US Securities and Exchange Commission
Industry: Federal agency
DescriptionThe U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Jurisdiction: United States of America Employees: 4,301 (2015) Headquarters: Washington, D.C., United States Founder: Franklin D. Roosevelt Founded: 6 June 1934
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US Securities and Exchange Commission Employees
Employee
Years
Job
Industry
Michele Hayes Michele Hayes's US Securities and Exchange Commission Experience March 2005 - December 2006
Job Director of Student Affairs, University of Maryland Francis King Carey School of Law
Industry Higher Education
Experience
University of Maryland Francis King Carey School of Law January 2014 - Present
University of Maryland School of Law December 2006 - January 2014
US Securities and Exchange Commission March 2005 - December 2006
George Washington University March 2002 - March 2005
Spherion Legal Group 1999 - 2000
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Outlook, English, Windows, Public Speaking, Teaching, Strategic Planning, Negotiation, Human Resources, Student Recruiting, Corporate Recruiting, Career Development, Job Search Coach, Interview Skills..., Document Review, Community Outreach, Legal Research, Staff Development, Admissions, Legal Writing, Nonprofits
Education
The George Washington University Law School 1997 — 1998
Master of Laws (LL.M.)
American University, Washington College of Law 1993 — 1996
Doctor of Law (JD), Law
Spelman College 1988 — 1992
Bachelor of Arts (BA), English Literature (British and Commonwealth)
US Congressional Page School
University of Maryland Francis King Carey School of Law January 2014 - Present
University of Maryland School of Law December 2006 - January 2014
US Securities and Exchange Commission March 2005 - December 2006
George Washington University March 2002 - March 2005
Spherion Legal Group 1999 - 2000
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Outlook, English, Windows, Public Speaking, Teaching, Strategic Planning, Negotiation, Human Resources, Student Recruiting, Corporate Recruiting, Career Development, Job Search Coach, Interview Skills..., Document Review, Community Outreach, Legal Research, Staff Development, Admissions, Legal Writing, Nonprofits
Education
The George Washington University Law School 1997 — 1998
Master of Laws (LL.M.)
American University, Washington College of Law 1993 — 1996
Doctor of Law (JD), Law
Spelman College 1988 — 1992
Bachelor of Arts (BA), English Literature (British and Commonwealth)
US Congressional Page School
Bobby Gold Bobby Gold's US Securities and Exchange Commission Experience January 2005 - June 2005
Job Owner & Founder at Doc Discounts
Industry Hospital & Health Care
Experience
Doc Discounts July 2014 - Present
Honest Discounts June 2012 - September 2013
Honest Discounts June 2011 - June 2012
Competitive Edge Distributing January 2010 - June 2012
SCVNGR September 2010 - March 2011
SAG & AFTRA June 2007 - February 2011
CIT June 2005 - July 2005
US Securities and Exchange Commission January 2005 - June 2005
CIT June 2004 - July 2004
Skills
Social Networking, Social Media, CRM, Management, Customer Service, Sales, Sales Management, Start-ups, Finance
Education
Bentley University 2002 — 2006
Bachelor of Arts (B.A.), Finance, General
Copenhagen Business School 2005 — 2006
Bachelor's Degree, Finance
St. Anthony's High School 1998 — 2002
High School
Doc Discounts July 2014 - Present
Honest Discounts June 2012 - September 2013
Honest Discounts June 2011 - June 2012
Competitive Edge Distributing January 2010 - June 2012
SCVNGR September 2010 - March 2011
SAG & AFTRA June 2007 - February 2011
CIT June 2005 - July 2005
US Securities and Exchange Commission January 2005 - June 2005
CIT June 2004 - July 2004
Skills
Social Networking, Social Media, CRM, Management, Customer Service, Sales, Sales Management, Start-ups, Finance
Education
Bentley University 2002 — 2006
Bachelor of Arts (B.A.), Finance, General
Copenhagen Business School 2005 — 2006
Bachelor's Degree, Finance
St. Anthony's High School 1998 — 2002
High School
Janet Ulman Janet Ulman's US Securities and Exchange Commission Experience August 1998 - May 2001
Job Director & Tax Counsel at Lutron Electronics
Industry Electrical/Electronic Manufacturing
Experience
Lutron Electronics Co., Inc. February 2011 - Present
Air Products and Chemicals, Inc. June 2001 - January 2011
US Securities and Exchange Commission August 1998 - May 2001
Skills
Tax, International Tax, Tax Audit Representation, Direct Tax, Indirect Taxation, State Tax Planning, ERISA, Team Building, Mentoring Of Staff, Cross-functional Team..., Transfer Pricing, Contract Negotiation, Due Diligence, Mergers, Accounting, Restructuring, Joint Ventures, Strategic Planning, Corporate Tax, Employee Benefits, Mergers & Acquisitions, Business Planning, Tax Law, Management, Auditing, Process Improvement
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1995 — 1998
JD
Pace University 1991 — 1995
BBA / MBA Magna Cum Laude
Bronx Science 1987 — 1991
High School
Lutron Electronics Co., Inc. February 2011 - Present
Air Products and Chemicals, Inc. June 2001 - January 2011
US Securities and Exchange Commission August 1998 - May 2001
Skills
Tax, International Tax, Tax Audit Representation, Direct Tax, Indirect Taxation, State Tax Planning, ERISA, Team Building, Mentoring Of Staff, Cross-functional Team..., Transfer Pricing, Contract Negotiation, Due Diligence, Mergers, Accounting, Restructuring, Joint Ventures, Strategic Planning, Corporate Tax, Employee Benefits, Mergers & Acquisitions, Business Planning, Tax Law, Management, Auditing, Process Improvement
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1995 — 1998
JD
Pace University 1991 — 1995
BBA / MBA Magna Cum Laude
Bronx Science 1987 — 1991
High School
Marissa (Diaz) Kaliman Marissa (Diaz) Kaliman's US Securities and Exchange Commission Experience June 2011 - July 2011
Job at
Industry Law Practice
Experience
Akerman LLP November 2014 - Present
O'Quinn Stumphauzer October 2012 - October 2014
US Securities and Exchange Commission June 2011 - July 2011
U.S. Bankruptcy Court June 2010 - July 2010
LNR Property LLC June 2006 - July 2009
Education
American University, Washington College of Law 2009 — 2012
Doctor of Law (JD)
Carnegie Mellon University 2002 — 2006
Bachelor of Arts (B.A.), History, International Relations, French
Akerman LLP November 2014 - Present
O'Quinn Stumphauzer October 2012 - October 2014
US Securities and Exchange Commission June 2011 - July 2011
U.S. Bankruptcy Court June 2010 - July 2010
LNR Property LLC June 2006 - July 2009
Education
American University, Washington College of Law 2009 — 2012
Doctor of Law (JD)
Carnegie Mellon University 2002 — 2006
Bachelor of Arts (B.A.), History, International Relations, French
Richard Holley III Richard Holley III's US Securities and Exchange Commission Experience May 2004 - Present
Job Assistant Director, Division of Trading and Markets at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission May 2004 - Present
Dechert LLP 2001 - 2004
Washington Lawyers' Committee for Civil Rights and Urban Affairs June 2002 - December 2002
TNS AISA 1997 - 1998
Skills
Securities Regulation, Corporate Governance, Securities, Internal Investigations, Legal Research, Administrative Law, Financial Regulation, FINRA, Legal Writing
Education
University of North Carolina School of Law 1998 — 2001
JD, with honors
Bates College 1993 — 1997
BA, magna cum laude, Political Science
US Securities and Exchange Commission May 2004 - Present
Dechert LLP 2001 - 2004
Washington Lawyers' Committee for Civil Rights and Urban Affairs June 2002 - December 2002
TNS AISA 1997 - 1998
Skills
Securities Regulation, Corporate Governance, Securities, Internal Investigations, Legal Research, Administrative Law, Financial Regulation, FINRA, Legal Writing
Education
University of North Carolina School of Law 1998 — 2001
JD, with honors
Bates College 1993 — 1997
BA, magna cum laude, Political Science
Lancelot Esteibar Lancelot Esteibar's US Securities and Exchange Commission Experience June 2011 - August 2011
Job at AQR Capital
Industry Financial Services
Experience
AQR Capital Management August 2015 - Present
Morgan Stanley January 2015 - Present
Morgan Stanley January 2013 - January 2015
Financial Industry Regulatory Authority August 2011 - December 2011
US Securities and Exchange Commission June 2011 - August 2011
U.S. District Court, E.D.N.Y. May 2010 - August 2010
Willkie Farr & Gallagher LLP February 2008 - May 2009
Fried Frank June 2006 - February 2008
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2009 — 2012
Doctor of Law (J.D.), Concentration in Commercial Law; Certificate in Dispute Resolution
The Johns Hopkins University 2002 — 2006
Bachelor of Arts (B.A.), Public Health
Chaminade H.S.
AQR Capital Management August 2015 - Present
Morgan Stanley January 2015 - Present
Morgan Stanley January 2013 - January 2015
Financial Industry Regulatory Authority August 2011 - December 2011
US Securities and Exchange Commission June 2011 - August 2011
U.S. District Court, E.D.N.Y. May 2010 - August 2010
Willkie Farr & Gallagher LLP February 2008 - May 2009
Fried Frank June 2006 - February 2008
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2009 — 2012
Doctor of Law (J.D.), Concentration in Commercial Law; Certificate in Dispute Resolution
The Johns Hopkins University 2002 — 2006
Bachelor of Arts (B.A.), Public Health
Chaminade H.S.
Grant Garber Grant Garber'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
RS Investments March 2014 - June 2014
University of California, Berkeley, Haas School of Business August 2013 - December 2013
US Securities and Exchange Commission May 2013 - August 2013
Haas School of Business March 2013 - May 2013
United States Attorney's Office May 2012 - August 2012
UC Berkeley February 2012 - May 2012
Dell May 2010 - August 2010
Tutor.com October 2007 - December 2008
Education
University of California, Berkeley 2011 — 2014
Doctor of Law (JD), Law
Arizona State University 2007 — 2011
B.S., Supply Chain Management
Arizona State University 2007 — 2011
B.A., Spanish Literature
Ropes & Gray LLP October 2014 - Present
RS Investments March 2014 - June 2014
University of California, Berkeley, Haas School of Business August 2013 - December 2013
US Securities and Exchange Commission May 2013 - August 2013
Haas School of Business March 2013 - May 2013
United States Attorney's Office May 2012 - August 2012
UC Berkeley February 2012 - May 2012
Dell May 2010 - August 2010
Tutor.com October 2007 - December 2008
Education
University of California, Berkeley 2011 — 2014
Doctor of Law (JD), Law
Arizona State University 2007 — 2011
B.S., Supply Chain Management
Arizona State University 2007 — 2011
B.A., Spanish Literature
Shirley Guan Shirley Guan's US Securities and Exchange Commission Experience January 2012 - May 2013
Job Financial Operational Examiner at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority July 2014 - Present
Financial Industry Regulatory Authority July 2013 - July 2014
US Securities and Exchange Commission January 2012 - May 2013
Chung Pak Day Care 2009 - 2012
Skills
Bloomberg Terminal, Securities, Equity Research, Trading, FINRA, Securities Regulation, Time Management
Education
Baruch College 2009 — 2013
Bachelor of Business Administration (BBA), Finance
Midwood High School 2005 — 2009
High School Diploma, Cum Laude from Medical Science Program
Financial Industry Regulatory Authority July 2014 - Present
Financial Industry Regulatory Authority July 2013 - July 2014
US Securities and Exchange Commission January 2012 - May 2013
Chung Pak Day Care 2009 - 2012
Skills
Bloomberg Terminal, Securities, Equity Research, Trading, FINRA, Securities Regulation, Time Management
Education
Baruch College 2009 — 2013
Bachelor of Business Administration (BBA), Finance
Midwood High School 2005 — 2009
High School Diploma, Cum Laude from Medical Science Program
Ashley J. Stein Ashley J. Stein's US Securities and Exchange Commission Experience September 2013 - November 2013
Job Juris Doctor, 2014
Industry Law Practice
Experience
New York County District Attorney's Office September 2014 - Present
The Honorable Eric N. Vitaliano January 2014 - May 2014
US Securities and Exchange Commission September 2013 - November 2013
Law Offices of Jeffrey Lichtman June 2013 - November 2013
New York County District Attorney's Office January 2013 - April 2013
United States Attorney's Office- E.D.N.Y. August 2012 - December 2012
New York State Office of the Inspector General June 2012 - August 2012
Encore Mortgage Company January 2011 - August 2011
Broome County District Attorney's Office August 2010 - December 2010
Coughlin & Gerhart LLP August 2010 - December 2010
Skills
Legal Writing, Time Management, Databases, Research, PowerPoint, Microsoft Office, Social Media, Microsoft Word, Microsoft Excel, Editing, Westlaw, Legal Research, International Law, Securities Regulation
Education
Brooklyn Law School 2011 — 2014
Juris Doctor
State University of New York at Binghamton 2007 — 2010
Bachelor of Arts in History
New York County District Attorney's Office September 2014 - Present
The Honorable Eric N. Vitaliano January 2014 - May 2014
US Securities and Exchange Commission September 2013 - November 2013
Law Offices of Jeffrey Lichtman June 2013 - November 2013
New York County District Attorney's Office January 2013 - April 2013
United States Attorney's Office- E.D.N.Y. August 2012 - December 2012
New York State Office of the Inspector General June 2012 - August 2012
Encore Mortgage Company January 2011 - August 2011
Broome County District Attorney's Office August 2010 - December 2010
Coughlin & Gerhart LLP August 2010 - December 2010
Skills
Legal Writing, Time Management, Databases, Research, PowerPoint, Microsoft Office, Social Media, Microsoft Word, Microsoft Excel, Editing, Westlaw, Legal Research, International Law, Securities Regulation
Education
Brooklyn Law School 2011 — 2014
Juris Doctor
State University of New York at Binghamton 2007 — 2010
Bachelor of Arts in History
Elizabeth Eromin Elizabeth Eromin's US Securities and Exchange Commission Experience December 2011 - February 2012
Job MA Bar Admission, J.D. (2013)
Industry Law Practice
Experience
DCAMM Division of Capital Asset Management and Maintenance January 2014 - Present
Ocean Spray Cranberries August 2013 - November 2013
Bullhorn March 2013 - May 2013
Ocean Spray Cranberries December 2012 - February 2013
Massachusetts Division of Capital Asset Management and Maintenance (DCAMM) May 2012 - August 2012
US Securities and Exchange Commission December 2011 - February 2012
Massachusetts Land Court May 2011 - August 2011
Skills
Contractual Agreements, Real Estate Transactions, Corporate Law, Securities, Legal Research, Legal Writing, Westlaw, Lexis, Research, Public Speaking, Microsoft Office, Policy, Intellectual Property
Education
Northeastern University School of Law 2010 — 2013
J.D., Law
Boston College 2006 — 2010
Bachelor of Arts, International Studies, concentration in Economics
DCAMM Division of Capital Asset Management and Maintenance January 2014 - Present
Ocean Spray Cranberries August 2013 - November 2013
Bullhorn March 2013 - May 2013
Ocean Spray Cranberries December 2012 - February 2013
Massachusetts Division of Capital Asset Management and Maintenance (DCAMM) May 2012 - August 2012
US Securities and Exchange Commission December 2011 - February 2012
Massachusetts Land Court May 2011 - August 2011
Skills
Contractual Agreements, Real Estate Transactions, Corporate Law, Securities, Legal Research, Legal Writing, Westlaw, Lexis, Research, Public Speaking, Microsoft Office, Policy, Intellectual Property
Education
Northeastern University School of Law 2010 — 2013
J.D., Law
Boston College 2006 — 2010
Bachelor of Arts, International Studies, concentration in Economics
Robert Counts Robert Counts's US Securities and Exchange Commission Experience January 2013 - June 2013
Job Creative Director / Business and Marketing Strategist at the Epoch Times
Industry Design
Experience
Epoch Times September 2014 - Present
Epoch Times July 2013 - August 2014
US Securities and Exchange Commission January 2013 - June 2013
US Securities and Exchange Commission April 2008 - November 2012
The Epoch Times April 2008 - January 2012
Skills
Creative Direction, Graphic Design, Web Design, User Experience Design, Brand Management, Brand Development, Marketing Strategy, New Business Development, Design Consulting, Digital Photography, Event Photography, Photo Shoot Production, Illustration, Bacon, Adobe Creative Suite, Final Cut Pro
Education
Massachusetts College of Art and Design 1998 — 2002
Bentley University
User Experience Design
Epoch Times September 2014 - Present
Epoch Times July 2013 - August 2014
US Securities and Exchange Commission January 2013 - June 2013
US Securities and Exchange Commission April 2008 - November 2012
The Epoch Times April 2008 - January 2012
Skills
Creative Direction, Graphic Design, Web Design, User Experience Design, Brand Management, Brand Development, Marketing Strategy, New Business Development, Design Consulting, Digital Photography, Event Photography, Photo Shoot Production, Illustration, Bacon, Adobe Creative Suite, Final Cut Pro
Education
Massachusetts College of Art and Design 1998 — 2002
Bentley University
User Experience Design
James Brigagliano James Brigagliano's US Securities and Exchange Commission Experience February 1986 - September 2011
Job Partner at Sidley Austin LLP
Industry Law Practice
Experience
Sidley Austin LLP October 2011 - Present
US Securities and Exchange Commission February 1986 - September 2011
Skills
Corporate Governance, Securities Regulation, Capital Markets, Securities, Corporate Law, Internal Investigations, Fraud, Due Diligence, Investments, Financial Services, Arbitration, Litigation, FINRA, AML, Broker-Dealer, Hedge Funds, Private Equity, Financial Regulation, Trading, SEC, Securities Litigation, Alternative Investments, Private Placements
Education
Georgetown University Law Center 1979 — 1982
JD
Amherst College 1975 — 1979
BA, American Studies
Sidley Austin LLP October 2011 - Present
US Securities and Exchange Commission February 1986 - September 2011
Skills
Corporate Governance, Securities Regulation, Capital Markets, Securities, Corporate Law, Internal Investigations, Fraud, Due Diligence, Investments, Financial Services, Arbitration, Litigation, FINRA, AML, Broker-Dealer, Hedge Funds, Private Equity, Financial Regulation, Trading, SEC, Securities Litigation, Alternative Investments, Private Placements
Education
Georgetown University Law Center 1979 — 1982
JD
Amherst College 1975 — 1979
BA, American Studies
Terence Healy Terence Healy's US Securities and Exchange Commission Experience July 2008 - May 2012
Job Partner at Locke Lord LLP
Industry
Experience
Locke Lord LLP July 2014 - Present
Reed Smith LLP May 2012 - July 2014
US Securities and Exchange Commission July 2008 - May 2012
U.S. Department of Justice February 1999 - July 2008
Skills
Securities Litigation, Securities Regulation, Corporate Governance, Commercial Litigation, FCPA, Appeals, Class Actions, Trials, Arbitration, Civil Litigation, White Collar Criminal..., Internal Investigations, Securities, Litigation, Corporate Law, Trade Secrets, Competition Law
Education
University of North Carolina at Chapel Hill 1984 — 1988
BA
Bishop McGiunness HS 1983 — 1984
Gonzaga College HS 1980 — 1982
HS
American University, Washington College of Law
JD
Locke Lord LLP July 2014 - Present
Reed Smith LLP May 2012 - July 2014
US Securities and Exchange Commission July 2008 - May 2012
U.S. Department of Justice February 1999 - July 2008
Skills
Securities Litigation, Securities Regulation, Corporate Governance, Commercial Litigation, FCPA, Appeals, Class Actions, Trials, Arbitration, Civil Litigation, White Collar Criminal..., Internal Investigations, Securities, Litigation, Corporate Law, Trade Secrets, Competition Law
Education
University of North Carolina at Chapel Hill 1984 — 1988
BA
Bishop McGiunness HS 1983 — 1984
Gonzaga College HS 1980 — 1982
HS
American University, Washington College of Law
JD
Anuki Cohen Anuki Cohen's US Securities and Exchange Commission Experience March 2012 - May 2013
Job Examiner at Financial Industry Regulatory Authority (FINRA)
Industry Accounting
Experience
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Grant Thornton LLP June 2014 - August 2014
PVH February 2014 - May 2014
Bank of America June 2013 - August 2013
US Securities and Exchange Commission March 2012 - May 2013
Watching America October 2011 - November 2012
BELL & COMPANY LLP January 2011 - February 2012
Mount Sinai Medical Center October 2008 - May 2009
Skills
Microsoft Excel, Accounting, PowerPoint, Outlook, Microsoft Word, Microsoft Office, Analysis, English, QuickBooks, Financial Reporting, Spreadsheets, Financial Accounting, Financial Analysis, Access, Auditing, Teamwork, Finance, Data Analysis, Account Reconciliation, Accounts Receivable
Education
Baruch College, City University of New York (CUNY) 2014 — 2015
Master of Science (MS), Accounting
City University of New York-Baruch College 2010 — 2015
Bachelor of Business Administration, Accounting
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Grant Thornton LLP June 2014 - August 2014
PVH February 2014 - May 2014
Bank of America June 2013 - August 2013
US Securities and Exchange Commission March 2012 - May 2013
Watching America October 2011 - November 2012
BELL & COMPANY LLP January 2011 - February 2012
Mount Sinai Medical Center October 2008 - May 2009
Skills
Microsoft Excel, Accounting, PowerPoint, Outlook, Microsoft Word, Microsoft Office, Analysis, English, QuickBooks, Financial Reporting, Spreadsheets, Financial Accounting, Financial Analysis, Access, Auditing, Teamwork, Finance, Data Analysis, Account Reconciliation, Accounts Receivable
Education
Baruch College, City University of New York (CUNY) 2014 — 2015
Master of Science (MS), Accounting
City University of New York-Baruch College 2010 — 2015
Bachelor of Business Administration, Accounting
Renisa Ribeiro's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at State Street
Industry Financial Services
Experience
State Street July 2015 - Present
Barclays Investment Bank May 2014 - August 2014
Hess Energy Trading Company February 2013 - January 2014
US Securities and Exchange Commission May 2012 - August 2012
Baruch College Accounting Society June 2011 - June 2012
charity: water November 2011 - January 2012
DonorsChoose.org October 2010 - May 2011
Skills
Microsoft Office, Public Speaking, Social Networking, Team Building, Research, Customer Service, Networking, PowerPoint, Google Docs, Outlook, FogBugz, NetSuite, Survey Monkey, Volunteering, TEMPEST, General Ledger, Event Planning, Management, Accounting, Bloomberg Terminal, Access Database, Microsoft Excel, Access, Financial Analysis, Leadership, Microsoft Word
Education
City University of New York-Baruch College 2011 — 2015
Bachelor’s Degree, Zicklin School of Business
City University of New York- New York City College of Technology
Accounting
Forest Hills High School
State Street July 2015 - Present
Barclays Investment Bank May 2014 - August 2014
Hess Energy Trading Company February 2013 - January 2014
US Securities and Exchange Commission May 2012 - August 2012
Baruch College Accounting Society June 2011 - June 2012
charity: water November 2011 - January 2012
DonorsChoose.org October 2010 - May 2011
Skills
Microsoft Office, Public Speaking, Social Networking, Team Building, Research, Customer Service, Networking, PowerPoint, Google Docs, Outlook, FogBugz, NetSuite, Survey Monkey, Volunteering, TEMPEST, General Ledger, Event Planning, Management, Accounting, Bloomberg Terminal, Access Database, Microsoft Excel, Access, Financial Analysis, Leadership, Microsoft Word
Education
City University of New York-Baruch College 2011 — 2015
Bachelor’s Degree, Zicklin School of Business
City University of New York- New York City College of Technology
Accounting
Forest Hills High School
Yanni Guo's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Attorney
Industry Law Practice
Experience
Ashurst November 2014 - April 2015
Deutsche Bank December 2014 - March 2015
White & Case September 2011 - October 2014
US Securities and Exchange Commission June 2010 - August 2010
White & Williams LLP May 2009 - July 2009
Skills
Securities, Securities Regulation, Capital Markets, Legal Research, Legal Writing, High Yield Bonds, Deal Execution, Securities Offerings, Cross-border..., Leadership, Legal Advice, Due Diligence, Contract Negotiation, Business Development
Education
Temple University - James E. Beasley School of Law 2008 — 2011
J.D., Law
Barnard College 2002 — 2006
Bachelor of Arts, Honors in Political Science and Economics
Columbia University in the City of New York 2002 — 2006
Ashurst November 2014 - April 2015
Deutsche Bank December 2014 - March 2015
White & Case September 2011 - October 2014
US Securities and Exchange Commission June 2010 - August 2010
White & Williams LLP May 2009 - July 2009
Skills
Securities, Securities Regulation, Capital Markets, Legal Research, Legal Writing, High Yield Bonds, Deal Execution, Securities Offerings, Cross-border..., Leadership, Legal Advice, Due Diligence, Contract Negotiation, Business Development
Education
Temple University - James E. Beasley School of Law 2008 — 2011
J.D., Law
Barnard College 2002 — 2006
Bachelor of Arts, Honors in Political Science and Economics
Columbia University in the City of New York 2002 — 2006
Scott W. Bauguess Scott W. Bauguess's US Securities and Exchange Commission Experience 2007 - Present
Job Deputy Director, Division of Economic and Risk Analysis (DERA) at US Securities and Exchange Commission
Industry Research
Experience
US Securities and Exchange Commission 2007 - Present
George Washington University 2009 - January 2015
Texas Tech University 2004 - 2009
Motorola 1992 - 1998
Skills
Corporate Finance, Derivatives, Mergers, Risk, Financial Reporting
Education
Arizona State University 1999 — 2004
Ph.D., Finance
Arizona State University 1992 — 1995
MS, Electrical Engineering
University of Illinois at Urbana-Champaign 1988 — 1992
BS, Electrical Engineering
US Securities and Exchange Commission 2007 - Present
George Washington University 2009 - January 2015
Texas Tech University 2004 - 2009
Motorola 1992 - 1998
Skills
Corporate Finance, Derivatives, Mergers, Risk, Financial Reporting
Education
Arizona State University 1999 — 2004
Ph.D., Finance
Arizona State University 1992 — 1995
MS, Electrical Engineering
University of Illinois at Urbana-Champaign 1988 — 1992
BS, Electrical Engineering
Sindy Udell Sindy Udell's US Securities and Exchange Commission Experience 1994 - 1999
Job Director of Admission at JPDS
Industry Education Management
Experience
Jewish Primary Day School of the Nation's Capital January 2003 - Present
United States General Accountability Office 1999 - 2003
US Securities and Exchange Commission 1994 - 1999
Education
Benjamin N. Cardozo School of Law, Yeshiva University
J.D.
University at Albany, SUNY
B.S., English and Business Administration
Jewish Primary Day School of the Nation's Capital January 2003 - Present
United States General Accountability Office 1999 - 2003
US Securities and Exchange Commission 1994 - 1999
Education
Benjamin N. Cardozo School of Law, Yeshiva University
J.D.
University at Albany, SUNY
B.S., English and Business Administration
Maurice Owen-Michaane Maurice Owen-Michaane's US Securities and Exchange Commission Experience 2010 - 2010
Job
Industry Financial Services
Experience
MazGroupNY LLC July 2008 - Present
Walek & Associates 2011 - 2012
Brunswick Group 2010 - 2011
US Securities and Exchange Commission 2010 - 2010
Standard & Poor's June 2009 - August 2009
Bloomberg for Mayor 2005 2009 - 2009
Goldman Sachs October 2005 - June 2008
Skadden Arps July 2003 - September 2005
Rep. Sherwood Boehlert Re-election Campaign (2000 & 2002 Election) 2000 - 2002
U.S. House of Representatives 1998 - 1998
Skills
Strategic Communications, Investor Relations, Crisis Communications, Corporate Communications, Financial Analysis, Reputation Management, Public Affairs, Social Media, Message Development, Market Analysis, Online Reputation..., Corporate Governance, M&A experience, IPO, Foreign Investment, International Trade, Real Estate Transactions, Real Estate, Real Estate Economics, Strategy, Investments, Finance, Leadership, Nonprofits
Education
Baruch College, City University of New York (CUNY) 2008 — 2010
MBA, Finance
Hamilton College 1999 — 2003
Bachelor of Arts, Government
Monroe-Woodbury Senior High School 1995 — 1999
NYS Regents Diploma with Honors
MazGroupNY LLC July 2008 - Present
Walek & Associates 2011 - 2012
Brunswick Group 2010 - 2011
US Securities and Exchange Commission 2010 - 2010
Standard & Poor's June 2009 - August 2009
Bloomberg for Mayor 2005 2009 - 2009
Goldman Sachs October 2005 - June 2008
Skadden Arps July 2003 - September 2005
Rep. Sherwood Boehlert Re-election Campaign (2000 & 2002 Election) 2000 - 2002
U.S. House of Representatives 1998 - 1998
Skills
Strategic Communications, Investor Relations, Crisis Communications, Corporate Communications, Financial Analysis, Reputation Management, Public Affairs, Social Media, Message Development, Market Analysis, Online Reputation..., Corporate Governance, M&A experience, IPO, Foreign Investment, International Trade, Real Estate Transactions, Real Estate, Real Estate Economics, Strategy, Investments, Finance, Leadership, Nonprofits
Education
Baruch College, City University of New York (CUNY) 2008 — 2010
MBA, Finance
Hamilton College 1999 — 2003
Bachelor of Arts, Government
Monroe-Woodbury Senior High School 1995 — 1999
NYS Regents Diploma with Honors
Ben Uy Ben Uy's US Securities and Exchange Commission Experience May 2007 - August 2007
Job AttorneyatLaw at Wilson Sonsini Goodrich & Rosati
Industry Law Practice
Experience
Wilson Sonsini Goodrich & Rosati June 2014 - Present
Pillsbury Winthrop Shaw Pittman January 2010 - May 2014
US Securities and Exchange Commission May 2007 - August 2007
Ernst & Young September 2004 - May 2006
Skills
Mergers, Corporate Law, Securities Offerings, Securities Regulation, SEC filings, Venture Capital, Corporate Governance, Legal Compliance, Private Equity, IPO, Corporate Finance, Securities, Emerging Growth..., Sarbanes-Oxley Act, Legal Research, Legal Writing, Legal Advice, Commercial Litigation, Intellectual Property, Mergers & Acquisitions, Joint Ventures, Auditing
Education
Boston College Law School 2006 — 2009
Juris Doctor, Law
The University of Texas at Austin - The Red McCombs School of Business 2003 — 2004
Master in Professional Accounting, Accounting
The University of Texas at Austin - Red McCombs School of Business 1999 — 2003
Bachelor of Business Administration, Accounting
Beijing Foreign Studies University 2000 — 2000
Mandarin Chinese
Wilson Sonsini Goodrich & Rosati June 2014 - Present
Pillsbury Winthrop Shaw Pittman January 2010 - May 2014
US Securities and Exchange Commission May 2007 - August 2007
Ernst & Young September 2004 - May 2006
Skills
Mergers, Corporate Law, Securities Offerings, Securities Regulation, SEC filings, Venture Capital, Corporate Governance, Legal Compliance, Private Equity, IPO, Corporate Finance, Securities, Emerging Growth..., Sarbanes-Oxley Act, Legal Research, Legal Writing, Legal Advice, Commercial Litigation, Intellectual Property, Mergers & Acquisitions, Joint Ventures, Auditing
Education
Boston College Law School 2006 — 2009
Juris Doctor, Law
The University of Texas at Austin - The Red McCombs School of Business 2003 — 2004
Master in Professional Accounting, Accounting
The University of Texas at Austin - Red McCombs School of Business 1999 — 2003
Bachelor of Business Administration, Accounting
Beijing Foreign Studies University 2000 — 2000
Mandarin Chinese
Lourdes Toro's US Securities and Exchange Commission Experience 1998 - 2004
Job Securities and Exchange Commission Trading and Markets
Industry Accounting
Experience
Securities & Exchange Commission, Trading & Markets October 2009 - Present
ACA Compliance Group 2008 - 2009
Goldman Sachs 2004 - 2008
US Securities and Exchange Commission 1998 - 2004
Skills
Finance, Securities, Financial Risk, Due Diligence, Entrepreneurship, Investments, AML, Asset Management, Financial Analysis, Financial Modeling, Capital Markets, Hedge Funds, Mutual Funds, Risk Management, Equities
Education
Babson College - Franklin W. Olin Graduate School of Business 2009 — 2012
Master of Business Administration (MBA)
Florida International University 1981 — 1985
Bachelor of Business Administration (B.B.A.), Finance, International Business
Securities & Exchange Commission, Trading & Markets October 2009 - Present
ACA Compliance Group 2008 - 2009
Goldman Sachs 2004 - 2008
US Securities and Exchange Commission 1998 - 2004
Skills
Finance, Securities, Financial Risk, Due Diligence, Entrepreneurship, Investments, AML, Asset Management, Financial Analysis, Financial Modeling, Capital Markets, Hedge Funds, Mutual Funds, Risk Management, Equities
Education
Babson College - Franklin W. Olin Graduate School of Business 2009 — 2012
Master of Business Administration (MBA)
Florida International University 1981 — 1985
Bachelor of Business Administration (B.B.A.), Finance, International Business
Allison Gallagher Allison Gallagher's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Law Clerk at Water Island Capital, LLC
Industry Law Practice
Experience
Labaton Sucharow LLP September 2014 - Present
Water Island Capital, LLC June 2014 - Present
Brooklyn Law School August 2012 - Present
US Securities and Exchange Commission January 2014 - May 2014
Crye Precision, LLC September 2013 - December 2013
Dechert LLP August 2013 - August 2013
The New York Center for Juvenile Justice June 2013 - August 2013
Weil Gotshal and Manges June 2012 - August 2012
Newman & Denburg, LLC May 2010 - August 2010
Atlantic Legal Foundation May 2009 - July 2009
Skills
Legal Research, Westlaw, Legal Writing, Legal Assistance, Document Review, Lexis, Corporate Law, LexisNexis
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (JD), Law
Boston College 2008 — 2012
Bachelor of Arts (B.A.), English Literature (British and Commonwealth)
King's College London
Study Abroad
Labaton Sucharow LLP September 2014 - Present
Water Island Capital, LLC June 2014 - Present
Brooklyn Law School August 2012 - Present
US Securities and Exchange Commission January 2014 - May 2014
Crye Precision, LLC September 2013 - December 2013
Dechert LLP August 2013 - August 2013
The New York Center for Juvenile Justice June 2013 - August 2013
Weil Gotshal and Manges June 2012 - August 2012
Newman & Denburg, LLC May 2010 - August 2010
Atlantic Legal Foundation May 2009 - July 2009
Skills
Legal Research, Westlaw, Legal Writing, Legal Assistance, Document Review, Lexis, Corporate Law, LexisNexis
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (JD), Law
Boston College 2008 — 2012
Bachelor of Arts (B.A.), English Literature (British and Commonwealth)
King's College London
Study Abroad
Vesna Harasic Vesna Harasic's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Honors Attorney, U.S. Department of Justice, Asset Forfeiture and Money Laundering Section
Industry Primary/Secondary Education
Experience
U.S. Department of Justice September 2014 - December 2014
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. June 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Public Defender Service May 2012 - August 2012
Microfinance International Corp. June 2010 - August 2010
Organization of American States May 2009 - August 2009
Skills
Spanish, Fraud, Criminal Law, Legal Writing, Legal Research, Oral & Written..., International Human..., Freedom of Information..., Dodd-Frank, Criminal Procedure, FCPA, Securities Regulation, Finance, International Relations, Lexis, Employment Law, Legal Assistance, Civil Litigation, Politics, LexisNexis, Policy, Litigation, Public Speaking
Education
American University, Washington College of Law 2012 — 2015
Juris Doctor (J.D.)
Cornell University 2008 — 2012
Bachelor's Degree, Major: Government; Minors: Communications, Law & Society
U.S. Department of Justice September 2014 - December 2014
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. June 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Public Defender Service May 2012 - August 2012
Microfinance International Corp. June 2010 - August 2010
Organization of American States May 2009 - August 2009
Skills
Spanish, Fraud, Criminal Law, Legal Writing, Legal Research, Oral & Written..., International Human..., Freedom of Information..., Dodd-Frank, Criminal Procedure, FCPA, Securities Regulation, Finance, International Relations, Lexis, Employment Law, Legal Assistance, Civil Litigation, Politics, LexisNexis, Policy, Litigation, Public Speaking
Education
American University, Washington College of Law 2012 — 2015
Juris Doctor (J.D.)
Cornell University 2008 — 2012
Bachelor's Degree, Major: Government; Minors: Communications, Law & Society
Gerald Yu Chang's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Senior Analyst at Dell
Industry Information Technology and Services
Experience
Dell February 2015 - Present
Dell September 2014 - February 2015
Dell February 2014 - August 2014
US Securities and Exchange Commission May 2012 - August 2012
Boston College September 2011 - April 2012
Civitas Capital Management, LLC June 2011 - August 2011
General Electric Healthcare Co June 2010 - August 2010
Skills
Stata, Microsoft Office, Bloomberg Terminal, SAS, Chinese, SDC Platinum, Capital IQ, Financial Modeling, Strategy
Education
Boston College 2009 — 2013
Bachelor of Science (B.S.), Finance & Economics, Magna Cum Laude
Lord Byng Secondary School 2007 — 2009
High School Diploma
Dell February 2015 - Present
Dell September 2014 - February 2015
Dell February 2014 - August 2014
US Securities and Exchange Commission May 2012 - August 2012
Boston College September 2011 - April 2012
Civitas Capital Management, LLC June 2011 - August 2011
General Electric Healthcare Co June 2010 - August 2010
Skills
Stata, Microsoft Office, Bloomberg Terminal, SAS, Chinese, SDC Platinum, Capital IQ, Financial Modeling, Strategy
Education
Boston College 2009 — 2013
Bachelor of Science (B.S.), Finance & Economics, Magna Cum Laude
Lord Byng Secondary School 2007 — 2009
High School Diploma
Stefanie Rubin Lourenço's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Associate at Clifford Chance LLP
Industry Legal Services
Experience
Bechtel Corporation September 2013 - December 2013
US Securities and Exchange Commission January 2013 - April 2013
Overseas Private Investment Corporation May 2011 - August 2011
MicroCapital September 2009 - July 2010
Standard Chartered Bank, Beijing June 2008 - July 2008
Skills
International Relations, Economic Development, Emerging Markets, Legal Research, Mandarin, Capital Markets, Foreign Policy, Policy Analysis
Education
Georgetown University Law Center 2011 — 2014
Doctor of Law (J.D.)
Georgetown University School of Foreign Service 2010 — 2014
MSFS, Global Finance and Business
Emory University 2005 — 2009
BA, Economics, Chinese
Beijing Institute of Education 2008 — 2008
Semester study abroad program in Chinese language
Institut d'Etudes Politiques de Paris 2007 — 2007
Summer study abroad program in Political Science
Beijing Normal University 2006 — 2006
Summer study abroad program in Chinese language
Bechtel Corporation September 2013 - December 2013
US Securities and Exchange Commission January 2013 - April 2013
Overseas Private Investment Corporation May 2011 - August 2011
MicroCapital September 2009 - July 2010
Standard Chartered Bank, Beijing June 2008 - July 2008
Skills
International Relations, Economic Development, Emerging Markets, Legal Research, Mandarin, Capital Markets, Foreign Policy, Policy Analysis
Education
Georgetown University Law Center 2011 — 2014
Doctor of Law (J.D.)
Georgetown University School of Foreign Service 2010 — 2014
MSFS, Global Finance and Business
Emory University 2005 — 2009
BA, Economics, Chinese
Beijing Institute of Education 2008 — 2008
Semester study abroad program in Chinese language
Institut d'Etudes Politiques de Paris 2007 — 2007
Summer study abroad program in Political Science
Beijing Normal University 2006 — 2006
Summer study abroad program in Chinese language
Valentina Elzon's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Sr. Tax Associate at KPMG
Industry Law Practice
Experience
KPMG January 2012 - Present
Boston University School of Law May 2009 - May 2011
Federal Reserve Bank of Boston August 2010 - December 2010
US Securities and Exchange Commission June 2010 - August 2010
Skills
Westlaw, Real Estate, Microsoft Office, Excel, Tax Law, Legal Research, Legal Writing
Education
Boston University School of Law 2008 — 2011
JD, Concentration in Financial Law and Business Organizations
Babson College 2004 — 2008
B.S. in Business Management
KPMG January 2012 - Present
Boston University School of Law May 2009 - May 2011
Federal Reserve Bank of Boston August 2010 - December 2010
US Securities and Exchange Commission June 2010 - August 2010
Skills
Westlaw, Real Estate, Microsoft Office, Excel, Tax Law, Legal Research, Legal Writing
Education
Boston University School of Law 2008 — 2011
JD, Concentration in Financial Law and Business Organizations
Babson College 2004 — 2008
B.S. in Business Management
Adelbert Sanchez Adelbert Sanchez's US Securities and Exchange Commission Experience 2000 - 2005
Job Chief Compliance Officer at DePrince, Race & Zollo, Inc.
Industry Investment Management
Experience
DePrince, Race & Zollo, Inc. November 2012 - Present
ACA Compliance Group 2005 - 2012
US Securities and Exchange Commission 2000 - 2005
Skills
Investment Management, Hedge Funds, SEC, Securities, Investment Advisory, Mutual Funds, Securities Regulation, Private Equity
Education
Barry University 1996 — 1999
Bachelor's degree, Finance / Economics
E Course
DePrince, Race & Zollo, Inc. November 2012 - Present
ACA Compliance Group 2005 - 2012
US Securities and Exchange Commission 2000 - 2005
Skills
Investment Management, Hedge Funds, SEC, Securities, Investment Advisory, Mutual Funds, Securities Regulation, Private Equity
Education
Barry University 1996 — 1999
Bachelor's degree, Finance / Economics
E Course
Dana Hogan's US Securities and Exchange Commission Experience 2011 - 2011
Job Account Executive at SAP
Industry Computer Software
Experience
SAP June 2013 - Present
SAP August 2012 - June 2013
US Securities and Exchange Commission 2011 - 2011
PulsePoint Group June 2009 - August 2010
Skills
Presentation Development, Financial Analysis, Strategic Communications, Internal Communications, Proposition Development, Research, SAP, Communication Skills, Sales Presentation..., Team-oriented, Proposal Writing, Sales, Analytics, Customer Oriented, Enterprise Software, Cloud Applications, Value Selling
Education
Boston College
Bachelor of Science, Business; Finance. International Studies
Universidad de Carlos III
SAP June 2013 - Present
SAP August 2012 - June 2013
US Securities and Exchange Commission 2011 - 2011
PulsePoint Group June 2009 - August 2010
Skills
Presentation Development, Financial Analysis, Strategic Communications, Internal Communications, Proposition Development, Research, SAP, Communication Skills, Sales Presentation..., Team-oriented, Proposal Writing, Sales, Analytics, Customer Oriented, Enterprise Software, Cloud Applications, Value Selling
Education
Boston College
Bachelor of Science, Business; Finance. International Studies
Universidad de Carlos III
Raisa Shnayder Raisa Shnayder's US Securities and Exchange Commission Experience September 2011 - May 2012
Job Business Analyst at Deutsche Bank
Industry Financial Services
Experience
Deutsche Bank July 2014 - Present
Standard & Poor's August 2013 - July 2014
Deutsche Bank June 2013 - August 2013
Standard & Poor's September 2012 - June 2013
Standard & Poor's May 2012 - August 2012
Enopi March 2011 - June 2012
US Securities and Exchange Commission September 2011 - May 2012
Alpha Kappa Psi - Professional Business Fraternity May 2011 - May 2012
Standard & Poor's May 2011 - August 2011
Education Plus Center August 2009 - March 2010
Skills
Microsoft Office, Russian, SQL, Microsoft Excel, Sybase, Salesforce.com, Finance, Research, Data Analysis
Education
City University of New York-Baruch College 2010 — 2014
Bachelor of Business Administration (BBA), Quantitative Modeling
Macaulay Honors College 2010 — 2014
Stuyvesant High School 2006 — 2010
Deutsche Bank July 2014 - Present
Standard & Poor's August 2013 - July 2014
Deutsche Bank June 2013 - August 2013
Standard & Poor's September 2012 - June 2013
Standard & Poor's May 2012 - August 2012
Enopi March 2011 - June 2012
US Securities and Exchange Commission September 2011 - May 2012
Alpha Kappa Psi - Professional Business Fraternity May 2011 - May 2012
Standard & Poor's May 2011 - August 2011
Education Plus Center August 2009 - March 2010
Skills
Microsoft Office, Russian, SQL, Microsoft Excel, Sybase, Salesforce.com, Finance, Research, Data Analysis
Education
City University of New York-Baruch College 2010 — 2014
Bachelor of Business Administration (BBA), Quantitative Modeling
Macaulay Honors College 2010 — 2014
Stuyvesant High School 2006 — 2010
William F. Johnson William F. Johnson's US Securities and Exchange Commission Experience 1992 - 1996
Job Partner at King & Spalding
Industry Law Practice
Experience
King & Spalding January 2014 - Present
Fried Frank September 2009 - January 2014
U.S. Attorney's Office, Southern District of New York 2007 - 2009
U.S. Attorney's Office for the Southern District of New York 2000 - 2009
U.S. Attorney's Office, Southern District of New York 1996 - 2000
US Securities and Exchange Commission 1992 - 1996
Skills
White Collar Criminal..., FCPA, Internal Investigations, Anti-corruption
Education
American University Washington College of Law 1988 — 1991
JD, Law
Ohio Wesleyan University 1984 — 1988
Urbana High School
King & Spalding January 2014 - Present
Fried Frank September 2009 - January 2014
U.S. Attorney's Office, Southern District of New York 2007 - 2009
U.S. Attorney's Office for the Southern District of New York 2000 - 2009
U.S. Attorney's Office, Southern District of New York 1996 - 2000
US Securities and Exchange Commission 1992 - 1996
Skills
White Collar Criminal..., FCPA, Internal Investigations, Anti-corruption
Education
American University Washington College of Law 1988 — 1991
JD, Law
Ohio Wesleyan University 1984 — 1988
Urbana High School
Donald Delano's US Securities and Exchange Commission Experience February 1990 - February 1994
Job Senior Principal Consultant at ACA Compliance Group
Industry Investment Management
Experience
ACA Compliance Group February 2014 - Present
Artio Global Management LLC (formerly Julius Baer Investmemt Management) August 2004 - August 2013
E*TRADE Financial Corporation December 2000 - August 2004
Bear Stearns & Company August 1999 - December 2000
PricewaterhouseCoopers January 1997 - August 1999
Prudential Financial February 1994 - December 1996
US Securities and Exchange Commission February 1990 - February 1994
Skills
Mutual Funds, Securities, Hedge Funds, Investment Management, Asset Management, Alternative Investments, Investment Advisers Act, Investment Company Act, SEC, Operational Risk..., FINRA, Fixed Income, Equities, Investment Advisory, Securities Regulation, Derivatives, Asset Allocation, Financial Risk, Code of Ethics, Wrap Accounts, ETFs, Separately Managed..., Financial Services, Broker-Dealer, AML, Private Equity, Investments, Investment Advisor..., Wealth Management..., Fund Of Funds, Capital Markets, Trading, Portfolio Management, Finance, Private Placements, Equity Research, Asset Managment, Series 7, Series 63, Series 24, Investment Strategies, Institutional Separate..., Institutional..., Equity Trading, Private Wealth..., Anti Money Laundering, Wealth Management
Education
Baruch College, City University of New York (CUNY)
Bachelor of Business Administration (BBA), Finance and Investments
NYU School of Professional Studies
Certificate of Financial Risk Management
ACA Compliance Group February 2014 - Present
Artio Global Management LLC (formerly Julius Baer Investmemt Management) August 2004 - August 2013
E*TRADE Financial Corporation December 2000 - August 2004
Bear Stearns & Company August 1999 - December 2000
PricewaterhouseCoopers January 1997 - August 1999
Prudential Financial February 1994 - December 1996
US Securities and Exchange Commission February 1990 - February 1994
Skills
Mutual Funds, Securities, Hedge Funds, Investment Management, Asset Management, Alternative Investments, Investment Advisers Act, Investment Company Act, SEC, Operational Risk..., FINRA, Fixed Income, Equities, Investment Advisory, Securities Regulation, Derivatives, Asset Allocation, Financial Risk, Code of Ethics, Wrap Accounts, ETFs, Separately Managed..., Financial Services, Broker-Dealer, AML, Private Equity, Investments, Investment Advisor..., Wealth Management..., Fund Of Funds, Capital Markets, Trading, Portfolio Management, Finance, Private Placements, Equity Research, Asset Managment, Series 7, Series 63, Series 24, Investment Strategies, Institutional Separate..., Institutional..., Equity Trading, Private Wealth..., Anti Money Laundering, Wealth Management
Education
Baruch College, City University of New York (CUNY)
Bachelor of Business Administration (BBA), Finance and Investments
NYU School of Professional Studies
Certificate of Financial Risk Management
Luke Cadigan Luke Cadigan's US Securities and Exchange Commission Experience February 2010 - August 2011
Job Securities Enforcement and Trial Attorney
Industry Law Practice
Experience
K&L Gates LLP August 2011 - Present
US Securities and Exchange Commission February 2010 - August 2011
US Securities and Exchange Commission October 2002 - February 2010
Ropes and Gray September 1993 - October 2002
Hon. Edward F. Harrington September 1992 - August 1993
Skills
Internal Investigations, Securities, Enforcement, FCPA, White Collar Criminal..., Litigation, Securities Litigation, Civil Litigation, Securities Law, Corporate Governance, Compliance, Securities Regulation, Arbitration, Class Actions, Legal Writing, Trials
Education
Boston College Law School 1989 — 1992
J.D., Law
Amherst College 1985 — 1989
B.A., English
Milton Academy 1980 — 1985
K&L Gates LLP August 2011 - Present
US Securities and Exchange Commission February 2010 - August 2011
US Securities and Exchange Commission October 2002 - February 2010
Ropes and Gray September 1993 - October 2002
Hon. Edward F. Harrington September 1992 - August 1993
Skills
Internal Investigations, Securities, Enforcement, FCPA, White Collar Criminal..., Litigation, Securities Litigation, Civil Litigation, Securities Law, Corporate Governance, Compliance, Securities Regulation, Arbitration, Class Actions, Legal Writing, Trials
Education
Boston College Law School 1989 — 1992
J.D., Law
Amherst College 1985 — 1989
B.A., English
Milton Academy 1980 — 1985
Parvin Aminolroaya Parvin Aminolroaya's US Securities and Exchange Commission Experience January 2008 - April 2008
Job Attorney at Seeger Weiss LLP
Industry Law Practice
Experience
Seeger Weiss LLP September 2008 - Present
US Securities and Exchange Commission January 2008 - April 2008
JPMorgan Chase May 2007 - August 2007
Benjamin N. Cardozo Securities Arbitration Clinic August 2006 - May 2007
Lovell Stewart Halebian LLP May 2004 - August 2005
Law Offices of Jeffrey Weinstein 2003 - 2004
Skills
Commercial Litigation, Securities Litigation, Arbitration, Antitrust, Consumer Fraud, Securities, Competition Law, Employment Law, Fraud, Mediation, Motions, Litigation, Class Actions, Appeals, Legal Research, Legal Writing, Civil Litigation
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2005 — 2008
Doctor of Law (J.D.)
Fordham University 2000 — 2004
B.A.
Seeger Weiss LLP September 2008 - Present
US Securities and Exchange Commission January 2008 - April 2008
JPMorgan Chase May 2007 - August 2007
Benjamin N. Cardozo Securities Arbitration Clinic August 2006 - May 2007
Lovell Stewart Halebian LLP May 2004 - August 2005
Law Offices of Jeffrey Weinstein 2003 - 2004
Skills
Commercial Litigation, Securities Litigation, Arbitration, Antitrust, Consumer Fraud, Securities, Competition Law, Employment Law, Fraud, Mediation, Motions, Litigation, Class Actions, Appeals, Legal Research, Legal Writing, Civil Litigation
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2005 — 2008
Doctor of Law (J.D.)
Fordham University 2000 — 2004
B.A.
Bryan Brown Bryan Brown's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Associate at Clark Hill PLC
Industry Law Practice
Experience
Clark Hill PLC September 2014 - Present
US Securities and Exchange Commission September 2013 - December 2013
Clark Hill Thorp Reed May 2013 - August 2013
McGrath Law Group May 2012 - August 2012
MBM Contracting, Inc. May 2005 - August 2011
Skills
Legal Writing, Legal Research, Contract Law, Structured Finance, Corporate Finance, Corporate Law, Banking Law, Leveraged Finance, Financial Statements, Securities Regulation, Securities Offerings, Securities Fraud
Education
University of California, Berkeley - School of Law 2012 — 2014
Doctor of Law (JD), Law
Arizona State University College of Law 2011 — 2012
Doctor of Law (JD), Law
Ohio University 2007 — 2011
Finance and Business Pre-Law, Business
Clark Hill PLC September 2014 - Present
US Securities and Exchange Commission September 2013 - December 2013
Clark Hill Thorp Reed May 2013 - August 2013
McGrath Law Group May 2012 - August 2012
MBM Contracting, Inc. May 2005 - August 2011
Skills
Legal Writing, Legal Research, Contract Law, Structured Finance, Corporate Finance, Corporate Law, Banking Law, Leveraged Finance, Financial Statements, Securities Regulation, Securities Offerings, Securities Fraud
Education
University of California, Berkeley - School of Law 2012 — 2014
Doctor of Law (JD), Law
Arizona State University College of Law 2011 — 2012
Doctor of Law (JD), Law
Ohio University 2007 — 2011
Finance and Business Pre-Law, Business
Marie D'Aguanno Ito's US Securities and Exchange Commission Experience 2003 - 2011
Job Attorney (Securities); PhD, Medieval History
Industry Law Practice
Experience
Georgetown University 2014 - Present
Dumbarton Oaks February 2014 - Present
University of Maryland September 2013 - December 2014
The Catholic University of America August 2011 - May 2014
US Securities and Exchange Commission 2003 - 2011
US Securities and Exchange Commission November 2000 - 2003
Financial Industry Regulatory Authority 2000 - 2000
US Securities and Exchange Commission January 1995 - 2000
Mori Hamada & Matsumoto 1994 - 1994
US Securities and Exchange Commission 1992 - 1994
Skills
Securities Regulation, Securities Exchange Act..., Broker-Dealer, Broker-Dealer Compliance, Capital Markets, Market Regulation, Securities Market, Stock Exchange, Enforcement, Compliance, Medieval History, medieval Florence, Orsanmichele, Latin paleography, Medieval markets, medieval Florentine..., medieval Florentine...
Education
The Catholic University of America 2006 — 2013
Doctor of Philosophy (PhD), Medieval History, Jan 2014
The Catholic University of America
M.A., with distinction, Medieval History
American University, Washington College of Law 1983 — 1986
J.D., Business/Commerce, General
Brown University 1978 — 1979
PhD program, Medieval History
King's College London, U. of London 1977 — 1978
M.A., 1/79, Medieval History, Latin Paleography
University of Maryland College Park
B.A., magna cum laude, History
Georgetown University 2014 - Present
Dumbarton Oaks February 2014 - Present
University of Maryland September 2013 - December 2014
The Catholic University of America August 2011 - May 2014
US Securities and Exchange Commission 2003 - 2011
US Securities and Exchange Commission November 2000 - 2003
Financial Industry Regulatory Authority 2000 - 2000
US Securities and Exchange Commission January 1995 - 2000
Mori Hamada & Matsumoto 1994 - 1994
US Securities and Exchange Commission 1992 - 1994
Skills
Securities Regulation, Securities Exchange Act..., Broker-Dealer, Broker-Dealer Compliance, Capital Markets, Market Regulation, Securities Market, Stock Exchange, Enforcement, Compliance, Medieval History, medieval Florence, Orsanmichele, Latin paleography, Medieval markets, medieval Florentine..., medieval Florentine...
Education
The Catholic University of America 2006 — 2013
Doctor of Philosophy (PhD), Medieval History, Jan 2014
The Catholic University of America
M.A., with distinction, Medieval History
American University, Washington College of Law 1983 — 1986
J.D., Business/Commerce, General
Brown University 1978 — 1979
PhD program, Medieval History
King's College London, U. of London 1977 — 1978
M.A., 1/79, Medieval History, Latin Paleography
University of Maryland College Park
B.A., magna cum laude, History
Joan Sarles Lee Joan Sarles Lee's US Securities and Exchange Commission Experience January 1981 - July 1986
Job Director of Compliance, Group Benefits at Liberty Mutual Insurance
Industry Financial Services
Experience
Liberty Mutual Insurance September 2012 - Present
Animal Refuge League 2006 - 2013
Unum August 1986 - May 2012
Unum 2000 - 2003
US Securities and Exchange Commission January 1981 - July 1986
Skills
Administration and..., Strategic Planning, Cross Functional..., Privacy law, Advertising, Records Management, Insurance Law
Education
Binghamton University
BA, English
Vermont Law School
JD, Law
Liberty Mutual Insurance September 2012 - Present
Animal Refuge League 2006 - 2013
Unum August 1986 - May 2012
Unum 2000 - 2003
US Securities and Exchange Commission January 1981 - July 1986
Skills
Administration and..., Strategic Planning, Cross Functional..., Privacy law, Advertising, Records Management, Insurance Law
Education
Binghamton University
BA, English
Vermont Law School
JD, Law
Frederick Phillips-Patrick Frederick Phillips-Patrick's US Securities and Exchange Commission Experience 1989 - 1991
Job Banking Regulation Expert
Industry Financial Services
Experience
Self-employed Director, Credit PolicyOffice of Thrift Supervision
US Securities and Exchange Commission 1989 - 1991
US Securities and Exchange Commission 1989 - 1991
Skills
Valuation, Microsoft Office, Credit, Microsoft Excel, Capital Markets, Risk Management, Banking, Financial Analysis, Fixed Income, Financial Risk, Investment Banking, Credit Risk, Financial Modeling, Customer Service, Securities, Structured Finance, Market Risk, Finance, Financial Services
Education
University of Rochester 1977 — 1984
Doctor of Philosophy (Ph.D.), International Finance
William E. Simon School of Business 1977 — 1979
Master's Degree, Applied Economics
University of Massachusetts, Amherst 1975 — 1977
Master of Business Administration (M.B.A.), Management Science
Boston College 1965 — 1969
Bachelor's Degree, English Literature
Self-employed Director, Credit PolicyOffice of Thrift Supervision
US Securities and Exchange Commission 1989 - 1991
US Securities and Exchange Commission 1989 - 1991
Skills
Valuation, Microsoft Office, Credit, Microsoft Excel, Capital Markets, Risk Management, Banking, Financial Analysis, Fixed Income, Financial Risk, Investment Banking, Credit Risk, Financial Modeling, Customer Service, Securities, Structured Finance, Market Risk, Finance, Financial Services
Education
University of Rochester 1977 — 1984
Doctor of Philosophy (Ph.D.), International Finance
William E. Simon School of Business 1977 — 1979
Master's Degree, Applied Economics
University of Massachusetts, Amherst 1975 — 1977
Master of Business Administration (M.B.A.), Management Science
Boston College 1965 — 1969
Bachelor's Degree, English Literature
Michael Brasky Michael Brasky's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Litigation Associate at Simpson Thacher & Bartlett LLP
Industry Legal Services
Experience
Simpson Thacher & Bartlett LLP September 2014 - Present
FINRA Securities Arbitration Clinic August 2013 - May 2014
Cardozo Moot Court Honor Society April 2013 - May 2014
JPMorgan Chase May 2013 - August 2013
US Securities and Exchange Commission January 2013 - April 2013
Judge Mark Partnow - NY State Supreme Court August 2012 - January 2013
Cramer Rosenthal McGlynn, LLC June 2012 - August 2012
New York State Senator Joseph P. Addabbo Jr. - 15th Senatorial District May 2010 - July 2011
New Yorkers for Thompson June 2009 - November 2009
United States Marine Corps - Officer Candidate School (OCS) June 2007 - August 2008
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2011 — 2014
Juris Doctor, Cum laude
SUNY Binghamton 2004 — 2008
Bachelor of Arts (B.A.), Political Science; History, Cum Laude
Midwood High School
Simpson Thacher & Bartlett LLP September 2014 - Present
FINRA Securities Arbitration Clinic August 2013 - May 2014
Cardozo Moot Court Honor Society April 2013 - May 2014
JPMorgan Chase May 2013 - August 2013
US Securities and Exchange Commission January 2013 - April 2013
Judge Mark Partnow - NY State Supreme Court August 2012 - January 2013
Cramer Rosenthal McGlynn, LLC June 2012 - August 2012
New York State Senator Joseph P. Addabbo Jr. - 15th Senatorial District May 2010 - July 2011
New Yorkers for Thompson June 2009 - November 2009
United States Marine Corps - Officer Candidate School (OCS) June 2007 - August 2008
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2011 — 2014
Juris Doctor, Cum laude
SUNY Binghamton 2004 — 2008
Bachelor of Arts (B.A.), Political Science; History, Cum Laude
Midwood High School
André (Andy) Gelinas André (Andy) Gelinas's US Securities and Exchange Commission Experience October 2008 - June 2010
Job Legal Counsel, Financial Services Regulation and Financial Crimes
Industry Legal Services
Experience
Morgan Stanley October 2014 - Present
Qatar Financial Centre Regulatory Authority July 2010 - July 2014
US Securities and Exchange Commission October 2008 - June 2010
Lehman Brothers September 2004 - September 2008
Schulte Roth & Zabel LLP July 2002 - September 2004
US Securities and Exchange Commission October 2000 - July 2002
Fidelity Investments 1999 - 2000
Tung Tai Asset Management Ltd. 1994 - 1994
Skills
Corporate Governance, Securities Regulation, AML, Economic Sanctions, Financial Regulation, Banking, Internal Investigations, Legal Research, Financial Services, Legal Writing, Financial Services..., Regulatory Affairs, OFAC, Securities, Investment Banking, Hedge Funds, Investments, Due Diligence, Finance, Anti Money Laundering, Asset Management, Corporate Law
Education
Suffolk University Law School 1997 — 2000
Juris Doctorate (J.D.), Focus on corporate law and financial services and regulation
Boston College 1993 — 1997
B.A., Literature; Western culture
Cushing Academy 1989 — 1993
Diploma
Morgan Stanley October 2014 - Present
Qatar Financial Centre Regulatory Authority July 2010 - July 2014
US Securities and Exchange Commission October 2008 - June 2010
Lehman Brothers September 2004 - September 2008
Schulte Roth & Zabel LLP July 2002 - September 2004
US Securities and Exchange Commission October 2000 - July 2002
Fidelity Investments 1999 - 2000
Tung Tai Asset Management Ltd. 1994 - 1994
Skills
Corporate Governance, Securities Regulation, AML, Economic Sanctions, Financial Regulation, Banking, Internal Investigations, Legal Research, Financial Services, Legal Writing, Financial Services..., Regulatory Affairs, OFAC, Securities, Investment Banking, Hedge Funds, Investments, Due Diligence, Finance, Anti Money Laundering, Asset Management, Corporate Law
Education
Suffolk University Law School 1997 — 2000
Juris Doctorate (J.D.), Focus on corporate law and financial services and regulation
Boston College 1993 — 1997
B.A., Literature; Western culture
Cushing Academy 1989 — 1993
Diploma
Stacy Fuller Stacy Fuller's US Securities and Exchange Commission Experience April 2005 - April 2007
Job Partner at K&L Gates
Industry Law Practice
Experience
K&L Gates April 2007 - Present
US Securities and Exchange Commission April 2005 - April 2007
Education
University of Virginia School of Law 1994 — 1997
JD, Law
Amherst College 1987 — 1991
K&L Gates April 2007 - Present
US Securities and Exchange Commission April 2005 - April 2007
Education
University of Virginia School of Law 1994 — 1997
JD, Law
Amherst College 1987 — 1991
Max Rumyantsev Max Rumyantsev's US Securities and Exchange Commission Experience September 2011 - Present
Job Analyst at US Securities and Exchange Commission
Industry Capital Markets
Experience
US Securities and Exchange Commission September 2011 - Present
R&R Consulting / Creditspectrum June 2009 - September 2011
R&R Consulting / Creditspectrum April 2007 - June 2009
Skills
Fixed Income, Valuation, Portfolio Management, Financial Engineering, Structured Finance, Monte Carlo Simulation, Financial Risk, Bonds, Fixed Income Analysis, SAS, Structured Products, Credit Risk, Finance, ABS, Basel II, Securitization, MBS, VAR, Financial Markets, Fixed Income Products, Fixed Income Research, Asset-backed..., Credit Analysis, Financial Structuring, Collateral Analysis, Forecasting, Credit Scoring, Non-Agency RMBS, Quantitative Finance, Derivatives, Quantitative Analytics, Financial Modeling, Risk Management, Capital Markets, Bloomberg, VBA, Dodd-Frank
Education
Baruch College, City University of New York (CUNY) 2006 — 2007
Master’s Degree, Financial Engineering, 3.89
National University, Ukraine
Master’s Degree, Aerospace Engineering, 3.9
US Securities and Exchange Commission September 2011 - Present
R&R Consulting / Creditspectrum June 2009 - September 2011
R&R Consulting / Creditspectrum April 2007 - June 2009
Skills
Fixed Income, Valuation, Portfolio Management, Financial Engineering, Structured Finance, Monte Carlo Simulation, Financial Risk, Bonds, Fixed Income Analysis, SAS, Structured Products, Credit Risk, Finance, ABS, Basel II, Securitization, MBS, VAR, Financial Markets, Fixed Income Products, Fixed Income Research, Asset-backed..., Credit Analysis, Financial Structuring, Collateral Analysis, Forecasting, Credit Scoring, Non-Agency RMBS, Quantitative Finance, Derivatives, Quantitative Analytics, Financial Modeling, Risk Management, Capital Markets, Bloomberg, VBA, Dodd-Frank
Education
Baruch College, City University of New York (CUNY) 2006 — 2007
Master’s Degree, Financial Engineering, 3.89
National University, Ukraine
Master’s Degree, Aerospace Engineering, 3.9
Lillian Wang's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Juris Doctor with Significant Business and Government Experience
Industry Law Practice
Experience
U.S. District Court for the Southern District of New York January 2015 - April 2015
United States Attorney's Office August 2014 - December 2014
J.P. Morgan June 2014 - August 2014
US Securities and Exchange Commission January 2014 - April 2014
United States Attorney's Office May 2013 - August 2013
Deloitte Services LLP April 2007 - August 2012
U.S. Department of State March 2003 - April 2007
American Express March 2001 - March 2003
AT&T June 1996 - April 1999
Skills
Strategy, Product Management, Strategic Planning, Business Analysis, Management, Analysis, Project Management, Team Management, Financial Analysis, International Relations, Leadership, Westlaw, LexisNexis, Legal Writing, Legal Research, Government, Finance, Financial Modeling, E-commerce, Market Analysis, Market Research, Competitive Intelligence, Program Management, Research, Start-ups, Business Strategy
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2012 — 2015
Doctor of Law (J.D.)
Columbia University - School of International and Public Affairs
MA, International Economic Policy
University of California, Berkeley - Walter A. Haas School of Business
B.S., Business
Universite Paris-Sorbonne
Spring Semester Abroad
U.S. District Court for the Southern District of New York January 2015 - April 2015
United States Attorney's Office August 2014 - December 2014
J.P. Morgan June 2014 - August 2014
US Securities and Exchange Commission January 2014 - April 2014
United States Attorney's Office May 2013 - August 2013
Deloitte Services LLP April 2007 - August 2012
U.S. Department of State March 2003 - April 2007
American Express March 2001 - March 2003
AT&T June 1996 - April 1999
Skills
Strategy, Product Management, Strategic Planning, Business Analysis, Management, Analysis, Project Management, Team Management, Financial Analysis, International Relations, Leadership, Westlaw, LexisNexis, Legal Writing, Legal Research, Government, Finance, Financial Modeling, E-commerce, Market Analysis, Market Research, Competitive Intelligence, Program Management, Research, Start-ups, Business Strategy
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2012 — 2015
Doctor of Law (J.D.)
Columbia University - School of International and Public Affairs
MA, International Economic Policy
University of California, Berkeley - Walter A. Haas School of Business
B.S., Business
Universite Paris-Sorbonne
Spring Semester Abroad
Marron Doherty's US Securities and Exchange Commission Experience May 2013 - July 2013
Job Bronx County Assistant District Attorney
Industry Law Practice
Experience
Bronx County District Attorney Office September 2014 - Present
The Honorable Carolyn Demarest, New York State Supreme Court, Commercial Division January 2014 - May 2014
Bloomberg Law October 2012 - May 2014
US Securities and Exchange Commission May 2013 - July 2013
Financial Industry Regulatory Authority January 2013 - April 2013
New Jersey Bureau of Securities September 2012 - November 2012
Fred Alger Management, Inc May 2012 - August 2012
New York Legal Assistance Group September 2010 - May 2011
Weber Shandwick June 2009 - August 2009
Macmillan June 2008 - August 2008
Skills
Westlaw, Legal Research, Litigation, Corporate Law, Research, International Law, Civil Litigation, Editing, Bloomberg Law, Insider Trading, Securities Regulation, Securities, Legal Writing, Lexis, Wills, Criminal Law, Courts, Trials, Microsoft Office, Legal Assistance
Education
Brooklyn Law School 2011 — 2014
JD, Banking, Corporate, Finance, and Securities Law
Amherst College
BA, Political Science
Bronx County District Attorney Office September 2014 - Present
The Honorable Carolyn Demarest, New York State Supreme Court, Commercial Division January 2014 - May 2014
Bloomberg Law October 2012 - May 2014
US Securities and Exchange Commission May 2013 - July 2013
Financial Industry Regulatory Authority January 2013 - April 2013
New Jersey Bureau of Securities September 2012 - November 2012
Fred Alger Management, Inc May 2012 - August 2012
New York Legal Assistance Group September 2010 - May 2011
Weber Shandwick June 2009 - August 2009
Macmillan June 2008 - August 2008
Skills
Westlaw, Legal Research, Litigation, Corporate Law, Research, International Law, Civil Litigation, Editing, Bloomberg Law, Insider Trading, Securities Regulation, Securities, Legal Writing, Lexis, Wills, Criminal Law, Courts, Trials, Microsoft Office, Legal Assistance
Education
Brooklyn Law School 2011 — 2014
JD, Banking, Corporate, Finance, and Securities Law
Amherst College
BA, Political Science
Noah Becker Noah Becker's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Counsel at NORESCO
Industry Construction
Experience
NORESCO August 2011 - Present
SEIU September 2010 - December 2010
Suffolk County District Attorney's Office June 2010 - August 2010
Judge Bruce M. Selya, U.S. Court of Appeals for the First Circuit November 2009 - February 2010
US Securities and Exchange Commission June 2009 - August 2009
Phoenix Construction Resources December 2005 - August 2007
Skills
Legal Writing, Corporate Governance, Contract Negotiation, Legal Research, Legal Advice, Legal Compliance, Legal Documents, Corporate Law, Contract Management, Government Contracting, Purchase Contracts, Document Drafting, Drafting Policies, Construction Law, Energy Performance..., RFP, Energy Services..., Private Pilot, ESCO, Litigation, Intellectual Property
Education
Northeastern University School of Law 2008 — 2011
Doctor of Law (J.D.)
Bentley University 2007 — 2008
Master of Business Administration (M.B.A.), Economics
Bentley University 2003 — 2006
Bachelor of Science (BS), Marketing
NORESCO August 2011 - Present
SEIU September 2010 - December 2010
Suffolk County District Attorney's Office June 2010 - August 2010
Judge Bruce M. Selya, U.S. Court of Appeals for the First Circuit November 2009 - February 2010
US Securities and Exchange Commission June 2009 - August 2009
Phoenix Construction Resources December 2005 - August 2007
Skills
Legal Writing, Corporate Governance, Contract Negotiation, Legal Research, Legal Advice, Legal Compliance, Legal Documents, Corporate Law, Contract Management, Government Contracting, Purchase Contracts, Document Drafting, Drafting Policies, Construction Law, Energy Performance..., RFP, Energy Services..., Private Pilot, ESCO, Litigation, Intellectual Property
Education
Northeastern University School of Law 2008 — 2011
Doctor of Law (J.D.)
Bentley University 2007 — 2008
Master of Business Administration (M.B.A.), Economics
Bentley University 2003 — 2006
Bachelor of Science (BS), Marketing
Fanny Cen's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Brand Strategist at Jia Collection
Industry Marketing and Advertising
Experience
UCLA at Baruch College August 2014 - May 2015
Bike and Roll New York City January 2014 - May 2014
Skillcrush January 2013 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
Local Development Corporation July 2009 - August 2010
Skills
PowerPoint, Microsoft Excel, Microsoft Word, Google Docs, Adobe Acrobat, Outlook, Bloomberg Terminal, Electronic Municipal..., Factiva, Code, HTML, CSS, Analysis, Marketing, Social Networking, Research
Education
Baruch College, City University of New York (CUNY) 2011 — 2015
BBA, Marketing, Business Management
Queens College 2010 — 2011
UCLA at Baruch College August 2014 - May 2015
Bike and Roll New York City January 2014 - May 2014
Skillcrush January 2013 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
Local Development Corporation July 2009 - August 2010
Skills
PowerPoint, Microsoft Excel, Microsoft Word, Google Docs, Adobe Acrobat, Outlook, Bloomberg Terminal, Electronic Municipal..., Factiva, Code, HTML, CSS, Analysis, Marketing, Social Networking, Research
Education
Baruch College, City University of New York (CUNY) 2011 — 2015
BBA, Marketing, Business Management
Queens College 2010 — 2011
Jason Rozovsky's US Securities and Exchange Commission Experience September 2011 - November 2011
Job Corporate Attorney at SterlingBackcheck
Industry Law Practice
Experience
SterlingBackcheck October 2013 - Present
Benjamin N. Cardozo School of Law June 2013 - October 2013
New York State Department of Financial Services May 2012 - August 2012
Criminal Appeals Clinic, Benjamin N. Cardozo School of Law September 2010 - May 2012
US Securities and Exchange Commission September 2011 - November 2011
Professor Marci A. Hamilton, Benjamin N. Cardozo School of Law June 2011 - November 2011
Kings County District Attorneys Office January 2011 - April 2011
Matrix Media Digital Advertising February 2005 - January 2011
Honorable Jack B. Weinstein, Senior District Court Judge, Eastern District of New York June 2010 - August 2010
Kaplan May 2008 - September 2008
Skills
Legal Research, Trials, Courts, Insurance, Appeals, Motions, Litigation, Westlaw, Mediation, Research, Legal Writing, Corporate Law, Lexis, Civil Litigation, Commercial Litigation, LexisNexis
Education
Benjamin N. Cardozo School of Law, Yeshiva University
Doctor of Law (J.D.)
City University of New York-Brooklyn College 2003 — 2007
Bachelor's degree, Philosophy of Law and Political Science
American University of Rome 2006 — 2006
Brooklyn Technical High School 1999 — 2003
SterlingBackcheck October 2013 - Present
Benjamin N. Cardozo School of Law June 2013 - October 2013
New York State Department of Financial Services May 2012 - August 2012
Criminal Appeals Clinic, Benjamin N. Cardozo School of Law September 2010 - May 2012
US Securities and Exchange Commission September 2011 - November 2011
Professor Marci A. Hamilton, Benjamin N. Cardozo School of Law June 2011 - November 2011
Kings County District Attorneys Office January 2011 - April 2011
Matrix Media Digital Advertising February 2005 - January 2011
Honorable Jack B. Weinstein, Senior District Court Judge, Eastern District of New York June 2010 - August 2010
Kaplan May 2008 - September 2008
Skills
Legal Research, Trials, Courts, Insurance, Appeals, Motions, Litigation, Westlaw, Mediation, Research, Legal Writing, Corporate Law, Lexis, Civil Litigation, Commercial Litigation, LexisNexis
Education
Benjamin N. Cardozo School of Law, Yeshiva University
Doctor of Law (J.D.)
City University of New York-Brooklyn College 2003 — 2007
Bachelor's degree, Philosophy of Law and Political Science
American University of Rome 2006 — 2006
Brooklyn Technical High School 1999 — 2003
Roey Barnir Roey Barnir's US Securities and Exchange Commission Experience January 2013 - May 2013
Job Co Founder at Dealab
Industry Management Consulting
Experience
dealab March 2014 - Present
The Pharma Partners February 2015 - Present
Main Street Genome May 2014 - September 2014
United States Senate January 2014 - May 2014
Wardell International May 2011 - May 2014
Managed Funds Association September 2013 - December 2013
Shanghai Barry Law Firm May 2013 - August 2013
US Securities and Exchange Commission January 2013 - May 2013
US Securities and Exchange Commission August 2012 - December 2012
Bloomberg LP May 2009 - August 2009
Skills
Legal Research, Legal Writing, Business Analysis, Business Intelligence, Financial Modeling
Education
American University, Washington College of Law 2011 — 2015
Juris Doctor
Concordia University, John Molson School of Business 2006 — 2011
B.Comm, Finance and International Business
Fair Lawn High School
dealab March 2014 - Present
The Pharma Partners February 2015 - Present
Main Street Genome May 2014 - September 2014
United States Senate January 2014 - May 2014
Wardell International May 2011 - May 2014
Managed Funds Association September 2013 - December 2013
Shanghai Barry Law Firm May 2013 - August 2013
US Securities and Exchange Commission January 2013 - May 2013
US Securities and Exchange Commission August 2012 - December 2012
Bloomberg LP May 2009 - August 2009
Skills
Legal Research, Legal Writing, Business Analysis, Business Intelligence, Financial Modeling
Education
American University, Washington College of Law 2011 — 2015
Juris Doctor
Concordia University, John Molson School of Business 2006 — 2011
B.Comm, Finance and International Business
Fair Lawn High School
Shikha Singhvi Shikha Singhvi's US Securities and Exchange Commission Experience October 2012 - April 2013
Job Attorney at Federal Reserve Board
Industry Law Practice
Experience
Federal Reserve Board April 2013 - Present
US Securities and Exchange Commission October 2012 - April 2013
United States District Court for the Eastern District of New York February 2012 - September 2012
US Securities and Exchange Commission January 2011 - May 2011
U.S. Environmental Protection Agency May 2010 - August 2010
Pepper Hamilton LLP May 2009 - July 2009
IBM July 2006 - July 2008
Lehman Brothers 2005 - 2005
UBS Investment Bank 2004 - 2004
Skills
Legal Writing, Strategic Planning, Securities Regulation, Legal Research, Litigation, Intellectual Property, Corporate Law, Government, Commercial Litigation, Securities, Trials, Litigation Support, Corporate Governance, Criminal Law, Civil Litigation, Mediation
Education
Villanova University School of Law 2008 — 2011
JD, Law
Columbia University in the City of New York 2002 — 2006
Bachelor of Arts (B.A.), Economics, Political Science
Barnard College 2002 — 2006
Bachelor of Arts (B.A.), Economics, Political Science
Federal Reserve Board April 2013 - Present
US Securities and Exchange Commission October 2012 - April 2013
United States District Court for the Eastern District of New York February 2012 - September 2012
US Securities and Exchange Commission January 2011 - May 2011
U.S. Environmental Protection Agency May 2010 - August 2010
Pepper Hamilton LLP May 2009 - July 2009
IBM July 2006 - July 2008
Lehman Brothers 2005 - 2005
UBS Investment Bank 2004 - 2004
Skills
Legal Writing, Strategic Planning, Securities Regulation, Legal Research, Litigation, Intellectual Property, Corporate Law, Government, Commercial Litigation, Securities, Trials, Litigation Support, Corporate Governance, Criminal Law, Civil Litigation, Mediation
Education
Villanova University School of Law 2008 — 2011
JD, Law
Columbia University in the City of New York 2002 — 2006
Bachelor of Arts (B.A.), Economics, Political Science
Barnard College 2002 — 2006
Bachelor of Arts (B.A.), Economics, Political Science
Oded Cedar Oded Cedar's US Securities and Exchange Commission Experience September 2011 - November 2011
Job Associate Attorney at Cadwalader, Wickersham & Taft LLP
Industry Law Practice
Experience
Cadwalader, Wickersham & Taft LLP December 2014 - Present
Seward & Kissel LLP September 2013 - December 2014
US Commodity Futures Trading Commission January 2012 - May 2012
US Securities and Exchange Commission September 2011 - November 2011
Sands Capital Management May 2011 - September 2011
Office of Congresswoman Sheila Jackson Lee (TX-18) January 2011 - May 2011
SanDisk Corp June 2010 - August 2010
Yelp.com November 2008 - March 2009
Fund for the Public Interest/ Environment California July 2008 - September 2008
Skills
Energy Law, Corporate Law, Corporate Social..., Securities Regulation, Start-ups, Venture Financing, Federal Government, Chef, Intellectual Property, Legal Writing, Mergers & Acquisitions, Licensing, Corporate Governance, Legal Research
Education
Duke University School of Law 2012 — 2013
Master of Laws (LL.M.), Entrepreneurship/Entrepreneurial Studies
American University, Washington College of Law 2010 — 2012
Doctor of Law (J.D.), Energy, Corporate, Finance, and Securities Law, Magna Cum Laude
University of California, Davis 2003 — 2007
BA, History
Cadwalader, Wickersham & Taft LLP December 2014 - Present
Seward & Kissel LLP September 2013 - December 2014
US Commodity Futures Trading Commission January 2012 - May 2012
US Securities and Exchange Commission September 2011 - November 2011
Sands Capital Management May 2011 - September 2011
Office of Congresswoman Sheila Jackson Lee (TX-18) January 2011 - May 2011
SanDisk Corp June 2010 - August 2010
Yelp.com November 2008 - March 2009
Fund for the Public Interest/ Environment California July 2008 - September 2008
Skills
Energy Law, Corporate Law, Corporate Social..., Securities Regulation, Start-ups, Venture Financing, Federal Government, Chef, Intellectual Property, Legal Writing, Mergers & Acquisitions, Licensing, Corporate Governance, Legal Research
Education
Duke University School of Law 2012 — 2013
Master of Laws (LL.M.), Entrepreneurship/Entrepreneurial Studies
American University, Washington College of Law 2010 — 2012
Doctor of Law (J.D.), Energy, Corporate, Finance, and Securities Law, Magna Cum Laude
University of California, Davis 2003 — 2007
BA, History
Natasha Sivananjaiah Natasha Sivananjaiah's US Securities and Exchange Commission Experience September 2013 - November 2013
Job Juris Doctor
Industry Law Practice
Experience
Federal Trade Commission September 2014 - November 2014
Federal Trade Commission May 2014 - August 2014
US Securities and Exchange Commission September 2013 - November 2013
White House Office of Management and Budget May 2013 - August 2013
Nokia Siemens Networks April 2011 - October 2011
WGBH October 2004 - August 2007
Skills
Research, Data Analysis, Legal Research, Legal Writing, Public Speaking, Policy Analysis, Public Policy, Editing, Microsoft Office, PowerPoint
Education
American University, Washington College of Law 2012 — 2015
Juris Doctor (J.D.)
Wellesley College 2006 — 2010
Bachelor of Arts (B.A.), Economics and Political Science
Massachusetts Institute of Technology 2007 — 2007
Mechanical Engineering
Massachusetts Academy of Mathematics and Science 2004 — 2006
High School
Federal Trade Commission September 2014 - November 2014
Federal Trade Commission May 2014 - August 2014
US Securities and Exchange Commission September 2013 - November 2013
White House Office of Management and Budget May 2013 - August 2013
Nokia Siemens Networks April 2011 - October 2011
WGBH October 2004 - August 2007
Skills
Research, Data Analysis, Legal Research, Legal Writing, Public Speaking, Policy Analysis, Public Policy, Editing, Microsoft Office, PowerPoint
Education
American University, Washington College of Law 2012 — 2015
Juris Doctor (J.D.)
Wellesley College 2006 — 2010
Bachelor of Arts (B.A.), Economics and Political Science
Massachusetts Institute of Technology 2007 — 2007
Mechanical Engineering
Massachusetts Academy of Mathematics and Science 2004 — 2006
High School
Marina Baranovsky Marina Baranovsky's US Securities and Exchange Commission Experience July 2008 - November 2013
Job Principal Owner at Scitus Consulting LLC
Industry Financial Services
Experience
Scitus Consulting LLC December 2013 - Present
US Securities and Exchange Commission July 2008 - November 2013
Fannie Mae 2006 - 2008
Freddie Mac 2004 - 2006
Skills
Financial Risk, Financial Analysis, Finance, Derivatives, Securities, Risk Management, Internal Audit, Capital Markets, Analysis, Compliance, Start-ups, Project Delivery, Project Management, Investment Banking, Credit Risk, Tax Accounting, Risk, OTC Derivatives..., Project Execution, SEC Rule 17-h Expert, Due Diligence, Trading, Banking, Investments
Education
Baruch College 1998 — 2000
Bachelor's Degree, Finance and Investments
Moscow Institute of Technology 1991 — 1995
Master of Business Administration (M.B.A.), Accounting and Audit
Scitus Consulting LLC December 2013 - Present
US Securities and Exchange Commission July 2008 - November 2013
Fannie Mae 2006 - 2008
Freddie Mac 2004 - 2006
Skills
Financial Risk, Financial Analysis, Finance, Derivatives, Securities, Risk Management, Internal Audit, Capital Markets, Analysis, Compliance, Start-ups, Project Delivery, Project Management, Investment Banking, Credit Risk, Tax Accounting, Risk, OTC Derivatives..., Project Execution, SEC Rule 17-h Expert, Due Diligence, Trading, Banking, Investments
Education
Baruch College 1998 — 2000
Bachelor's Degree, Finance and Investments
Moscow Institute of Technology 1991 — 1995
Master of Business Administration (M.B.A.), Accounting and Audit
SARIT KLEIN SARIT KLEIN's US Securities and Exchange Commission Experience July 2013 - Present
Job Office of the General Counsel US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission December 2010 - April 2012
US Securities and Exchange Commission September 2004 - December 2010
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. September 2000 - August 2004
Skills
Securities Regulation, Litigation, Legal Writing, Legal Research
Education
American University, Washington College of Law 1994 — 1997
Doctor of Law (JD)
University of California, Berkeley 1989 — 1993
Bachelor of Arts (B.A.), English
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission December 2010 - April 2012
US Securities and Exchange Commission September 2004 - December 2010
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. September 2000 - August 2004
Skills
Securities Regulation, Litigation, Legal Writing, Legal Research
Education
American University, Washington College of Law 1994 — 1997
Doctor of Law (JD)
University of California, Berkeley 1989 — 1993
Bachelor of Arts (B.A.), English
Christine Nassauer's US Securities and Exchange Commission Experience January 2013 - May 2013
Job Associate Investment Management Practice at Morgan, Lewis & Bockius LLP
Industry Law Practice
Experience
Morgan, Lewis & Bockius LLP June 2013 - Present
US Securities and Exchange Commission January 2013 - May 2013
U.S. Court of International Trade, The Honorable Delissa Ridgway June 2011 - August 2011
First District Court of Appeals, The Honorable Jefferson Hughes June 2010 - August 2010
Powell, Spencer and Partners, Solicitors June 2008 - August 2008
Skills
Spanish
Education
Georgetown University Law Center 2012 — 2013
Master of Laws (LL.M.), International Business & Economic Law, GPA: 3.94
Temple University - James E. Beasley School of Law 2009 — 2012
Doctor of Law (J.D.), GPA: 3.77
Tulane University 2006 — 2009
Bachelor of Arts (BA), International Relations; History
Boston College 2005 — 2006
Morgan, Lewis & Bockius LLP June 2013 - Present
US Securities and Exchange Commission January 2013 - May 2013
U.S. Court of International Trade, The Honorable Delissa Ridgway June 2011 - August 2011
First District Court of Appeals, The Honorable Jefferson Hughes June 2010 - August 2010
Powell, Spencer and Partners, Solicitors June 2008 - August 2008
Skills
Spanish
Education
Georgetown University Law Center 2012 — 2013
Master of Laws (LL.M.), International Business & Economic Law, GPA: 3.94
Temple University - James E. Beasley School of Law 2009 — 2012
Doctor of Law (J.D.), GPA: 3.77
Tulane University 2006 — 2009
Bachelor of Arts (BA), International Relations; History
Boston College 2005 — 2006
B. David Fraser B. David Fraser's US Securities and Exchange Commission Experience July 2013 - Present
Job Trial Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission January 2005 - July 2013
Haynes and Boone, LLP September 1999 - December 2004
Dallas Mavericks May 1995 - August 1996
Skills
Legal Research, Legal Writing, Litigation, Securities Litigation, Securities, Securities Regulation, Corporate Governance, Commercial Litigation, Civil Litigation, Arbitration
Education
St. Mary's University School of Law 1996 — 1999
Juris Doctor
Baylor University 1992 — 1996
Bachelor of Arts (B.A.), Journalism
Plano Senior High School 1990 — 1992
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission January 2005 - July 2013
Haynes and Boone, LLP September 1999 - December 2004
Dallas Mavericks May 1995 - August 1996
Skills
Legal Research, Legal Writing, Litigation, Securities Litigation, Securities, Securities Regulation, Corporate Governance, Commercial Litigation, Civil Litigation, Arbitration
Education
St. Mary's University School of Law 1996 — 1999
Juris Doctor
Baylor University 1992 — 1996
Bachelor of Arts (B.A.), Journalism
Plano Senior High School 1990 — 1992
Marianne Neidhart Marianne Neidhart's US Securities and Exchange Commission Experience July 2003 - June 2013
Job Board Member at KC Concessions
Industry Financial Services
Experience
KC Concessions June 2014 - Present
American Sports Enterprises, Inc. June 2014 - Present
Home June 2013 - Present
Local Non-Profit Women's Organization June 2013 - May 2014
US Securities and Exchange Commission July 2003 - June 2013
Skills
SEC filings, Securities, Auditing, Financial Analysis, Sarbanes-Oxley Act, Securities Regulation, Internal Controls, Equities, Financial Reporting, Accounting
Education
Augustana College 1999 — 2003
Bachelor of Arts (B.A.), Economics, Business Administration and Management, General
KC Concessions June 2014 - Present
American Sports Enterprises, Inc. June 2014 - Present
Home June 2013 - Present
Local Non-Profit Women's Organization June 2013 - May 2014
US Securities and Exchange Commission July 2003 - June 2013
Skills
SEC filings, Securities, Auditing, Financial Analysis, Sarbanes-Oxley Act, Securities Regulation, Internal Controls, Equities, Financial Reporting, Accounting
Education
Augustana College 1999 — 2003
Bachelor of Arts (B.A.), Economics, Business Administration and Management, General
Thomas McManus Thomas McManus's US Securities and Exchange Commission Experience September 1992 - September 1994
Job E*TRADE
Industry Financial Services
Experience
Direct Edge July 2011 - May 2014
Barclays Capital November 2009 - July 2011
Morgan, Lewis & Bockius LLP October 2008 - October 2009
Morgan Stanley January 1998 - September 2008
Orrick, Herrington & Sutcliffe LLP September 1994 - January 1998
US Securities and Exchange Commission September 1992 - September 1994
Skills
Securities, FINRA, Securities Regulation, Capital Markets, Hedge Funds, Broker-Dealer, Corporate Governance, Equity Trading, Internal Audit, Enterprise Risk..., Prime Brokerage, Market Structure, Self-regulation, Surveillance, Compliance, AML, Alternative Investments, Corporate Law, Derivatives, Dodd-Frank, Due Diligence, Electronic Trading, Equities, Financial Markets, Financial Regulation, Financial Services, Investment Banking, Investments, Options, SEC, Series 7, Structured Products, Trading, Trading Systems
Education
American University, Washington College of Law 1989 — 1992
Doctor of Law (J.D.)
Boston College 1983 — 1987
Bachelor of Arts (BA), Economics
Direct Edge July 2011 - May 2014
Barclays Capital November 2009 - July 2011
Morgan, Lewis & Bockius LLP October 2008 - October 2009
Morgan Stanley January 1998 - September 2008
Orrick, Herrington & Sutcliffe LLP September 1994 - January 1998
US Securities and Exchange Commission September 1992 - September 1994
Skills
Securities, FINRA, Securities Regulation, Capital Markets, Hedge Funds, Broker-Dealer, Corporate Governance, Equity Trading, Internal Audit, Enterprise Risk..., Prime Brokerage, Market Structure, Self-regulation, Surveillance, Compliance, AML, Alternative Investments, Corporate Law, Derivatives, Dodd-Frank, Due Diligence, Electronic Trading, Equities, Financial Markets, Financial Regulation, Financial Services, Investment Banking, Investments, Options, SEC, Series 7, Structured Products, Trading, Trading Systems
Education
American University, Washington College of Law 1989 — 1992
Doctor of Law (J.D.)
Boston College 1983 — 1987
Bachelor of Arts (BA), Economics
Andrew Sparling's US Securities and Exchange Commission Experience May 2007 - October 2007
Job
Industry Accounting
Experience
Cerberus Capital Management April 2014 - Present
Rothstein Kass October 2008 - March 2014
US Securities and Exchange Commission May 2007 - October 2007
Desert Hills Bank May 2006 - September 2006
Education
Boston College 2004 — 2008
B.S.
Cerberus Capital Management April 2014 - Present
Rothstein Kass October 2008 - March 2014
US Securities and Exchange Commission May 2007 - October 2007
Desert Hills Bank May 2006 - September 2006
Education
Boston College 2004 — 2008
B.S.
Tom Sporkin Tom Sporkin's US Securities and Exchange Commission Experience January 2010 - June 2012
Job Partner | Government Enforcement & Litigation Attorney at BuckleySandler LLP
Industry Law Practice
Experience
BuckleySandler LLP June 2012 - Present
US Securities and Exchange Commission January 2010 - June 2012
US Securities and Exchange Commission 2001 - 2010
US Securities and Exchange Commission 1995 - 2001
US Securities and Exchange Commission 1992 - 1995
Skills
Securities, Securities Regulation, Securities Litigation, Corporate Governance, FINRA, Corporate Law, FCPA, Commercial Litigation, White Collar Criminal..., SEC, Internal Investigations, Litigation, Private Investigations, Civil Litigation, Risk Management, Appeals, Animal Behavior, Fraud, Class Actions, Licensing, AML, Due Diligence, Arbitration, Legal Research, Courts, Privacy Law, Legal Writing, Enforcement, Trials, Litigation Support, Administrative Law, Legal Compliance, Intellectual Property
Education
American University Washington College of Law 1989 — 1992
University of Maryland
Bachelor of Science (B.S.), Economics
BuckleySandler LLP June 2012 - Present
US Securities and Exchange Commission January 2010 - June 2012
US Securities and Exchange Commission 2001 - 2010
US Securities and Exchange Commission 1995 - 2001
US Securities and Exchange Commission 1992 - 1995
Skills
Securities, Securities Regulation, Securities Litigation, Corporate Governance, FINRA, Corporate Law, FCPA, Commercial Litigation, White Collar Criminal..., SEC, Internal Investigations, Litigation, Private Investigations, Civil Litigation, Risk Management, Appeals, Animal Behavior, Fraud, Class Actions, Licensing, AML, Due Diligence, Arbitration, Legal Research, Courts, Privacy Law, Legal Writing, Enforcement, Trials, Litigation Support, Administrative Law, Legal Compliance, Intellectual Property
Education
American University Washington College of Law 1989 — 1992
University of Maryland
Bachelor of Science (B.S.), Economics
Michael Ungar Michael Ungar's US Securities and Exchange Commission Experience August 1998 - February 2010
Job Partner at McDermott Will & Emery
Industry Law Practice
Experience
McDermott Will & Emery February 2010 - Present
US Securities and Exchange Commission August 1998 - February 2010
Skills
Fraud, Securities, Internal Investigations, Private Investigations, Securities Regulation, Corporate Governance, Commercial Litigation, Litigation, FCPA, Corporate Law, Civil Litigation, Criminal Law, Arbitration, Law Enforcement
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1989 — 1992
Doctor of Law (J.D.), magna cum laude
McDermott Will & Emery February 2010 - Present
US Securities and Exchange Commission August 1998 - February 2010
Skills
Fraud, Securities, Internal Investigations, Private Investigations, Securities Regulation, Corporate Governance, Commercial Litigation, Litigation, FCPA, Corporate Law, Civil Litigation, Criminal Law, Arbitration, Law Enforcement
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1989 — 1992
Doctor of Law (J.D.), magna cum laude
Shannon Zhu's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Associate Legal Counsel at Bank of China
Industry Legal Services
Experience
Bank of China November 2014 - Present
Warner Bros. Entertainment Group of Companies August 2014 - September 2014
US Securities and Exchange Commission January 2014 - May 2014
Zhong Lun Law Firm May 2013 - June 2013
Sanders Ortoli Vaughn-Flam Rosenstadt LLP January 2013 - May 2013
Office of the Attorney General of the State of New York June 2012 - December 2012
Civolution December 2011 - April 2012
John Hancock Life Insurance Company (U.S.A.) May 2009 - August 2009
Texas Instruments Semiconductor May 2007 - June 2007
Skills
Legal Research, Intellectual Property, Courts, Litigation, Legal Writing, Copyright Law, Trademarks, Corporate Law, Trials, Mergers & Acquisitions, Bankruptcy, Appeals
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2011 — 2014
JD
Stony Brook University 2007 — 2010
BS, Finance, Political Science
Concordia International School Shanghai 2003 — 2007
Bank of China November 2014 - Present
Warner Bros. Entertainment Group of Companies August 2014 - September 2014
US Securities and Exchange Commission January 2014 - May 2014
Zhong Lun Law Firm May 2013 - June 2013
Sanders Ortoli Vaughn-Flam Rosenstadt LLP January 2013 - May 2013
Office of the Attorney General of the State of New York June 2012 - December 2012
Civolution December 2011 - April 2012
John Hancock Life Insurance Company (U.S.A.) May 2009 - August 2009
Texas Instruments Semiconductor May 2007 - June 2007
Skills
Legal Research, Intellectual Property, Courts, Litigation, Legal Writing, Copyright Law, Trademarks, Corporate Law, Trials, Mergers & Acquisitions, Bankruptcy, Appeals
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2011 — 2014
JD
Stony Brook University 2007 — 2010
BS, Finance, Political Science
Concordia International School Shanghai 2003 — 2007
Adam Bobkin Adam Bobkin's US Securities and Exchange Commission Experience June 2008 - August 2008
Job Associate at Mauro Lilling Naparty LLP
Industry Law Practice
Experience
Mauro Lilling Naparty LLP July 2015 - Present
Milberg LLP September 2010 - June 2015
Securities Arbitration Clinic January 2009 - May 2009
The Honorable Joanna Seybert January 2009 - May 2009
US Securities and Exchange Commission June 2008 - August 2008
Fisher Enterprises LLC April 2004 - June 2007
Tell A Tech July 2002 - April 2004
Group One Trading, LP January 2000 - August 2001
Skills
Corporate Governance, Fraud, Hearings, Legal Research, Litigation, Litigation Support, Product Liability, Trial Practice, Appeals, Legal Writing, Trials
Education
Hofstra University School of Law 2007 — 2010
JD, Law
Baruch College 2001 — 2004
Bachelor of Business Administration (B.B.A.), Finance and Economics
Mauro Lilling Naparty LLP July 2015 - Present
Milberg LLP September 2010 - June 2015
Securities Arbitration Clinic January 2009 - May 2009
The Honorable Joanna Seybert January 2009 - May 2009
US Securities and Exchange Commission June 2008 - August 2008
Fisher Enterprises LLC April 2004 - June 2007
Tell A Tech July 2002 - April 2004
Group One Trading, LP January 2000 - August 2001
Skills
Corporate Governance, Fraud, Hearings, Legal Research, Litigation, Litigation Support, Product Liability, Trial Practice, Appeals, Legal Writing, Trials
Education
Hofstra University School of Law 2007 — 2010
JD, Law
Baruch College 2001 — 2004
Bachelor of Business Administration (B.B.A.), Finance and Economics
Seth Taube Seth Taube's US Securities and Exchange Commission Experience 1979 - 1985
Job Senior Partner at Baker Botts LLP
Industry Law Practice
Experience
Baker Botts LLP June 2004 - Present
McCarter & English, LLP November 1985 - June 2004
Cralin and Company July 1984 - November 1985
US Securities and Exchange Commission 1979 - 1985
United States Attorney's Office, Southern District of New York 1981 - 1983
Skills
Securities Litigation, Securities Regulation, FCPA, White Collar Criminal..., Arbitration, Corporate Governance, Courts, Litigation, Class Actions, Intellectual Property, Corporate Law, Appeals, Bankruptcy, Commercial Litigation, Business Litigation, Internal Investigations, Mergers & Acquisitions, Securities, Trials, Litigation Management
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1976 — 1979
JD Cum Laude, law
Queens College 1972 — 1976
BA Magna Cum Laude
Baker Botts LLP June 2004 - Present
McCarter & English, LLP November 1985 - June 2004
Cralin and Company July 1984 - November 1985
US Securities and Exchange Commission 1979 - 1985
United States Attorney's Office, Southern District of New York 1981 - 1983
Skills
Securities Litigation, Securities Regulation, FCPA, White Collar Criminal..., Arbitration, Corporate Governance, Courts, Litigation, Class Actions, Intellectual Property, Corporate Law, Appeals, Bankruptcy, Commercial Litigation, Business Litigation, Internal Investigations, Mergers & Acquisitions, Securities, Trials, Litigation Management
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1976 — 1979
JD Cum Laude, law
Queens College 1972 — 1976
BA Magna Cum Laude
Steve vonBerg Steve vonBerg's US Securities and Exchange Commission Experience September 2012 - May 2013
Job Associate at BuckleySandler LLP
Industry Law Practice
Experience
BuckleySandler LLP August 2013 - Present
US Securities and Exchange Commission September 2012 - May 2013
Straus & Boies, LLP May 2012 - August 2012
Ruddy Law Office, PLLC May 2011 - November 2011
PNC Bank August 2009 - April 2011
BearingPoint 2008 - 2009
American Home Mortgage 2003 - 2008
Skills
Banking Law, Corporate Law, Legal Compliance, Finance, Securities, Legal Writing, Legal Research, Securities Regulation, Financial Analysis, Westlaw, Business Development, Economics, Real Estate, Managerial Finance, Leadership, Microsoft Excel, Business Analysis, Banking, Due Diligence, Mergers, Loans, Financial Regulation, Credit, Mortgage Lending, Consumer Lending, Licensing, Mortgage Banking, Legal Issues
Education
American University, Washington College of Law 2010 — 2013
Doctor of Law (JD), Financial Services and Banking Law
BuckleySandler LLP August 2013 - Present
US Securities and Exchange Commission September 2012 - May 2013
Straus & Boies, LLP May 2012 - August 2012
Ruddy Law Office, PLLC May 2011 - November 2011
PNC Bank August 2009 - April 2011
BearingPoint 2008 - 2009
American Home Mortgage 2003 - 2008
Skills
Banking Law, Corporate Law, Legal Compliance, Finance, Securities, Legal Writing, Legal Research, Securities Regulation, Financial Analysis, Westlaw, Business Development, Economics, Real Estate, Managerial Finance, Leadership, Microsoft Excel, Business Analysis, Banking, Due Diligence, Mergers, Loans, Financial Regulation, Credit, Mortgage Lending, Consumer Lending, Licensing, Mortgage Banking, Legal Issues
Education
American University, Washington College of Law 2010 — 2013
Doctor of Law (JD), Financial Services and Banking Law
James R. Drabick James R. Drabick's US Securities and Exchange Commission Experience September 2012 - Present
Job Enforcement Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission September 2012 - Present
Ropes & Gray LLP September 2006 - August 2012
U.S. District Court for the District of Columbia August 2008 - July 2009
Environmental & Energy Study Institute November 2002 - October 2004
Education
Georgetown University Law Center 2003 — 2006
JD
Amherst College 1998 — 2002
BA, Economics / Law, Jurisprudence, and Social Thought
US Securities and Exchange Commission September 2012 - Present
Ropes & Gray LLP September 2006 - August 2012
U.S. District Court for the District of Columbia August 2008 - July 2009
Environmental & Energy Study Institute November 2002 - October 2004
Education
Georgetown University Law Center 2003 — 2006
JD
Amherst College 1998 — 2002
BA, Economics / Law, Jurisprudence, and Social Thought
Christopher Crossan Christopher Crossan's US Securities and Exchange Commission Experience April 1994 - August 2000
Job Global Chief Compliance Officer and Vice President at Dimensional Fund Advisors
Industry Investment Management
Experience
Dimensional Fund Advisors February 2004 - Present
INVESCO Institutional August 2000 - February 2004
US Securities and Exchange Commission April 1994 - August 2000
SEC 1994 - 2000
Education
Arizona State University
Dimensional Fund Advisors February 2004 - Present
INVESCO Institutional August 2000 - February 2004
US Securities and Exchange Commission April 1994 - August 2000
SEC 1994 - 2000
Education
Arizona State University
Emily (Legros) Belliveau's US Securities and Exchange Commission Experience June 2010 - April 2011
Job Manager of Benefits, Compensation & HRIS at Enel Green Power North America
Industry Human Resources
Experience
Enel Green Power North America July 2012 - December 2014
Thermo Fisher Scientific May 2011 - July 2012
U.S. Securities and Exchange Commission June 2010 - April 2011
US Securities and Exchange Commission May 2008 - June 2010
Boston College September 2007 - May 2008
Rollstone Bank & Trust May 2007 - May 2008
Boston College September 2006 - May 2007
Skills
Recruiting, Interviews, Background Checks, Onboarding, New Hire Orientations, HR Metrics, Headcount Reporting, HRIS Database Management, Performance Management, Award Programs, Benefits Administration, Workers Compensation, FMLA, Disability Claims..., Time & Attendance, Coordinating Events, Facility Relocation, Exit Interviews, HRIS, Talent Management, Applicant Tracking..., College Recruiting
Education
Boston College 2006 — 2010
Bachelor of Arts, Communication
St. Bernard's 2002 — 2006
Enel Green Power North America July 2012 - December 2014
Thermo Fisher Scientific May 2011 - July 2012
U.S. Securities and Exchange Commission June 2010 - April 2011
US Securities and Exchange Commission May 2008 - June 2010
Boston College September 2007 - May 2008
Rollstone Bank & Trust May 2007 - May 2008
Boston College September 2006 - May 2007
Skills
Recruiting, Interviews, Background Checks, Onboarding, New Hire Orientations, HR Metrics, Headcount Reporting, HRIS Database Management, Performance Management, Award Programs, Benefits Administration, Workers Compensation, FMLA, Disability Claims..., Time & Attendance, Coordinating Events, Facility Relocation, Exit Interviews, HRIS, Talent Management, Applicant Tracking..., College Recruiting
Education
Boston College 2006 — 2010
Bachelor of Arts, Communication
St. Bernard's 2002 — 2006
Mark Amorosi Mark Amorosi's US Securities and Exchange Commission Experience December 1994 - December 1995
Job Partner at K&L Gates
Industry Law Practice
Experience
K&L Gates January 2000 - Present
US Securities and Exchange Commission December 1994 - December 1995
Skills
Securities Regulation, Hedge Funds, Mutual Funds, Investment Advisory, Investment Management, FINRA, Investment Advisers Act, Asset Allocation, Portfolio Management, SEC, Broker-Dealer, ETFs, Legal Writing, Investments, Corporate Governance, Mergers & Acquisitions, Securities Litigation, Corporate Law, Insurance, Private Equity, Alternative Investments, Securities
Education
The Catholic University of America, Columbus School of Law 1991 — 1994
J.D.
Boston College 1987 — 1991
B.A., Political Science
Landon School 1987 — 1987
K&L Gates January 2000 - Present
US Securities and Exchange Commission December 1994 - December 1995
Skills
Securities Regulation, Hedge Funds, Mutual Funds, Investment Advisory, Investment Management, FINRA, Investment Advisers Act, Asset Allocation, Portfolio Management, SEC, Broker-Dealer, ETFs, Legal Writing, Investments, Corporate Governance, Mergers & Acquisitions, Securities Litigation, Corporate Law, Insurance, Private Equity, Alternative Investments, Securities
Education
The Catholic University of America, Columbus School of Law 1991 — 1994
J.D.
Boston College 1987 — 1991
B.A., Political Science
Landon School 1987 — 1987
Marian Boyle-Schumer's US Securities and Exchange Commission Experience September 2001 - October 2003
Job Research and Content Management
Industry Financial Services
Experience
Boyle Securities 2001 - Present
Goldman Sachs February 1999 - November 2007
US Securities and Exchange Commission September 2001 - October 2003
Securities International Inc June 1989 - January 1998
Walter Frank Inc 1981 - 1983
David Goldberg 1979 - 1981
Skills
Technical Analysis, Investment Advisory, ETFs, Hedging, FX trading, Investment Management, Emerging Markets, Financial Risk, Bloomberg Terminal, Options Strategies, Currency, Options, Equities, Derivatives, Hedge Funds, Investments, Financial Markets, Trading Systems, Portfolio Management, Bloomberg, Trading, Capital Markets, FX Trading, Finance
Education
Benedictine University
Bachelor's Degree, Political Science
Université de Fribourg
Master's Degree, Political Finance
Boyle Securities 2001 - Present
Goldman Sachs February 1999 - November 2007
US Securities and Exchange Commission September 2001 - October 2003
Securities International Inc June 1989 - January 1998
Walter Frank Inc 1981 - 1983
David Goldberg 1979 - 1981
Skills
Technical Analysis, Investment Advisory, ETFs, Hedging, FX trading, Investment Management, Emerging Markets, Financial Risk, Bloomberg Terminal, Options Strategies, Currency, Options, Equities, Derivatives, Hedge Funds, Investments, Financial Markets, Trading Systems, Portfolio Management, Bloomberg, Trading, Capital Markets, FX Trading, Finance
Education
Benedictine University
Bachelor's Degree, Political Science
Université de Fribourg
Master's Degree, Political Finance
Philip Hinkle Philip Hinkle's US Securities and Exchange Commission Experience January 2003 - April 2003
Job Associate at Dechert LLP
Industry Law Practice
Experience
Dechert LLP September 2006 - Present
US Securities and Exchange Commission January 2003 - April 2003
Office of Chief Counsel, Internal Revenue Service May 2002 - August 2002
Skills
Derivatives, Mutual Funds, Asset Management, Investment Advisory, Financial Services, Corporate Law, Corporate Governance, Securities Regulation, Securities, Investments
Education
American University, Washington College of Law 2003 — 2006
JD
William & Mary 1999 — 2003
2003, Finance
Dechert LLP September 2006 - Present
US Securities and Exchange Commission January 2003 - April 2003
Office of Chief Counsel, Internal Revenue Service May 2002 - August 2002
Skills
Derivatives, Mutual Funds, Asset Management, Investment Advisory, Financial Services, Corporate Law, Corporate Governance, Securities Regulation, Securities, Investments
Education
American University, Washington College of Law 2003 — 2006
JD
William & Mary 1999 — 2003
2003, Finance
Penny Somer-Greif Penny Somer-Greif's US Securities and Exchange Commission Experience September 1995 - May 2000
Job Securities and Corporate Attorney, Counsel at Ober|Kaler
Industry Law Practice
Experience
Ober Kaler April 2006 - Present
Arnold & Porter May 2000 - April 2006
US Securities and Exchange Commission September 1995 - May 2000
Skills
SEC, Sarbanes-Oxley Act, Corporate Law, Public Companies, Corporate Governance, Securities Regulation, SEC filings, Securities, Securities Exchange Act..., Securities Offerings, Due Diligence
Education
American University, Washington College of Law 1992 — 1995
J.D., Law
Binghamton University 1988 — 1992
B.S., Business Management
Ober Kaler April 2006 - Present
Arnold & Porter May 2000 - April 2006
US Securities and Exchange Commission September 1995 - May 2000
Skills
SEC, Sarbanes-Oxley Act, Corporate Law, Public Companies, Corporate Governance, Securities Regulation, SEC filings, Securities, Securities Exchange Act..., Securities Offerings, Due Diligence
Education
American University, Washington College of Law 1992 — 1995
J.D., Law
Binghamton University 1988 — 1992
B.S., Business Management
Stephen Smulowitz Stephen Smulowitz's US Securities and Exchange Commission Experience August 2008 - August 2009
Job at
Industry Law Practice
Experience
Shutts & Bowen April 2011 - March 2012
Adorno & Yoss May 2010 - April 2011
US Securities and Exchange Commission August 2008 - August 2009
Skadden Arps Slate Meagher & Flom LLP October 2005 - July 2008
Delaware Court of Chancery August 2004 - August 2005
Education
University of Pennsylvania Law School 2001 — 2004
JD, Law
Binghamton University 1996 — 2001
B.S., B.A., Psychology, Philosophy
Shutts & Bowen April 2011 - March 2012
Adorno & Yoss May 2010 - April 2011
US Securities and Exchange Commission August 2008 - August 2009
Skadden Arps Slate Meagher & Flom LLP October 2005 - July 2008
Delaware Court of Chancery August 2004 - August 2005
Education
University of Pennsylvania Law School 2001 — 2004
JD, Law
Binghamton University 1996 — 2001
B.S., B.A., Psychology, Philosophy
Kelly LaFollette Kelly LaFollette's US Securities and Exchange Commission Experience June 2000 - May 2001
Job Document Controller / Project Admin. at Freezer Integration Consulting LLC
Industry Oil & Energy
Experience
Freezer Integration Consulting LLC August 2015 - Present
CH2M HILL September 2011 - August 2015
Thyssenkrupp Robins June 2011 - September 2011
Abengoa Solar Inc. February 2011 - June 2011
Harris Group March 2007 - February 2011
ForeRunner Corporation April 2005 - March 2007
Federal Highway Administration May 2001 - June 2004
US Securities and Exchange Commission June 2000 - May 2001
Skills
Microsoft Office, Customer Service, Access, Microsoft Excel, Adobe Acrobat, Software Documentation, Primavera Contract..., Microsoft Office 2007, Highly detail oriented, SharePoint, Problem Solving, ProjectWise, Administrative Support, Documentation, Excel, Outlook, Customer Relations, Analytics, Prolog, AutoCAD, Lotus Notes, Word, Windows, PowerPoint, Administration, Analysis, Highly articulate, Multi Tasking, Construction, Budgets, Process Scheduler, Microsoft Word, Engineering
Education
Arapahoe Community College 2008 — 2010
Associate of Applied Science, Mortuary Science
Arapahoe Community College 2005 — 2007
Associate of Arts
Freezer Integration Consulting LLC August 2015 - Present
CH2M HILL September 2011 - August 2015
Thyssenkrupp Robins June 2011 - September 2011
Abengoa Solar Inc. February 2011 - June 2011
Harris Group March 2007 - February 2011
ForeRunner Corporation April 2005 - March 2007
Federal Highway Administration May 2001 - June 2004
US Securities and Exchange Commission June 2000 - May 2001
Skills
Microsoft Office, Customer Service, Access, Microsoft Excel, Adobe Acrobat, Software Documentation, Primavera Contract..., Microsoft Office 2007, Highly detail oriented, SharePoint, Problem Solving, ProjectWise, Administrative Support, Documentation, Excel, Outlook, Customer Relations, Analytics, Prolog, AutoCAD, Lotus Notes, Word, Windows, PowerPoint, Administration, Analysis, Highly articulate, Multi Tasking, Construction, Budgets, Process Scheduler, Microsoft Word, Engineering
Education
Arapahoe Community College 2008 — 2010
Associate of Applied Science, Mortuary Science
Arapahoe Community College 2005 — 2007
Associate of Arts
Shahriar Hafizi's US Securities and Exchange Commission Experience 2008 — 2012
Job Executive Director and Head of U.S. Derivatives Compliance at UBS
Industry Legal Services
Experience
UBS May 2014 — Present
D. E. Shaw & Co., L.P. September 2012 — May 2014
US Securities and Exchange Commission 2008 — 2012
Mayer Brown 2006 — 2008
Skills
Derivatives, Equities, Dodd-Frank, Options, Securities, Capital Markets, Structured Products, Investments, Swaps, Trading
Education
American University, Washington College of Law 2004 — 2007
JD
Harvard University 1998 — 2000
M.T.S.
University of Virginia 1992 — 1996
B.A.
UBS May 2014 — Present
D. E. Shaw & Co., L.P. September 2012 — May 2014
US Securities and Exchange Commission 2008 — 2012
Mayer Brown 2006 — 2008
Skills
Derivatives, Equities, Dodd-Frank, Options, Securities, Capital Markets, Structured Products, Investments, Swaps, Trading
Education
American University, Washington College of Law 2004 — 2007
JD
Harvard University 1998 — 2000
M.T.S.
University of Virginia 1992 — 1996
B.A.
Holly (Yoshinari) Pal's US Securities and Exchange Commission Experience July 2013 - Present
Job
Industry Law Practice
Experience
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission August 2008 - July 2013
Zuckerman Spaeder LLP April 2006 - July 2008
Milbank, Tweed, Hadley & McCloy LLP October 2004 - March 2006
U.S. District Court of the Virgin Islands August 2003 - August 2004
Quinn Emanuel Urquhart Oliver & Hedges, LLP June 2001 - August 2001
Skills
Litigation, Securities Regulation, Commercial Litigation, Enforcement, Government, Internal Investigations
Education
Harvard Law School 2000 — 2003
J.D.
Augustana College 1996 — 2000
A.B., Psychology and Philosophy
Wheeling High School 1992 — 1996
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission August 2008 - July 2013
Zuckerman Spaeder LLP April 2006 - July 2008
Milbank, Tweed, Hadley & McCloy LLP October 2004 - March 2006
U.S. District Court of the Virgin Islands August 2003 - August 2004
Quinn Emanuel Urquhart Oliver & Hedges, LLP June 2001 - August 2001
Skills
Litigation, Securities Regulation, Commercial Litigation, Enforcement, Government, Internal Investigations
Education
Harvard Law School 2000 — 2003
J.D.
Augustana College 1996 — 2000
A.B., Psychology and Philosophy
Wheeling High School 1992 — 1996
Rebecca Friedman's US Securities and Exchange Commission Experience September 2011 - December 2011
Job Associate at Kasowitz, Benson, Torres & Friedman LLP
Industry Law Practice
Experience
Kasowitz, Benson, Torres & Friedman LLP September 2013 - Present
United States Department of Justice, Fraud Division September 2012 - December 2012
Kasowitz, Benson, Torres & Friedman LLP May 2012 - July 2012
US Securities and Exchange Commission September 2011 - December 2011
United States Attorney's Office for the Eastern District of New York May 2011 - August 2011
Legal Counsel for the Elderly September 2010 - December 2010
Jewish Outreach Institute October 2008 - June 2010
Lehman Brothers June 2007 - May 2008
New York Legal Assistance Group January 2006 - May 2006
Skills
Legal Writing, Microsoft Office, Research, Courts, Trials, Criminal Law, Civil Litigation, Community Outreach, Employment Law, Nonprofits, Fundraising, Public Speaking, Editing, Legal Research, Public Policy
Education
Georgetown University Law Center 2010 — 2013
JD
Barnard College 2003 — 2007
BA, Political Economics
Kasowitz, Benson, Torres & Friedman LLP September 2013 - Present
United States Department of Justice, Fraud Division September 2012 - December 2012
Kasowitz, Benson, Torres & Friedman LLP May 2012 - July 2012
US Securities and Exchange Commission September 2011 - December 2011
United States Attorney's Office for the Eastern District of New York May 2011 - August 2011
Legal Counsel for the Elderly September 2010 - December 2010
Jewish Outreach Institute October 2008 - June 2010
Lehman Brothers June 2007 - May 2008
New York Legal Assistance Group January 2006 - May 2006
Skills
Legal Writing, Microsoft Office, Research, Courts, Trials, Criminal Law, Civil Litigation, Community Outreach, Employment Law, Nonprofits, Fundraising, Public Speaking, Editing, Legal Research, Public Policy
Education
Georgetown University Law Center 2010 — 2013
JD
Barnard College 2003 — 2007
BA, Political Economics
Christopher R. Lane's US Securities and Exchange Commission Experience January 2004 - May 2004
Job Director, BrokerDealer Consulting
Industry Financial Services
Experience
Foreside Financial Group, LLC AssociateClifford Chance US LLPMarch 2005 - April 2015
US Securities and Exchange Commission January 2004 - May 2004
Kellogg, Huber, Hansen, Todd, Evans & Figel 2003 - 2004
D.C. Court of Appeals for Judge Vanessa Ruiz 2001 - 2002
Skills
Litigation, Commercial Litigation, Securities Regulation, Legal Research, Legal Writing, Civil Litigation, International Law
Education
Georgetown University Law Center 2003 — 2004
LLM, Securities and Financial Regulation
Northeastern University School of Law 1998 — 2001
JD
Boston College 1992 — 1996
BA, History
The University of Glasgow 1995 — 1995
Foreside Financial Group, LLC AssociateClifford Chance US LLPMarch 2005 - April 2015
US Securities and Exchange Commission January 2004 - May 2004
Kellogg, Huber, Hansen, Todd, Evans & Figel 2003 - 2004
D.C. Court of Appeals for Judge Vanessa Ruiz 2001 - 2002
Skills
Litigation, Commercial Litigation, Securities Regulation, Legal Research, Legal Writing, Civil Litigation, International Law
Education
Georgetown University Law Center 2003 — 2004
LLM, Securities and Financial Regulation
Northeastern University School of Law 1998 — 2001
JD
Boston College 1992 — 1996
BA, History
The University of Glasgow 1995 — 1995
Mary Beth Lynch's US Securities and Exchange Commission Experience November 2010 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission November 2010 - Present
Value Line August 2007 - November 2010
Skills
Equities, Financial Analysis, Fixed Income, Financial Markets, Portfolio Management, Due Diligence, Capital Markets, Valuation, Microsoft Office, Investments, FINRA, Financial Modeling, Derivatives, Hedge Funds, Microsoft Word, Securities, Securities Regulation, Financial Reporting, Bloomberg, Asset Management, Finance, Alternative Investments, Equity Research, Equity Valuation, Mutual Funds, Trading, Series 7
Education
Baruch College, City University of New York (CUNY) 2006 — 2007
Master, Finance
LIU Post 1999 — 2003
BS, Accounting
US Securities and Exchange Commission November 2010 - Present
Value Line August 2007 - November 2010
Skills
Equities, Financial Analysis, Fixed Income, Financial Markets, Portfolio Management, Due Diligence, Capital Markets, Valuation, Microsoft Office, Investments, FINRA, Financial Modeling, Derivatives, Hedge Funds, Microsoft Word, Securities, Securities Regulation, Financial Reporting, Bloomberg, Asset Management, Finance, Alternative Investments, Equity Research, Equity Valuation, Mutual Funds, Trading, Series 7
Education
Baruch College, City University of New York (CUNY) 2006 — 2007
Master, Finance
LIU Post 1999 — 2003
BS, Accounting
Gerri Walsh's US Securities and Exchange Commission Experience July 1997 - May 2006
Job Senior Vice President, FINRA Investor Education & President, FINRA Investor Education Foundation
Industry Nonprofit Organization Management
Experience
FINRA Investor Education Foundation September 2011 - Present
FINRA Investor Education May 2006 - Present
nasd May 2006 - July 2007
US Securities and Exchange Commission July 1997 - May 2006
US Securities and Exchange Commission July 1994 - July 1997
Hogan & Hartson October 1989 - July 1994
Skills
Securities, Financial Services, Investments, Securities Regulation, Investment Advisory, Mutual Funds, Strategic Financial..., Non-profits, Public Speaking, Equities, Financial Analysis, AML, Retirement Planning, Economics, Program Management
Education
New York University School of Law 1986 — 1989
JD
Amherst College 1981 — 1985
BA
FINRA Investor Education Foundation September 2011 - Present
FINRA Investor Education May 2006 - Present
nasd May 2006 - July 2007
US Securities and Exchange Commission July 1997 - May 2006
US Securities and Exchange Commission July 1994 - July 1997
Hogan & Hartson October 1989 - July 1994
Skills
Securities, Financial Services, Investments, Securities Regulation, Investment Advisory, Mutual Funds, Strategic Financial..., Non-profits, Public Speaking, Equities, Financial Analysis, AML, Retirement Planning, Economics, Program Management
Education
New York University School of Law 1986 — 1989
JD
Amherst College 1981 — 1985
BA
Joseph Darcy's US Securities and Exchange Commission Experience June 2005 - August 2005
Job Vice President at Morgan Stanley
Industry Financial Services
Experience
Morgan Stanley June 2015 - Present
Royal Bank of Scotland March 2013 - June 2015
Financial Industry Regulatory Authority September 2006 - March 2013
U.S. Securities and Exchange Commission June 2005 - August 2005
Office of New York Attorney General October 2004 - May 2005
US Securities and Exchange Commission June 2004 - August 2004
NYSE Euronext June 2003 - August 2003
Arnhold and S. Bleichroeder August 1999 - June 2001
Gymnazium August 1998 - June 1999
Skills
Legal Writing, Securities Regulation, Licensing, Research, Securities, Corporate Governance, Litigation, Legal Research, Arbitration, Commercial Litigation, Employment Law, Intellectual Property, Administrative Law, Courts, Enforcement, Mediation, Competition Law, FINRA, FCPA, Trials, Appeals, Capital Markets, Financial Regulation, Securities Litigation, Civil Litigation, Corporate Law, Investment Advisers Act, Legal Compliance, Fraud, SEC, Financial Services, Westlaw, Due Diligence, AML, Litigation Support, Hedge Funds, Private Equity, Litigation Management, Law Enforcement
Education
State University of New York at Buffalo - School of Management 2003 — 2006
MBA
State University of New York at Buffalo - Law School 2002 — 2006
JD
Binghamton University 1994 — 1998
BA, History
Morgan Stanley June 2015 - Present
Royal Bank of Scotland March 2013 - June 2015
Financial Industry Regulatory Authority September 2006 - March 2013
U.S. Securities and Exchange Commission June 2005 - August 2005
Office of New York Attorney General October 2004 - May 2005
US Securities and Exchange Commission June 2004 - August 2004
NYSE Euronext June 2003 - August 2003
Arnhold and S. Bleichroeder August 1999 - June 2001
Gymnazium August 1998 - June 1999
Skills
Legal Writing, Securities Regulation, Licensing, Research, Securities, Corporate Governance, Litigation, Legal Research, Arbitration, Commercial Litigation, Employment Law, Intellectual Property, Administrative Law, Courts, Enforcement, Mediation, Competition Law, FINRA, FCPA, Trials, Appeals, Capital Markets, Financial Regulation, Securities Litigation, Civil Litigation, Corporate Law, Investment Advisers Act, Legal Compliance, Fraud, SEC, Financial Services, Westlaw, Due Diligence, AML, Litigation Support, Hedge Funds, Private Equity, Litigation Management, Law Enforcement
Education
State University of New York at Buffalo - School of Management 2003 — 2006
MBA
State University of New York at Buffalo - Law School 2002 — 2006
JD
Binghamton University 1994 — 1998
BA, History
Catherine Shea's US Securities and Exchange Commission Experience April 1988 - July 1997
Job Vice President Programs at International Center for NotforProfit Law (ICNL)
Industry Nonprofit Organization Management
Experience
International Center for Not-for-Profit Law (ICNL) November 1998 - Present
US Securities and Exchange Commission April 1988 - July 1997
Howrey LLP September 1983 - April 1988
Education
Harvard University Kennedy School of Government 1997 — 1998
MPA
Cornell Law School 1980 — 1983
JD, Law
Boston College 1976 — 1980
BA, Political Science, Economics
International Center for Not-for-Profit Law (ICNL) November 1998 - Present
US Securities and Exchange Commission April 1988 - July 1997
Howrey LLP September 1983 - April 1988
Education
Harvard University Kennedy School of Government 1997 — 1998
MPA
Cornell Law School 1980 — 1983
JD, Law
Boston College 1976 — 1980
BA, Political Science, Economics
Thomas Leahy's US Securities and Exchange Commission Experience May 2006 - August 2006
Job Senior Managing Consultant at IBM Global Business Services
Industry Management Consulting
Experience
IBM Global Business Services August 2010 - Present
USMC 1998 - Present
Blank Rome LLP September 2008 - December 2010
U.S. District Court August 2007 - December 2007
Blank Rome LLP May 2007 - August 2007
U.S. Senate January 2007 - May 2007
US Securities and Exchange Commission May 2006 - August 2006
Skills
Legal Research, Legal Writing, Corporate Law, Management, Training, Public Speaking, Government, Team Leadership, Due Diligence, Military, Policy, Litigation Support, Mediation
Education
American University, Washington College of Law 2006 — 2008
JD, Law
USNA 1992 — 1996
BS, Economics
IBM Global Business Services August 2010 - Present
USMC 1998 - Present
Blank Rome LLP September 2008 - December 2010
U.S. District Court August 2007 - December 2007
Blank Rome LLP May 2007 - August 2007
U.S. Senate January 2007 - May 2007
US Securities and Exchange Commission May 2006 - August 2006
Skills
Legal Research, Legal Writing, Corporate Law, Management, Training, Public Speaking, Government, Team Leadership, Due Diligence, Military, Policy, Litigation Support, Mediation
Education
American University, Washington College of Law 2006 — 2008
JD, Law
USNA 1992 — 1996
BS, Economics
Benjamen Brinkert's US Securities and Exchange Commission Experience June 2010 - September 2010
Job Corporate Legal Counsel at Philips
Industry Legal Services
Experience
Philips December 2011 - Present
One to One Global March 2011 - October 2011
Morgan Brown and Joy, LLP November 2010 - March 2011
US Securities and Exchange Commission June 2010 - September 2010
Supreme Judicial Court of Massachusetts March 2010 - June 2010
Bank of America, Global Wealth and Investment Management September 2009 - December 2009
Dynamic Capital October 2006 - August 2008
Murphy, Hesse, Toomey & Lehane June 2005 - October 2006
Skills
Legal Research, Contract Writing, Contract Review, Legal Writing, Corporate Law, Securities Law, Corporate Finance, Westlaw, Lexis, Legal Documents, Document Review, Securities, Contract Law, Appeals, Securities Regulation
Education
Northeastern University School of Law 2008 — 2011
J.D.
Boston College 2001 — 2005
Bachelor of Science, Business Management
Philips December 2011 - Present
One to One Global March 2011 - October 2011
Morgan Brown and Joy, LLP November 2010 - March 2011
US Securities and Exchange Commission June 2010 - September 2010
Supreme Judicial Court of Massachusetts March 2010 - June 2010
Bank of America, Global Wealth and Investment Management September 2009 - December 2009
Dynamic Capital October 2006 - August 2008
Murphy, Hesse, Toomey & Lehane June 2005 - October 2006
Skills
Legal Research, Contract Writing, Contract Review, Legal Writing, Corporate Law, Securities Law, Corporate Finance, Westlaw, Lexis, Legal Documents, Document Review, Securities, Contract Law, Appeals, Securities Regulation
Education
Northeastern University School of Law 2008 — 2011
J.D.
Boston College 2001 — 2005
Bachelor of Science, Business Management
Robert Matulac's US Securities and Exchange Commission Experience November 2004 - Present
Job Information Technology Specialist at US Securities and Exchange Commission
Industry Information Technology and Services
Experience
USNR MCAST September 2012 - Present
US Securities and Exchange Commission November 2004 - Present
USNR Coastal Riverine Squadron 8 SecDet Delta February 2009 - September 2012
JP Morgan Chase November 1997 - October 2004
Gruner + Jahr November 1996 - July 1997
American International Group November 1995 - November 1996
DialAmerica Marketing October 1994 - November 1995
US Navy September 1990 - September 1994
Skills
Troubleshooting, Desktop Support, XP, Operating Systems, Deployment, System Deployment, Hardware, Software Installation, Program Management, Networking, Technical Support, TCP/IP, Security, Windows XP, Windows 7, Testing
Education
High school 1982 — 1984
Bergen Community College
USNR MCAST September 2012 - Present
US Securities and Exchange Commission November 2004 - Present
USNR Coastal Riverine Squadron 8 SecDet Delta February 2009 - September 2012
JP Morgan Chase November 1997 - October 2004
Gruner + Jahr November 1996 - July 1997
American International Group November 1995 - November 1996
DialAmerica Marketing October 1994 - November 1995
US Navy September 1990 - September 1994
Skills
Troubleshooting, Desktop Support, XP, Operating Systems, Deployment, System Deployment, Hardware, Software Installation, Program Management, Networking, Technical Support, TCP/IP, Security, Windows XP, Windows 7, Testing
Education
High school 1982 — 1984
Bergen Community College
Piergiorgio Maselli's US Securities and Exchange Commission Experience May 2012 - May 2013
Job Attorney at Kranjac Tripodi & Partners LLP
Industry Law Practice
Experience
Kranjac Tripodi & Partners LLP December 2013 - Present
US Securities and Exchange Commission May 2012 - May 2013
New York State Supreme Court, Appellate Division June 2011 - July 2011
Podell, Schwartz, Schechter & Banfield, LLP June 2009 - August 2010
Rodman & Renshaw June 2008 - August 2008
Skills
Westlaw, Corporate Law, Intellectual Property, Hedge Funds, Real Estate Transactions, Trademarks
Education
Saint John's University School of Law 2010 — 2013
JD
Boston College 2006 — 2010
BS, Economics
Università Commerciale 'Luigi Bocconi' 2008 — 2009
Economics
Kranjac Tripodi & Partners LLP December 2013 - Present
US Securities and Exchange Commission May 2012 - May 2013
New York State Supreme Court, Appellate Division June 2011 - July 2011
Podell, Schwartz, Schechter & Banfield, LLP June 2009 - August 2010
Rodman & Renshaw June 2008 - August 2008
Skills
Westlaw, Corporate Law, Intellectual Property, Hedge Funds, Real Estate Transactions, Trademarks
Education
Saint John's University School of Law 2010 — 2013
JD
Boston College 2006 — 2010
BS, Economics
Università Commerciale 'Luigi Bocconi' 2008 — 2009
Economics
Eleonora Zlotnikova's US Securities and Exchange Commission Experience June 2010 - December 2011
Job Attorney
Industry Law Practice
Experience
Sam P. Israel P.C. September 2011 - Present
US Securities and Exchange Commission June 2010 - December 2011
New York State Supreme Court, Commercial Division January 2011 - June 2011
NYSE Euronext August 2009 - May 2010
Morgan Stanley July 2006 - August 2009
Skills
Securities Regulation, Commercial Litigation, Corporate Law, Intellectual Property, Securities, Legal Writing, Legal Research, Civil Litigation, Litigation, Lexis, Appeals, Patent Litigation, Art Law, Trials
Education
Brooklyn Law School 2008 — 2011
Doctor of Law (J.D.)
Baruch College, City University of New York (CUNY) 2002 — 2006
BBA, Finance
City University of New York-Baruch College - Zicklin School of Business 2002 — 2006
Bachelor of Business Administration (B.B.A.)
Sam P. Israel P.C. September 2011 - Present
US Securities and Exchange Commission June 2010 - December 2011
New York State Supreme Court, Commercial Division January 2011 - June 2011
NYSE Euronext August 2009 - May 2010
Morgan Stanley July 2006 - August 2009
Skills
Securities Regulation, Commercial Litigation, Corporate Law, Intellectual Property, Securities, Legal Writing, Legal Research, Civil Litigation, Litigation, Lexis, Appeals, Patent Litigation, Art Law, Trials
Education
Brooklyn Law School 2008 — 2011
Doctor of Law (J.D.)
Baruch College, City University of New York (CUNY) 2002 — 2006
BBA, Finance
City University of New York-Baruch College - Zicklin School of Business 2002 — 2006
Bachelor of Business Administration (B.B.A.)
Robert Sprague's US Securities and Exchange Commission Experience November 2005 - June 2007
Job Partner at Deloitte Financial Advisory Services LLP
Industry Accounting
Experience
Deloitte Financial Advisory Services LLP August 2010 - Present
Deloitte Financial Advisory Services LLP June 2007 - August 2010
US Securities and Exchange Commission November 2005 - June 2007
Deloitte Financial Advisory Services January 2002 - October 2005
Deloitte & Touche LLP October 1995 - December 2001
Skills
Due Diligence, Forensic Accounting, SEC filings, FCPA, Mergers, Internal Controls, Financial Analysis, Corporate Governance, Management Consulting, Financial Modeling, Risk Management, US GAAP, Auditing, CPA, Accounting, GAAP, Sarbanes-Oxley, Mergers & Acquisitions, Financial Reporting, Fraud, Business Valuation, Internal Audit, Sarbanes-Oxley Act, Enterprise Risk...
Education
Northeastern University 1994 — 1995
MBA/MSA, Accounting
Bates College 1988 — 1992
Bachelor of Arts (BA), Economics
Deloitte Financial Advisory Services LLP August 2010 - Present
Deloitte Financial Advisory Services LLP June 2007 - August 2010
US Securities and Exchange Commission November 2005 - June 2007
Deloitte Financial Advisory Services January 2002 - October 2005
Deloitte & Touche LLP October 1995 - December 2001
Skills
Due Diligence, Forensic Accounting, SEC filings, FCPA, Mergers, Internal Controls, Financial Analysis, Corporate Governance, Management Consulting, Financial Modeling, Risk Management, US GAAP, Auditing, CPA, Accounting, GAAP, Sarbanes-Oxley, Mergers & Acquisitions, Financial Reporting, Fraud, Business Valuation, Internal Audit, Sarbanes-Oxley Act, Enterprise Risk...
Education
Northeastern University 1994 — 1995
MBA/MSA, Accounting
Bates College 1988 — 1992
Bachelor of Arts (BA), Economics
Larissa Lee's US Securities and Exchange Commission Experience August 2013 - December 2013
Job Judicial Law Clerk at Utah Supreme Court
Industry Legal Services
Experience
Utah Supreme Court August 2015 - Present
Jones Waldo Holbrook & McDonough May 2013 - July 2015
Tenth Circuit Court of Appeals September 2014 - December 2014
US Securities and Exchange Commission August 2013 - December 2013
L3 Research and Consulting 2009 - 2012
Boise State University August 2007 - December 2008
Analytix Group August 2005 - December 2007
The Walt Disney Company May 2002 - May 2005
Wells Fargo January 2003 - December 2003
Sears April 2001 - May 2002
Skills
Strategic Planning, Market Research, Financial Analysis, Microsoft Office, Microsoft Excel, Small Business, Forecasting, Research, Social Media, Project Management, Financial Modeling, Team Building, Customer Service, Budgets, Marketing Strategy, Leadership, Data Analysis, Teamwork, Contract Negotiation, Analysis, Nonprofits, Legal Research, Legal Writing, Microsoft Word
Education
University of Utah S.J. Quinney College of Law 2012 — 2015
Doctor of Law (J.D.), 3L
Boise State University 2007 — 2008
MBA, Master of Business Administration
Boise State University 2001 — 2007
BS, Political Science, International Relations
Utah Supreme Court August 2015 - Present
Jones Waldo Holbrook & McDonough May 2013 - July 2015
Tenth Circuit Court of Appeals September 2014 - December 2014
US Securities and Exchange Commission August 2013 - December 2013
L3 Research and Consulting 2009 - 2012
Boise State University August 2007 - December 2008
Analytix Group August 2005 - December 2007
The Walt Disney Company May 2002 - May 2005
Wells Fargo January 2003 - December 2003
Sears April 2001 - May 2002
Skills
Strategic Planning, Market Research, Financial Analysis, Microsoft Office, Microsoft Excel, Small Business, Forecasting, Research, Social Media, Project Management, Financial Modeling, Team Building, Customer Service, Budgets, Marketing Strategy, Leadership, Data Analysis, Teamwork, Contract Negotiation, Analysis, Nonprofits, Legal Research, Legal Writing, Microsoft Word
Education
University of Utah S.J. Quinney College of Law 2012 — 2015
Doctor of Law (J.D.), 3L
Boise State University 2007 — 2008
MBA, Master of Business Administration
Boise State University 2001 — 2007
BS, Political Science, International Relations
Mark Oh's US Securities and Exchange Commission Experience 2008 - Present
Job Attorney
Industry Law Practice
Experience
US Securities and Exchange Commission 2008 - Present
Skills
Enforcement, Securities Litigation, Securities Regulation, Litigation, Appeals, Internal Investigations, Commercial Litigation, Legal Research, Corporate Governance, White Collar Criminal..., FCPA, Administrative Law, Class Actions
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1995 — 1998
J.D.
Cornell University 1989 — 1993
A.B.
US Securities and Exchange Commission 2008 - Present
Skills
Enforcement, Securities Litigation, Securities Regulation, Litigation, Appeals, Internal Investigations, Commercial Litigation, Legal Research, Corporate Governance, White Collar Criminal..., FCPA, Administrative Law, Class Actions
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1995 — 1998
J.D.
Cornell University 1989 — 1993
A.B.
Chet Persaud's US Securities and Exchange Commission Experience September 1989 - September 1995
Job CCO of Virtus Alternative Investment Advisers and Cliffwater Investments LLC
Industry Financial Services
Experience
Virtus Investment Partners March 2014 - Present
UBS Global Asset Management September 1998 - March 2014
Morgan Stanley Investment Management September 1995 - September 1998
US Securities and Exchange Commission September 1989 - September 1995
Skills
Series 7 and 3, Due Diligence, Investments, Hedge Funds, Securities, Derivatives, Mutual Funds, Risk Assessment, Internal Audit, AML, Loans, Alternative Investments, Fixed Income, Equities, Asset Management, Project Planning, Bloomberg, Investment Management, Anti Money Laundering, Series 7, Valuation
Education
Baruch College, City University of New York (CUNY) 1985 — 1989
BBA, Finance & Economics
Virtus Investment Partners March 2014 - Present
UBS Global Asset Management September 1998 - March 2014
Morgan Stanley Investment Management September 1995 - September 1998
US Securities and Exchange Commission September 1989 - September 1995
Skills
Series 7 and 3, Due Diligence, Investments, Hedge Funds, Securities, Derivatives, Mutual Funds, Risk Assessment, Internal Audit, AML, Loans, Alternative Investments, Fixed Income, Equities, Asset Management, Project Planning, Bloomberg, Investment Management, Anti Money Laundering, Series 7, Valuation
Education
Baruch College, City University of New York (CUNY) 1985 — 1989
BBA, Finance & Economics
Richard Hochman's US Securities and Exchange Commission Experience 1985 - 1988
Job Attorney, Law Office of Richard C. Hochman
Industry Law Practice
Experience
Law Office of Richard C. Hochman March 1992 - Present
Hochman & Simon, Attorneys at Law 1990 - 1992
American Stock Exchange 1988 - 1990
US Securities and Exchange Commission 1985 - 1988
Skills
Real Estate Purchases..., Business Formation, Corporate and Small..., Wills and Trusts, Estate Probate and..., Civil Litigation, Commercial Litigation, Corporate Law, Entrepreneurship, Estate Administration, Legal Research, Legal Writing, Litigation, Real Estate Transactions, Sellers, Trusts, Wills
Education
Emory University School of Law 1982 — 1985
Doctor of Law (J.D.)
Baruch College, City University of New York (CUNY) 1979 — 1982
BBA, Accounting, Bus. Admin, Computer Sciences
University at Albany, SUNY 1978 — 1979
The Jerusalem Institute 1977 — 1978
Law Office of Richard C. Hochman March 1992 - Present
Hochman & Simon, Attorneys at Law 1990 - 1992
American Stock Exchange 1988 - 1990
US Securities and Exchange Commission 1985 - 1988
Skills
Real Estate Purchases..., Business Formation, Corporate and Small..., Wills and Trusts, Estate Probate and..., Civil Litigation, Commercial Litigation, Corporate Law, Entrepreneurship, Estate Administration, Legal Research, Legal Writing, Litigation, Real Estate Transactions, Sellers, Trusts, Wills
Education
Emory University School of Law 1982 — 1985
Doctor of Law (J.D.)
Baruch College, City University of New York (CUNY) 1979 — 1982
BBA, Accounting, Bus. Admin, Computer Sciences
University at Albany, SUNY 1978 — 1979
The Jerusalem Institute 1977 — 1978
William McIntyre's US Securities and Exchange Commission Experience February 2013 - Present
Job Securities Compliance Examiner at United States Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission February 2013 - Present
Citibank March 2008 - November 2012
FINRA December 2000 - March 2008
Janney Montgomery Scott 2000 - 2000
Skills
Risk Management, Financial Risk, AML, Process Improvement, Fraud, Financial Services, Bank Secrecy Act, Program Management, Strategy, Finance, Management, USA PATRIOT Act, Forecasting, OFAC, Asset Management, Anti Money Laundering, Banking, Change Management, FINRA, Executive Management, Financial Analysis, Management Consulting, Operations Management, Securities, Treasury
Education
Bloomsburg University of Pennsylvania 1998 — 1999
MBA, Accounting
Clemson University 1993 — 1997
BS, Accounting
Upper Moreland High School 1989 — 1993
US Securities and Exchange Commission February 2013 - Present
Citibank March 2008 - November 2012
FINRA December 2000 - March 2008
Janney Montgomery Scott 2000 - 2000
Skills
Risk Management, Financial Risk, AML, Process Improvement, Fraud, Financial Services, Bank Secrecy Act, Program Management, Strategy, Finance, Management, USA PATRIOT Act, Forecasting, OFAC, Asset Management, Anti Money Laundering, Banking, Change Management, FINRA, Executive Management, Financial Analysis, Management Consulting, Operations Management, Securities, Treasury
Education
Bloomsburg University of Pennsylvania 1998 — 1999
MBA, Accounting
Clemson University 1993 — 1997
BS, Accounting
Upper Moreland High School 1989 — 1993
Richard Denmon's US Securities and Exchange Commission Experience April 1984 - October 1989
Job Shareholder at Carlton Fields Jorden Burt, P.A.
Industry Law Practice
Experience
Carlton Fields Jorden Burt P.A. October 1989 - Present
US Securities and Exchange Commission April 1984 - October 1989
Education
State University of New York at Buffalo - Law School 1979 — 1982
JD, Law
Southwestern University School of Law 2012 — 2015
L.L.M., Entertainment Law
State University of New York at Binghamton 1975 — 1979
BS, Management Science
Union Endicott HS
Carlton Fields Jorden Burt P.A. October 1989 - Present
US Securities and Exchange Commission April 1984 - October 1989
Education
State University of New York at Buffalo - Law School 1979 — 1982
JD, Law
Southwestern University School of Law 2012 — 2015
L.L.M., Entertainment Law
State University of New York at Binghamton 1975 — 1979
BS, Management Science
Union Endicott HS
Amy Kroll's US Securities and Exchange Commission Experience 1997 - 1998
Job Partner at Bingham McCutchen
Industry Law Practice
Experience
Bingham McCutchen Sister #1Natterson Family1958 - 2010
Foley & Lardner LLP 2003 - 2008
US Securities and Exchange Commission 1997 - 1998
SEC 1997 - 1998
WilmerHale 1992 - 1997
US Securities and Exchange Commission 1991 - 1992
US Securities and Exchange Commission 1988 - 1991
Securities and Exchange Commission 1984 - 1987
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1980 — 1983
JD, Law
Wesleyan University 1978 — 1980
BA, Government
Bingham McCutchen Sister #1Natterson Family1958 - 2010
Foley & Lardner LLP 2003 - 2008
US Securities and Exchange Commission 1997 - 1998
SEC 1997 - 1998
WilmerHale 1992 - 1997
US Securities and Exchange Commission 1991 - 1992
US Securities and Exchange Commission 1988 - 1991
Securities and Exchange Commission 1984 - 1987
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1980 — 1983
JD, Law
Wesleyan University 1978 — 1980
BA, Government
Bruce Newman's US Securities and Exchange Commission Experience September 1991 - October 1996
Job Partner at WilmerHale in the Securities Department specializing in BrokerDealer Regulation
Industry Law Practice
Experience
WilmerHale June 2001 - Present
UBS December 2000 - June 2001
PaineWebber 1996 - 2000
US Securities and Exchange Commission September 1991 - October 1996
Skills
Securities Regulation, SEC, Capital Markets, Broker-Dealer, Securities Litigation, Cross-border..., Corporate Law, Banking Law, Arbitration, Securities, Corporate Governance, Litigation, Legal Writing, Private Equity, Civil Litigation, Commercial Litigation, FINRA, Licensing, Legal Research, Class Actions, Intellectual Property
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1989 — 1991
J.D., Law
Rutgers University-New Brunswick 1983 — 1987
B.A., Political Science
WilmerHale June 2001 - Present
UBS December 2000 - June 2001
PaineWebber 1996 - 2000
US Securities and Exchange Commission September 1991 - October 1996
Skills
Securities Regulation, SEC, Capital Markets, Broker-Dealer, Securities Litigation, Cross-border..., Corporate Law, Banking Law, Arbitration, Securities, Corporate Governance, Litigation, Legal Writing, Private Equity, Civil Litigation, Commercial Litigation, FINRA, Licensing, Legal Research, Class Actions, Intellectual Property
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1989 — 1991
J.D., Law
Rutgers University-New Brunswick 1983 — 1987
B.A., Political Science
Darren Vieira's US Securities and Exchange Commission Experience AttorneyO'Melveny & Myers LLP2004 - 2007
Job Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission AttorneyO'Melveny & Myers LLP2004 - 2007
O'Melveny & Myers 2004 - 2007
Ernst & Young 1999 - 2001
Peak Financial Management 1997 - 1997
Tandem Financial Services 1996 - 1996
Brookwood Securities 1995 - 1995
Skills
Securities Regulation, Corporate Governance, Corporate Law, Securities
Education
Georgetown University Law Center 2001 — 2004
JD, Law
Bentley University 1994 — 1997
B/S, Economics-Finance
US Securities and Exchange Commission AttorneyO'Melveny & Myers LLP2004 - 2007
O'Melveny & Myers 2004 - 2007
Ernst & Young 1999 - 2001
Peak Financial Management 1997 - 1997
Tandem Financial Services 1996 - 1996
Brookwood Securities 1995 - 1995
Skills
Securities Regulation, Corporate Governance, Corporate Law, Securities
Education
Georgetown University Law Center 2001 — 2004
JD, Law
Bentley University 1994 — 1997
B/S, Economics-Finance
Anu Atreya's US Securities and Exchange Commission Experience October 2011 - May 2012
Job ERP Functional Lead at Department of Housing and Urban Development (HUD)
Industry Computer Software
Experience
Department of Housing and Urban Development (HUD) October 2013 - Present
Metropolitan Washington Airports Authority June 2012 - September 2013
US Securities and Exchange Commission October 2011 - May 2012
E*TRADE Financial June 2011 - September 2011
Booz Allen Hamilton May 2010 - May 2011
IBM August 2004 - April 2010
Business Transformation Agency 2009 - 2010
BearingPoint May 2000 - July 2004
American Red Cross 1998 - 1999
Education
Bangalore University
Bachlors of Commerce & Accounting
International High School
Department of Housing and Urban Development (HUD) October 2013 - Present
Metropolitan Washington Airports Authority June 2012 - September 2013
US Securities and Exchange Commission October 2011 - May 2012
E*TRADE Financial June 2011 - September 2011
Booz Allen Hamilton May 2010 - May 2011
IBM August 2004 - April 2010
Business Transformation Agency 2009 - 2010
BearingPoint May 2000 - July 2004
American Red Cross 1998 - 1999
Education
Bangalore University
Bachlors of Commerce & Accounting
International High School
Mark Happe's US Securities and Exchange Commission Experience 1989 - 1995
Job Director at MMC
Industry Financial Services
Experience
MMC Securities Corp. 2003 - Present
Marsh & McLennan 2001 - Present
Pacific Exchange 2001 - 2001
RBC Dominion Securities / B&B Securities 1998 - 2001
Prudential Securities 1995 - 1998
US Securities and Exchange Commission 1989 - 1995
Skills
FINRA, Series 24, Series 7, Securities, Series 63, Mutual Funds, AML, Securities Regulation, Investment Advisory, Due Diligence, Fixed Income, SEC, Insurance, Anti Money Laundering, Equities, Corporate Governance, Risk Management, Mergers & Acquisitions, Financial Services, Investments, Capital Markets, Finance, Management, Executive Management, Financial Markets, Investment Banking, Leadership
Education
American University, Washington College of Law 1987 — 1990
Doctor of Law (JD)
Seton Hall University
Bachelor of Science (BS), Finance, General
MMC Securities Corp. 2003 - Present
Marsh & McLennan 2001 - Present
Pacific Exchange 2001 - 2001
RBC Dominion Securities / B&B Securities 1998 - 2001
Prudential Securities 1995 - 1998
US Securities and Exchange Commission 1989 - 1995
Skills
FINRA, Series 24, Series 7, Securities, Series 63, Mutual Funds, AML, Securities Regulation, Investment Advisory, Due Diligence, Fixed Income, SEC, Insurance, Anti Money Laundering, Equities, Corporate Governance, Risk Management, Mergers & Acquisitions, Financial Services, Investments, Capital Markets, Finance, Management, Executive Management, Financial Markets, Investment Banking, Leadership
Education
American University, Washington College of Law 1987 — 1990
Doctor of Law (JD)
Seton Hall University
Bachelor of Science (BS), Finance, General
David Potel's US Securities and Exchange Commission Experience 1982 - 1987
Job SVP/Deputy GC at Fidelity Investments
Industry Financial Services
Experience
Fidelity Investments 1987 - Present
US Securities and Exchange Commission 1982 - 1987
Skills
Asset Management, Corporate Governance, Alternative Investments, Equities, Financial Services, Investments, Mutual Funds, Risk Management, Securities Regulation, Securities, Series 7, Mergers & Acquisitions
Education
Duke University School of Law 1978 — 1981
JD
Binghamton University 1974 — 1978
Fidelity Investments 1987 - Present
US Securities and Exchange Commission 1982 - 1987
Skills
Asset Management, Corporate Governance, Alternative Investments, Equities, Financial Services, Investments, Mutual Funds, Risk Management, Securities Regulation, Securities, Series 7, Mergers & Acquisitions
Education
Duke University School of Law 1978 — 1981
JD
Binghamton University 1974 — 1978
Atul Sood's US Securities and Exchange Commission Experience March 2001 - October 2006
Job Associate at Schulte Roth & Zabel LLP
Industry Law Practice
Experience
Schulte Roth & Zabel LLP October 2006 - April 2009
US Securities and Exchange Commission March 2001 - October 2006
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1997 — 2000
JD, Corporate/Securities Law
Franklin & Marshall College 1992 — 1996
BA, English
Schulte Roth & Zabel LLP October 2006 - April 2009
US Securities and Exchange Commission March 2001 - October 2006
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1997 — 2000
JD, Corporate/Securities Law
Franklin & Marshall College 1992 — 1996
BA, English
Virginia Meany's US Securities and Exchange Commission Experience December 2011 - August 2014
Job Principal at VMM Consulting
Industry Financial Services
Experience
VMM Consulting September 2014 - Present
US Securities and Exchange Commission December 2011 - August 2014
Bayshore Management Consultants May 2011 - August 2012
State Street Corporation September 2006 - January 2009
JPMorgan Chase September 2000 - September 2006
Travelers Life & Annuity January 1998 - March 2000
Fidelity Investments 1982 - 1998
Skills
Mutual Funds, Investments, Risk Management, Asset Managment, Hedge Funds, Financial Services, Board Governance, Alternative Investments, Executive Coaching, Securities, Management, Mergers & Acquisitions, Financial Risk, Strategy, Equities, Portfolio Management, Derivatives, Strategic Planning, Fund Accounting, Leadership, Investment Management, Management Consulting, Banking, Private Equity, Fund Administration, Capital Markets, Bloomberg, Asset Management, Due Diligence, Fixed Income, Trading, Series 7
Education
Boston College 1974 — 1977
BA, French, Education
Boston College - Wallace E. Carroll Graduate School of Management
MBA, Finance
VMM Consulting September 2014 - Present
US Securities and Exchange Commission December 2011 - August 2014
Bayshore Management Consultants May 2011 - August 2012
State Street Corporation September 2006 - January 2009
JPMorgan Chase September 2000 - September 2006
Travelers Life & Annuity January 1998 - March 2000
Fidelity Investments 1982 - 1998
Skills
Mutual Funds, Investments, Risk Management, Asset Managment, Hedge Funds, Financial Services, Board Governance, Alternative Investments, Executive Coaching, Securities, Management, Mergers & Acquisitions, Financial Risk, Strategy, Equities, Portfolio Management, Derivatives, Strategic Planning, Fund Accounting, Leadership, Investment Management, Management Consulting, Banking, Private Equity, Fund Administration, Capital Markets, Bloomberg, Asset Management, Due Diligence, Fixed Income, Trading, Series 7
Education
Boston College 1974 — 1977
BA, French, Education
Boston College - Wallace E. Carroll Graduate School of Management
MBA, Finance
Ann Leddy's US Securities and Exchange Commission Experience February 2003 - July 2005
Job Director Legal & Compliance at BlackRock
Industry Law Practice
Experience
BlackRock September 2014 - Present
Goldman Sachs September 2011 - September 2014
Instinet Corporation August 2009 - September 2011
Merrill Lynch August 2005 - August 2009
US Securities and Exchange Commission February 2003 - July 2005
Skadden Arps September 1998 - January 2003
Skills
Securities, Capital Markets, Securities Regulation, Hedge Funds, Corporate Governance, Private Equity, Due Diligence, Mergers & Acquisitions, Equities, Corporate Law
Education
Fordham University School of Law 1995 — 1998
JD, Law
William & Mary 1988 — 1992
BA, East Asian Studies, Government
Beijing Language and Culture University 1990 — 1990
Chinese
BlackRock September 2014 - Present
Goldman Sachs September 2011 - September 2014
Instinet Corporation August 2009 - September 2011
Merrill Lynch August 2005 - August 2009
US Securities and Exchange Commission February 2003 - July 2005
Skadden Arps September 1998 - January 2003
Skills
Securities, Capital Markets, Securities Regulation, Hedge Funds, Corporate Governance, Private Equity, Due Diligence, Mergers & Acquisitions, Equities, Corporate Law
Education
Fordham University School of Law 1995 — 1998
JD, Law
William & Mary 1988 — 1992
BA, East Asian Studies, Government
Beijing Language and Culture University 1990 — 1990
Chinese
Hea Jung Yang's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Associate at J.P. Morgan
Industry International Affairs
Experience
J.P. Morgan June 2012 - Present
J.P. Morgan June 2011 - August 2011
The Ticker January 2010 - June 2011
US Securities and Exchange Commission June 2010 - August 2010
The Ticker August 2009 - December 2009
Skills
Microsoft Excel, PowerPoint, Microsoft Word
Education
City University of New York-Baruch College 2008 — 2012
Bachelor of Business Administration (BBA), Operations Management
City University of New York-Baruch College - Zicklin School of Business 2008 — 2012
Bachelor of Business Administration (BBA), Operations Management
J.P. Morgan June 2012 - Present
J.P. Morgan June 2011 - August 2011
The Ticker January 2010 - June 2011
US Securities and Exchange Commission June 2010 - August 2010
The Ticker August 2009 - December 2009
Skills
Microsoft Excel, PowerPoint, Microsoft Word
Education
City University of New York-Baruch College 2008 — 2012
Bachelor of Business Administration (BBA), Operations Management
City University of New York-Baruch College - Zicklin School of Business 2008 — 2012
Bachelor of Business Administration (BBA), Operations Management
Kizzy Gomes's US Securities and Exchange Commission Experience January 2011 - April 2011
Job Specialist & Visuals Coordinator at Apple Inc.
Industry Facilities Services
Experience
Apple Inc. September 2011 - Present
U.S Securities and Exchange Commission January 2011 - April 2011
Kaseman LLC December 2009 - June 2010
The Library of Congress July 2007 - September 2009
The Jair Lynch Companies March 2004 - March 2007
Howard University Architecture & Engineering Services October 2001 - October 2003
Skills
SketchUp, AutoCAD, Revit, Interior Design, CAD, Adobe Creative Suite, Microsoft Office, Submittals, MS Project, Space planning, Architectures, Interior Architecture, Concept Design, Construction, Design Research, Illustrator, Sketching
Education
Howard University 1997 — 2002
Bachelor of Architecture, Architecture
Art Institute of Fort Lauderdale 1996 — 1997
Graphic Design
Apple Inc. September 2011 - Present
U.S Securities and Exchange Commission January 2011 - April 2011
Kaseman LLC December 2009 - June 2010
The Library of Congress July 2007 - September 2009
The Jair Lynch Companies March 2004 - March 2007
Howard University Architecture & Engineering Services October 2001 - October 2003
Skills
SketchUp, AutoCAD, Revit, Interior Design, CAD, Adobe Creative Suite, Microsoft Office, Submittals, MS Project, Space planning, Architectures, Interior Architecture, Concept Design, Construction, Design Research, Illustrator, Sketching
Education
Howard University 1997 — 2002
Bachelor of Architecture, Architecture
Art Institute of Fort Lauderdale 1996 — 1997
Graphic Design
Arlene Klein's US Securities and Exchange Commission Experience 1990 - 1992
Job Enterprise Compliance Leader, GE Capital
Industry Financial Services
Experience
GE Capital April 2014 - Present
RBC Capital Markets December 2010 - March 2014
Barclays Capital September 2008 - December 2010
Lehman Brothers July 2007 - September 2008
Bank of America 2004 - 2007
Prudential Securities 1992 - 2004
US Securities and Exchange Commission 1990 - 1992
Skills
Securities, Capital Markets, Hedge Funds, Equities, Series 7, Investment Banking, Wealth Management, Alternative Investments, Series 24, Investments, FINRA, Mergers & Acquisitions, Financial Services, Risk Management, Securities Regulation
Education
Baruch College, City University of New York (CUNY)
BBA, Finance and Marketing Management
Benjamin N. Cardozo School of Law, Yeshiva University
JD, Law
GE Capital April 2014 - Present
RBC Capital Markets December 2010 - March 2014
Barclays Capital September 2008 - December 2010
Lehman Brothers July 2007 - September 2008
Bank of America 2004 - 2007
Prudential Securities 1992 - 2004
US Securities and Exchange Commission 1990 - 1992
Skills
Securities, Capital Markets, Hedge Funds, Equities, Series 7, Investment Banking, Wealth Management, Alternative Investments, Series 24, Investments, FINRA, Mergers & Acquisitions, Financial Services, Risk Management, Securities Regulation
Education
Baruch College, City University of New York (CUNY)
BBA, Finance and Marketing Management
Benjamin N. Cardozo School of Law, Yeshiva University
JD, Law
Amy Yu's US Securities and Exchange Commission Experience September 1995 - October 1998
Job Audit Director at Citi
Industry Financial Services
Experience
Citi June 2015 - Present
Goldman Sachs April 2000 - May 2015
Lehman Brothers October 1998 - April 2000
US Securities and Exchange Commission September 1995 - October 1998
Education
Baruch College, City University of New York (CUNY)
BBA and MBA, Finance
Citi June 2015 - Present
Goldman Sachs April 2000 - May 2015
Lehman Brothers October 1998 - April 2000
US Securities and Exchange Commission September 1995 - October 1998
Education
Baruch College, City University of New York (CUNY)
BBA and MBA, Finance
Eric Rose, CPA, CFA's US Securities and Exchange Commission Experience August 2003 - July 2008
Job Chief Compliance Officer
Industry Investment Management
Experience
Standard Life Investments (USA) Limited July 2011 - Present
US Securities and Exchange Commission August 2003 - July 2008
Education
Bentley University 2007 — 2009
MS, Accounting
Standard Life Investments (USA) Limited July 2011 - Present
US Securities and Exchange Commission August 2003 - July 2008
Education
Bentley University 2007 — 2009
MS, Accounting
Diane Gillies's US Securities and Exchange Commission Experience August 2004 - July 2005
Job Financial Services Professional
Industry Financial Services
Experience
US Securities and Exchange Commission August 2004 - July 2005
US Securities and Exchange Commission August 1995 - July 2004
U.S. Securities & Exchange Commision 1991 - 1995
Education
Bentley College - Elkin B. McCallum Graduate School of Business 1989 — 1994
MBA, Investments
Westfield State University 1983 — 1987
B.S., Business Management
US Securities and Exchange Commission August 2004 - July 2005
US Securities and Exchange Commission August 1995 - July 2004
U.S. Securities & Exchange Commision 1991 - 1995
Education
Bentley College - Elkin B. McCallum Graduate School of Business 1989 — 1994
MBA, Investments
Westfield State University 1983 — 1987
B.S., Business Management
Rolaine Bancroft's US Securities and Exchange Commission Experience September 2004 - Present
Job Senior Special Counsel at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission September 2004 - Present
Federal Reserve Board January 2015 - June 2015
Deutsche Bank 1999 - 2001
Donaldson, Lufkin & Jenrette 1998 - 1999
Arthur Andersen & Co. 1996 - 1998
Education
American University, Washington College of Law 2001 — 2004
Juris Doctor (J.D.)
University of Scranton 1992 — 1996
BS, Accounting
US Securities and Exchange Commission September 2004 - Present
Federal Reserve Board January 2015 - June 2015
Deutsche Bank 1999 - 2001
Donaldson, Lufkin & Jenrette 1998 - 1999
Arthur Andersen & Co. 1996 - 1998
Education
American University, Washington College of Law 2001 — 2004
Juris Doctor (J.D.)
University of Scranton 1992 — 1996
BS, Accounting
James Kasmarcik's US Securities and Exchange Commission Experience March 2004 - April 2008
Job Deputy Chief Compliance Officer, Fund Counsel
Industry Financial Services
Experience
Silver Point Capital, L.P. April 2008 - Present
US Securities and Exchange Commission March 2004 - April 2008
US Securities and Exchange Commission July 1999 - March 2004
Skills
Private Equity, Due Diligence, FCPA, Internal Investigations, FINRA, Corporate Governance, Investments, AML
Education
Pace University School of Law 2000 — 2004
J.D.
Binghamton University - School of Management 1996 — 1999
B.S., Business Administration
Silver Point Capital, L.P. April 2008 - Present
US Securities and Exchange Commission March 2004 - April 2008
US Securities and Exchange Commission July 1999 - March 2004
Skills
Private Equity, Due Diligence, FCPA, Internal Investigations, FINRA, Corporate Governance, Investments, AML
Education
Pace University School of Law 2000 — 2004
J.D.
Binghamton University - School of Management 1996 — 1999
B.S., Business Administration
Michele Pecora's US Securities and Exchange Commission Experience October 1984 - October 1987
Job CPA
Industry Think Tanks
Experience
Michele Pecora, PC January 1989 - Present
The Heritage Foundation September 2009 - September 2012
Grant Thornton LLP October 1990 - January 1991
US First Boston, Inc. October 1987 - January 1989
US Securities and Exchange Commission October 1984 - October 1987
Skills
Non-profits, Corporate Finance, Financial Analysis, Accounting, Tax, Business Strategy, Valuation
Education
Binghamton University 1966 — 1969
BA, German
Michele Pecora, PC January 1989 - Present
The Heritage Foundation September 2009 - September 2012
Grant Thornton LLP October 1990 - January 1991
US First Boston, Inc. October 1987 - January 1989
US Securities and Exchange Commission October 1984 - October 1987
Skills
Non-profits, Corporate Finance, Financial Analysis, Accounting, Tax, Business Strategy, Valuation
Education
Binghamton University 1966 — 1969
BA, German
Samuel Krawiecz's US Securities and Exchange Commission Experience May 2013 - July 2013
Job J.D., magna cum laude, Harvard Law School
Industry Law Practice
Experience
Debevoise & Plimpton May 2014 - July 2014
US Securities and Exchange Commission May 2013 - July 2013
Lightstone Group June 2012 - August 2012
Lakewood Township Public Defender September 2011 - March 2012
Skills
Legal Research, Microsoft Excel, Corporate Law, Westlaw, Negotiation, Policy, Government, Litigation, Research, Customer Service, Commercial Litigation, Legal Writing, Lexis, Civil Litigation, Document Review, Securities Regulation, Securities Litigation, Editing, Corporate Governance, Bankruptcy, Criminal Law, Document Drafting, International Law, Mediation, Licensing, Courts, Tax Law, Arbitration, Public Policy, Administrative Law, Policy Analysis, Due Diligence, Estate Planning, Securities, Appeals, Private Equity, Microsoft Office, Leadership
Education
Harvard Law School 2012 — 2015
Juris Doctor, magna cum laude
Beth Medrash Govoha 2007 — 2012
Bachelor of Talmudic Studies; Post-Baccalaureate Talmudic Studies Program
Debevoise & Plimpton May 2014 - July 2014
US Securities and Exchange Commission May 2013 - July 2013
Lightstone Group June 2012 - August 2012
Lakewood Township Public Defender September 2011 - March 2012
Skills
Legal Research, Microsoft Excel, Corporate Law, Westlaw, Negotiation, Policy, Government, Litigation, Research, Customer Service, Commercial Litigation, Legal Writing, Lexis, Civil Litigation, Document Review, Securities Regulation, Securities Litigation, Editing, Corporate Governance, Bankruptcy, Criminal Law, Document Drafting, International Law, Mediation, Licensing, Courts, Tax Law, Arbitration, Public Policy, Administrative Law, Policy Analysis, Due Diligence, Estate Planning, Securities, Appeals, Private Equity, Microsoft Office, Leadership
Education
Harvard Law School 2012 — 2015
Juris Doctor, magna cum laude
Beth Medrash Govoha 2007 — 2012
Bachelor of Talmudic Studies; Post-Baccalaureate Talmudic Studies Program
Matthew Deavers's US Securities and Exchange Commission Experience 2012 - 2012
Job Law Clerk (Not Yet Admitted to Practice Law in New York) at Kasowitz, Benson, Torres & Friedman LLP
Industry Legal Services
Experience
Kasowitz, Benson, Torres & Friedman LLP September 2014 - Present
Kasowitz, Benson, Torres & Friedman LLP May 2013 - Present
NYU School of Law August 2011 - Present
US Securities and Exchange Commission 2012 - 2012
GE Energy June 2008 - August 2011
PwC December 2006 - July 2008
Ernst & Young 2005 - 2006
Skills
Financial Reporting, Financial Analysis, Accounting, Financial Accounting, Tax, Microsoft Excel, Financial Modeling, US GAAP, Microsoft Office, Sarbanes-Oxley Act, Internal Controls, Managerial Finance, Auditing, Corporate Tax, GAAP
Education
NYU School of Law 2011 — 2014
Doctor of Law (J.D.)
Auburn University 2001 — 2005
B.S.B.A., Accountancy
Kasowitz, Benson, Torres & Friedman LLP September 2014 - Present
Kasowitz, Benson, Torres & Friedman LLP May 2013 - Present
NYU School of Law August 2011 - Present
US Securities and Exchange Commission 2012 - 2012
GE Energy June 2008 - August 2011
PwC December 2006 - July 2008
Ernst & Young 2005 - 2006
Skills
Financial Reporting, Financial Analysis, Accounting, Financial Accounting, Tax, Microsoft Excel, Financial Modeling, US GAAP, Microsoft Office, Sarbanes-Oxley Act, Internal Controls, Managerial Finance, Auditing, Corporate Tax, GAAP
Education
NYU School of Law 2011 — 2014
Doctor of Law (J.D.)
Auburn University 2001 — 2005
B.S.B.A., Accountancy
Timothy Azarchs's US Securities and Exchange Commission Experience May 2013 - July 2013
Job Law Clerk at Internal Revenue Service
Industry Law Practice
Experience
Internal Revenue Service October 2014 - Present
University of Pennsylvania September 2011 - Present
US Securities and Exchange Commission May 2013 - July 2013
Superior Court of Pennsylvania May 2012 - August 2012
Roubini Global Economics May 2011 - August 2011
Skills
Research, Economics, Policy Analysis, Legal Research, Stata, Econometrics, Economic Research, Legal Writing, Tax Law
Education
Bard College 2007 — 2010
University of Pennsylvania Law School
Internal Revenue Service October 2014 - Present
University of Pennsylvania September 2011 - Present
US Securities and Exchange Commission May 2013 - July 2013
Superior Court of Pennsylvania May 2012 - August 2012
Roubini Global Economics May 2011 - August 2011
Skills
Research, Economics, Policy Analysis, Legal Research, Stata, Econometrics, Economic Research, Legal Writing, Tax Law
Education
Bard College 2007 — 2010
University of Pennsylvania Law School
David Kerce's US Securities and Exchange Commission Experience February 2012 - November 2012
Job Litigation Support Specialist
Industry Legal Services
Experience
Quinn Emanuel May 2013 - November 2013
Universal Music Group December 2012 - March 2013
US Securities and Exchange Commission February 2012 - November 2012
LegalSource LS, LLC June 2011 - October 2011
ProSearch Strategies, Inc January 2011 - June 2011
First Advantage Litigation Consulting May 2008 - May 2010
LegalSource LS, LLC 1998 - 2000
Researchers FYI 1996 - 1998
Skills
Relativity, Litigation Support, IPRO, Document Review, ESI, LiveNote, Consulting, CaseMap, Westlaw, EDRMS, TextMap, SQL, Analysis, Concordance, Microsoft Office, Process Improvement, Litigation
Education
CSU Bakersfield 2002 — 2005
BA, Political Science
Arizona State University 1987 — 1990
Political Science
Quinn Emanuel May 2013 - November 2013
Universal Music Group December 2012 - March 2013
US Securities and Exchange Commission February 2012 - November 2012
LegalSource LS, LLC June 2011 - October 2011
ProSearch Strategies, Inc January 2011 - June 2011
First Advantage Litigation Consulting May 2008 - May 2010
LegalSource LS, LLC 1998 - 2000
Researchers FYI 1996 - 1998
Skills
Relativity, Litigation Support, IPRO, Document Review, ESI, LiveNote, Consulting, CaseMap, Westlaw, EDRMS, TextMap, SQL, Analysis, Concordance, Microsoft Office, Process Improvement, Litigation
Education
CSU Bakersfield 2002 — 2005
BA, Political Science
Arizona State University 1987 — 1990
Political Science
Scott Hershorin's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Enforcement Investigator at Financial Industry Regulatory Authority
Industry Law Practice
Experience
Financial Industry Regulatory Authority April 2014 - Present
North American Electric Reliability Corporation January 2014 - April 2014
Commodity Futures Trading Commission May 2013 - December 2013
Financial Industry Regulatory Authority May 2012 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
BNP Paribas January 2008 - August 2011
Education
American University, Washington College of Law 2011 — 2014
Juris Doctor, Law
University of Pittsburgh 2003 — 2007
BS, Finance, Accounting
Financial Industry Regulatory Authority April 2014 - Present
North American Electric Reliability Corporation January 2014 - April 2014
Commodity Futures Trading Commission May 2013 - December 2013
Financial Industry Regulatory Authority May 2012 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
BNP Paribas January 2008 - August 2011
Education
American University, Washington College of Law 2011 — 2014
Juris Doctor, Law
University of Pittsburgh 2003 — 2007
BS, Finance, Accounting
R. Danny Brimhall's US Securities and Exchange Commission Experience August 2011 - November 2011
Job Student at Brigham Young University—J. Reuben Clark Law School
Industry Law Practice
Experience
Davis Polk & Wardwell LLP October 2013 - Present
Davis Polk & Wardwell LLP May 2012 - August 2012
US Securities and Exchange Commission August 2011 - November 2011
Wilkinson Barker Knauer, LLP June 2011 - August 2011
Education
Brigham Young University—J. Reuben Clark Law School 2010 — 2013
Arizona State University, W. P. Carey School of Business 2005 — 2009
Bachelor of Science (BS), Finance
Arizona State University, W. P. Carey School of Business 2005 — 2009
Bachelor of Science (BS), Accounting
Davis Polk & Wardwell LLP October 2013 - Present
Davis Polk & Wardwell LLP May 2012 - August 2012
US Securities and Exchange Commission August 2011 - November 2011
Wilkinson Barker Knauer, LLP June 2011 - August 2011
Education
Brigham Young University—J. Reuben Clark Law School 2010 — 2013
Arizona State University, W. P. Carey School of Business 2005 — 2009
Bachelor of Science (BS), Finance
Arizona State University, W. P. Carey School of Business 2005 — 2009
Bachelor of Science (BS), Accounting
Weingarten Ilan's US Securities and Exchange Commission Experience August 1998 - April 2000
Job Executive Director at Morgan Stanley
Industry Financial Services
Experience
Morgan Stanley Smith Barney September 2004 - Present
Morgan, Lewis & Bockius LLP May 2000 - August 2004
US Securities and Exchange Commission August 1998 - April 2000
Skills
Securities Regulation, FINRA, Securities, Securities Litigation, Hedge Funds, Private Equity, SEC, Capital Markets, Investment Advisory, Wealth Management, Equities, Asset Managment, Alternative Investments, Broker-Dealer, Series 7, Series 63
Education
American University, Washington College of Law 1995 — 1998
JD
Lehigh University 1991 — 1995
BA, Political Science
Morgan Stanley Smith Barney September 2004 - Present
Morgan, Lewis & Bockius LLP May 2000 - August 2004
US Securities and Exchange Commission August 1998 - April 2000
Skills
Securities Regulation, FINRA, Securities, Securities Litigation, Hedge Funds, Private Equity, SEC, Capital Markets, Investment Advisory, Wealth Management, Equities, Asset Managment, Alternative Investments, Broker-Dealer, Series 7, Series 63
Education
American University, Washington College of Law 1995 — 1998
JD
Lehigh University 1991 — 1995
BA, Political Science
Katiuska Santander's US Securities and Exchange Commission Experience June 2008 - August 2008
Job General Manager ► Maximizing operational and financial performance
Industry Food & Beverages
Experience
Off The Wall August 2012 - Present
Syracuse University January 2010 - May 2012
FBR June 2011 - August 2011
New York University August 2008 - December 2008
US Securities and Exchange Commission June 2008 - August 2008
Skills
Microsoft Excel, Research, Filing, Coaching, Fax, Security, Data Analysis, Microsoft Office, OS X, HTML, Social Media, PowerPoint, Public Speaking, Access, WordPress, Leadership
Education
City University of New York-Baruch College 2013 — 2014
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Syracuse University 2009 — 2012
BA, Information Management & Technology
Off The Wall August 2012 - Present
Syracuse University January 2010 - May 2012
FBR June 2011 - August 2011
New York University August 2008 - December 2008
US Securities and Exchange Commission June 2008 - August 2008
Skills
Microsoft Excel, Research, Filing, Coaching, Fax, Security, Data Analysis, Microsoft Office, OS X, HTML, Social Media, PowerPoint, Public Speaking, Access, WordPress, Leadership
Education
City University of New York-Baruch College 2013 — 2014
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Syracuse University 2009 — 2012
BA, Information Management & Technology
Mark Schoenfelder's US Securities and Exchange Commission Experience September 2006 - December 2006
Job Associate General Counsel at E*TRADE Financial Corporation
Industry Law Practice
Experience
E*TRADE Financial Corporation May 2015 - Present
Capital One August 2013 - May 2015
Capital One April 2011 - August 2013
Hogan Lovells August 2007 - April 2011
US Securities and Exchange Commission September 2006 - December 2006
EADS North America June 2005 - April 2006
Skills
Securities Offerings, Corporate Law, Securities Regulation, Proxy Statements, Corporate Governance, Mergers, Due Diligence, Mergers & Acquisitions, Equities, Legal Advice, Finance, Risk Management, Securities, Legal Writing, Management, Legal Research
Education
American University, Washington College of Law 2004 — 2007
Juris Doctor
Marquette University 1998 — 2002
Bachelor of Science, Finance
International School of Brussels 1996 — 1998
IB, International Baccalaureate
Frankfurt International School 1994 — 1996
E*TRADE Financial Corporation May 2015 - Present
Capital One August 2013 - May 2015
Capital One April 2011 - August 2013
Hogan Lovells August 2007 - April 2011
US Securities and Exchange Commission September 2006 - December 2006
EADS North America June 2005 - April 2006
Skills
Securities Offerings, Corporate Law, Securities Regulation, Proxy Statements, Corporate Governance, Mergers, Due Diligence, Mergers & Acquisitions, Equities, Legal Advice, Finance, Risk Management, Securities, Legal Writing, Management, Legal Research
Education
American University, Washington College of Law 2004 — 2007
Juris Doctor
Marquette University 1998 — 2002
Bachelor of Science, Finance
International School of Brussels 1996 — 1998
IB, International Baccalaureate
Frankfurt International School 1994 — 1996
Vicky Berberi-Doumar's US Securities and Exchange Commission Experience 1987 - 2002
Job Consultant at World Bank/International Finance Corporation
Industry Law Practice
Experience
World Bank/International Finance Corporation September 2005 - Present
FINRA 2002 - 2005
US Securities and Exchange Commission 1987 - 2002
Skills
Capital Markets, Financial Regulation, Corporate Governance
Education
American University Washington College of Law 1986 — 1987
LL.M., International Legal Studies
Loyola Law School, Los Angeles 1982 — 1985
JD
University of California, Los Angeles
B.A., Economics
World Bank/International Finance Corporation September 2005 - Present
FINRA 2002 - 2005
US Securities and Exchange Commission 1987 - 2002
Skills
Capital Markets, Financial Regulation, Corporate Governance
Education
American University Washington College of Law 1986 — 1987
LL.M., International Legal Studies
Loyola Law School, Los Angeles 1982 — 1985
JD
University of California, Los Angeles
B.A., Economics
William Maldonado's US Securities and Exchange Commission Experience October 2012 - Present
Job Securities Compliance Examiner at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission October 2012 - Present
Commodity Futures Trading Commission November 2011 - October 2012
Commodity Futures Trading Commission July 2004 - November 2011
Commodity Futures Trading Commission June 2003 - June 2004
Beacon Hill Service Corporation August 1996 - February 2003
Skills
Capital Markets, Commodity, Hedge Funds, Market Data, Securities, Derivatives, Risk Management, Options, Currency, Trading
Education
Brooklyn College 2008 — 2010
Bachelor's degree, Accounting
Baruch College 1998 — 2002
Bachelor of Business Administration (BBA), Computer Information Systems
US Securities and Exchange Commission October 2012 - Present
Commodity Futures Trading Commission November 2011 - October 2012
Commodity Futures Trading Commission July 2004 - November 2011
Commodity Futures Trading Commission June 2003 - June 2004
Beacon Hill Service Corporation August 1996 - February 2003
Skills
Capital Markets, Commodity, Hedge Funds, Market Data, Securities, Derivatives, Risk Management, Options, Currency, Trading
Education
Brooklyn College 2008 — 2010
Bachelor's degree, Accounting
Baruch College 1998 — 2002
Bachelor of Business Administration (BBA), Computer Information Systems
Janis Garcia's US Securities and Exchange Commission Experience 1997 - 1998
Job Owner, Janis L. Garcia, Attorney at Law, LLC
Industry Law Practice
Experience
Janis L. Garcia, Attorney at Law, LLC 1999 - Present
US Securities and Exchange Commission 1997 - 1998
Department of Veterans Affairs 1996 - 1997
Law Offices of the Public Defender of San Diego County 1993 - 1995
US Navy 1983 - 1991
Skills
Criminal Defense...
Education
Florida State University College of Law 1983 — 1986
Doctor of Law (J.D.)
Arizona State University 1978 — 1981
Bachelor of Science Finance (BS), Banking, Corporate, Finance, and Securities Law
Janis L. Garcia, Attorney at Law, LLC 1999 - Present
US Securities and Exchange Commission 1997 - 1998
Department of Veterans Affairs 1996 - 1997
Law Offices of the Public Defender of San Diego County 1993 - 1995
US Navy 1983 - 1991
Skills
Criminal Defense...
Education
Florida State University College of Law 1983 — 1986
Doctor of Law (J.D.)
Arizona State University 1978 — 1981
Bachelor of Science Finance (BS), Banking, Corporate, Finance, and Securities Law
Charles Mathes's US Securities and Exchange Commission Experience May 2010 - December 2010
Job Assistant Vice President Regulatory Compliance Counsel
Industry Law Practice
Experience
PFS Investments September 2011 - Present
US Securities and Exchange Commission May 2010 - December 2010
Education
University of Georgia School of Law 2008 — 2011
J.D., Law
Auburn University 2005 — 2006
B.A., Political Science
PFS Investments September 2011 - Present
US Securities and Exchange Commission May 2010 - December 2010
Education
University of Georgia School of Law 2008 — 2011
J.D., Law
Auburn University 2005 — 2006
B.A., Political Science
Mendy Piekarski's US Securities and Exchange Commission Experience June 2011 - June 2013
Job Associate at Sichenzia Ross Friedman Ference LLP
Industry Legal Services
Experience
Sichenzia Ross Friedman Ference LLP June 2015 - Present
Gottlieb & Gordon September 2013 - May 2015
US Securities and Exchange Commission June 2011 - June 2013
office of Attorney General New York September 2009 - May 2011
Skills
Legal Research, Legal Writing, Litigation, Securities Regulation, Corporate Law, Commercial Litigation, Civil Litigation, Westlaw, Corporate Governance, Courts, International Law, Appeals, Intellectual Property, Securities, Trials, Bankruptcy, Arbitration, Mediation, Legal Issues, Administrative Law, Criminal Investigations, Securities Litigation, Criminal Law, Lexis
Education
Boston University School of Law 2006 — 2009
JD
Binghamton University 2002 — 2006
BS
Sichenzia Ross Friedman Ference LLP June 2015 - Present
Gottlieb & Gordon September 2013 - May 2015
US Securities and Exchange Commission June 2011 - June 2013
office of Attorney General New York September 2009 - May 2011
Skills
Legal Research, Legal Writing, Litigation, Securities Regulation, Corporate Law, Commercial Litigation, Civil Litigation, Westlaw, Corporate Governance, Courts, International Law, Appeals, Intellectual Property, Securities, Trials, Bankruptcy, Arbitration, Mediation, Legal Issues, Administrative Law, Criminal Investigations, Securities Litigation, Criminal Law, Lexis
Education
Boston University School of Law 2006 — 2009
JD
Binghamton University 2002 — 2006
BS
Dwight Fu's US Securities and Exchange Commission Experience September 2014 - Present
Job Staff Accountant at U.S. Securities and Exchange Commission
Industry Accounting
Experience
U.S. Securities and Exchange Commission September 2014 - Present
PwC September 2011 - August 2014
US Securities and Exchange Commission April 2008 - August 2011
Education
Baruch College
BBA, Accounting
U.S. Securities and Exchange Commission September 2014 - Present
PwC September 2011 - August 2014
US Securities and Exchange Commission April 2008 - August 2011
Education
Baruch College
BBA, Accounting
John Sung's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Financial Analyst at Luxottica Wholesale North America
Industry Financial Services
Experience
Luxottica Wholesale North America June 2013 - Present
US Securities and Exchange Commission September 2012 - December 2012
HRA January 2011 - June 2011
Skills
Financial Analysis, Corporate Finance, Essbase, SAP, Accounting, Investments, Equities, Financial Modeling, Finance, Data Analysis, Microsoft Excel, Outlook
Education
City University of New York-Baruch College
Bachelor of Business Administration (BBA), Finance
Luxottica Wholesale North America June 2013 - Present
US Securities and Exchange Commission September 2012 - December 2012
HRA January 2011 - June 2011
Skills
Financial Analysis, Corporate Finance, Essbase, SAP, Accounting, Investments, Equities, Financial Modeling, Finance, Data Analysis, Microsoft Excel, Outlook
Education
City University of New York-Baruch College
Bachelor of Business Administration (BBA), Finance
Sharmin Beacco's US Securities and Exchange Commission Experience April 1994 - May 2000
Job Compliance Officer at Deutsche Bank
Industry Investment Banking
Experience
Deutsche Bank May 2000 - Present
US Securities and Exchange Commission April 1994 - May 2000
Skills
Securities Compliance, Banking Compliance, Private Banking..., Privacy Regulations, Investment Company Act, Investment Advisor..., Private Equity..., Hedge Funds Compliance
Education
Baruch College
Master of Business Administration (M.B.A.), Accounting and Finance
Hofstra University
Finance, General
Deutsche Bank May 2000 - Present
US Securities and Exchange Commission April 1994 - May 2000
Skills
Securities Compliance, Banking Compliance, Private Banking..., Privacy Regulations, Investment Company Act, Investment Advisor..., Private Equity..., Hedge Funds Compliance
Education
Baruch College
Master of Business Administration (M.B.A.), Accounting and Finance
Hofstra University
Finance, General
Dery H. Fitzpatrick's US Securities and Exchange Commission Experience 2007 - 2007
Job Managing Attorney at American Tower
Industry Telecommunications
Experience
American Tower February 2012 - Present
Global Tower Partners (acquired by American Tower) February 2012 - January 2014
Pietrantoni Mendez & Alvarez LLP 2008 - January 2012
US Securities and Exchange Commission 2007 - 2007
Goldman Sachs 2005 - 2005
Deutsche Asset Management 2001 - 2004
Wellington Management 2000 - 2001
Skills
Flexible, hard-working,..., Corporate Law, Real Estate, Mergers & Acquisitions, Contract Negotiation, Due Diligence, Document Review, Leases, Corporate Governance, Negotiation, Legal Writing, Contract Management, Legal Research, Zoning, Commercial Real Estate, Corporate Finance, Lease Negotiations, Telecommunications, Westlaw, Legal Advice, Mediation
Education
Bentley University
Bachelor's degree, Economics / Finance
The University of Connecticut School of Law
Doctor of Law (JD)
American Tower February 2012 - Present
Global Tower Partners (acquired by American Tower) February 2012 - January 2014
Pietrantoni Mendez & Alvarez LLP 2008 - January 2012
US Securities and Exchange Commission 2007 - 2007
Goldman Sachs 2005 - 2005
Deutsche Asset Management 2001 - 2004
Wellington Management 2000 - 2001
Skills
Flexible, hard-working,..., Corporate Law, Real Estate, Mergers & Acquisitions, Contract Negotiation, Due Diligence, Document Review, Leases, Corporate Governance, Negotiation, Legal Writing, Contract Management, Legal Research, Zoning, Commercial Real Estate, Corporate Finance, Lease Negotiations, Telecommunications, Westlaw, Legal Advice, Mediation
Education
Bentley University
Bachelor's degree, Economics / Finance
The University of Connecticut School of Law
Doctor of Law (JD)
Claudio Gil's US Securities and Exchange Commission Experience October 2007 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission October 2007 - Present
State Street September 2004 - July 2007
Fidelity Investments May 1999 - September 2000
Education
Babson College 2000 — 2003
Master of Business Administration (MBA), General
Salem State University 1992 — 1996
BSBA, Accounting
US Securities and Exchange Commission October 2007 - Present
State Street September 2004 - July 2007
Fidelity Investments May 1999 - September 2000
Education
Babson College 2000 — 2003
Master of Business Administration (MBA), General
Salem State University 1992 — 1996
BSBA, Accounting
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency