portfolio Management
Education
University of Pittsburgh 1997 — 2001
Bachelor of Science (B.S.), Finance
William Kimball William Kimball's US Securities and Exchange Commission Experience 1993 - 2000
Job Partner at Kane+Kimball LLP: SEC Enforcement, White Collar Criminal Defense, Internal Corporate Investigations
Industry Law Practice
Experience
Kane+Kimball LLP April 2015 - Present
Law Office of William H. Kimball 2011 - 2015
Morgan, Lewis & Bockius LLP 2005 - 2010
U.S. Department of Justice 2000 - 2005
U.S. Department of Justice 2002 - 2003
US Securities and Exchange Commission 1993 - 2000
Davis Polk & Wardwell LLP 1989 - 1992
Hon. James H. Michael, Jr., United States District Court (W.D. Va) 1988 - 1989
Education
University of Virginia School of Law 1985 — 1988
JD
University of North Carolina at Chapel Hill 1979 — 1983
BA, English, History
The McCallie School 1976 — 1979
Kane+Kimball LLP April 2015 - Present
Law Office of William H. Kimball 2011 - 2015
Morgan, Lewis & Bockius LLP 2005 - 2010
U.S. Department of Justice 2000 - 2005
U.S. Department of Justice 2002 - 2003
US Securities and Exchange Commission 1993 - 2000
Davis Polk & Wardwell LLP 1989 - 1992
Hon. James H. Michael, Jr., United States District Court (W.D. Va) 1988 - 1989
Education
University of Virginia School of Law 1985 — 1988
JD
University of North Carolina at Chapel Hill 1979 — 1983
BA, English, History
The McCallie School 1976 — 1979
Pamela Dyson's US Securities and Exchange Commission Experience February 2015 - Present
Job Chief Information Officer | Director Office of Information Technology at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission February 2015 - Present
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission September 2012 - Present
US Securities and Exchange Commission November 2010 - September 2012
U.S. International Trade Commission January 2005 - November 2010
Skills
Fraud, Risk Management, Securities, Internal Investigations, Enforcement, Private Investigations, Analysis, Policy, Microsoft Excel, Program Management, Legal Research, Microsoft Office, Financial Analysis, Legal Writing
Education
University of Maryland College Park
U.S. Securities and Exchange Commission February 2015 - Present
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission September 2012 - Present
US Securities and Exchange Commission November 2010 - September 2012
U.S. International Trade Commission January 2005 - November 2010
Skills
Fraud, Risk Management, Securities, Internal Investigations, Enforcement, Private Investigations, Analysis, Policy, Microsoft Excel, Program Management, Legal Research, Microsoft Office, Financial Analysis, Legal Writing
Education
University of Maryland College Park
Kyle Moffatt Kyle Moffatt's US Securities and Exchange Commission Experience September 2012 - Present
Job Associate Director at US Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission September 2012 - Present
US Securities and Exchange Commission April 2011 - September 2012
United States Securities and Exchange Commission August 2000 - March 2011
Ernst & Young September 1995 - August 2000
Skills
SEC filings, GAAP, US GAAP, Financial Reporting, CPA, Accounting, SEC, IFRS, Financial Analysis
Education
University of Maryland College Park 1993 — 1995
Bachelor of Science, Accounting
US Securities and Exchange Commission September 2012 - Present
US Securities and Exchange Commission April 2011 - September 2012
United States Securities and Exchange Commission August 2000 - March 2011
Ernst & Young September 1995 - August 2000
Skills
SEC filings, GAAP, US GAAP, Financial Reporting, CPA, Accounting, SEC, IFRS, Financial Analysis
Education
University of Maryland College Park 1993 — 1995
Bachelor of Science, Accounting
Michael Bujold Michael Bujold's US Securities and Exchange Commission Experience May 2009 - August 2009
Job Trial Attorney at U.S. Department of Justice
Industry Law Practice
Experience
U.S. Department of Justice April 2011 - Present
United States Bankruptcy Court December 2010 - March 2011
Department of Justice May 2010 - August 2010
US Securities and Exchange Commission May 2009 - August 2009
Skills
Bankruptcy, Litigation, Commercial Litigation, Legal Writing, Legal Research, Civil Litigation
Education
University of Michigan Law School 2008 — 2010
Juris Doctor
U.S. Department of Justice April 2011 - Present
United States Bankruptcy Court December 2010 - March 2011
Department of Justice May 2010 - August 2010
US Securities and Exchange Commission May 2009 - August 2009
Skills
Bankruptcy, Litigation, Commercial Litigation, Legal Writing, Legal Research, Civil Litigation
Education
University of Michigan Law School 2008 — 2010
Juris Doctor
Aaron Bass Aaron Bass's US Securities and Exchange Commission Experience May 2009 - July 2009
Job Partner at Honigman Miller Schwartz and Cohn LLP
Industry Law Practice
Experience
Honigman Miller Schwartz and Cohn LLP February 2012 - Present
Jaffe Raitt Heuer & Weiss, P.C. April 2011 - February 2012
Jaffe Raitt Heuer & Weiss, P.C. May 2010 - August 2010
United States District Court - Eastern District of Michigan July 2009 - August 2009
US Securities and Exchange Commission May 2009 - July 2009
Gramercy Property Trust (NYSE: GPT. Formerly Gramercy Capital Corp.) May 2006 - May 2008
Skills
Real Estate, Mergers, Corporate Law, Legal Research, Securitization, Real Estate Financing, Microsoft Excel, Financial Analysis, Real Estate Transactions, Real Estate Development, Mergers & Acquisitions, Commercial Real Estate, Courts, Property Law, Trials, Commercial Litigation, Legal Advice, Legal Writing, Litigation, Arbitration
Education
University of Michigan Law School 2008 — 2010
J.D.
University of Michigan - Stephen M. Ross School of Business 2001 — 2005
BBA, Finance, Accounting, Real Estate
Honigman Miller Schwartz and Cohn LLP February 2012 - Present
Jaffe Raitt Heuer & Weiss, P.C. April 2011 - February 2012
Jaffe Raitt Heuer & Weiss, P.C. May 2010 - August 2010
United States District Court - Eastern District of Michigan July 2009 - August 2009
US Securities and Exchange Commission May 2009 - July 2009
Gramercy Property Trust (NYSE: GPT. Formerly Gramercy Capital Corp.) May 2006 - May 2008
Skills
Real Estate, Mergers, Corporate Law, Legal Research, Securitization, Real Estate Financing, Microsoft Excel, Financial Analysis, Real Estate Transactions, Real Estate Development, Mergers & Acquisitions, Commercial Real Estate, Courts, Property Law, Trials, Commercial Litigation, Legal Advice, Legal Writing, Litigation, Arbitration
Education
University of Michigan Law School 2008 — 2010
J.D.
University of Michigan - Stephen M. Ross School of Business 2001 — 2005
BBA, Finance, Accounting, Real Estate
Marc Ricchiute's US Securities and Exchange Commission Experience June 2013 - Present
Job Enforcement Attorney at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission June 2013 - Present
Jones Day September 2003 - May 2013
Americorps 1999 - 2000
Skills
Internal Investigations, Securities Regulation, Litigation, FCPA, Securities Litigation
Education
University of Notre Dame Law School 2000 — 2003
JD
University of Notre Dame 1995 — 1999
BA, Philosophy
US Securities and Exchange Commission June 2013 - Present
Jones Day September 2003 - May 2013
Americorps 1999 - 2000
Skills
Internal Investigations, Securities Regulation, Litigation, FCPA, Securities Litigation
Education
University of Notre Dame Law School 2000 — 2003
JD
University of Notre Dame 1995 — 1999
BA, Philosophy
Asheesh Goel Asheesh Goel's US Securities and Exchange Commission Experience September 2002 - January 2006
Job Partner at Ropes & Gray LLP
Industry Law Practice
Experience
Ropes & Gray LLP September 2008 - Present
Kirkland & Ellis LLP January 2006 - September 2008
US Securities and Exchange Commission September 2002 - January 2006
United States Securities and Exchange Commission 2002 - 2006
Sidley Austin September 1995 - September 2002
Skills
FCPA, Securities Litigation, Litigation, Securities, Internal Investigations
Education
University of Illinois College of Law 1992 — 1995
J.D., Law
University of Illinois at Urbana-Champaign 1992 — 1995
J.D., Law
Lane Technical H.S. 1987 — 1989
Ropes & Gray LLP September 2008 - Present
Kirkland & Ellis LLP January 2006 - September 2008
US Securities and Exchange Commission September 2002 - January 2006
United States Securities and Exchange Commission 2002 - 2006
Sidley Austin September 1995 - September 2002
Skills
FCPA, Securities Litigation, Litigation, Securities, Internal Investigations
Education
University of Illinois College of Law 1992 — 1995
J.D., Law
University of Illinois at Urbana-Champaign 1992 — 1995
J.D., Law
Lane Technical H.S. 1987 — 1989
Elizabeth Yates Elizabeth Yates's US Securities and Exchange Commission Experience 2006 - 2006
Job Capital Markets at Insikt, Inc.
Industry Venture Capital & Private Equity
Experience
Insikt, Inc. 2015 - Present
Park Hill Group (The Blackstone Group) 2010 - 2015
UBS Investment Bank / GLC Advisors & Co 2007 - 2010
US Securities and Exchange Commission 2006 - 2006
Skills
Mergers & Acquisitions, Equities, Private Equity, Alternative Investments, Credit Analysis, Project Management, Financial Modeling, Due Diligence, Fundraising, Valuation, Corporate Finance, Financial Analysis, Investment Banking, Investments, Capital Markets, Restructuring, Venture Capital, Hedge Funds, Securitization, Investor Relations
Education
University of Pennsylvania - The Wharton School
Finance, Retailing
University of Pennsylvania
Bachelor’s Degree, Finance, Retailing
Shady Side Academy
High School
Insikt, Inc. 2015 - Present
Park Hill Group (The Blackstone Group) 2010 - 2015
UBS Investment Bank / GLC Advisors & Co 2007 - 2010
US Securities and Exchange Commission 2006 - 2006
Skills
Mergers & Acquisitions, Equities, Private Equity, Alternative Investments, Credit Analysis, Project Management, Financial Modeling, Due Diligence, Fundraising, Valuation, Corporate Finance, Financial Analysis, Investment Banking, Investments, Capital Markets, Restructuring, Venture Capital, Hedge Funds, Securitization, Investor Relations
Education
University of Pennsylvania - The Wharton School
Finance, Retailing
University of Pennsylvania
Bachelor’s Degree, Finance, Retailing
Shady Side Academy
High School
Joseph Boryshansky Joseph Boryshansky's US Securities and Exchange Commission Experience March 2008 - April 2014
Job Partner at Akin Gump Strauss Hauer & Feld LLP
Industry Law Practice
Experience
Akin Gump Strauss Hauer & Feld LLP April 2014 - Present
US Securities and Exchange Commission March 2008 - April 2014
Akin Gump Strauss Hauer & Feld LLP September 2006 - February 2008
Skills
Litigation, Securities Regulation, Securities Litigation, Commercial Litigation, Legal Research, Civil Litigation, Corporate Governance, International Law, Internal Investigations, Appeals
Education
Yale Law School
JD
University of Oxford
BCL
Akin Gump Strauss Hauer & Feld LLP April 2014 - Present
US Securities and Exchange Commission March 2008 - April 2014
Akin Gump Strauss Hauer & Feld LLP September 2006 - February 2008
Skills
Litigation, Securities Regulation, Securities Litigation, Commercial Litigation, Legal Research, Civil Litigation, Corporate Governance, International Law, Internal Investigations, Appeals
Education
Yale Law School
JD
University of Oxford
BCL
Deborah Koenen's US Securities and Exchange Commission Experience 1998 - 2000
Job Experienced Senior Counsel Securities and Corporate Governance
Industry Pharmaceuticals
Experience
The Allstate Corporation December 2014 - Present
Sears Holdings Corporation August 2014 - November 2014
Hospira April 2008 - December 2013
Abbott Laboratories 2000 - 2008
US Securities and Exchange Commission 1998 - 2000
McDermott Will and Emery 1995 - 1998
Skills
Pharmaceutical Industry, Medical Devices, Corporate Law, Corporate Governance, Securities, Securities Litigation, Securities Regulation, Securities Offerings, Corporate Finance
Education
University of Illinois at Urbana-Champaign 1992 — 1995
Doctor of Law (JD)
University of Illinois at Urbana-Champaign 1988 — 1992
Bachelor of Science (BS), Finance, General
The Allstate Corporation December 2014 - Present
Sears Holdings Corporation August 2014 - November 2014
Hospira April 2008 - December 2013
Abbott Laboratories 2000 - 2008
US Securities and Exchange Commission 1998 - 2000
McDermott Will and Emery 1995 - 1998
Skills
Pharmaceutical Industry, Medical Devices, Corporate Law, Corporate Governance, Securities, Securities Litigation, Securities Regulation, Securities Offerings, Corporate Finance
Education
University of Illinois at Urbana-Champaign 1992 — 1995
Doctor of Law (JD)
University of Illinois at Urbana-Champaign 1988 — 1992
Bachelor of Science (BS), Finance, General
Jonathan Polish Jonathan Polish's US Securities and Exchange Commission Experience September 2007 - Present
Job Senior Trial Counsel, US Securities and Exchange Commission
Industry Law Enforcement
Experience
Northwestern University School of Law January 2014 - Present
US Securities and Exchange Commission September 2007 - Present
Reed Smith LLP August 2006 - August 2007
Sachnoff & Weaver, Ltd. March 2000 - August 2006
Hedlund Hanley & John March 1999 - March 2000
Barack Ferrazzano Kirschbaum & Nagelberg LLP September 1996 - March 1999
Skills
Federal Law Enforcement, Securities Litigation, Legal Research, Trials, Legal Writing, Commercial Litigation, E-Discovery Consulting, Civil Litigation, Litigation
Education
University of Michigan Law School 1994 — 1996
Doctor of Law (J.D.)
University of Michigan 1988 — 1992
Bachelor of Arts (B.A.), Political Science
Northwestern University School of Law January 2014 - Present
US Securities and Exchange Commission September 2007 - Present
Reed Smith LLP August 2006 - August 2007
Sachnoff & Weaver, Ltd. March 2000 - August 2006
Hedlund Hanley & John March 1999 - March 2000
Barack Ferrazzano Kirschbaum & Nagelberg LLP September 1996 - March 1999
Skills
Federal Law Enforcement, Securities Litigation, Legal Research, Trials, Legal Writing, Commercial Litigation, E-Discovery Consulting, Civil Litigation, Litigation
Education
University of Michigan Law School 1994 — 1996
Doctor of Law (J.D.)
University of Michigan 1988 — 1992
Bachelor of Arts (B.A.), Political Science
Matthew Pfaff Matthew Pfaff's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Investigator at Consumer Financial Protection Bureau
Industry Government Administration
Experience
Consumer Financial Protection Bureau October 2013 - Present
Indiana University Maurer School of Law January 2012 - June 2013
US Securities and Exchange Commission May 2012 - August 2012
U.S. District Court, N.D. of Illinois May 2011 - August 2011
Jenner & Block May 2008 - August 2010
Best Buy October 2002 - August 2008
U.S. Attorney's Office August 2006 - December 2006
Education
Indiana University Maurer School of Law 2010 — 2013
Doctor of Law (J.D.)
University of Illinois at Urbana-Champaign 2004 — 2008
Bachelor of Science (B.S.), Psychology
Consumer Financial Protection Bureau October 2013 - Present
Indiana University Maurer School of Law January 2012 - June 2013
US Securities and Exchange Commission May 2012 - August 2012
U.S. District Court, N.D. of Illinois May 2011 - August 2011
Jenner & Block May 2008 - August 2010
Best Buy October 2002 - August 2008
U.S. Attorney's Office August 2006 - December 2006
Education
Indiana University Maurer School of Law 2010 — 2013
Doctor of Law (J.D.)
University of Illinois at Urbana-Champaign 2004 — 2008
Bachelor of Science (B.S.), Psychology
Howard Kramer's US Securities and Exchange Commission Experience June 1984 - July 1998
Job Partner at Willkie Farr & Gallagher LLP
Industry Law Practice
Experience
Willkie Farr & Gallagher LLP June 2011 - Present
Schiff Hardin LLP August 1998 - May 2011
US Securities and Exchange Commission June 1984 - July 1998
Skills
Securities Regulation, SEC, Securities, Securities Litigation, Corporate Governance, Capital Markets, Corporate Law, Equities, Derivatives, FINRA, Financial Regulation, Litigation, Hedge Funds, Options, Market Structure, Legal Writing, Dodd-Frank, Broker-Dealer, Internal Investigations, Legal Research, Legal Advice, Securities Offerings, Securities Law, Compliance
Education
University of Michigan Law School 1978 — 1981
J.D., Law
University of Michigan 1973 — 1979
B.A., M.A., Political Science
Willkie Farr & Gallagher LLP June 2011 - Present
Schiff Hardin LLP August 1998 - May 2011
US Securities and Exchange Commission June 1984 - July 1998
Skills
Securities Regulation, SEC, Securities, Securities Litigation, Corporate Governance, Capital Markets, Corporate Law, Equities, Derivatives, FINRA, Financial Regulation, Litigation, Hedge Funds, Options, Market Structure, Legal Writing, Dodd-Frank, Broker-Dealer, Internal Investigations, Legal Research, Legal Advice, Securities Offerings, Securities Law, Compliance
Education
University of Michigan Law School 1978 — 1981
J.D., Law
University of Michigan 1973 — 1979
B.A., M.A., Political Science
Richard Burt Richard Burt's US Securities and Exchange Commission Experience 1973 - 1976
Job Richard G. Burt, Attorney and Counselor at Law
Industry Law Practice
Experience
Richard G. Burt, Attorney and Counselor at Law February 1984 - Present
Berliner Cohen & Biagini 1979 - 1984
Wilmer, Cutler & Pickering 1976 - 1979
US Securities and Exchange Commission 1973 - 1976
Skills
Corporate Law, Negotiating Contracts, Contract Disputes, Business Disputes, Commercial Disputes, LLC, Entity Formation, Legal Advice, Business Formation, Real Estate, Contract Negotiation, Corporate Transactions, Mergers, Securities Law, Contract Review, Shareholder Disputes, Non-compete Agreements, Corporate Governance, Real Estate Transactions, Business Transactions, Securities Regulation, Licensing, Dispute Resolution, Trade Secrets, Commercial Litigation, Mergers
Education
George Washington University Law School 1970 — 1973
Juris Doctor
University of Pennsylvania 1966 — 1970
B.A., Political Science and Government
Richard G. Burt, Attorney and Counselor at Law February 1984 - Present
Berliner Cohen & Biagini 1979 - 1984
Wilmer, Cutler & Pickering 1976 - 1979
US Securities and Exchange Commission 1973 - 1976
Skills
Corporate Law, Negotiating Contracts, Contract Disputes, Business Disputes, Commercial Disputes, LLC, Entity Formation, Legal Advice, Business Formation, Real Estate, Contract Negotiation, Corporate Transactions, Mergers, Securities Law, Contract Review, Shareholder Disputes, Non-compete Agreements, Corporate Governance, Real Estate Transactions, Business Transactions, Securities Regulation, Licensing, Dispute Resolution, Trade Secrets, Commercial Litigation, Mergers
Education
George Washington University Law School 1970 — 1973
Juris Doctor
University of Pennsylvania 1966 — 1970
B.A., Political Science and Government
Bruce Carton Bruce Carton's US Securities and Exchange Commission Experience 1995 - 1997
Job Editor of Securities Docket, Columnist at Compliance Week
Industry Legal Services
Experience
Securities Docket August 2008 - Present
Compliance Week August 2008 - Present
Law.com's Legal Blog Watch September 2009 - March 2013
George Mason University School of Law January 2009 - May 2009
Garden City Group November 2006 - May 2008
Institutional Shareholder Services July 2003 - November 2006
DLA Piper May 1998 - June 2003
US Securities and Exchange Commission 1995 - 1997
Skills
Corporate Governance, Blogging, Social Media, Legal Writing, Securities Regulation, Publishing, Editorial, Editing, Corporate Law, Litigation, Fraud, Journalism, Securities
Education
University of Maryland School of Law 1989 — 1992
J.D.
William & Mary 1984 — 1988
B.A., Economics
Securities Docket August 2008 - Present
Compliance Week August 2008 - Present
Law.com's Legal Blog Watch September 2009 - March 2013
George Mason University School of Law January 2009 - May 2009
Garden City Group November 2006 - May 2008
Institutional Shareholder Services July 2003 - November 2006
DLA Piper May 1998 - June 2003
US Securities and Exchange Commission 1995 - 1997
Skills
Corporate Governance, Blogging, Social Media, Legal Writing, Securities Regulation, Publishing, Editorial, Editing, Corporate Law, Litigation, Fraud, Journalism, Securities
Education
University of Maryland School of Law 1989 — 1992
J.D.
William & Mary 1984 — 1988
B.A., Economics
Dana Tischler Dana Tischler's US Securities and Exchange Commission Experience May 2009 - Present
Job Public Affairs Assistant at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission May 2009 - Present
Blanco America, Inc. May 2002 - January 2009
L3 Technologies 1998 - 2001
Skills
Microsoft Office, Social Media, Customer Service, Microsoft Excel, Microsoft Word, Leadership, Marketing Communications, Office Management
Education
University of Phoenix 2010 — 2011
Bachelors, Business Administration
University of Phoenix 2005 — 2007
Associates in Business, Business
Cinnaminson High School 1989 — 1993
High School Diploma
US Securities and Exchange Commission May 2009 - Present
Blanco America, Inc. May 2002 - January 2009
L3 Technologies 1998 - 2001
Skills
Microsoft Office, Social Media, Customer Service, Microsoft Excel, Microsoft Word, Leadership, Marketing Communications, Office Management
Education
University of Phoenix 2010 — 2011
Bachelors, Business Administration
University of Phoenix 2005 — 2007
Associates in Business, Business
Cinnaminson High School 1989 — 1993
High School Diploma
Ashwin Muthiah's US Securities and Exchange Commission Experience 2010 - 2011
Job CEO at Easely
Industry
Experience
Easely January 2014 - Present
Chatham Capital May 2013 - July 2013
Altair Prep November 2011 - September 2012
University of Pennsylvania Counseling and Psychological Services October 2011 - May 2012
US Securities and Exchange Commission 2010 - 2011
Orchard Friends School August 2010 - December 2010
Skills
Operational Due..., Social Media Marketing, Microsoft Word, Investments, Start-ups, Strategy, Online Advertising, Due Diligence, Research, Microsoft Office, Social Media, Management, Data Analysis, Leadership, Public Speaking, PowerPoint, Microsoft Excel, Marketing, Entrepreneurship, Ruby on Rails, HTML5, CSS, Agile Methodologies, Early-stage Startups, Financial Modeling
Education
University of Pennsylvania - The Wharton School 2011 — 2015
The Walker School 2007 — 2011
Easely January 2014 - Present
Chatham Capital May 2013 - July 2013
Altair Prep November 2011 - September 2012
University of Pennsylvania Counseling and Psychological Services October 2011 - May 2012
US Securities and Exchange Commission 2010 - 2011
Orchard Friends School August 2010 - December 2010
Skills
Operational Due..., Social Media Marketing, Microsoft Word, Investments, Start-ups, Strategy, Online Advertising, Due Diligence, Research, Microsoft Office, Social Media, Management, Data Analysis, Leadership, Public Speaking, PowerPoint, Microsoft Excel, Marketing, Entrepreneurship, Ruby on Rails, HTML5, CSS, Agile Methodologies, Early-stage Startups, Financial Modeling
Education
University of Pennsylvania - The Wharton School 2011 — 2015
The Walker School 2007 — 2011
Paul Leder Paul Leder's US Securities and Exchange Commission Experience February 2014 - Present
Job Director, Office of International Affairs at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission February 2014 - Present
Richards Kibbe & Orbe LLP July 1999 - February 2014
US Securities and Exchange Commission 1993 - 1999
US Securities and Exchange Commission 1987 - 1990
Public Defender Service for the District of Columbia 1981 - 1987
Skills
Securities Regulation, Corporate Governance, Internal Investigations, Securities Litigation, Criminal Law, International Law, Administrative Law, Trial Practice, Legal Compliance, Courts, Criminal Defense, Litigation, Sexual Identity, Class Actions, White Collar Criminal..., Commercial Litigation, Fraud
Education
University of Michigan Law School 1978 — 1981
University of Michigan 1975 — 1978
B.A., History
U.S. Securities and Exchange Commission February 2014 - Present
Richards Kibbe & Orbe LLP July 1999 - February 2014
US Securities and Exchange Commission 1993 - 1999
US Securities and Exchange Commission 1987 - 1990
Public Defender Service for the District of Columbia 1981 - 1987
Skills
Securities Regulation, Corporate Governance, Internal Investigations, Securities Litigation, Criminal Law, International Law, Administrative Law, Trial Practice, Legal Compliance, Courts, Criminal Defense, Litigation, Sexual Identity, Class Actions, White Collar Criminal..., Commercial Litigation, Fraud
Education
University of Michigan Law School 1978 — 1981
University of Michigan 1975 — 1978
B.A., History
Gaurav Talwar Gaurav Talwar's US Securities and Exchange Commission Experience June 2013 - August 2013
Job J.D., Fordham University School of Law
Industry Law Practice
Experience
Lincoln Square Legal Services January 2015 - May 2015
Wade Clark Mulcahy September 2014 - December 2014
Keane & Beane, P.C. May 2014 - August 2014
US Securities and Exchange Commission June 2013 - August 2013
Magna Powertrain November 2010 - July 2012
Skills
Litigation, Trials, Leadership, Legal Research, Management, Oral Arguments, Continuous Improvement, Negotiation, SharePoint, Manufacturing
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (J.D.)
University of Michigan 2005 — 2009
Bachelor of Arts, Economics
Lincoln Square Legal Services January 2015 - May 2015
Wade Clark Mulcahy September 2014 - December 2014
Keane & Beane, P.C. May 2014 - August 2014
US Securities and Exchange Commission June 2013 - August 2013
Magna Powertrain November 2010 - July 2012
Skills
Litigation, Trials, Leadership, Legal Research, Management, Oral Arguments, Continuous Improvement, Negotiation, SharePoint, Manufacturing
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (J.D.)
University of Michigan 2005 — 2009
Bachelor of Arts, Economics
Brian Washburn, MHA's US Securities and Exchange Commission Experience March 2010 - January 2012
Job Business Consulting Fellow at Mayo Clinic
Industry Hospital & Health Care
Experience
UPMC - St. Margaret & Passavant April 2014 - September 2014
Pittsburgh Regional Health Initiative June 2014 - July 2014
Squirrel Hill Health Center October 2013 - April 2014
Convergys January 2012 - July 2013
US Securities and Exchange Commission March 2010 - January 2012
ARUP Laboratories August 2008 - February 2010
The Church of Jesus Christ of Latter Day Saints April 2006 - May 2008
Intermountain Healthcare August 2004 - April 2006
Skills
Financial Analysis, Finance, Financial Reporting, Forecasting, Microsoft Office, Microsoft Excel, Healthcare, Healthcare Management, Healthcare improvement, Analysis, Process Improvement, Six Sigma, Data Analysis
Education
University of Pittsburgh 2013 — 2015
Master's Degree, Health/Health Care Administration/Management
University of Utah - David Eccles School of Business 2008 — 2011
Bachelor of Arts (BA), Accounting
UPMC - St. Margaret & Passavant April 2014 - September 2014
Pittsburgh Regional Health Initiative June 2014 - July 2014
Squirrel Hill Health Center October 2013 - April 2014
Convergys January 2012 - July 2013
US Securities and Exchange Commission March 2010 - January 2012
ARUP Laboratories August 2008 - February 2010
The Church of Jesus Christ of Latter Day Saints April 2006 - May 2008
Intermountain Healthcare August 2004 - April 2006
Skills
Financial Analysis, Finance, Financial Reporting, Forecasting, Microsoft Office, Microsoft Excel, Healthcare, Healthcare Management, Healthcare improvement, Analysis, Process Improvement, Six Sigma, Data Analysis
Education
University of Pittsburgh 2013 — 2015
Master's Degree, Health/Health Care Administration/Management
University of Utah - David Eccles School of Business 2008 — 2011
Bachelor of Arts (BA), Accounting
Michelle Davis, Esq.'s US Securities and Exchange Commission Experience March 2008 - February 2009
Job Regulatory Attorney, Securities Compliance and Risk Management
Industry Financial Services
Experience
Options Clearing Corporation (OCC) November 2013 - Present
FINRA May 2011 - November 2013
Drug Enforcement Administration March 2010 - May 2011
Kaufman Law Firm November 2009 - May 2011
US Securities and Exchange Commission March 2008 - February 2009
Skills
Securities Law, FINRA, SEC reporting, Corporate Finance, Securities, SEC filings, Litigation, Legal Research, Securities Regulation, Legal Writing, Litigation Management, Trials, Management, Financial Analysis, Litigation Support, Research, Due Diligence, Legal Compliance, Investments, Financial Services, Policy, Analysis, Legal Issues, Civil Litigation, Corporate Law, Legal Assistance, Financial Risk, Dispute Resolution, Accounting, Corporate Governance, Mergers & Acquisitions, Finance, Risk Management, Estate Planning, Westlaw, Strategic Financial..., Arbitration, Commercial Litigation, Licensing, FCPA, Document Review, Employment Law, Mediation, Appeals, Financial Regulation, Lexis, AML, Intellectual Property
Education
University of Missouri-Columbia School of Law 2004 — 2007
Juris Doctor, Law Review
University of Missouri-Columbia, College of Business 2004 — 2007
MBA, Business
University of Missouri 2000 — 2002
Bachelor of Science, Business Administration; Banking and Finance
Cottey College 1997 — 1999
Associate of Art and Associate of Science
Options Clearing Corporation (OCC) November 2013 - Present
FINRA May 2011 - November 2013
Drug Enforcement Administration March 2010 - May 2011
Kaufman Law Firm November 2009 - May 2011
US Securities and Exchange Commission March 2008 - February 2009
Skills
Securities Law, FINRA, SEC reporting, Corporate Finance, Securities, SEC filings, Litigation, Legal Research, Securities Regulation, Legal Writing, Litigation Management, Trials, Management, Financial Analysis, Litigation Support, Research, Due Diligence, Legal Compliance, Investments, Financial Services, Policy, Analysis, Legal Issues, Civil Litigation, Corporate Law, Legal Assistance, Financial Risk, Dispute Resolution, Accounting, Corporate Governance, Mergers & Acquisitions, Finance, Risk Management, Estate Planning, Westlaw, Strategic Financial..., Arbitration, Commercial Litigation, Licensing, FCPA, Document Review, Employment Law, Mediation, Appeals, Financial Regulation, Lexis, AML, Intellectual Property
Education
University of Missouri-Columbia School of Law 2004 — 2007
Juris Doctor, Law Review
University of Missouri-Columbia, College of Business 2004 — 2007
MBA, Business
University of Missouri 2000 — 2002
Bachelor of Science, Business Administration; Banking and Finance
Cottey College 1997 — 1999
Associate of Art and Associate of Science
Peter Reisenauer's US Securities and Exchange Commission Experience August 2013 - December 2013
Job Associate Counsel at Just Resolve
Industry Law Practice
Experience
Just Resolve LLC January 2015 - Present
US Securities and Exchange Commission August 2013 - December 2013
University of Southern California May 2013 - August 2013
California State University, Long Beach May 2013 - August 2013
Superior Court of Santa Clara County May 2012 - August 2012
Palestinian Ministry of Women's Affairs/Ministry of Foreign Affairs May 2009 - August 2009
Education
USC Gould School of Law 2011 — 2014
University of Notre Dame 2007 — 2011
Bachelor of Arts (B.A.), Arabic Language and Literature, Political Science
Just Resolve LLC January 2015 - Present
US Securities and Exchange Commission August 2013 - December 2013
University of Southern California May 2013 - August 2013
California State University, Long Beach May 2013 - August 2013
Superior Court of Santa Clara County May 2012 - August 2012
Palestinian Ministry of Women's Affairs/Ministry of Foreign Affairs May 2009 - August 2009
Education
USC Gould School of Law 2011 — 2014
University of Notre Dame 2007 — 2011
Bachelor of Arts (B.A.), Arabic Language and Literature, Political Science
Christian Maynard-Philipp's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Financial Analyst at U.S. Department of the Treasury
Industry Public Policy
Experience
U.S. Department of the Treasury May 2014 - June 2015
Center for American Progress January 2014 - May 2014
US Securities and Exchange Commission September 2013 - December 2013
Brainscope Company (startup) September 2012 - August 2013
Department of Veterans Affairs May 2011 - August 2012
Skills
Fundraising, Research, Public Speaking, Social Media, Event Planning, Market Research, Social Networking, Time Management, Training, Policy Analysis, Marketing, Community Outreach, Project Management, Public Relations, Budgets, Management, Social Media Marketing, Government, Event Management, Program Analysis, Outlook, Facebook, Newsletters, Leadership Development, Grants, Technical Writing, Strategic Partnerships, Financial Innovation, Financial Analysis, Program Evaluation, Payments, Financial Capability, Economic Development
Education
George Mason University's School of Public Policy 2013 — 2015
Master's Degree, Regional Economic Development, 3.75
Mansfield College, University of Oxford 2014 — 2014
Summer Course: Britain, the EU and the Challenge of Globalization
University of Oregon 2006 — 2010
Bachelor of Arts, in both Planning, Public Policy and Management and Political Science
U.S. Department of the Treasury May 2014 - June 2015
Center for American Progress January 2014 - May 2014
US Securities and Exchange Commission September 2013 - December 2013
Brainscope Company (startup) September 2012 - August 2013
Department of Veterans Affairs May 2011 - August 2012
Skills
Fundraising, Research, Public Speaking, Social Media, Event Planning, Market Research, Social Networking, Time Management, Training, Policy Analysis, Marketing, Community Outreach, Project Management, Public Relations, Budgets, Management, Social Media Marketing, Government, Event Management, Program Analysis, Outlook, Facebook, Newsletters, Leadership Development, Grants, Technical Writing, Strategic Partnerships, Financial Innovation, Financial Analysis, Program Evaluation, Payments, Financial Capability, Economic Development
Education
George Mason University's School of Public Policy 2013 — 2015
Master's Degree, Regional Economic Development, 3.75
Mansfield College, University of Oxford 2014 — 2014
Summer Course: Britain, the EU and the Challenge of Globalization
University of Oregon 2006 — 2010
Bachelor of Arts, in both Planning, Public Policy and Management and Political Science
Michael Bonan's US Securities and Exchange Commission Experience May 2012 - December 2012
Job Associate Attorney at Ross Earle & Bonan, P.A.
Industry Law Practice
Experience
Ross Earle & Bonan, P.A. September 2013 - Present
Florida Agency for Health Care Administration January 2013 - May 2013
US Securities and Exchange Commission May 2012 - December 2012
11th Circuit Court of Florida, Civil Divison May 2011 - July 2011
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Securities Regulation, Civil Litigation, Corporate Law, Commercial Litigation, Lexis, Criminal Law, Courts, Securities Litigation, Intellectual Property, International Law, Appeals, Trademarks, Copyright Law, Due Diligence, Hearings, Legal Assistance
Education
University of Miami School of Law 2010 — 2013
Juris Doctor
University of Miami - School of Business 2006 — 2010
Bachelors in Business Administration, Double Major in Finance and Marketing
Ross Earle & Bonan, P.A. September 2013 - Present
Florida Agency for Health Care Administration January 2013 - May 2013
US Securities and Exchange Commission May 2012 - December 2012
11th Circuit Court of Florida, Civil Divison May 2011 - July 2011
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Securities Regulation, Civil Litigation, Corporate Law, Commercial Litigation, Lexis, Criminal Law, Courts, Securities Litigation, Intellectual Property, International Law, Appeals, Trademarks, Copyright Law, Due Diligence, Hearings, Legal Assistance
Education
University of Miami School of Law 2010 — 2013
Juris Doctor
University of Miami - School of Business 2006 — 2010
Bachelors in Business Administration, Double Major in Finance and Marketing
Thomas Schaefer's US Securities and Exchange Commission Experience January 2013 - Present
Job
Industry Financial Services
Experience
US Securities and Exchange Commission January 2013 - Present
Skills
Compliance, Series 7, Series 24, Series 66, Options, Series 4, Series 53, FINRA CRCP, FINRA, Securities, Investment Advisory, Investments, Series 63, Hedge Funds, AML, Anti Money Laundering, Equities, Fixed Income, Risk Management
Education
University of Pennsylvania - The Wharton School 2006 — 2008
CRCP
University of Wisconsin-Milwaukee 1996 — 2000
BBA
US Securities and Exchange Commission January 2013 - Present
Skills
Compliance, Series 7, Series 24, Series 66, Options, Series 4, Series 53, FINRA CRCP, FINRA, Securities, Investment Advisory, Investments, Series 63, Hedge Funds, AML, Anti Money Laundering, Equities, Fixed Income, Risk Management
Education
University of Pennsylvania - The Wharton School 2006 — 2008
CRCP
University of Wisconsin-Milwaukee 1996 — 2000
BBA
Kathleen Griffin's US Securities and Exchange Commission Experience March 2010 - Present
Job Chief Compliance Officer at US Securities and Exchange Commission
Industry Investment Management
Experience
US Securities and Exchange Commission March 2010 - Present
Putnam Investments April 2004 - December 2008
AMVESCAP, PLC/Atlantic Trust Company, N.A. January 2001 - January 2003
STATE STREET CORPORATION January 1994 - January 2001
SHAWMUT NATIONAL CORPORATION January 1988 - January 1994
ONE FEDERAL ASSET MANAGEMENT, INC January 1988 - January 1992
Skills
Strategy, Trading, Policy, Risk Management, Leadership, Training, Program Management, Securities, Asset Management, Mutual Funds, Series 7, FINRA, Project Management, Internal Audit, Executive Management, Management, Corporate Governance, Investments, Regulations, Finance, Process Improvement, Financial Services, Internal Controls, Investment Management, Testing, Corporate Law, AML, Enterprise Risk..., Asset Managment, Insurance, Alternative Investments
Education
University of Massachusetts Boston 1970 — 1974
Bachelor of Arts, sociology
US Securities and Exchange Commission March 2010 - Present
Putnam Investments April 2004 - December 2008
AMVESCAP, PLC/Atlantic Trust Company, N.A. January 2001 - January 2003
STATE STREET CORPORATION January 1994 - January 2001
SHAWMUT NATIONAL CORPORATION January 1988 - January 1994
ONE FEDERAL ASSET MANAGEMENT, INC January 1988 - January 1992
Skills
Strategy, Trading, Policy, Risk Management, Leadership, Training, Program Management, Securities, Asset Management, Mutual Funds, Series 7, FINRA, Project Management, Internal Audit, Executive Management, Management, Corporate Governance, Investments, Regulations, Finance, Process Improvement, Financial Services, Internal Controls, Investment Management, Testing, Corporate Law, AML, Enterprise Risk..., Asset Managment, Insurance, Alternative Investments
Education
University of Massachusetts Boston 1970 — 1974
Bachelor of Arts, sociology
Ruari Griffin's US Securities and Exchange Commission Experience May 2005 - August 2005
Job Operations Finance at Yahoo Video, Games, Autos, Travel, Real Estate
Industry Internet
Experience
Yahoo August 2013 - Present
Yahoo! August 2011 - August 2013
Lenovo June 2010 - July 2011
Lenovo March 2009 - June 2010
Lenovo October 2006 - March 2009
US Securities and Exchange Commission May 2005 - August 2005
WGBH June 2002 - July 2004
New Hampshire Public Television January 1999 - June 2002
Skills
Cross-functional Team..., Competitive Analysis, Analytics, Forecasting, Financial Modeling, Budgets, Financial Analysis, Business Development, Business Strategy, Mergers & Acquisitions, Product Marketing, Business Planning, Corporate FP&A, Strategic Financial..., Financial Reporting, Strategic Planning, Strategic Partnerships, Mobile Commerce, Mobile Internet, Internet Video, Internet Strategy, Online Advertising, Mobile Advertising, Web Commerce, Process Improvement, Data Analysis, Finance, Project Management, Analysis, Mergers, Partner Management, Business Analysis, Video Production, Executive Management
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School
MBA
University of New Hampshire
BA
Yahoo August 2013 - Present
Yahoo! August 2011 - August 2013
Lenovo June 2010 - July 2011
Lenovo March 2009 - June 2010
Lenovo October 2006 - March 2009
US Securities and Exchange Commission May 2005 - August 2005
WGBH June 2002 - July 2004
New Hampshire Public Television January 1999 - June 2002
Skills
Cross-functional Team..., Competitive Analysis, Analytics, Forecasting, Financial Modeling, Budgets, Financial Analysis, Business Development, Business Strategy, Mergers & Acquisitions, Product Marketing, Business Planning, Corporate FP&A, Strategic Financial..., Financial Reporting, Strategic Planning, Strategic Partnerships, Mobile Commerce, Mobile Internet, Internet Video, Internet Strategy, Online Advertising, Mobile Advertising, Web Commerce, Process Improvement, Data Analysis, Finance, Project Management, Analysis, Mergers, Partner Management, Business Analysis, Video Production, Executive Management
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School
MBA
University of New Hampshire
BA
Marvin Gibson's US Securities and Exchange Commission Experience September 1994 - September 1997
Job Senior Technical Advisor
Industry Government Administration
Experience
FDA September 2011 - Present
FDA May 2010 - September 2011
Executive Office of the President June 2004 - May 2010
Executive Office of the President March 2001 - June 2004
NIH March 2000 - March 2001
U.S. Department of Justice September 1997 - March 2000
US Securities and Exchange Commission September 1994 - September 1997
Marriott International October 1990 - September 1994
Skills
Information Assurance, Government, Federal Government, Program Management, Networking, Security Clearance, Government Contracting, DoD, Security
Education
University of Maryland University College 1991 — 1993
BS
FDA September 2011 - Present
FDA May 2010 - September 2011
Executive Office of the President June 2004 - May 2010
Executive Office of the President March 2001 - June 2004
NIH March 2000 - March 2001
U.S. Department of Justice September 1997 - March 2000
US Securities and Exchange Commission September 1994 - September 1997
Marriott International October 1990 - September 1994
Skills
Information Assurance, Government, Federal Government, Program Management, Networking, Security Clearance, Government Contracting, DoD, Security
Education
University of Maryland University College 1991 — 1993
BS
Tim Techathuvanan (Cookson)'s US Securities and Exchange Commission Experience October 2010 - May 2013
Job Fixed Income Quantitative Analyst at T. Rowe Price
Industry Financial Services
Experience
T. Rowe Price June 2013 - Present
US Securities and Exchange Commission October 2010 - May 2013
Campbell and Co., Inc. March 2003 - October 2010
The Fields Institute September 2002 - December 2002
T. Rowe Price January 1997 - August 1997
Skills
Financial Modeling, Quantitative Finance, Equities, Statistics, Data Analysis, Mathematics, Mathematical Programming, Mathematical Analysis, Matlab, R, SQL, C, C++, Python, Code Review, Finance, Econometrics, SAS programming, Quantitative Analytics, Statistical Modeling
Education
University of Wisconsin-Madison 1997 — 2002
Ph.D., Mathematics
University of Maryland College Park 1993 — 1996
B.S., Mathematics, Electrical Engineering
T. Rowe Price June 2013 - Present
US Securities and Exchange Commission October 2010 - May 2013
Campbell and Co., Inc. March 2003 - October 2010
The Fields Institute September 2002 - December 2002
T. Rowe Price January 1997 - August 1997
Skills
Financial Modeling, Quantitative Finance, Equities, Statistics, Data Analysis, Mathematics, Mathematical Programming, Mathematical Analysis, Matlab, R, SQL, C, C++, Python, Code Review, Finance, Econometrics, SAS programming, Quantitative Analytics, Statistical Modeling
Education
University of Wisconsin-Madison 1997 — 2002
Ph.D., Mathematics
University of Maryland College Park 1993 — 1996
B.S., Mathematics, Electrical Engineering
Dave Bortman's US Securities and Exchange Commission Experience August 1974 - January 1977
Job Independent Law Practice Professional
Industry Law Practice
Experience
David Bortman Law Office April 1990 - Present
US Securities and Exchange Commission August 1974 - January 1977
Federal Public Defender February 1971 - March 1974
Wayne County Prosecuting Attorney's Office September 1965 - February 1970
Skills
Entertainment Law, Intellectual Property, Litigation, Commercial Litigation, Trade Secrets, Arbitration, Criminal Law, Licensing, Legal Writing, Corporate Law, Civil Litigation, Mediation, Legal Research, Entertainment, Legal Assistance, Joint Ventures, Copyright Law, Appeals, Class Actions, Securities Regulation, Trademarks, Trial Practice, Courts, Securities Litigation, Litigation Support, Alternative Dispute..., White Collar Criminal..., Patent Litigation, Trademark Infringement, Westlaw, Dispute Resolution, Product Liability, Criminal Defense, Unfair Competition, Trials, Bankruptcy, Breach Of Contract, Cyberlaw, Personal Injury, Privacy Law, Business Litigation, Family Law, Legal Issues, Hearings, Immigration Law, International Law, Jury Trials, Employment Law, Corporate Governance, Pleadings
Education
University of Michigan Law School 1961 — 1965
Juris Doctor
University of Michigan 1956 — 1961
B.A., English, theater
David Bortman Law Office April 1990 - Present
US Securities and Exchange Commission August 1974 - January 1977
Federal Public Defender February 1971 - March 1974
Wayne County Prosecuting Attorney's Office September 1965 - February 1970
Skills
Entertainment Law, Intellectual Property, Litigation, Commercial Litigation, Trade Secrets, Arbitration, Criminal Law, Licensing, Legal Writing, Corporate Law, Civil Litigation, Mediation, Legal Research, Entertainment, Legal Assistance, Joint Ventures, Copyright Law, Appeals, Class Actions, Securities Regulation, Trademarks, Trial Practice, Courts, Securities Litigation, Litigation Support, Alternative Dispute..., White Collar Criminal..., Patent Litigation, Trademark Infringement, Westlaw, Dispute Resolution, Product Liability, Criminal Defense, Unfair Competition, Trials, Bankruptcy, Breach Of Contract, Cyberlaw, Personal Injury, Privacy Law, Business Litigation, Family Law, Legal Issues, Hearings, Immigration Law, International Law, Jury Trials, Employment Law, Corporate Governance, Pleadings
Education
University of Michigan Law School 1961 — 1965
Juris Doctor
University of Michigan 1956 — 1961
B.A., English, theater
Barry Kanczuker's US Securities and Exchange Commission Experience October 2010 - Present
Job Associate Chief Accountant Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission October 2010 - Present
KPMG Audit October 1998 - October 2010
Skills
SEC filings, US GAAP, Sarbanes-Oxley Act, GAAP, CPA, IFRS, Auditing, Internal Controls, Financial Accounting, Revenue Recognition, Financial Reporting, Accounting, Sarbanes-Oxley, SEC
Education
University of Maryland - Robert H. Smith School of Business 1993 — 1997
Bachelor of Science, Accounting
US Securities and Exchange Commission October 2010 - Present
KPMG Audit October 1998 - October 2010
Skills
SEC filings, US GAAP, Sarbanes-Oxley Act, GAAP, CPA, IFRS, Auditing, Internal Controls, Financial Accounting, Revenue Recognition, Financial Reporting, Accounting, Sarbanes-Oxley, SEC
Education
University of Maryland - Robert H. Smith School of Business 1993 — 1997
Bachelor of Science, Accounting
Chris Waidelich's US Securities and Exchange Commission Experience May 2012 - July 2012
Job JONES DAY
Industry Law Practice
Experience
JONES DAY® October 2014 - Present
Jones Day May 2013 - July 2013
US Securities and Exchange Commission May 2012 - July 2012
Profit Recovery Partners June 2009 - August 2011
Profit Recovery Partners December 2008 - June 2009
Fisher Investments July 2007 - December 2008
Skills
Contract Negotiation, Training, Strategy, Sales, Leadership
Education
University of Notre Dame Law School 2011 — 2014
J.D.
University of Southern California 2003 — 2007
BS, Business
University of Southern California - Marshall School of Business 2003 — 2007
JONES DAY® October 2014 - Present
Jones Day May 2013 - July 2013
US Securities and Exchange Commission May 2012 - July 2012
Profit Recovery Partners June 2009 - August 2011
Profit Recovery Partners December 2008 - June 2009
Fisher Investments July 2007 - December 2008
Skills
Contract Negotiation, Training, Strategy, Sales, Leadership
Education
University of Notre Dame Law School 2011 — 2014
J.D.
University of Southern California 2003 — 2007
BS, Business
University of Southern California - Marshall School of Business 2003 — 2007
Jed Hickman, PMP's US Securities and Exchange Commission Experience January 2014 - Present
Job Assistant Director Application and Transition Management at US Securities and Exchange Commission
Industry Information Technology and Services
Experience
US Securities and Exchange Commission January 2014 - Present
Ventraq, Inc. October 2011 - January 2014
Energy Enterprise Solutions, LLC November 2007 - March 2011
Energy Enterprise Solutions, LLC November 2005 - January 2009
NCI, Inc. January 2003 - October 2005
Digex 2000 - 2003
Skills
SharePoint, PMP, SharePoint Designer, Information Security, Disaster Recovery, Information Assurance, Security, Data Center, Microsoft SQL Server, Managed Services, Enterprise Software, Virtualization, Network Security, IT Management, Servers, Governance, ITIL, Unix, Information Security..., Business Intelligence, Requirements Analysis, Enterprise Architecture, Professional Services, Vulnerability Assessment, Program Management, Cisco Technologies, PMO, Active Directory, SDLC, Cloud Computing, Network Administration, IT Strategy, System Administration, Windows Server, SaaS, IT Service Management, Web Development, VMware, CISSP, TCP/IP, Information Technology, Networking, IT Operations, Software Project..., Integration, Business Continuity, Software Development, Microsoft Exchange, Vendor Management, Computer Security
Education
University of Missouri-Columbia 1993 — 1998
BA, Business
Eleanor Roosevelt High School 1989 — 1993
US Securities and Exchange Commission January 2014 - Present
Ventraq, Inc. October 2011 - January 2014
Energy Enterprise Solutions, LLC November 2007 - March 2011
Energy Enterprise Solutions, LLC November 2005 - January 2009
NCI, Inc. January 2003 - October 2005
Digex 2000 - 2003
Skills
SharePoint, PMP, SharePoint Designer, Information Security, Disaster Recovery, Information Assurance, Security, Data Center, Microsoft SQL Server, Managed Services, Enterprise Software, Virtualization, Network Security, IT Management, Servers, Governance, ITIL, Unix, Information Security..., Business Intelligence, Requirements Analysis, Enterprise Architecture, Professional Services, Vulnerability Assessment, Program Management, Cisco Technologies, PMO, Active Directory, SDLC, Cloud Computing, Network Administration, IT Strategy, System Administration, Windows Server, SaaS, IT Service Management, Web Development, VMware, CISSP, TCP/IP, Information Technology, Networking, IT Operations, Software Project..., Integration, Business Continuity, Software Development, Microsoft Exchange, Vendor Management, Computer Security
Education
University of Missouri-Columbia 1993 — 1998
BA, Business
Eleanor Roosevelt High School 1989 — 1993
Conston Casey, CFE's US Securities and Exchange Commission Experience November 2014 - Present
Job Exam Manager at US Securities and Exchange Commission
Industry Investment Management
Experience
US Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission February 2005 - November 2014
US Securities and Exchange Commission February 2001 - February 2005
Century National Bank July 1999 - February 2001
Skills
SEC, Audit Committee, SEC filings, Securities Regulation, FINRA, Securities, Fraud, Internal Controls, Hedge Funds, Corporate Governance, Financial Regulation, Certified Fraud Examiner, AML, Alternative Investments, Mutual Funds, Asset Management, Capital Markets, Accounting, Due Diligence, Financial Analysis, Investments, SEC Filings, Anti Money Laundering
Education
University of Maryland College Park 1995 — 1999
Bachelor of Science (BS), Finance and Marketing
Easton Area High School 1991 — 1995
US Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission February 2005 - November 2014
US Securities and Exchange Commission February 2001 - February 2005
Century National Bank July 1999 - February 2001
Skills
SEC, Audit Committee, SEC filings, Securities Regulation, FINRA, Securities, Fraud, Internal Controls, Hedge Funds, Corporate Governance, Financial Regulation, Certified Fraud Examiner, AML, Alternative Investments, Mutual Funds, Asset Management, Capital Markets, Accounting, Due Diligence, Financial Analysis, Investments, SEC Filings, Anti Money Laundering
Education
University of Maryland College Park 1995 — 1999
Bachelor of Science (BS), Finance and Marketing
Easton Area High School 1991 — 1995
Alkesh Patel, PMP's US Securities and Exchange Commission Experience 2007 - 2010
Job Independent Consultant
Industry Information Technology and Services
Experience
Centers for Medicare and Medicaid - HIGLAS-APA February 2011 - Present
US Securities and Exchange Commission 2007 - 2010
IBM May 2005 - June 2008
BearingPoint 2004 - 2005
Eli Lilly and Company 2002 - 2004
Cap Gemini Ernst & Young 1997 - 2002
Skills
Business Process, Managerial Finance, Financial Reporting, PMO, Change Management, Requirements Analysis, Business Process..., Internal Controls, Project Management, Sarbanes-Oxley Act, Oracle E-Business Suite, IT Management, Management, Governance, IT Strategy, Auditing, Business Requirements, Business Intelligence, Enterprise Architecture
Education
University of Maryland - Robert H. Smith School of Business
Accounting/Finance
Centers for Medicare and Medicaid - HIGLAS-APA February 2011 - Present
US Securities and Exchange Commission 2007 - 2010
IBM May 2005 - June 2008
BearingPoint 2004 - 2005
Eli Lilly and Company 2002 - 2004
Cap Gemini Ernst & Young 1997 - 2002
Skills
Business Process, Managerial Finance, Financial Reporting, PMO, Change Management, Requirements Analysis, Business Process..., Internal Controls, Project Management, Sarbanes-Oxley Act, Oracle E-Business Suite, IT Management, Management, Governance, IT Strategy, Auditing, Business Requirements, Business Intelligence, Enterprise Architecture
Education
University of Maryland - Robert H. Smith School of Business
Accounting/Finance
Janet Y.'s US Securities and Exchange Commission Experience January 2005 - Present
Job Assistant Chief Accountant at SEC
Industry Accounting
Experience
US Securities and Exchange Commission January 2005 - Present
Education
University of Maryland College Park 1993 — 1997
US Securities and Exchange Commission January 2005 - Present
Education
University of Maryland College Park 1993 — 1997
Adrienne de la Rosa's US Securities and Exchange Commission Experience May 2011 - July 2011
Job Associate at Wiggin and Dana LLP
Industry Law Practice
Experience
Wiggin and Dana LLP September 2013 - Present
Notre Dame Intellectual Property & Entrepreneurship Clinic August 2012 - May 2013
Genova, Burns, Giantomasi & Webster July 2012 - August 2012
The Coca-Cola Company May 2012 - July 2012
Macy's December 2011 - January 2012
US Securities and Exchange Commission May 2011 - July 2011
The Home Depot March 2010 - August 2010
The Home Depot February 2008 - March 2010
W.W. Grainger, Inc. February 2006 - February 2008
AT&T Business Services August 2003 - February 2006
Skills
Legal Research, Strategic Planning, Contract Negotiation, Process Improvement, Forecasting, Negotiation, Data Analysis, Analysis, Marketing, Customer Service, Team Leadership, Leadership, Project Management, Sales, Management, Program Management, Strategy, CRM, Competitive Analysis, Spanish, Access, Marketing Strategy, Research, Cross-functional Team..., Microsoft Excel, Business Planning
Education
University of Notre Dame Law School 2010 — 2013
Juris Doctor (J.D.), Law
University of Notre Dame 1999 — 2003
Bachelor of Business Administration, Marketing and Japanese, International Business Certificate
C. Leon King High School 1997 — 1999
International Baccalaureate Diploma
International School of Beijing 1995 — 1997
Wiggin and Dana LLP September 2013 - Present
Notre Dame Intellectual Property & Entrepreneurship Clinic August 2012 - May 2013
Genova, Burns, Giantomasi & Webster July 2012 - August 2012
The Coca-Cola Company May 2012 - July 2012
Macy's December 2011 - January 2012
US Securities and Exchange Commission May 2011 - July 2011
The Home Depot March 2010 - August 2010
The Home Depot February 2008 - March 2010
W.W. Grainger, Inc. February 2006 - February 2008
AT&T Business Services August 2003 - February 2006
Skills
Legal Research, Strategic Planning, Contract Negotiation, Process Improvement, Forecasting, Negotiation, Data Analysis, Analysis, Marketing, Customer Service, Team Leadership, Leadership, Project Management, Sales, Management, Program Management, Strategy, CRM, Competitive Analysis, Spanish, Access, Marketing Strategy, Research, Cross-functional Team..., Microsoft Excel, Business Planning
Education
University of Notre Dame Law School 2010 — 2013
Juris Doctor (J.D.), Law
University of Notre Dame 1999 — 2003
Bachelor of Business Administration, Marketing and Japanese, International Business Certificate
C. Leon King High School 1997 — 1999
International Baccalaureate Diploma
International School of Beijing 1995 — 1997
Brian Palechek's US Securities and Exchange Commission Experience March 2008 - Present
Job Assistant Chief Accountant
Industry Law Enforcement
Experience
US Securities and Exchange Commission March 2008 - Present
ATF February 2004 - March 2008
Ernst & Young LLP September 1998 - February 2004
Skills
Forensic Accounting, Accounting, Fraud Investigations, Excel, Financial Reporting, Investigations, Financial Analysis, Fraud, CPA, Finance, Financial Audits
Education
University of Maryland College Park 1993 — 1998
BS, Accounting and Finance
US Securities and Exchange Commission March 2008 - Present
ATF February 2004 - March 2008
Ernst & Young LLP September 1998 - February 2004
Skills
Forensic Accounting, Accounting, Fraud Investigations, Excel, Financial Reporting, Investigations, Financial Analysis, Fraud, CPA, Finance, Financial Audits
Education
University of Maryland College Park 1993 — 1998
BS, Accounting and Finance
Michelle Danis's US Securities and Exchange Commission Experience March 2012 - Present
Job Assistant Director, Risk Supervised BrokerDealer Program at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission March 2012 - Present
U.S Securities and Exchange Commission 2011 - May 2012
US Securities and Exchange Commission 2009 - 2011
US Securities and Exchange Commission 2004 - 2009
OFHEO 2003 - 2004
US Census Bureau June 2000 - August 2003
Nathan Associates 1993 - 1996
Skills
Financial Risk, Analysis, Econometrics, Derivatives, Credit Risk, Financial Analysis, Fixed Income, Securities, Equities
Education
University of North Carolina at Chapel Hill 1997 — 2003
Ph.D., Economics
Virginia Polytechnic Institute and State University 1994 — 1997
MA, Economics
The College of William and Mary 1989 — 1993
BA, Economics
US Securities and Exchange Commission March 2012 - Present
U.S Securities and Exchange Commission 2011 - May 2012
US Securities and Exchange Commission 2009 - 2011
US Securities and Exchange Commission 2004 - 2009
OFHEO 2003 - 2004
US Census Bureau June 2000 - August 2003
Nathan Associates 1993 - 1996
Skills
Financial Risk, Analysis, Econometrics, Derivatives, Credit Risk, Financial Analysis, Fixed Income, Securities, Equities
Education
University of North Carolina at Chapel Hill 1997 — 2003
Ph.D., Economics
Virginia Polytechnic Institute and State University 1994 — 1997
MA, Economics
The College of William and Mary 1989 — 1993
BA, Economics
Paul Kisslinger's US Securities and Exchange Commission Experience March 2004 - Present
Job Asssistant Chief Litigation Counsel, Securities and Exchange Commission
Industry Law Practice
Experience
George Washington University School of Law August 2014 - Present
US Securities and Exchange Commission March 2004 - Present
Disckstein Shapiro LLP August 1999 - March 2004
Dickstein Shapiro LLP 1999 - 2004
Anderson Kill 1995 - 1999
Anderson Kill 1995 - 1999
Anderson Kill 1995 - 1999
Anderson Kill 1995 - 1999
Skills
Litigation, Securities Litigation, Securities Regulation, Commercial Litigation, Corporate Governance, Fraud Investigations, Legal Compliance
Education
University of Pittsburgh School of Law 1989 — 1992
Doctor of Law (J.D.), Law
University of Pennsylvania 1985 — 1989
Bachelor of Arts (B.A.), Biology, General
George Washington University School of Law August 2014 - Present
US Securities and Exchange Commission March 2004 - Present
Disckstein Shapiro LLP August 1999 - March 2004
Dickstein Shapiro LLP 1999 - 2004
Anderson Kill 1995 - 1999
Anderson Kill 1995 - 1999
Anderson Kill 1995 - 1999
Anderson Kill 1995 - 1999
Skills
Litigation, Securities Litigation, Securities Regulation, Commercial Litigation, Corporate Governance, Fraud Investigations, Legal Compliance
Education
University of Pittsburgh School of Law 1989 — 1992
Doctor of Law (J.D.), Law
University of Pennsylvania 1985 — 1989
Bachelor of Arts (B.A.), Biology, General
Christopher Merchant, CFA's US Securities and Exchange Commission Experience July 2012 - June 2014
Job Principal at PwC, Financial Instruments, Structured Products, and Real Estate Group
Industry Capital Markets
Experience
PricewaterhouseCoopers LLP January 2003 - Present
US Securities and Exchange Commission July 2012 - June 2014
Skills
Structured Products, US GAAP, Financial Reporting, Financial Analysis, Financial Modeling, Valuation, Securitization, Capital Markets, Risk Management, Enterprise Risk..., Financial Risk
Education
University of Maryland College Park 1998 — 2002
Bachelors, Math, Finance
PricewaterhouseCoopers LLP January 2003 - Present
US Securities and Exchange Commission July 2012 - June 2014
Skills
Structured Products, US GAAP, Financial Reporting, Financial Analysis, Financial Modeling, Valuation, Securitization, Capital Markets, Risk Management, Enterprise Risk..., Financial Risk
Education
University of Maryland College Park 1998 — 2002
Bachelors, Math, Finance
Timothy Thompson's US Securities and Exchange Commission Experience 1990 - 1994
Job Sr. V.P. at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
CBOE June 2003 - December 2014
Chicago Board Options Exchange June 2002 - June 2003
US Securities and Exchange Commission 1990 - 1994
Skills
FINRA, Securities, Equities, Securities Regulation, Capital Markets, AML, Hedge Funds, Options, Financial Markets, Risk Management, Anti Money Laundering, Derivatives, Electronic Trading, Series 7, Trading, Trading Systems
Education
University of Michigan Law School 1985 — 1988
Doctor of Law (J.D.)
University of Notre Dame 1981 — 1985
Bachelor of Business Administration (B.B.A.), Finance
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
CBOE June 2003 - December 2014
Chicago Board Options Exchange June 2002 - June 2003
US Securities and Exchange Commission 1990 - 1994
Skills
FINRA, Securities, Equities, Securities Regulation, Capital Markets, AML, Hedge Funds, Options, Financial Markets, Risk Management, Anti Money Laundering, Derivatives, Electronic Trading, Series 7, Trading, Trading Systems
Education
University of Michigan Law School 1985 — 1988
Doctor of Law (J.D.)
University of Notre Dame 1981 — 1985
Bachelor of Business Administration (B.B.A.), Finance
Kieran Brown's US Securities and Exchange Commission Experience AssociateDrinker Biddle & Reath LLPSeptember 1996 - August 2003
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission AssociateDrinker Biddle & Reath LLPSeptember 1996 - August 2003
Skills
Legal Research, Securities Litigation, Corporate Law, Litigation, Corporate Governance, Securities Regulation
Education
University of Pennsylvania Law School
JD
US Securities and Exchange Commission AssociateDrinker Biddle & Reath LLPSeptember 1996 - August 2003
Skills
Legal Research, Securities Litigation, Corporate Law, Litigation, Corporate Governance, Securities Regulation
Education
University of Pennsylvania Law School
JD
Ja'nice Wisdom's US Securities and Exchange Commission Experience May 2011 - Present
Job Founder/Executive Director at Read Across Jamaica Foundation, Inc.
Industry Nonprofit Organization Management
Experience
US Securities and Exchange Commission May 2011 - Present
Read Across Jamaica Foundation, Inc. 2004 - Present
National Association of Jamaican and Supportive Organizations, Inc (NAJASO) 2009 - 2011
Jamaica Nationals Association 2009 - 2011
Skills
Non-profits, Public Speaking, Program Management, Fundraising, Event Planning, Community Outreach, Policy, Leadership Development
Education
University of Maryland University College 1998 — 2007
B.Sc., Business Management/Information Management Systems
US Securities and Exchange Commission May 2011 - Present
Read Across Jamaica Foundation, Inc. 2004 - Present
National Association of Jamaican and Supportive Organizations, Inc (NAJASO) 2009 - 2011
Jamaica Nationals Association 2009 - 2011
Skills
Non-profits, Public Speaking, Program Management, Fundraising, Event Planning, Community Outreach, Policy, Leadership Development
Education
University of Maryland University College 1998 — 2007
B.Sc., Business Management/Information Management Systems
Lawrence Stierhoff's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Senior Associate at WilmerHale
Industry Law Practice
Experience
WilmerHale January 2015 - Present
WilmerHale July 2012 - January 2015
American Civil Liberties Union, LGBT and AIDS Project October 2011 - June 2012
University of Michigan Law School Child Advocacy Law Clinic January 2011 - June 2011
University of Michigan September 2008 - May 2011
Dewey & LeBoeuf LLP May 2010 - July 2010
US Securities and Exchange Commission June 2009 - August 2009
K&L Gates August 2006 - June 2008
University of Redlands October 2005 - May 2006
University of Redlands September 2005 - May 2006
Education
University of Michigan Law School 2008 — 2011
JD, Law
University of Redlands 2002 — 2006
BA, Critical Humanism and Continental Philosophy
University of Oxford 2005 — 2005
Philosophy, Politics, English Literature
Towson High School 1998 — 2002
WilmerHale January 2015 - Present
WilmerHale July 2012 - January 2015
American Civil Liberties Union, LGBT and AIDS Project October 2011 - June 2012
University of Michigan Law School Child Advocacy Law Clinic January 2011 - June 2011
University of Michigan September 2008 - May 2011
Dewey & LeBoeuf LLP May 2010 - July 2010
US Securities and Exchange Commission June 2009 - August 2009
K&L Gates August 2006 - June 2008
University of Redlands October 2005 - May 2006
University of Redlands September 2005 - May 2006
Education
University of Michigan Law School 2008 — 2011
JD, Law
University of Redlands 2002 — 2006
BA, Critical Humanism and Continental Philosophy
University of Oxford 2005 — 2005
Philosophy, Politics, English Literature
Towson High School 1998 — 2002
Donald Meier's US Securities and Exchange Commission Experience 2001 - 2001
Job Counsel at BuckleySandler LLP
Industry Law Practice
Experience
BuckleySandler LLP January 2010 - Present
LaulettaBirnbaum, LLC 2009 - 2009
Dechert LLP 2003 - 2009
Goodwin Procter LLP 2002 - 2002
US Securities and Exchange Commission 2001 - 2001
Aventis Pharmaceuticals December 1999 - June 2000
Skills
Mergers & Acquisitions, Corporate Governance, Joint Ventures, Securities Regulation, Private Equity, Corporate Law, Litigation, Licensing, Class Actions, Mergers, Commercial Litigation, Cross-border..., Securities, Capital Markets, Acquisitions, Restructuring
Education
University of Pennsylvania Law School 2000 — 2003
J.D.
Villanova University 1995 — 1999
B.A., B.A.H., Honors Program, Sociology, Business
Holy Ghost Preparatory School 1991 — 1995
BuckleySandler LLP January 2010 - Present
LaulettaBirnbaum, LLC 2009 - 2009
Dechert LLP 2003 - 2009
Goodwin Procter LLP 2002 - 2002
US Securities and Exchange Commission 2001 - 2001
Aventis Pharmaceuticals December 1999 - June 2000
Skills
Mergers & Acquisitions, Corporate Governance, Joint Ventures, Securities Regulation, Private Equity, Corporate Law, Litigation, Licensing, Class Actions, Mergers, Commercial Litigation, Cross-border..., Securities, Capital Markets, Acquisitions, Restructuring
Education
University of Pennsylvania Law School 2000 — 2003
J.D.
Villanova University 1995 — 1999
B.A., B.A.H., Honors Program, Sociology, Business
Holy Ghost Preparatory School 1991 — 1995
Laurie Blaisdell's US Securities and Exchange Commission Experience October 1989 - October 1999
Job Financial Services Professional
Industry Financial Services
Experience
US Securities and Exchange Commission October 1989 - October 1999
Education
University of Pittsburgh 1978 — 1982
Bachelors, business/sociology
US Securities and Exchange Commission October 1989 - October 1999
Education
University of Pittsburgh 1978 — 1982
Bachelors, business/sociology
Neville Jiang's US Securities and Exchange Commission Experience September 2010 - December 2010
Job Tax Attorney With an Emphasis in Federal Tax Accounting Matters
Industry Law Practice
Experience
Office of Chief Counsel - IRS August 2012 - Present
The Honorable Clayton Greene Jr. August 2011 - December 2011
Office of Chief Counsel - IRS June 2011 - August 2011
US Securities and Exchange Commission September 2010 - December 2010
PwC June 2006 - July 2010
Skills
SEC filings, Legal Research, Tax Law, Government, Auditing, Legal Writing, Financial Reporting, Sarbanes-Oxley Act, Internal Controls, Tax, Accounting, Corporate Governance, Due Diligence, Litigation, Litigation Support
Education
University of Maryland School of Law 2008 — 2011
JD, with honors
Virginia Polytechnic Institute and State University - Pamplin College of Business 2002 — 2005
BS, Accounting
Office of Chief Counsel - IRS August 2012 - Present
The Honorable Clayton Greene Jr. August 2011 - December 2011
Office of Chief Counsel - IRS June 2011 - August 2011
US Securities and Exchange Commission September 2010 - December 2010
PwC June 2006 - July 2010
Skills
SEC filings, Legal Research, Tax Law, Government, Auditing, Legal Writing, Financial Reporting, Sarbanes-Oxley Act, Internal Controls, Tax, Accounting, Corporate Governance, Due Diligence, Litigation, Litigation Support
Education
University of Maryland School of Law 2008 — 2011
JD, with honors
Virginia Polytechnic Institute and State University - Pamplin College of Business 2002 — 2005
BS, Accounting
Alison Micucci's US Securities and Exchange Commission Experience 1990 - 1995
Job Senior Managing Director, New York Life Investments
Industry Financial Services
Experience
New York Life Insurance Company September 2002 - Present
Goldman Sachs Asset Management 1999 - 2002
Prudential Financial 1995 - 1999
US Securities and Exchange Commission 1990 - 1995
Education
Western New England College School of Law 1987 — 1990
JD, Law
University of Massachusetts, Amherst 1983 — 1987
BA, Economics and Political Science, Univ. Honors Program
New York Life Insurance Company September 2002 - Present
Goldman Sachs Asset Management 1999 - 2002
Prudential Financial 1995 - 1999
US Securities and Exchange Commission 1990 - 1995
Education
Western New England College School of Law 1987 — 1990
JD, Law
University of Massachusetts, Amherst 1983 — 1987
BA, Economics and Political Science, Univ. Honors Program
Peter Shea's US Securities and Exchange Commission Experience 1988 - 1990
Job Partner at Katten Muchin Rosenman LLP
Industry Investment Management
Experience
Katten Muchin Rosenman LLP July 2004 - Present
Parker Poe Adams & Bernstein LLP 1994 - 2004
Fulbight & Jaworski 1991 - 1994
US Securities and Exchange Commission 1988 - 1990
Skills
Private Equity, Securities Regulation, Securities, Due Diligence, Hedge Funds, Corporate Governance, Corporate Law, Alternative Investments, Investments, Asset Management, Capital Markets, Legal Research, Equities, Appeals, IPO, Financial Services, Mutual Funds, ETFs, FINRA, SEC, Asset Allocation, Commodity, Options, Emerging Markets, Derivatives, Fixed Income, SEC filings, Investment Management, Structured Products, Funding, Fund Of Funds, Structured Finance, Financial Markets, Institutional..., Investment Advisory, Financial Structuring, Trading, SEC Filings
Education
University of Pennsylvania Law School 1986 — 1988
JD
William & Mary 1978 — 1982
BA, Economics
The Lawrenceville School 1974 — 1978
Katten Muchin Rosenman LLP July 2004 - Present
Parker Poe Adams & Bernstein LLP 1994 - 2004
Fulbight & Jaworski 1991 - 1994
US Securities and Exchange Commission 1988 - 1990
Skills
Private Equity, Securities Regulation, Securities, Due Diligence, Hedge Funds, Corporate Governance, Corporate Law, Alternative Investments, Investments, Asset Management, Capital Markets, Legal Research, Equities, Appeals, IPO, Financial Services, Mutual Funds, ETFs, FINRA, SEC, Asset Allocation, Commodity, Options, Emerging Markets, Derivatives, Fixed Income, SEC filings, Investment Management, Structured Products, Funding, Fund Of Funds, Structured Finance, Financial Markets, Institutional..., Investment Advisory, Financial Structuring, Trading, SEC Filings
Education
University of Pennsylvania Law School 1986 — 1988
JD
William & Mary 1978 — 1982
BA, Economics
The Lawrenceville School 1974 — 1978
Arthur Schmidt's US Securities and Exchange Commission Experience November 2008 - Present
Job Securities Compliance Examiner at US Securities & Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission November 2008 - Present
Deloitte & Touche August 2007 - November 2008
US Securities and Exchange Commission January 2004 - August 2007
Asset Alliance April 2000 - December 2002
UBS June 1999 - April 2000
Education
University of Reading 1997 — 1998
MSc, Finance & Investment
The University of Chicago 1990 — 1994
BA, Public Policy Studies, Economics
US Securities and Exchange Commission November 2008 - Present
Deloitte & Touche August 2007 - November 2008
US Securities and Exchange Commission January 2004 - August 2007
Asset Alliance April 2000 - December 2002
UBS June 1999 - April 2000
Education
University of Reading 1997 — 1998
MSc, Finance & Investment
The University of Chicago 1990 — 1994
BA, Public Policy Studies, Economics
Angie Schrad's US Securities and Exchange Commission Experience July 1996 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission July 1996 - Present
Education
University of Northern Iowa 1992 — 1996
B.S. Finance
US Securities and Exchange Commission July 1996 - Present
Education
University of Northern Iowa 1992 — 1996
B.S. Finance
Gail J. Gordon's US Securities and Exchange Commission Experience 1977 - 1990
Job Senior Director, Planned Giving & Endowments
Industry Philanthropy
Experience
The Jewish Federations of North America October 2004 - Present
Jewish Federation of Greater Seattle 2000 - 2003
Foster Pepper PLLC 1997 - 2000
Bogle & Gates PLLC 1991 - 1997
British Columbia Securities Commission 1990 - 1991
US Securities and Exchange Commission 1977 - 1990
Skills
Non-profits, Nonprofits, Philanthropy, Program Development, Grant Writing, Corporate Finance, Leadership, Volunteer Management, Program Management, Fundraising, Board Development
Education
Pardes Institute of Jewish Studies 2003 — 2004
N/A, Year Program
University of Washington School of Law 1974 — 1977
J.D., Law
University of Pennsylvania 1969 — 1972
B.A., Urban Studies
The Jewish Federations of North America October 2004 - Present
Jewish Federation of Greater Seattle 2000 - 2003
Foster Pepper PLLC 1997 - 2000
Bogle & Gates PLLC 1991 - 1997
British Columbia Securities Commission 1990 - 1991
US Securities and Exchange Commission 1977 - 1990
Skills
Non-profits, Nonprofits, Philanthropy, Program Development, Grant Writing, Corporate Finance, Leadership, Volunteer Management, Program Management, Fundraising, Board Development
Education
Pardes Institute of Jewish Studies 2003 — 2004
N/A, Year Program
University of Washington School of Law 1974 — 1977
J.D., Law
University of Pennsylvania 1969 — 1972
B.A., Urban Studies
Sharan Custer's US Securities and Exchange Commission Experience November 2003 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission November 2003 - Present
Fried Frank October 1998 - October 2003
Education
University of Michigan Law School 1995 — 1998
J.D., Law
University of Michigan 1991 — 1995
B.A., English and Philosophy
US Securities and Exchange Commission November 2003 - Present
Fried Frank October 1998 - October 2003
Education
University of Michigan Law School 1995 — 1998
J.D., Law
University of Michigan 1991 — 1995
B.A., English and Philosophy
Kerry Finegan Zinn's US Securities and Exchange Commission Experience April 2000 - May 2004
Job Financial Crime Counsel
Industry Law Practice
Experience
UBS February 2014 - Present
UBS Wealth Management December 2006 - February 2014
UBS Wealth Management May 2004 - December 2006
US Securities and Exchange Commission April 2000 - May 2004
Kozyak Tropin and Throckmorton, P.A. August 1999 - April 2000
U.S. District Court - Southern District of Florida August 1997 - August 1999
Skills
Litigation, Securities, Securities Regulation, FCPA, Legal Compliance, FINRA, Corporate Governance, Trials, Securities Litigation, Legal Research, Commercial Litigation, Arbitration, Mediation, Corporate Law, Due Diligence, Hedge Funds, Fraud, Legal Writing, Civil Litigation, Anti Money Laundering
Education
University of Miami School of Law 1994 — 1997
J.D.
University of Michigan-Dearborn 1991 — 1993
BA, Political Science
Stevenson High School
UBS February 2014 - Present
UBS Wealth Management December 2006 - February 2014
UBS Wealth Management May 2004 - December 2006
US Securities and Exchange Commission April 2000 - May 2004
Kozyak Tropin and Throckmorton, P.A. August 1999 - April 2000
U.S. District Court - Southern District of Florida August 1997 - August 1999
Skills
Litigation, Securities, Securities Regulation, FCPA, Legal Compliance, FINRA, Corporate Governance, Trials, Securities Litigation, Legal Research, Commercial Litigation, Arbitration, Mediation, Corporate Law, Due Diligence, Hedge Funds, Fraud, Legal Writing, Civil Litigation, Anti Money Laundering
Education
University of Miami School of Law 1994 — 1997
J.D.
University of Michigan-Dearborn 1991 — 1993
BA, Political Science
Stevenson High School
Jarett Decker's US Securities and Exchange Commission Experience June 2004 - July 2006
Job Centre for Financial Reporting Reform, Sr. Fin. Mgt. Spec. at World Bank
Industry Accounting
Experience
The World Bank May 2014 - Present
Public Company Accounting Oversight Board August 2006 - May 2014
US Securities and Exchange Commission June 2004 - July 2006
Skills
Securities Regulation, Corporate Governance, Forensic Accounting, Auditing, IFRS, Financial Reporting, Trials, Internal Controls, FCPA
Education
University of Michigan Law School 1987 — 1990
Juris Doctor
The College of William and Mary 1983 — 1987
Bachelor of Arts, High Honors in Economics
Государственный Институт Русского Языка им А.С. Пушкина / Pushkin State Russian Language Institute 1986 — 1986
Moscow, USSR
Middlebury College Summer Russian School 1984 — 1985
The World Bank May 2014 - Present
Public Company Accounting Oversight Board August 2006 - May 2014
US Securities and Exchange Commission June 2004 - July 2006
Skills
Securities Regulation, Corporate Governance, Forensic Accounting, Auditing, IFRS, Financial Reporting, Trials, Internal Controls, FCPA
Education
University of Michigan Law School 1987 — 1990
Juris Doctor
The College of William and Mary 1983 — 1987
Bachelor of Arts, High Honors in Economics
Государственный Институт Русского Языка им А.С. Пушкина / Pushkin State Russian Language Institute 1986 — 1986
Moscow, USSR
Middlebury College Summer Russian School 1984 — 1985
Julian Bulaon's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Law Clerk at Davis Polk & Wardwell LLP
Industry Law Practice
Experience
Davis Polk & Wardwell LLP May 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Protiviti September 2009 - August 2012
J.P. Morgan July 2009 - August 2009
Protiviti May 2008 - August 2008
Skills
Financial Modeling, Due Diligence, Internal Audit, Financial Services, Credit, Financial Analysis, Sarbanes-Oxley Act, Valuation, Corporate Finance, Management Consulting, Data Analysis, Internal Controls, Accounting, Business Process..., Financial Reporting, Auditing
Education
University of Michigan Law School 2012 — 2015
Doctor of Law (J.D.)
University of Illinois at Urbana-Champaign - College of Business 2005 — 2009
BS Finance
Davis Polk & Wardwell LLP May 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Protiviti September 2009 - August 2012
J.P. Morgan July 2009 - August 2009
Protiviti May 2008 - August 2008
Skills
Financial Modeling, Due Diligence, Internal Audit, Financial Services, Credit, Financial Analysis, Sarbanes-Oxley Act, Valuation, Corporate Finance, Management Consulting, Data Analysis, Internal Controls, Accounting, Business Process..., Financial Reporting, Auditing
Education
University of Michigan Law School 2012 — 2015
Doctor of Law (J.D.)
University of Illinois at Urbana-Champaign - College of Business 2005 — 2009
BS Finance
C. Hunter Wiggins's US Securities and Exchange Commission Experience 1999 - 2004
Job Principal Deputy Enforcement Director at Consumer Financial Protection Bureau
Industry Law Enforcement
Experience
Consumer Financial Protection Bureau February 2014 - Present
Consumer Financial Protection Bureau June 2011 - January 2014
Abbott Laboratories April 2010 - June 2011
Abbott Laboratories May 2008 - June 2010
Sonnenschein Nath & Rosenthal (now Dentons) April 2004 - April 2008
US Securities and Exchange Commission 1999 - 2004
Kirkland & Ellis LLP 1995 - 1998
United States District Court for the Eastern District of Virginia September 1993 - August 1994
Skills
Civil Litigation, Corporate Governance, Criminal Law, Legal Advice, FCPA, Litigation, Internal Investigations, Enforcement, Policy, Corporate Law, Government, Patent Litigation, Privacy Law, Arbitration, Competition Law, Courts, Law Enforcement
Education
University of Michigan Law School 1990 — 1993
JD, Law
University of Iowa 1985 — 1989
BA, English, Comparative Religion
Consumer Financial Protection Bureau February 2014 - Present
Consumer Financial Protection Bureau June 2011 - January 2014
Abbott Laboratories April 2010 - June 2011
Abbott Laboratories May 2008 - June 2010
Sonnenschein Nath & Rosenthal (now Dentons) April 2004 - April 2008
US Securities and Exchange Commission 1999 - 2004
Kirkland & Ellis LLP 1995 - 1998
United States District Court for the Eastern District of Virginia September 1993 - August 1994
Skills
Civil Litigation, Corporate Governance, Criminal Law, Legal Advice, FCPA, Litigation, Internal Investigations, Enforcement, Policy, Corporate Law, Government, Patent Litigation, Privacy Law, Arbitration, Competition Law, Courts, Law Enforcement
Education
University of Michigan Law School 1990 — 1993
JD, Law
University of Iowa 1985 — 1989
BA, English, Comparative Religion
Paul Kisslinger's US Securities and Exchange Commission Experience March 2004 - Present
Job Assistant Chief Litigation Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission March 2004 - Present
George Washington University School of Law May 2014 - Present
Dickstein Shapiro Morin & Oshinsky LLP (now Dickstein Shapiro LLP) 1999 - 2004
Anderson Kill & Olick, P.C. 1995 - 1999
Skills
Litigation, Commercial Litigation, Civil Litigation, Corporate Law, Appeals, Trials, Corporate Governance, Securities Regulation, Internal Investigations, Internal Controls, Antitrust Law, Insurance Law, Mergers & Acquisitions
Education
University of Pittsburgh School of Law 1989 — 1992
Juris Doctor, Law
University of Pennsylvania 1985 — 1989
BA, Biology
US Securities and Exchange Commission March 2004 - Present
George Washington University School of Law May 2014 - Present
Dickstein Shapiro Morin & Oshinsky LLP (now Dickstein Shapiro LLP) 1999 - 2004
Anderson Kill & Olick, P.C. 1995 - 1999
Skills
Litigation, Commercial Litigation, Civil Litigation, Corporate Law, Appeals, Trials, Corporate Governance, Securities Regulation, Internal Investigations, Internal Controls, Antitrust Law, Insurance Law, Mergers & Acquisitions
Education
University of Pittsburgh School of Law 1989 — 1992
Juris Doctor, Law
University of Pennsylvania 1985 — 1989
BA, Biology
Ann M. Griffith's US Securities and Exchange Commission Experience 1991 - 1997
Job Managing Director at Oyster Consulting, LLC
Industry Financial Services
Experience
Oyster Consulting, LLC 2011 - Present
IFC - International Finance Corporation August 2010 - June 2011
FBR July 2005 - June 2010
NASD 2002 - 2005
Credit Suisse First Boston January 1998 - June 2002
Bankers Trust 1997 - 1997
US Securities and Exchange Commission 1991 - 1997
Skills
Compliance, Corporate Governance, Series 7, FINRA, AML, Risk Management, Hedge Funds, Capital Markets, Investment Advisory, Securities Regulation, Risk Assessment, Policy, Private Equity, Broker-Dealer, Due Diligence, Securities, SEC, Equities, Alternative Investments, Financial Services, Private Placements, Prime Brokerage, Asset Management, Mutual Funds, Series 24, Trading, Anti Money Laundering
Education
University of Illinois College of Law 1986 — 1989
J.D., Law
University of Illinois at Urbana-Champaign 1982 — 1986
B.A., English
Oyster Consulting, LLC 2011 - Present
IFC - International Finance Corporation August 2010 - June 2011
FBR July 2005 - June 2010
NASD 2002 - 2005
Credit Suisse First Boston January 1998 - June 2002
Bankers Trust 1997 - 1997
US Securities and Exchange Commission 1991 - 1997
Skills
Compliance, Corporate Governance, Series 7, FINRA, AML, Risk Management, Hedge Funds, Capital Markets, Investment Advisory, Securities Regulation, Risk Assessment, Policy, Private Equity, Broker-Dealer, Due Diligence, Securities, SEC, Equities, Alternative Investments, Financial Services, Private Placements, Prime Brokerage, Asset Management, Mutual Funds, Series 24, Trading, Anti Money Laundering
Education
University of Illinois College of Law 1986 — 1989
J.D., Law
University of Illinois at Urbana-Champaign 1982 — 1986
B.A., English
Nathan Haselhorst, CFE, CAIA's US Securities and Exchange Commission Experience June 2000 - Present
Job Compliance Examiner at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission June 2000 - Present
Skills
SEC filings, Accounting, Financial Analysis, Due Diligence, Securities, IFRS, Financial Modeling, Investments, Mutual Funds, Hedge Funds
Education
University of Illinois at Urbana-Champaign - College of Business 1996 — 2000
B.S., Finance
University of Illinois at Urbana-Champaign - College of Business 1996 — 2000
BS in Finance, Finance, General
US Securities and Exchange Commission June 2000 - Present
Skills
SEC filings, Accounting, Financial Analysis, Due Diligence, Securities, IFRS, Financial Modeling, Investments, Mutual Funds, Hedge Funds
Education
University of Illinois at Urbana-Champaign - College of Business 1996 — 2000
B.S., Finance
University of Illinois at Urbana-Champaign - College of Business 1996 — 2000
BS in Finance, Finance, General
Andrew Schiff's US Securities and Exchange Commission Experience October 2014 - Present
Job Regional Trial Counsel at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission October 2014 - Present
US Securities and Exchange Commission July 2013 - September 2014
United States Attorney's Office November 2004 - July 2013
United States Attorney's Office, District of New Jersey 1990 - 2002
Skills
Litigation, Appeals, Criminal Law, Civil Litigation, Commercial Litigation, Trial Practice, Legal Research, Courts, Trials, Legal Writing
Education
University of Michigan Law School 1982 — 1985
Doctor of Law (JD)
University of Pennsylvania 1978 — 1982
B.S., Business
U.S. Securities and Exchange Commission October 2014 - Present
US Securities and Exchange Commission July 2013 - September 2014
United States Attorney's Office November 2004 - July 2013
United States Attorney's Office, District of New Jersey 1990 - 2002
Skills
Litigation, Appeals, Criminal Law, Civil Litigation, Commercial Litigation, Trial Practice, Legal Research, Courts, Trials, Legal Writing
Education
University of Michigan Law School 1982 — 1985
Doctor of Law (JD)
University of Pennsylvania 1978 — 1982
B.S., Business
Yahya Syed's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Investment Banking Analyst at Centerview Partners
Industry Financial Services
Experience
Centerview Partners July 2014 - Present
Rothschild June 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
John W. Loofbourrow Associates May 2011 - July 2011
Design Back Office July 2010 - August 2010
Education
University of Michigan - Stephen M. Ross School of Business 2010 — 2014
Bachelors of Business Administration, Emphases in Finance and Accounting
Centerview Partners July 2014 - Present
Rothschild June 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
John W. Loofbourrow Associates May 2011 - July 2011
Design Back Office July 2010 - August 2010
Education
University of Michigan - Stephen M. Ross School of Business 2010 — 2014
Bachelors of Business Administration, Emphases in Finance and Accounting
James Mckee's US Securities and Exchange Commission Experience September 1989 - December 1994
Job General Counsel at Tricadia Capital Management, LLC
Industry Financial Services
Experience
Tricadia Capital Management, LLC February 2008 - Present
GAMCO Investors, Inc. December 1994 - January 2008
US Securities and Exchange Commission September 1989 - December 1994
Education
University of Virginia School of Law 1986 — 1989
J.D.
University of Michigan 1981 — 1985
B.A.
Tricadia Capital Management, LLC February 2008 - Present
GAMCO Investors, Inc. December 1994 - January 2008
US Securities and Exchange Commission September 1989 - December 1994
Education
University of Virginia School of Law 1986 — 1989
J.D.
University of Michigan 1981 — 1985
B.A.
Menna Eltaki's US Securities and Exchange Commission Experience May 2005 - August 2005
Job Senior Manager, National Tax ITS Capital Markets at EY
Industry Accounting
Experience
EY April 2012 - Present
EY April 2012 - October 2014
McDermott Will and Emery September 2007 - March 2012
US Securities and Exchange Commission May 2005 - August 2005
Federal Reserve Bank of Chicago June 2002 - August 2004
Skills
Tax Law, Corporate Governance, International Tax, Cross-border..., Tax, Financial Transactions, Capital Markets, Subpart F
Education
University of Iowa College of Law 2004 — 2007
JD
The University of Chicago 1998 — 2002
Bachelor of Arts (B.A.), Economics
EY April 2012 - Present
EY April 2012 - October 2014
McDermott Will and Emery September 2007 - March 2012
US Securities and Exchange Commission May 2005 - August 2005
Federal Reserve Bank of Chicago June 2002 - August 2004
Skills
Tax Law, Corporate Governance, International Tax, Cross-border..., Tax, Financial Transactions, Capital Markets, Subpart F
Education
University of Iowa College of Law 2004 — 2007
JD
The University of Chicago 1998 — 2002
Bachelor of Arts (B.A.), Economics
Tony K. Nguyen's US Securities and Exchange Commission Experience March 2014 - May 2014
Job Tech Startup Lawyer @ Beacon Law Advisors, PLLC
Industry Law Practice
Experience
Beacon Law Advisors, PLLC September 2014 - Present
US Securities and Exchange Commission March 2014 - May 2014
BECU July 2013 - March 2014
W Fund June 2013 - July 2013
Garvey Schubert Barer June 2012 - August 2012
Skills
Legal Writing, Mandarin, Securities Regulation, Intellectual Property
Education
University of Washington 2011 — 2014
J.D., Law
University of Pennsylvania
B.A., History, Economics
Highline High School
Diploma
Beacon Law Advisors, PLLC September 2014 - Present
US Securities and Exchange Commission March 2014 - May 2014
BECU July 2013 - March 2014
W Fund June 2013 - July 2013
Garvey Schubert Barer June 2012 - August 2012
Skills
Legal Writing, Mandarin, Securities Regulation, Intellectual Property
Education
University of Washington 2011 — 2014
J.D., Law
University of Pennsylvania
B.A., History, Economics
Highline High School
Diploma
Laura Krcmaric's US Securities and Exchange Commission Experience 2013 - 2013
Job General Counsel Legal Associate at Credit Suisse
Industry Law Practice
Experience
Credit Suisse 2014 - Present
US Securities and Exchange Commission 2013 - 2013
North Carolina Department of Justice May 2012 - July 2012
Wyrick Robbins Yates & Ponton LLP 2009 - 2011
Skills
Westlaw
Education
UNC Chapel Hill 2011 — 2014
Juris Doctor (J.D.)
University of Notre Dame 2005 — 2009
B.A.
Credit Suisse 2014 - Present
US Securities and Exchange Commission 2013 - 2013
North Carolina Department of Justice May 2012 - July 2012
Wyrick Robbins Yates & Ponton LLP 2009 - 2011
Skills
Westlaw
Education
UNC Chapel Hill 2011 — 2014
Juris Doctor (J.D.)
University of Notre Dame 2005 — 2009
B.A.
Teon Abrams's US Securities and Exchange Commission Experience August 2010 - Present
Job Paralegal at U.S. Securities & Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission August 2010 - Present
Other Government Agency March 2011 - March 2012
Neighborhood Legal Services Program April 2008 - August 2009
Covington & Burling May 2007 - July 2009
Hollingsworth LLP July 2006 - March 2007
Skills
Legal Research, Westlaw, Legal Writing, Leadership, Due Diligence, Training, Analysis
Education
University of Maryland College Park 2002 — 2006
Criminal Justice, Criminal Justice
US Securities and Exchange Commission August 2010 - Present
Other Government Agency March 2011 - March 2012
Neighborhood Legal Services Program April 2008 - August 2009
Covington & Burling May 2007 - July 2009
Hollingsworth LLP July 2006 - March 2007
Skills
Legal Research, Westlaw, Legal Writing, Leadership, Due Diligence, Training, Analysis
Education
University of Maryland College Park 2002 — 2006
Criminal Justice, Criminal Justice
Catt Henderson's US Securities and Exchange Commission Experience March 2012 - Present
Job Senior Paralegal Specialist at US Securities & Exchange Commission
Industry Legal Services
Experience
US Securities and Exchange Commission March 2012 - Present
Skills
Government Procurement, Public Speaking, Westlaw, Lexis, Legal Research, Contract Negotiation, Legal Writing, Nonprofits, Microsoft Office, Training, Litigation Support, Document Review, Analysis, Contract Management, Courts
Education
University of Maryland University College
Legal Studies, Legal Studies
US Securities and Exchange Commission March 2012 - Present
Skills
Government Procurement, Public Speaking, Westlaw, Lexis, Legal Research, Contract Negotiation, Legal Writing, Nonprofits, Microsoft Office, Training, Litigation Support, Document Review, Analysis, Contract Management, Courts
Education
University of Maryland University College
Legal Studies, Legal Studies
Jeanne Marie (Del Ricci) Patterson's US Securities and Exchange Commission Experience 1979 - 1984
Job Volunteer, previous board member
Industry Nonprofit Organization Management
Experience
Orchestra Kentucky 2002 - Present
U.S. Department of the Treasury 1988 - 1993
US Securities and Exchange Commission 1979 - 1984
Walter Reed Army Medical Center 1977 - 1978
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Customer Service, Windows, Research, Budgets, Event Planning, Event Management, Non-profit...
Education
Cardinal Dougherty High School 1964 — 1968
St Joseph Cheltenham 1956 — 1964
1-8
University of Maryland College Park
Bachelor of Business Administration (B.B.A.)
Orchestra Kentucky 2002 - Present
U.S. Department of the Treasury 1988 - 1993
US Securities and Exchange Commission 1979 - 1984
Walter Reed Army Medical Center 1977 - 1978
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Customer Service, Windows, Research, Budgets, Event Planning, Event Management, Non-profit...
Education
Cardinal Dougherty High School 1964 — 1968
St Joseph Cheltenham 1956 — 1964
1-8
University of Maryland College Park
Bachelor of Business Administration (B.B.A.)
Emily Heller's US Securities and Exchange Commission Experience June 2011 - August 2011
Job Clerk at United States District Court for the Eastern District of Pennsylvania
Industry Law Practice
Experience
United States District Court for the Eastern District of Pennsylvania August 2012 - Present
US Securities and Exchange Commission June 2011 - August 2011
Illinois Attorney General's Office May 2010 - August 2010
Education
University of Illinois College of Law 2009 — 2012
Doctor of Law (J.D.), Law
University of Illinois at Urbana-Champaign 2004 — 2008
Bachelor of Arts (B.A.), International/Global Studies
United States District Court for the Eastern District of Pennsylvania August 2012 - Present
US Securities and Exchange Commission June 2011 - August 2011
Illinois Attorney General's Office May 2010 - August 2010
Education
University of Illinois College of Law 2009 — 2012
Doctor of Law (J.D.), Law
University of Illinois at Urbana-Champaign 2004 — 2008
Bachelor of Arts (B.A.), International/Global Studies
Rebecca Dorfan's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Associate at Ropes & Gray LLP
Industry Law Practice
Experience
Ropes & Gray LLP October 2014 - Present
University of Michigan Law Library January 2013 - August 2014
University of Michigan Law School Community and Economic Development Transactional Clinic September 2013 - December 2013
US Securities and Exchange Commission May 2013 - August 2013
University of Michigan Ross School of Business May 2012 - August 2012
Chief Judge Gerald E. Rosen, U.S. District Court, Eastern District of Michigan May 2012 - August 2012
University of Michigan January 2011 - July 2011
The White House September 2010 - December 2010
United States House of Representatives July 2010 - August 2010
United States Senate June 2010 - July 2010
Education
University of Michigan Law School 2011 — 2014
Juris Doctor (J.D.), cum laude
University of Michigan 2007 — 2010
B.A. with Highest Distinction
Ropes & Gray LLP October 2014 - Present
University of Michigan Law Library January 2013 - August 2014
University of Michigan Law School Community and Economic Development Transactional Clinic September 2013 - December 2013
US Securities and Exchange Commission May 2013 - August 2013
University of Michigan Ross School of Business May 2012 - August 2012
Chief Judge Gerald E. Rosen, U.S. District Court, Eastern District of Michigan May 2012 - August 2012
University of Michigan January 2011 - July 2011
The White House September 2010 - December 2010
United States House of Representatives July 2010 - August 2010
United States Senate June 2010 - July 2010
Education
University of Michigan Law School 2011 — 2014
Juris Doctor (J.D.), cum laude
University of Michigan 2007 — 2010
B.A. with Highest Distinction
Elliott Cohan's US Securities and Exchange Commission Experience 1968 - 1982
Job Retired after practicing law for 45 years.
Industry Legal Services
Experience
Kramer Levin Naftalis & Frankel LLP October 1998 - June 2013
Federated Investors 1982 - 1998
US Securities and Exchange Commission 1968 - 1982
Skills
Securities, Securities Regulation, Corporate Law, Legal Research, Legal Writing, Corporate Governance, Capital Markets, Due Diligence, Mergers, Hedge Funds
Education
NYU Stern School of Business 1966 — 1968
MBA, Management
University of Maryland School of Law 1963 — 1966
LLB, Law
Kramer Levin Naftalis & Frankel LLP October 1998 - June 2013
Federated Investors 1982 - 1998
US Securities and Exchange Commission 1968 - 1982
Skills
Securities, Securities Regulation, Corporate Law, Legal Research, Legal Writing, Corporate Governance, Capital Markets, Due Diligence, Mergers, Hedge Funds
Education
NYU Stern School of Business 1966 — 1968
MBA, Management
University of Maryland School of Law 1963 — 1966
LLB, Law
Chad Eskildsen's US Securities and Exchange Commission Experience ManagerPricewaterhouseCoopers1999 - 2004
Job Senior Staff Accountant at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission ManagerPricewaterhouseCoopers1999 - 2004
Skills
SEC filings, Financial Reporting, GAAP
Education
University of Northern Iowa 1992 — 1994
bs, Finance/Economics
US Securities and Exchange Commission ManagerPricewaterhouseCoopers1999 - 2004
Skills
SEC filings, Financial Reporting, GAAP
Education
University of Northern Iowa 1992 — 1994
bs, Finance/Economics
Wally Watson's US Securities and Exchange Commission Experience January 1999 - Present
Job AV and Television Production Specialist at US Securities and Exchange Commission
Industry Media Production
Experience
US Securities and Exchange Commission January 1999 - Present
The US Navy Recruiting Command June 1996 - January 1999
Cable Satellite Public Affairs Network (C-SPAN) August 1993 - June 1996
Skills
20 years Amry Retired..., Former Instructor for..., Troubleshooting, Video Production, Public Speaking, AV, Microsoft Office, Research, Analysis, System Administration, Microsoft Excel, Strategic Planning, Program Management, Process Improvement, Project Management, Editing, Risk Management, Management, Corporate Governance, Social Media
Education
University of Maryland College Park 1988 — 1989
U.S. History to 1865, Introduction to Politices, B+
Precommission Officer Coure 1985 — 1987
Yes/Diploma, U.S. Army Officers Training, B
Air Force Communtiy College 1980 — 1982
Audio and Television Production Specialist (Instructor), Tests and Measurement, Conuseling, A
Big Ben Community College 1979 — 1980
Communications Technology/Technician, A
Stanton Senior High School, Jacksonville, Florida
US Securities and Exchange Commission January 1999 - Present
The US Navy Recruiting Command June 1996 - January 1999
Cable Satellite Public Affairs Network (C-SPAN) August 1993 - June 1996
Skills
20 years Amry Retired..., Former Instructor for..., Troubleshooting, Video Production, Public Speaking, AV, Microsoft Office, Research, Analysis, System Administration, Microsoft Excel, Strategic Planning, Program Management, Process Improvement, Project Management, Editing, Risk Management, Management, Corporate Governance, Social Media
Education
University of Maryland College Park 1988 — 1989
U.S. History to 1865, Introduction to Politices, B+
Precommission Officer Coure 1985 — 1987
Yes/Diploma, U.S. Army Officers Training, B
Air Force Communtiy College 1980 — 1982
Audio and Television Production Specialist (Instructor), Tests and Measurement, Conuseling, A
Big Ben Community College 1979 — 1980
Communications Technology/Technician, A
Stanton Senior High School, Jacksonville, Florida
Matthew Skidmore's US Securities and Exchange Commission Experience AssociateFried Frank2000 - 2004
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission AssociateFried Frank2000 - 2004
Education
University of Pennsylvania Law School 1997 — 2000
JD, Law
University of Utah 1991 — 1996
BA, Sociology
US Securities and Exchange Commission AssociateFried Frank2000 - 2004
Education
University of Pennsylvania Law School 1997 — 2000
JD, Law
University of Utah 1991 — 1996
BA, Sociology
Robert Benton's US Securities and Exchange Commission Experience June 1991 - June 2011
Job Accounting Consultant at Rockville AG Church
Industry Accounting
Experience
Rockville AG Church January 2014 - Present
Ekkoo Registry LLC 2009 - 2014
a non-profit organization August 2012 - March 2013
Independent Accounting Consultant July 2011 - June 2012
US Securities and Exchange Commission June 1991 - June 2011
Coopers & Lybrand June 1986 - April 1991
Skills
Accounting, Audit, Auditing, Financial Reporting, Budgeting, Preparation, Compliance, SEC reporting, GAAP, Financial Accounting, SOX, SEC filings, Sarbanes-Oxley Act, Internal Controls, CPA, IFRS, US GAAP, Financial Statements, Revenue Recognition, Budgets, External Audit, Consolidation, General Ledger, Tax, Assurance, Variance Analysis, Internal Audit, Big 4, Sarbanes-Oxley, Financial Analysis, Account Reconciliation, Accounts Receivable, Cost Accounting, Managerial Finance, Forensic Accounting, SEC Filings
Education
University of Maryland College Park 1983 — 1986
BS, Accounting
University of Maryland College Park
Bachelor's degree in Accounting, Accounting and Finance
Rockville AG Church January 2014 - Present
Ekkoo Registry LLC 2009 - 2014
a non-profit organization August 2012 - March 2013
Independent Accounting Consultant July 2011 - June 2012
US Securities and Exchange Commission June 1991 - June 2011
Coopers & Lybrand June 1986 - April 1991
Skills
Accounting, Audit, Auditing, Financial Reporting, Budgeting, Preparation, Compliance, SEC reporting, GAAP, Financial Accounting, SOX, SEC filings, Sarbanes-Oxley Act, Internal Controls, CPA, IFRS, US GAAP, Financial Statements, Revenue Recognition, Budgets, External Audit, Consolidation, General Ledger, Tax, Assurance, Variance Analysis, Internal Audit, Big 4, Sarbanes-Oxley, Financial Analysis, Account Reconciliation, Accounts Receivable, Cost Accounting, Managerial Finance, Forensic Accounting, SEC Filings
Education
University of Maryland College Park 1983 — 1986
BS, Accounting
University of Maryland College Park
Bachelor's degree in Accounting, Accounting and Finance
Seth Nuon's US Securities and Exchange Commission Experience February 2015 - Present
Job U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission February 2015 - Present
Ascella Technologies, Inc. February 2013 - January 2015
Buchanan Ingersoll & Rooney PC August 2011 - January 2013
US Securities and Exchange Commission 2012 - December 2012
Maryland Tax Court 2011 - 2011
Baltimore City Circuit Court for the Honorable Judge Hargadon 2011 - 2011
Skills
Westlaw, Litigation, Legal Writing, Legal Research, Courts, Commercial Litigation
Education
University of Maryland School of Law 2009 — 2012
JD.
University of Maryland - Robert H. Smith School of Business 2005 — 2009
BS., Accounting and Finance
U.S. Securities and Exchange Commission February 2015 - Present
Ascella Technologies, Inc. February 2013 - January 2015
Buchanan Ingersoll & Rooney PC August 2011 - January 2013
US Securities and Exchange Commission 2012 - December 2012
Maryland Tax Court 2011 - 2011
Baltimore City Circuit Court for the Honorable Judge Hargadon 2011 - 2011
Skills
Westlaw, Litigation, Legal Writing, Legal Research, Courts, Commercial Litigation
Education
University of Maryland School of Law 2009 — 2012
JD.
University of Maryland - Robert H. Smith School of Business 2005 — 2009
BS., Accounting and Finance
Patrice W.'s US Securities and Exchange Commission Experience February 1990 - August 2010
Job Self Employed
Industry Real Estate
Experience
- September 2000 - Present
- September 2000 - Present
US Securities and Exchange Commission February 1990 - August 2010
US Securities and Exchange Commission February 1990 - August 2010
Skills
Securities Regulation, Real Estate, Short Sales, Real Estate Transactions, Foreclosures, Investments, Property Management, Commercial Real Estate, Asset Management, Leases, Real Estate Economics, Brokerage, Due Diligence, Contract Negotiation, Valuation
Education
University of Maryland College Park
Accounting
- September 2000 - Present
- September 2000 - Present
US Securities and Exchange Commission February 1990 - August 2010
US Securities and Exchange Commission February 1990 - August 2010
Skills
Securities Regulation, Real Estate, Short Sales, Real Estate Transactions, Foreclosures, Investments, Property Management, Commercial Real Estate, Asset Management, Leases, Real Estate Economics, Brokerage, Due Diligence, Contract Negotiation, Valuation
Education
University of Maryland College Park
Accounting
Neil Dixit's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Corporate Finance Intern at US Securities and Exchange Commission
Industry
Experience
Deloitte FAS June 2013 - August 2013
US Securities and Exchange Commission September 2012 - December 2012
Education
University of Maryland College Park 2009 — 2014
BS/BA, Accounting and Finance, Criminal Justice
Deloitte FAS June 2013 - August 2013
US Securities and Exchange Commission September 2012 - December 2012
Education
University of Maryland College Park 2009 — 2014
BS/BA, Accounting and Finance, Criminal Justice
Michael Pokorny's US Securities and Exchange Commission Experience March 2010 - October 2010
Job Senior Manager Retail Revenue and Transportation Accounting at Amazon
Industry Internet
Experience
Amazon November 2014 - Present
Amazon November 2012 - November 2014
Walker & Dunlop October 2010 - November 2012
US Securities and Exchange Commission March 2010 - October 2010
KPMG July 2004 - March 2010
Skills
CPA, US GAAP, Internal Controls, Financial Reporting, SEC filings, Sarbanes-Oxley Act
Education
University of Maryland College Park
Bachelor of Science (B.S.), Accounting
Amazon November 2014 - Present
Amazon November 2012 - November 2014
Walker & Dunlop October 2010 - November 2012
US Securities and Exchange Commission March 2010 - October 2010
KPMG July 2004 - March 2010
Skills
CPA, US GAAP, Internal Controls, Financial Reporting, SEC filings, Sarbanes-Oxley Act
Education
University of Maryland College Park
Bachelor of Science (B.S.), Accounting
Raymond Ferrari's US Securities and Exchange Commission Experience October 2013 - Present
Job Architect/ Construction Mgr. at US Securities and Exchange Commission
Industry Architecture & Planning
Experience
US Securities and Exchange Commission October 2013 - Present
SDSE September 2009 - October 2013
Matrix Settles May 1988 - August 2009
Skills
Teaching, Photoshop, Public Speaking, HTML, Microsoft Project, Construction, Microsoft Office, AutoCAD, Project Planning, Project Management, Budgets, Analysis, Management, Windows, Architecture, Construction Management
Education
University of Utah 1973 — 1977
Master of Architecture (M.Arch.), Architecture
University of Notre Dame 1968 — 1972
Bachelor's degree, Economics
US Securities and Exchange Commission October 2013 - Present
SDSE September 2009 - October 2013
Matrix Settles May 1988 - August 2009
Skills
Teaching, Photoshop, Public Speaking, HTML, Microsoft Project, Construction, Microsoft Office, AutoCAD, Project Planning, Project Management, Budgets, Analysis, Management, Windows, Architecture, Construction Management
Education
University of Utah 1973 — 1977
Master of Architecture (M.Arch.), Architecture
University of Notre Dame 1968 — 1972
Bachelor's degree, Economics
George Jay Flanagan's US Securities and Exchange Commission Experience January 2002 - December 2004
Job Retired at Retired Fed
Industry Government Administration
Experience
Retired Fed November 2009 - Present
U.S. Department of Labor January 2007 - November 2009
U.S. Department of Justice December 2004 - January 2007
US Securities and Exchange Commission January 2002 - December 2004
U.S. Department of Agriculture September 1999 - January 2002
U.S. Census Bureau July 1996 - September 1999
USPTO March 1998 - August 1998
U.S. Department of Labor March 1979 - July 1996
University of Massachusetts Amherst September 1978 - December 1978
Social Security Administration August 1975 - August 1977
Education
University of Massachusetts, Amherst 1977 — 1979
Master of Science of Business Administration, Personnel and Industrial Relations
University of Massachusetts, Amherst 1971 — 1975
Bachelor of Business Administration (BBA), Management
Retired Fed November 2009 - Present
U.S. Department of Labor January 2007 - November 2009
U.S. Department of Justice December 2004 - January 2007
US Securities and Exchange Commission January 2002 - December 2004
U.S. Department of Agriculture September 1999 - January 2002
U.S. Census Bureau July 1996 - September 1999
USPTO March 1998 - August 1998
U.S. Department of Labor March 1979 - July 1996
University of Massachusetts Amherst September 1978 - December 1978
Social Security Administration August 1975 - August 1977
Education
University of Massachusetts, Amherst 1977 — 1979
Master of Science of Business Administration, Personnel and Industrial Relations
University of Massachusetts, Amherst 1971 — 1975
Bachelor of Business Administration (BBA), Management
Christine Auter's US Securities and Exchange Commission Experience May 2013 - June 2013
Job Paralegal Intern at US Securities and Exchange Commission
Industry Information Technology and Services
Experience
Russ, August, and Kabat July 2013 - Present
US Securities and Exchange Commission May 2013 - June 2013
Agilysys December 2010 - February 2012
Agilysys 2010 - 2012
The Venetian I The Palazzo, Resort Hotel & Casino I Las Vegas Sands Corp. August 2007 - November 2008
The Venetian I The Palazzo, Resort Hotel & Casino I Las Vegas Sands Corp. April 2006 - August 2007
The Venetian I The Palazzo, Resort Hotel & Casino I Las Vegas Sands Corp. August 1999 - April 2006
Skills
Quality Assurance, Outlook, Technical Support, Customer Service, Microsoft Office, Troubleshooting, Training, Microsoft Excel, Windows
Education
UCLA Extension Paralegal Training Program 2013 — 2013
Paralegal Certificate
UNLV 2001 — 2003
Bachelor of Arts (B.A.), Political Science
Russ, August, and Kabat July 2013 - Present
US Securities and Exchange Commission May 2013 - June 2013
Agilysys December 2010 - February 2012
Agilysys 2010 - 2012
The Venetian I The Palazzo, Resort Hotel & Casino I Las Vegas Sands Corp. August 2007 - November 2008
The Venetian I The Palazzo, Resort Hotel & Casino I Las Vegas Sands Corp. April 2006 - August 2007
The Venetian I The Palazzo, Resort Hotel & Casino I Las Vegas Sands Corp. August 1999 - April 2006
Skills
Quality Assurance, Outlook, Technical Support, Customer Service, Microsoft Office, Troubleshooting, Training, Microsoft Excel, Windows
Education
UCLA Extension Paralegal Training Program 2013 — 2013
Paralegal Certificate
UNLV 2001 — 2003
Bachelor of Arts (B.A.), Political Science
Bill Watts's US Securities and Exchange Commission Experience August 2004 - October 2005
Job Attorney at Sutherland Asbill & Brennan LLP
Industry Law Practice
Experience
Sutherland Asbill & Brennan LLP May 2011 - Present
Morgan Creek Capital Management, LLC October 2005 - May 2011
US Securities and Exchange Commission August 2004 - October 2005
Education
University of North Carolina at Chapel Hill
Juris Doctorate
University of North Carolina at Chapel Hill
Bachelor of Arts (B.A.), Political Science and Government
Sutherland Asbill & Brennan LLP May 2011 - Present
Morgan Creek Capital Management, LLC October 2005 - May 2011
US Securities and Exchange Commission August 2004 - October 2005
Education
University of North Carolina at Chapel Hill
Juris Doctorate
University of North Carolina at Chapel Hill
Bachelor of Arts (B.A.), Political Science and Government
Kevin Levenberg's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at Sullivan & Cromwell LLP
Industry Law Practice
Experience
Sullivan & Cromwell LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Kobre & Kim LLP July 2009 - July 2011
Skills
Bowling
Education
University of Pennsylvania Law School 2011 — 2014
Doctor of Law (JD)
Yale University 2005 — 2009
Bachelor of Arts (BA)
Sullivan & Cromwell LLP May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Kobre & Kim LLP July 2009 - July 2011
Skills
Bowling
Education
University of Pennsylvania Law School 2011 — 2014
Doctor of Law (JD)
Yale University 2005 — 2009
Bachelor of Arts (BA)
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency