US Securities and Exchange Commission
Industry: Federal agency
DescriptionThe U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Jurisdiction: United States of America Employees: 4,301 (2015) Headquarters: Washington, D.C., United States Founder: Franklin D. Roosevelt Founded: 6 June 1934
US Securities and Exchange Commission List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at US Securities and Exchange Commission. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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4,270 US Securities and Exchange Commission employees in database. Find out everything there's to know about US Securities and Exchange Commission employees. We offer you a great deal of unbiased information from the internal database, personal records, and many other details that might be of interest to you.
US Securities and Exchange Commission Employees
Mondogoal Ltd. 2013 - Present
YUKOS Oil Company 2003 - 2014
Big Sky Energy Corporation 2006 - 2010
Intelligent Energy 2006 - 2009
Mazeikui Nafta 2006 - 2006
EY 2002 - 2003
Goodwin Procter LLP 2000 - 2001
U.S. Securities and Exchange Commission 1997 - 2000
Harry M. Stevens 1986 - 1996
Soviet National Baseball Team 1990 - 1991
Skills
Corporate Governance, Energy, International Law, Russian, Start-ups, Due Diligence, Private Equity, Alternative Energy, Emerging Markets, Management
Education
Georgetown University Law Center 1996 — 1997
Master of Laws (LL.M.), Securities and Financial Regulation
Boston University School of Law 1992 — 1995
Juris Doctor
Trinity College-Hartford 1988 — 1992
Bachelor of Arts (B.A.), Soviet Studies
Pushkin State Russian Language Institute 1990 — 1991
Russian Language
Buckingham Browne & Nichols 1984 — 1988
High School
Sulzer Pumps (US) Inc. March 2015 - Present
Elko County District Attorney's Office May 2014 - February 2015
Eversheds June 2013 - August 2013
Herbert Smith Freehills May 2013 - June 2013
U.S. Securities and Exchange Commission January 2013 - April 2013
U.S. Department of Homeland Security June 2012 - August 2012
Skills
Mergers & Acquisitions, Arabic, Legal Writing, Modern Standard Arabic, International Law, Corporate Law, Public International Law, Private International..., Legal Research, Training, Jordanian Colloquial..., Oil/Gas, International Trade Law, Foreign Investment, Energy Law, Renewable Energy Law, International..., Middle East, Business Transactions, Securities Regulation, Securities Litigation, Lexis, Westlaw, Bloomberg, Mergent, Hoovers
Education
University of Utah S.J. Quinney College of Law 2011 — 2014
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
BYU 2007 — 2010
Bachelor of Arts (B.A.), Middle East Studies/Arabic
University of Jordan 2008 — 2008
Intensive Arabic Program
Lowe & Associates December 2014 - Present
Villanova University School of Law August 2013 - May 2014
Internal Revenue Service September 2013 - December 2013
U.S. Securities and Exchange Commission May 2013 - August 2013
Villanova University School of Law Federal Tax Clinic January 2013 - May 2013
U.S. Securities and Exchange Commission September 2012 - December 2012
Villanova University School of Law Federal Tax Clinic May 2012 - August 2012
Coach January 2011 - July 2011
Ernst & Young September 2008 - June 2009
Boardwalk Properties May 2007 - September 2007
Education
Villanova University School of Law 2011 — 2014
Juris Doctor, cum laude
Boston University - School of Management 2004 — 2008
Bachelor of Science in Business Administration, magna cum laude, Concentration in Accounting
U.S. Securities and Exchange Commission June 2015 - August 2015
Rothstein Kass 2013 - 2014
PwC 2011 - 2013
Skills
CPA, Accounting, Financial Accounting, Financial Reporting, Auditing, PowerPoint, Microsoft Word, Microsoft Excel, Analysis, Pivot Tables, Leadership, Teamwork, Tax
Education
New York University School of Law 2014 — 2017
Binghamton University 2010 — 2011
MS, Accounting
Binghamton University 2006 — 2010
BS, Accounting
Clifford Chance US LLP September 2015 - Present
United States Attorney's Office for the Eastern District of New York August 2014 - May 2015
Société Générale June 2014 - August 2014
U.S. Securities and Exchange Commission January 2014 - April 2014
New York County District Attorney's Office August 2013 - December 2013
Greenberg Traurig, LLP June 2013 - August 2013
Greenberg Traurig, LLP July 2010 - July 2012
Milberg May 2010 - July 2010
St. Louis Public Defender August 2009 - December 2009
Skills
Fluent French, Legal Research, Legal Writing, Westlaw, Litigation, Civil Litigation, Due Diligence, Trials, Securities Litigation
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (J.D.), Law
Washington University in St. Louis 2006 — 2010
Bachelor of Arts (BA), Major: Political Science Minor: Legal Studies
French American School of New York 1993 — 2001
U.S. Securities and Exchange Commission May 2014 - Present
U.S. Securities and Exchange Commission April 2014 - May 2014
Linden Resources, Inc. September 2013 - April 2014
Chickasaw Nations Industries April 2013 - September 2013
The HR Source March 2012 - February 2013
Aerotek November 2011 - March 2012
National Institutes of Health July 2008 - July 2011
Montgomery Scrap Corporation/M-Scrap Transportation Services LLC September 2006 - July 2008
Skills
Employee Relations, HRIS, Human Resources, Recruiting, Talent Acquisition, Talent Management, Performance Management, Internet Recruiting, Sourcing, PeopleSoft, Staffing Services, Training, Onboarding, New Hire Orientations, HR Policies, Benefits Administration, FMLA, Applicant Tracking..., Job Descriptions, Personnel Management, Temporary Placement
Education
University of Maryland University College 2010 — 2012
Master of Science in Management, Human Resources Management and Services, 3.2
Bowie State University 2004 — 2010
Bachelor of Science (B.S.), Business Administration, Management and Operations
Beverly Brooks Summers, L.L.C. (RBB Consulting, Empowerment Life Coaching, and Summertime Travel) 2010 - Present
Destiny Covenant Network January 2009 - Present
Destiny Covenant Church, Inc., (a/k/a "Destiny Covenant Ministries") January 2009 - Present
Women of Destiny and Faith International Network, Inc. March 2003 - Present
Leadership Development 1990 - Present
US Forest Service November 1978 - Present
Victory Fellowship Church, Inc. 2001 - 2004
Prince George's County Public Schools August 2000 - September 2002
Mt Jezreel Baptist Church 1995 - 2000
U.S. Securities and Exchange Commission August 1988 - February 1993
Skills
Policy, Nonprofits, Budgets, Accounting, Analysis, Microsoft Excel, Government, Microsoft Office, Microsoft Word, Access, Auditing, PowerPoint, Account Reconciliation, Financial Reporting, Outlook, General Ledger, Accounts Payable, Managerial Finance, Financial Accounting, Research, Non-Profit Management, Church and Ministry..., Public And Motivational..., Finance, Church Administration, Leadership Development, Leadership Development..., Church Growth, Theology, Systematic Theology, Discipleship, Discipleship Training, Coaching, Mentoring, Biblical Studies, Practical Theology, Preaching, Workshops, Organizational..., Organizational..., Pentecostal Studies, Women in Ministry..., Christian Leadership, Educational Leadership, Public Speaking, Appropriations, Congressional..., Team Building, Team Leadership, Teaching
Education
Regent University School of Divinity 2012 — 2017
Doctor of Ministry ("D.Min."), Renewal Leadership, 3.89
Regent University School of Divinity 2006 — 2012
Masters of Divinity, Divinity/Ministry
Bowie State University 2004 — 2009
Master of Business Administration (M.B.A.), Accounting
Harvard Law School Transactional Law Clinics September 2015 - Present
U.S. Securities and Exchange Commission May 2015 - Present
Harvard Law School August 2014 - Present
Duff & Phelps February 2013 - July 2014
Duff & Phelps July 2011 - February 2013
Boston University College of Arts and Sciences September 2007 - May 2011
UBS Wealth Management June 2010 - August 2010
Almeida Capital June 2009 - August 2009
Skills
Financial Modeling, Financial Analysis, Enterprise Valuation, Equity Valuation, Intangible Asset..., Corporate Finance, Purchase Price..., Goodwill Impairment..., Microsoft Excel, S&P Capital IQ, Intangible Assets
Education
Boston University - College of Arts and Sciences 2007 — 2011
BA, American History
Boston University - School of Management 2007 — 2011
BS, Business Administration, Concentration in Finance
Weymouth High School 2003 — 2007
U.S. Securities and Exchange Commission May 2015 - August 2015
Libby Hoopes PC May 2014 - October 2014
Washtenaw County Office of Public Defender April 2013 - August 2013
LAM Foundation April 2011 - May 2013
Institute for Continuing Legal Education (University of Michigan) February 2011 - May 2013
English Language Institute (University of Michigan) January 2011 - July 2012
U.S. Federal Trade Commission May 2010 - August 2010
Skills
Policy Analysis, Public Policy, Political Science, Research, Politics, Nonprofits, Public Speaking, Fundraising, Microsoft Word
Education
Boston College Law School 2013 — 2016
Doctor of Law (J.D.), J.D. Candidate
University of Michigan 2009 — 2012
Bachelor of Arts (B.A.), Political Science (and) Russian and Eastern European Studies
Walt Whitman High School 2005 — 2009
High School Diploma
U.S. Securities and Exchange Commission August 2015 - Present
Ramirez & Co., Inc. June 2015 - August 2015
McGladrey June 2014 - August 2014
Neurometrix June 2012 - August 2012
Skills
Microsoft Office, PowerPoint, Microsoft Word
Education
Boston University School of Law 2013 — 2016
Doctor of Law (JD)
Boston University - School of Management 2009 — 2013
BSBA, Accounting and Finance
U.S. Securities and Exchange Commission January 2015 - April 2015
University of Miami School of Law May 2013 - April 2015
Mound Cotton Wollan & Greengrass August 2014 - January 2015
Royal Caribbean Cruises, Ltd. June 2014 - August 2014
Ziglaw January 2014 - May 2014
University of Miami August 2013 - March 2014
George Washington University May 2013 - August 2013
GoEmpire Group May 2012 - September 2012
Deval Patrick Campaign May 2011 - August 2011
Skills
Marketing, Sports, Public Speaking, Social Media, Event Planning, Research, Microsoft Office, PowerPoint, Microsoft Excel, Microsoft Word, Legal Research, Legal Writing, NCAA Compliance, Spanish
Education
University of Miami School of Law 2012 — 2015
Juris Doctor (J.D.)
Tufts University 2008 — 2012
Bachelor of Arts, Political Science, Mass Communications Studies
Bond University 2011 — 2011
Political Science
Miami Palmetto Senior High School 2004 — 2008
U.S. Securities and Exchange Commission December 2014 - Present
Office of the Attorney General of Massachusetts March 2010 - December 2014
Cleary Gottlieb Steen & Hamilton LLP October 2006 - January 2010
United States Attorney's Office September 2005 - December 2005
U.S. Department of Justice May 2004 - August 2004
Skills
Legal Research, Class Actions, Securities Law, International Law, Competition Law, Litigation, Settlement, Negotiation, Investigation, Westlaw, Legal Writing, Constitutional Law, Insurance Law, Legal Advice, Securities Regulation, Motions, Administrative Law, Antitrust Law, Civil Litigation, Securities Litigation, Appeals
Education
Boston University School of Law 2003 — 2006
J.D., Law
University of Massachusetts, Amherst 1999 — 2003
Bachelor of Arts, History and Economics
Newton North High School 1995 — 1999
Gillis, Borchardt & Barthel LLP August 2012 - Present
Englander, Leggett & Chicoine, P.C. March 2012 - May 2012
U.S. Securities and Exchange Commission August 2011 - November 2011
Alere Inc. March 2011 - May 2011
U.S. Court of Appeals for the 1st Circuit, Judge Selya August 2010 - November 2010
Sokolove Law LLC August 2008 - August 2009
Sokolove Law LLC July 2007 - August 2008
Ritz Camera & Image January 2002 - July 2008
Investors Bank & Trust (Acquired by State Street in 2007) November 2006 - May 2007
Aurora Imaging Company September 2004 - May 2006
Skills
Business Law, Estate Planning, Energy Law, Real Estate Transactions, Legal Research, Legal Writing
Education
Northeastern University School of Law 2009 — 2012
Doctor of Law (J.D.)
Boston University 2006 — 2006
Paralegal Certificate
Villanova University 2002 — 2006
Bachelor of Arts (B.A.), Economics, Minor in General Business
Boston College High School 1998 — 2002
Julia Anne Kirsch Foundation September 2012 - Present
Paine Webber June 1997 - September 2000
U.S. Securities and Exchange Commission September 1992 - June 1997
Skills
Nonprofits, Fundraising, Public Speaking, Strategic Planning, Community Outreach, Social Media, Event Planning, Contract Negotiation, Start-ups, Volunteer Management, Public Relations, Mergers & Acquisitions, Grant Writing, Entrepreneurship, Leadership, Research, Leadership Development, Program Development, Public Policy, Marketing, Editing
Education
Boston University
Boston University School of Law
JD
U.S. Securities and Exchange Commission May 2014 - August 2014
Ropes & Gray LLP June 2011 - July 2013
Boston Partners in Education September 2011 - June 2013
State of Rhode Island January 2011 - May 2011
Bedford/St. Martin's June 2010 - August 2010
St. Louis Beacon May 2009 - August 2009
Education
Harvard Law School 2013 — 2016
Doctor of Law (JD)
Brown University 2009 — 2011
Bachelor of Arts, English, magna cum laude
Fordham University 2007 — 2009
Lear and Lear Law Offices September 2014 - Present
Providence Hall February 2011 - August 2014
Charter Building Consulting June 2008 - August 2014
Providence Hall Charter School July 2007 - February 2011
Lexis Nexis April 2000 - April 2005
U.S. Securities and Exchange Commission April 1996 - April 1999
Office of Sen. Dirk Kempthorne May 1993 - June 1994
Skills
Sales Operations, Start-ups, Consulting, Sales, Leadership Development, Management, Staff Development, Employee Relations, Strategic Partnerships, Public Speaking, Leadership, Fundraising, Program Development, Strategy, Training, Nonprofits, Curriculum Development, Schools, Human Resources, Charter Schools, Budgets, Organizational..., Executive Management, Policy, Educational Leadership, Education Law
Education
Brigham Young University 1989 — 2001
B.A., Political Science
Brigham Young University—J. Reuben Clark Law School 1992 — 1996
Juris Doctorate, Emphasis on Corporate and Business law
Providence Hall Charter School
Nassau County District Attorney September 2015 - Present
U.S. District Court, S.D.N.Y.- The Honorable Kevin N. Fox January 2015 - May 2015
Standard Chartered Bank January 2015 - April 2015
U.S. Securities and Exchange Commission August 2014 - December 2014
Alma Realty Corp May 2014 - December 2014
U.S. Department of Justice, Dangerous Drug and Narcotic Section January 2014 - May 2014
Safe Harbor Project Clinic August 2013 - January 2014
Paul Labrecque Salon and Spa September 2012 - January 2014
New York City Office of Administrative Trials and Hearings June 2013 - August 2013
Napoli Bern Ripka Shkolnik, LLP January 2013 - May 2013
Skills
Research, Fluent in Polish, Moderately proficient..., Customer Service, Microsoft Office, PowerPoint, Public Speaking, Microsoft Word, Microsoft Excel, Critical Thinking, Editing, Westlaw, Lexis, Bluebook
Education
Brooklyn Law School 2012 — 2015
Juris Doctor (J.D.)
Wake Forest University 2008 — 2012
Bachelor of Arts (B.A.), English Language and Literature/Letters
Bronx High School of Science 2004 — 2008
High School
U.S. Securities and Exchange Commission June 2015 - Present
Banco Santander January 2015 - June 2015
National Futures Association September 2013 - December 2014
Moody's Corporation April 2013 - September 2013
Alpari (US), LLC September 2012 - December 2012
NYC Department of Finance June 2012 - August 2012
EFG Asset Management January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - November 2011
Moody's Investors Service June 2011 - August 2011
C Cakes February 2006 - August 2010
Skills
Legal Research, Due Diligence, Legal Writing, Westlaw, Securities, Bilingual-Spanish, Compliance, Hedge Funds, Corporate Governance, Legal Compliance, Securities Regulation, Financial Regulation, FINRA, AML, Policy, Corporate Law, Litigation, Anti Money Laundering
Education
Brooklyn Law School 2010 — 2013
Juris Doctor, Corporate and Securities Law
Universita di Bologna 2012 — 2012
Law
Florida International University
Bachelor of Arts, Psychology
U.S. Securities and Exchange Commission August 2014 - Present
University of Rhode Island July 1992 - Present
Skills
Higher Education, Research, Teaching, Microsoft Excel, Data Analysis, University Teaching, Accounting, PowerPoint, Nonprofits, Public Speaking, Microsoft Office, Analysis, Curriculum Design
Education
Bentley University
Bachelor of Science (B.S.), Accountancy
Texas Tech University
Doctor of Philosophy (Ph.D.), Accounting
U.S. Securities and Exchange Commission April 2015 - Present
U.S. Securities and Exchange Commission July 2012 - March 2015
KPMG Audit September 2002 - July 2012
Education
Boston College - Wallace E. Carroll Graduate School of Management 2002 — 2003
MSA, Accounting
Isenberg School of Management, UMass Amherst 1998 — 2002
BBA, Accounting
U.S. Securities and Exchange Commission August 2015 - Present
GlobalGroupFund, Inc. April 2014 - Present
Elevated Expectations Inc. December 2013 - Present
Windels Marx Lane & Mittendorf, LLP May 2015 - August 2015
Prepfoleo.com November 2014 - March 2015
Aibara & Reed, PLLC. May 2013 - December 2014
PrimeTime Title Agency May 2013 - December 2014
GFI Capital Resources Group, Inc. May 2014 - August 2014
Law Offices of Timothy Clark, PA January 2012 - January 2013
Skills
Westlaw, Courts, Legal Assistance, Legal Research, Legal Writing, Lexis, Mediation, Real Estate, Research, Litigation, Appeals, Trials, Start-ups, Civil Litigation, Intellectual Property, Nonprofits, Securities, Document Review, LexisNexis, Microsoft Office, Microsoft Excel, Marketing, Social Networking, Leadership, Social Media, Community Outreach, Strategy, Commercial Real Estate, Management
Education
Brooklyn Law School 2013 — 2016
Juris Doctorate, Business Law
State University of New York at Stony Brook 2010 — 2013
Bachelor of Arts (BA), Double Major: Political Science and History
J.P. Morgan Asset Management August 2015 - Present
The Cadwalader Cabinet January 2015 - July 2015
W. P. Carey Inc. (Carey Financial, LLC) 2005 - November 2014
Daiwa Capital Markets America 2004 - 2005
Swiss Re 2002 - 2004
The Depository Trust & Clearing Corporation 1996 - 2002
Fidelity Investments 1993 - 1996
Labaton Sucharow LLP 1988 - 1992
U.S. Securities and Exchange Commission 1986 - 1988
Speeches and Presentations 1979 - 1979
Skills
Alternative Investments, Financial Regulation, Litigation, Private Placements, Internal Investigations, Project Management, Mutual Funds, Hedge Funds, Securities Regulation, Securities Litigation, Series 24, Investment Advisory, Investment Management, FINRA, Clearing, Enterprise Risk..., Anti Money Laundering, FCPA, UK Bribery Act, Real Estate, Futures, Banking, Compliance, Legal Compliance, Regulation D, Blue Sky, COSO ERM, GRC, Finance, Financial Services, Series 7, Securities, Capital Markets, Corporate Law, Investments, Due Diligence, Risk Management
Education
Brooklyn Law School
J.D., Law
St. Lawrence University
B.A., History Honors
The Hebrew University
History
Fidelity Investments August 2015 - Present
Boston University Finance and Investment Club January 2013 - Present
Fidelity Investments June 2015 - August 2015
THE ICONIC March 2015 - April 2015
U.S. Securities and Exchange Commission May 2014 - August 2014
Comptroller John Liu for Mayor July 2013 - August 2013
J.P. Morgan July 2012 - August 2012
NASA September 2011 - November 2011
Skills
Research, Microsoft Excel, Team Leadership, Bloomberg Terminal, Public Speaking, Finance, Equity Research, Financial Analysis, Regression Analysis, Monte Carlo Simulation, Microsoft Office
Education
Boston University 2012 — 2016
Bachelor of Business Administration (BBA), Finance and Accounting
Brooklyn Technical High School 2008 — 2012
URS Corporation, An AECOM Company April 2014 - Present
Sara July 2013 - October 2013
Qlaire Systems Inc. May 2012 - July 2013
Lockheed Martin November 2008 - April 2011
CSC November 2003 - November 2008
U.S. Securities and Exchange Commission 2003 - 2008
U.S. Securities and Exchange Commission 2003 - 2008
Lyceum February 2002 - October 2003
BTG/Dyncorp September 1999 - February 2002
Skills
ITIL, Active Directory, Help Desk Support, VPN, Windows 7, Citrix, BMC Remedy, Software Documentation, Microsoft Exchange, Service Desk, IT Service Management, Information Technology, Incident Management, Quality Assurance, Blackberry, Heat, Networking, Troubleshooting, System Deployment, IT Operations, Remote Desktop, Windows Vista, System Administration, ITIL v3 Foundations..., Apple Safari, Google Chrome, Firefox, MacBook Pro, Network Administration, Mac OS, OS X, Windows 8, McAfee Antivirus, Microsoft Office, Smartphones, WebEx
Education
Morgan State University 1992 — 1996
BACHELOR OF SCIENCE, INFORMATION SYSTEMS & SCIENCE
Borough of Manhattan Community College 1989 — 1992
ASSOCIATE IN APPLIED SCIENCE, COMPUTER INFORMATION SYSTEMS
U.S. Department of Justice March 2014 - Present
Financial Industry Regulatory Authority September 2013 - December 2013
U.S. Securities and Exchange Commission May 2013 - August 2013
Federal Trade Commission June 2012 - August 2012
U.S. House of Representatives August 2007 - August 2011
Wayne County Third Circuit Court July 2006 - August 2006
Washtenaw County Office of Public Defender September 2005 - December 2005
Skills
Government, Research, Public Policy, Legal Research, Government Relations, Policy Analysis, Legislative, Political Science, Politics, Legislative Relations, International Relations, Political Campaigns, Press Releases, Legislation, Legislative Research, Policy, Community Outreach, Grassroots Organizing, Federal Government, Public Speaking, Strategic Communications, Lexis, Coalitions, Criminal Law, Trials, Grants, Westlaw, Nonprofits, Grant Writing, Courts, Civil Litigation, Foreign Policy, Fundraising, Legislative Affairs, Litigation, Appropriations, Political Consulting, Constituent Services, Public Affairs, Political Communication, Speech Writing, State Government, Governmental Affairs, Administrative Law, Legal Writing, Congress, Community Organizing, Policy Research, International Law, Message Development
Education
Boston College Law School 2011 — 2013
J.D.
University of Michigan 2003 — 2007
B.A, Political Science, Psychology and Sociology
PPMT Strategic Group August 2013 - Present
Law Offices of Bradley L. Steere, Esq. 1999 - Present
Kane Kessler, P.C. 1998 - 1999
Steere & May 1994 - 1998
U.S. Securities and Exchange Commission 1990 - 1994
Skills
Corporate Law, Mergers, Securities Regulation, Legal Writing, Securities, Arbitration, Estate Planning, Wills, Trusts, Elder Law, Legal Advice, Courts, Mergers & Acquisitions, SEC, Trials, Licensing, Commercial Litigation, Appeals, Private Placements, Legal Assistance
Education
Hofstra University School of Law 1987 — 1990
JD
Boston University 1980 — 1984
BA, Economics
Attorney 2003 - Present
Greenberg Traurig, P.A. 2007 - 2011
Jorden Burt LLP 2003 - 2007
U.S. Securities and Exchange Commission January 2003 - May 2003
Skills
Litigation, Commercial Litigation, Legal Research, Corporate Law, Arbitration, Legal Writing, Class Actions, Employment Law, Civil Litigation, Appeals, Intellectual Property, Corporate Governance, Courts, International Law, Securities Regulation, Mediation, Trade Secrets, Trial Practice, Business Litigation, Insurance Law, Bankruptcy, Westlaw, Construction Law, Breach Of Contract, Legal Assistance, Non-compete Agreements, Alternative Dispute..., Litigation Management, Legal Advice, Banking Law, Employment...
Education
Boston University School of Law 2000 — 2003
Juris Doctor
Hunter College
U.S. Securities and Exchange Commission June 2013 - Present
Ropes & Gray LLP September 1983 - June 2013
Skills
Securities Regulation, Corporate Law, Corporate Governance, Securities, Mergers, Venture Capital, Securities Offerings
Education
Boston University School of Law 1979 — 1982
JD
University of Virginia 1974 — 1975
M.A., History
Florida State University 1969 — 1973
BA, History
Bernstein Litowitz Berger & Grossmann LLP September 2011 - Present
U.S. Securities and Exchange Commission August 2010 - December 2010
Skills
Litigation, Commercial Litigation, Class Actions, Legal Research, Civil Litigation, Securities Regulation, Legal Writing, Securities Litigation, Corporate Law, Appeals, Intellectual Property, Westlaw
Education
Brooklyn Law School 2008 — 2011
Doctor of Law (J.D.)
University of Michigan 2004 — 2007
Bachelor of Arts (B.A.)
U.S. Commodity Futures Trading Commission May 2015 - August 2015
U.S. Court of International Trade January 2015 - April 2015
U.S. Securities and Exchange Commission September 2014 - November 2014
U.S. District Court, E.D.N.Y May 2014 - August 2014
JPMorgan Chase & Co. September 2012 - May 2013
JPMorgan Chase & Co. June 2012 - August 2012
Middleton & Gendron Inc. June 2011 - August 2011
Skills
Bloomberg, Microsoft Office, Time Management, Public Relations, Press Releases, Microsoft Excel, PowerPoint, Management, Accounting, Data Analysis, Legal Research, Legal Writing, Oral Advocacy, Westlaw, Lexis
Education
Brooklyn Law School 2013 — 2016
Juris Doctor (J.D.), 2L
University of Delaware - Lerner College of Business and Economics 2009 — 2013
Bachelor of Science (B.S.), Finance & Operations Management with International Business Minor, 3.72
South Side High School 2005 — 2009
IB Diploma
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates September 2015 - Present
Harvard Business School March 2015 - September 2015
Boston University School of Law August 2012 - May 2015
U.S. Securities and Exchange Commission September 2014 - December 2014
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2014 - July 2014
New York State Unified Court System June 2013 - August 2013
Teach For America January 2011 - July 2012
Teach For America/N.Y.C. Department of Education July 2008 - August 2010
Skills
Research, Program Development, Public Speaking, Fundraising, Higher Education, Community Outreach, Legal Research, Spanish, Nonprofits, Editing, Legal Writing, International Relations
Education
Boston University School of Law 2012 — 2015
Juris Doctor (J.D.), cum laude
Pace University 2008 — 2010
Master of Science (MS), Childhood Education, summa cum laude
Boston College 2004 — 2008
BA, International Studies and Hispanic Studies, magna cum laude
Universidad Católica Argentina 2006 — 2007
Bank of China International August 2015 - Present
Brooklyn Law School September 2014 - Present
State of New Jersey Office of the Attorney General May 2015 - August 2015
U.S. Securities and Exchange Commission January 2015 - April 2015
New York City Bar Association 2014 - 2015
New York City Bar Association 2014 - 2015
New York City Economic Development Corporation September 2014 - December 2014
Alternatives Federal Credit Union June 2014 - August 2014
Lord Abbett & Co. LLC September 2011 - August 2013
Natural Languages July 2009 - August 2011
Skills
Legal Research, Legal Writing, Research, PowerPoint, Westlaw, Data Analysis, Microsoft Office, Microsoft Excel, Public Speaking, Litigation, Microsoft Word, Lexis, Editing, Community Outreach, Statistics, Intellectual Property, Customer Service, LexisNexis
Education
Brooklyn Law School 2013 — 2016
Juris Doctor, 1L
New York University 2010 — 2011
Diploma in Paralegal Studies, Law, Legal Research & Writing
State University of New York College at Cortland 2001 — 2003
BS Psychology, Psychology
Voleo, Inc. March 2014 - Present
SecuritiesLawUSA, PC August 2009 - Present
Theodora Oringher Miller & Richman PC January 2006 - August 2009
Miller & Holguin 1989 - 2005
U.S. Securities and Exchange Commission April 1984 - August 1987
Skills
Securities Law, Private Placements, SEC reporting, Corporate Governance, International Law, Mergers, Corporate Law, Securities Regulation, SEC filings, Private Equity, Mergers & Acquisitions, Corporate Finance, Acquisitions, Investment Banking, IPO, Venture Capital, Securities, Start-ups, Joint Ventures, Legal Advice, Finance, SEC Filings
Education
Georgetown University Law Center 1983 — 1986
Master of Laws (LL.M.), Securities Regulation
Brigham Young University—J. Reuben Clark Law School 1979 — 1983
J.D., Law
Brigham Young University 1974 — 1979
B.A., English
Law Offices of Cary S. Lapidus 1993 - Present
U.S. Securities and Exchange Commission 1982 - 1986
US Securities and Exchange Commission 1982 - 1986
Skills
Securities Arbitration, Securities Law, Securities Litigation, Securities Regulation, Commercial Litigation, Class Actions, Arbitration, Litigation, Civil Litigation, Fraud, Dispute Resolution, Trial Practice, Trials, Appeals, Torts, White Collar Criminal..., Mediation, Legal Research, Breach Of Contract, Bankruptcy, Alternative Dispute..., Courts, Business Litigation, Non-compete Agreements
Education
Boston University School of Law 1978 — 1981
JD
University of Virginia 1974 — 1978
BA
U.S. Securities and Exchange Commission September 2014 - Present
Kearney & Company May 2014 - September 2014
Kearney & Company December 2012 - May 2014
Kearney & Company May 2011 - December 2012
ParenteBeard LLC (now Baker Tilly) October 2009 - April 2011
Metro Bank May 2007 - September 2009
Education
Bloomsburg University of Pennsylvania 2005 — 2009
BA, Accounting
U.S. Securities and Exchange Commission June 2015 - Present
KPMG May 2011 - June 2015
KPMG 2003 - May 2011
Skills
Accounting, Audit, Purchase Accounting, SEC reporting, US GAAP, Internal Controls, SEC filings, Auditing, Revenue Recognition, Sarbanes-Oxley Act, Mergers & Acquisitions, CPA, External Audit, IFRS
Education
Bentley College - Elkin B. McCallum Graduate School of Business 2002 — 2003
Masters, Accounting Information Systems
Bentley University 1998 — 2002
BS, Accounting
Hamden High School 1994 — 1998
Labaton Sucharow LLP September 2014 - May 2015
U.S. Securities and Exchange Commission June 2014 - August 2014
Office of the Inspector General of the State of New York January 2014 - May 2014
EFG Asset Management August 2013 - December 2013
Office of the Attorney General of the State of New York June 2013 - August 2013
Philip Russell, LLC August 2011 - August 2012
Honest Tea September 2010 - May 2011
Northwestern Mutual June 2010 - August 2010
Skills
PowerPoint, Microsoft Excel, Research, Microsoft Word, Microsoft Office, Google Analytics, Facebook, Finance, Financial Analysis, Investments, Litigation, Public Speaking, Mutual Funds, Retirement Planning, SPSS, Social Media
Education
Brooklyn Law School
Doctor of Law (J.D.)
Boston University Questrom School of Business 2007 — 2011
Boston University
Joel Barlow High
The Gunnery
U.S. Department of Treasury February 2012 - Present
U.S. Department of Treasury March 2011 - March 2014
U.S. Securities and Exchange Commission 2009 - 2012
Bridgewater Associates 2007 - 2008
FrontPoint Partners 2004 - 2007
Ziff Brothers Investments 2002 - 2004
Moore Capital Management 1998 - 2002
Salomon Brothers 1994 - 1998
Morgan Stanley 1984 - 1994
Brigham Young University 1977 - 1984
Education
Massachusetts Institute of Technology 1974 — 1977
Ph.D., Economics
Brigham Young University 1968 — 1974
BA, Economics
Investor Rights Clinic, University of Miami School of Law January 2015 - May 2015
U.S. Securities and Exchange Commission January 2015 - May 2015
Investor Rights Clinic, University of Miami School of Law May 2014 - July 2014
Citizens Financial Group, Inc. June 2011 - August 2011
Swan Dyeing and Printing Corp June 2009 - August 2010
DormNoise LLC June 2009 - August 2010
Skills
Excel, PowerPoint, Word, Outlook, HTML, Python, SQL, Photoshop, Windows, Microsoft Excel, Financial Analysis, Microsoft Word, Microsoft Office, Spanish, Teamwork, Marketing, Access
Education
University of Miami School of Law 2013 — 2016
Juris Doctor (J.D.) and Latin Legum Magister (LL.M.) in Taxation
Boston University - School of Management 2009 — 2013
Bachelor of Science in Business Administration, Concentration: Corporate Law
Pacific Life April 2015 - Present
Pacific Life October 2013 - April 2015
Pacific Life Insurance Company September 2004 - October 2013
FINRA July 1998 - January 2012
H. Beck, Inc. 2001 - 2004
Morrison & Foerster 2000 - 2001
Solomon Pearl Blum & Quinn 1998 - 2000
Funds Distributor May 1996 - 1998
U.S. Securities and Exchange Commission June 1995 - August 1995
Financial Industry Regulatory Authority (f/k/a NASD Regulation) 1990 - 1993
Skills
Corporate Governance, Securities Arbitration, Securities, Compliance, Arbitration, Due Diligence, Portfolio Management, Insurance, Mutual Funds, Financial Services, Civil Litigation, SEC, Series 7
Education
Hofstra University School of Law 1993 — 1996
JD, Securities Law
State University of New York at Binghamton 1986 — 1990
BA, Economics
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Department of the Treasury - OFAC March 2010 - June 2014
L-3 Communications September 2007 - February 2010
United States Marine Corps 2004 - 2007
United States Marine Corps 1999 - 2004
Skills
Languages/Databases:..., XHTML; JavaScript; SQL..., VBScript; and CSS., Operating Systems:..., Hardware: PC Desktops;..., Software:SharePoint..., Access, Outlook,..., Visual Studio..., SharePoint, Security Clearance, Government, Integration, DoD, Analysis, PMP, Requirements Analysis, Security, Project Planning, Quality Assurance, Testing, SDLC, Management, Active Directory, Visio, Network Security, Program Management, Enterprise Architecture, System Administration
Education
Georgetown University Law Center
Regulated Money Management: Mutual Funds and Investment Advisers
Boston University
Master's degree, Business Administration and Management, General
Boston University
Graduate Certificate in Project Management
Park University
Bachelor of Science (B.S.), Computer Science
U.S. Securities and Exchange Commission August 2015 - Present
HSBC June 2014 - July 2015
Seward & Kissel LLP August 2005 - April 2013
Winston & Strawn LLP September 2002 - August 2005
The Honorable Lawrence M McKenna, United States District Court, SDNY June 2000 - August 2000
Skills
Securities Regulation, Corporate Governance, Corporate Law, Securities, Legal Research, Legal Writing, International Law, Intellectual Property, IPO, Private Placements, Commercial Litigation, Joint Ventures, Private Equity, Licensing, Litigation, Civil Litigation, Mergers & Acquisitions, Due Diligence, Corporate Finance, Capital Markets
Education
Georgetown University Law Center 2015 — 2016
Master of Laws (LL.M.) in Securities and Financial Regulation
Boston College Law School 1999 — 2002
JD
State University of New York at Stony Brook 1995 — 1997
BA, Political Science, Magna Cum Laude and Phi Beta Kappa
Four Horsemen Investments October 2008 - Present
The Morris Trophy April 2011 - Present
U.S. Securities and Exchange Commission May 2015 - August 2015
Washington State Supreme Court Justice Debra L. Stephens Chambers January 2015 - May 2015
Seattle University April 2013 - January 2015
Russell Investments August 2014 - December 2014
Seattle University School of Law February 2014 - September 2014
U.S. Securities and Exchange Commission May 2014 - August 2014
Wayfind September 2013 - January 2014
BECU November 2010 - July 2012
Education
Seattle University School of Law 2012 — 2016
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law
Seattle University 2012 — 2016
Master of Science (M.S.), Finance
University of Puget Sound 2005 — 2009
Bachelors, Communications Studies, Business Administration
Biola University 2005 — 2006
Communications
Keller Graduate School 2010 — 2011
Masters of Business Administration, Finance
Stadium High School 1999 — 2003
High School, High School/Secondary Diplomas and Certificates
JPMorgan Chase January 2013 - Present
RBS Securities Inc. December 2009 - December 2012
U.S. Securities and Exchange Commission November 2004 - November 2009
Ropes & Gray LLP May 2003 - September 2004
Reboul, McMurray, Hewitt & Maynard April 2001 - May 2003
Latham & Watkins October 1998 - March 2001
Skills
Securities Litigation, Corporate Governance, Securities Regulation, Litigation, Corporate Law, Securities
Education
New York University School of Law 1995 — 1998
JD
Boston College 1991 — 1995
BA, History/Philosophy
U.S. Securities and Exchange Commission July 2015 - Present
Whiteman Osterman & Hanna LLP May 2015 - July 2015
Burton Blatt Institute May 2014 - October 2014
Levene, Gouldin & Thompson, LLP May 2012 - August 2014
Levene, Gouldin & Thompson, LLP May 2012 - August 2012
Legal Aid Society January 2012 - May 2012
Skills
Efficiency, Microsoft Office, Microsoft Excel, Microsoft Word, Family Law, Oil/Gas, People Skills, Legal Writing, Lexis, Courts, Legal Assistance, Hearings, Research, Appeals, Westlaw, LexisNexis, Public Speaking, Legal Research, PowerPoint, Social Media
Education
Syracuse University College of Law 2013 — 2016
Doctor of Law (J.D.)
Binghamton University 2009 — 2013
Bachelor's degree, Political Science and Government, Cum Laude
Morgan Stanley August 2015 - Present
The Brooklyn Bar Association Volunteer Lawyers Project March 2015 - May 2015
Office of the Attorney General of the State of New York August 2014 - November 2014
NYS Department of Financial Services May 2014 - August 2014
MetLife January 2014 - May 2014
Hon. Rachel A. Adams September 2013 - December 2013
U.S. Securities and Exchange Commission May 2013 - August 2013
ValueLine Inc. March 2011 - June 2012
Parchem Trading, Ltd June 2009 - March 2011
Kafko, Kaminsky, & Kaufman June 2008 - June 2009
Skills
Microsoft Excel, Microsoft Word, PowerPoint, Microsoft Office, Financial Analysis, Inventory Management, Customer Service, Market Research, Financial Reporting, Analysis, Accounting, Account Reconciliation, Research, Legal Research, Legal Writing, Management
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (J.D.)
Iona College: Graduate School of Business New 2009 — 2010
Masters, Business Administrations in Finance
Iona College: School of Arts and Science New 2005 — 2009
Certificate, Risk Management & Business Continuity
Icelandair June 2014 - Present
Slalom Consulting July 2013 - June 2014
Grant Thornton August 2008 - August 2013
U.S. Securities and Exchange Commission June 2007 - June 2008
Skills
Airline Economics, Airline Sales Management, Enterprise Risk..., Management, Management Consulting, Process Improvement, Project Management, Internal Controls, Corporate Governance, Commercial Aviation, Sarbanes-Oxley Act, IT Strategy, Governance, Business Intelligence, Risk Management, IT Audit, IT Transformation, Strategic Planning, IT Operations, Corporate Advisory, Sales, Pricing Strategy, Aviation, Aircraft
Education
Boston University - School of Management
Brewster Academy
Sidley Austin LLP May 2015 - August 2015
U.S. Securities and Exchange Commission June 2014 - August 2014
Torah Center of Los Angeles September 2008 - July 2013
Sydney Community Kollel June 2006 - December 2007
Skills
Public Speaking, Teaching, Research, Nonprofits, Community Outreach, Religion, Fundraising, Volunteer Management, Editing, Legal Writing, Legal Research, Analysis, Program Development, Tutoring, Leadership Development, Event Management, Leadership, Adult Education, Strategic Planning
Education
Harvard Law School 2013 — 2016
Doctor of Law (J.D.)
Beth Medrash Govoha 2004 — 2007
Bachelor of Arts (B.A.), Talmudic Studies
Independent Study Abroad 2003 — 2004
Clifford Chance US LLP September 2015 - Present
U.S. Securities and Exchange Commission September 2014 - December 2014
Allianz Global Investors June 2014 - August 2014
Financial Industry Regulatory Authority January 2014 - April 2014
United States Bankruptcy Court, E.D.N.Y. May 2013 - December 2013
Cravath, Swaine & Moore LLP July 2010 - July 2012
Cravath, Swaine & Moore LLP June 2009 - August 2009
Strategies for Wealth May 2008 - August 2008
Skills
Legal Research, Westlaw, Lexis, Litigation, Corporate Law
Education
Brooklyn Law School
University of Miami 2006 — 2010
BBA, Business Law, International Studies
Tel Aviv University 2009 — 2009
City and County of San Francisco, Department of Technology September 2014 - Present
CITY AND COUNTY OF SAN FRANCISCO, HEALTH SERVICE SYSTEM July 2011 - September 2014
US ARMY CORPS OF ENGINEERS, SAN FRANCISCO DISTRICT October 2008 - July 2011
BOARD OF SUPERVISORS IN SAN FRANCISCO November 2007 - March 2008
BABCOCK & BROWN L.P August 2007 - October 2007
GREENWOOD CAPITAL L.P. February 2005 - August 2005
U.S. SECURITIES AND EXCHANGE COMMISSION June 2003 - August 2003
CERBERUS CAPITAL MANAGEMENT L.P May 2001 - August 2002
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP June 1999 - May 2001
Skills
Government, Data Analysis, Policy, Microsoft Excel, Policy Analysis, Access, Economics, Microsoft Office, Analysis, Program Management, Risk Management, Financial Analysis, Research, Stata, PowerPoint, Microsoft Word, Public Speaking, Project Management, Strategic Planning, Business Analysis, Finance
Education
Boston College Law School
Juris Doctor
Boston College - Wallace E. Carroll Graduate School of Management
Master of Science in Finance
Bryn Mawr College
Bachelor's Degree
U.S. Securities and Exchange Commission June 2015 - Present
J. Reuben Clark Law School May 2015 - Present
Utah Supreme Court May 2015 - June 2015
Brigham Young University April 2013 - November 2013
Skills
Public Speaking, Microsoft Office, Microsoft Word, PowerPoint, Data Entry, Microsoft Excel, Research, Statistics, Access, Data Analysis, Spanish, Customer Service, Outlook, Teamwork, Leadership, Accounting, Sales, Advertising, Financial Analysis
Education
Harvard Law School 2015 — 2017
Doctor of Law (JD)
Brigham Young University 2007 — 2014
Accounting
U.S. Securities and Exchange Commission June 2015 - Present
K&L Gates May 2015 - May 2015
Financial Industry Regulatory Authority November 2012 - June 2014
Financial Industry Regulatory Authority (FINRA) March 2009 - November 2012
Macroeconomic Advisers June 2007 - March 2009
Back Bay Financial Group May 2005 - May 2007
Skills
Analysis, FINRA, Economics, Macroeconomics, Securities, Securities Regulation, Research, Microsoft Office, Financial Regulation, Mutual Funds, Bloomberg, Financial Markets, Equities, Mathematics, SEC Regulations, Legal Research, LexisNexis, Westlaw, Legal Writing
Education
University of Virginia School of Law 2014 — 2017
J.D. Expected
Boston College 2003 — 2007
Bachelor of Science (B.S.), Management Major with a Concentration in Economics and a Minor in Mathematics
U.S. Securities and Exchange Commission September 2015 - Present
Temple Law Review July 2015 - Present
Duane Morris LLP May 2015 - July 2015
Chambers of U.S. Bankruptcy Judge Kevin J. Carey January 2015 - April 2015
Chambers of United States District Judge C. Darnell Jones II May 2014 - August 2014
Pennsylvania Democratic Party June 2013 - August 2013
Office of United States Senator Charles E. Schumer June 2012 - August 2012
Skills
Leadership Development, Writing, Speech Writing, Strategic Planning, Research, Microsoft Office, Microsoft Excel, PowerPoint, Microsoft Word, Customer Service, Social Media, Windows, Teamwork, Public Speaking
Education
Temple University - James E. Beasley School of Law 2013 — 2016
Doctor of Law (JD)
Boston University 2009 — 2013
Bachelor of Science (B.S.), Secondary Education and Teaching, Magna Cum Laude
Boston University 2009 — 2013
Bachelor of Arts (B.A.), History, Magna Cum Laude
Cahill Gordon & Reindel LLP May 2015 - July 2015
U.S. Securities and Exchange Commission September 2014 - November 2014
United States Attorney's Office June 2014 - August 2014
Skadden, Arps, Slate, Meagher & Flom LLP June 2011 - June 2013
Education
Boston College Law School 2013 — 2016
J.D. candidate
Amherst College 2007 — 2011
B.A., cum laude, Law, Jurisprudence and Social Thought, German
U.S. Securities and Exchange Commission May 2015 - July 2015
Cadwalader, Wickersham & Taft LLP July 2011 - August 2014
Brandeis University, Health Psychology Laboratory August 2010 - May 2011
American Association of University Women June 2010 - August 2010
American Association of University Women June 2009 - August 2009
Skills
Excel, PowerPoint, spss, Structured Finance, SPSS, Derivatives, Microsoft Excel, Commodity, Bonds, Swaps, Options
Education
The George Washington University Law School 2015 — 2017
Juris Doctor (J.D.)
University of California, Hastings College of the Law 2014 — 2015
Juris Doctor (J.D.)
Brandeis University 2007 — 2011
BA, Psychology, Minors in Legal Studies and Women's and Gender Studies
Morgan, Lewis & Bockius LLP May 2015 - July 2015
U.S. Securities and Exchange Commission January 2015 - April 2015
Federal Reserve Bank of Philadelphia May 2014 - August 2014
Seyfarth Shaw LLP November 2011 - August 2013
Education
Villanova University School of Law 2013 — 2016
Juris Doctor (J.D.)
Boston University - School of Management 2007 — 2011
Finance and Business Law
University of Sydney 2010 — 2010
Boston Latin School 2001 — 2007
High School
Practising Law Institute January 2014 - Present
The SEC Institute August 2007 - January 2014
U.S. Securities and Exchange Commission 1996 - 2007
PwC June 1987 - July 1992
Skills
Sarbanes-Oxley Act, SEC filings, US GAAP, Accounting, Financial Reporting, GAAP, Internal Controls, CPA, Auditing, Corporate Finance, Financial Statements
Education
Virginia Polytechnic Institute and State University - Pamplin College of Business 1995 — 1996
MS, Accountancy
Bentley University 1981 — 1987
BS, Accountancy
U.S. Securities and Exchange Commission June 2015 - Present
Shumway Van & Hansen July 2014 - August 2014
MacArthur Heder & Metler May 2014 - June 2014
Texas Tech Special Collections Library June 2012 - March 2013
Barnes and Noble College Books May 2010 - December 2010
Student Recreation Center - Texas Tech University February 2009 - March 2010
Green Pest Services April 2008 - August 2008
Skills
Securities Regulation, Securities Litigation, Legal Research, Legal Writing, Organization, Communication, Oral Presentations, Problem Solving, Comprehension and..., Persuasive Writing, Ease with deadlines, Critical thinking and..., Delegating, Project Management, Editing and Proofreading, Working well without..., Priority Setting, Office Management, Handling Stressful..., Customer Service, Brainstorming, Engaging in teamwork
Education
Brigham Young University—J. Reuben Clark Law School 2013 — 2016
Juris Doctor, Law
Texas Tech University 2008 — 2012
Bachelor of Arts, Art History
U.S. Securities and Exchange Commission August 2015 - Present
The George Washington University Law School February 2015 - Present
Financial Industry Regulatory Authority (FINRA) May 2015 - July 2015
Boston College English Department May 2013 - May 2014
Boston College September 2011 - May 2014
Boston Ballet May 2013 - August 2013
Education
The George Washington University Law School 2014 — 2017
Doctor of Law (J.D.)
Boston College 2010 — 2014
Bachelor of Arts (B.A.), English Language and Literature, Psychology
Herskovits PLLC June 2015 - Present
Brooklyn Law School August 2013 - Present
U.S. Securities and Exchange Commission January 2015 - April 2015
Financial Industry Regulatory Authority (FINRA) September 2014 - December 2014
Kinetic Partners May 2014 - August 2014
Allen & Overy August 2012 - August 2013
PSBM March 2011 - June 2012
Gabor & Marotta LLC 2010 - 2010
Angiuli & Gentile, LLP 2009 - 2009
Skills
Corporate Law, Ringtail, LiveNote, CaseMap, Microsoft Office, Litigation Support, Accounting, Document Review, Intellectual Property, Bankruptcy, Legal Documents, Litigation
Education
Brooklyn Law School 2013 — 2016
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law, 2L
New York University - Leonard N. Stern School of Business 2008 — 2012
Bachelor of Science (BS), Finance and International Business
Steptoe & Johnson LLP September 2010 - Present
U.S. Securities and Exchange Commission 2006 - 2010
U.S. Securities and Exchange Commission 2000 - 2006
U.S. Securities and Exchange Commission 1999 - 2000
U.S. Securities and Exchange Commission 1997 - 1999
U.S. Securities and Exchange Commission 1992 - 1997
Steptoe & Johnson LLP 1988 - 1992
Skills
Internal Investigations, Corporate Governance, Securities Litigation, Litigation, FCPA, Securities, Securities Regulation
Education
The Catholic University of America, Columbus School of Law 2005 — 2008
Juris Doctor (J.D.)
Brown University 1979 — 1983
Bachelor's Degree, Psychology
U.S. Securities and Exchange Commission May 2015 - Present
U.S. Securities and Exchange Commission April 2014 - Present
U.S. Securities and Exchange Commission May 2013 - April 2014
Ballard Spahr LLP September 2004 - May 2013
De Brauw Blackstone Westbroek July 2003 - August 2003
Ballard Spahr LLP September 1998 - October 2001
Skills
Public Finance, Municipal Bonds, Structured Finance, Securities Regulation, Corporate Law, Corporate Governance, Due Diligence, Cross-border..., Mergers & Acquisitions, Economic Development, Legal Research, Securities
Education
Vrije Universiteit Amsterdam 2002 — 2003
Master of Laws (LL.M.)
International Center for Langauge Studies 2001 — 2002
Georgetown University Law Center 1995 — 1998
J.D.
Boston College 1991 — 1995
B.A.
Sojern November 2013 - Present
Altius Education, Inc May 2010 - February 2013
Monster Worldwide: Affinity Labs & FastWeb January 2008 - October 2009
Affinity Labs, Inc. September 2006 - January 2008
Ameniti Travel Clubs, Inc. February 2005 - August 2006
United New Ventures/UAL Loyalty Services May 2001 - April 2005
Chase Manhattan Bank August 1997 - April 2001
Chase Manhattan Bank July 1995 - August 1997
Federal Reserve Board July 1991 - July 1993
U.S. Securities and Exchange Commission June 1990 - July 1990
Skills
Analytics, Start-ups, Lead Generation, Finance, Management, Financial Analysis, Operations Management, Venture Capital, Business Development, Strategic Planning, Entrepreneurship, Marketing, Corporate Finance, Negotiation, Online Advertising, Risk Management, E-commerce, Mergers & Acquisitions, Analysis, Executive Management, Direct Marketing, Portfolio Management, Strategic Partnerships, Leadership, Forecasting, SaaS, Project Planning, Business Strategy, Budgets, CRM, Corporate Development, Financial Modeling, Product Marketing, Product Management, Sales Management, Competitive Analysis, Cross-functional Team..., Management Consulting, Marketing Strategy, New Business Development, Strategy, Market Research, Business Planning, Banking, SEM, Online Marketing, Salesforce.com, Digital Marketing, Sales
Education
Stanford Graduate School of Business 1993 — 1995
MBA
Brigham Young University 1986 — 1991
B.A., Economics
The Ritz-Carlton Hotel Company LLC October 2010 - December 2014
U.S. Securities and Exchange Commission September 2014 - November 2014
Ropes & Gray LLP May 2014 - July 2014
United States Attorney's Office September 2013 - December 2013
Superior Court of the District of Columbia June 2013 - August 2013
Goodwin Procter LLP February 2008 - August 2012
Skills
Legal Writing, Legal Research, Lexis, Litigation, Westlaw, Civil Litigation
Education
Georgetown University Law Center 2013 — 2015
Doctor of Law (J.D.)
The Catholic University of America, Columbus School of Law 2012 — 2013
Doctor of Law (J.D.)
L'Academie de Cuisine 2010 — 2011
Pastry Arts
Boston College 2003 — 2007
Bachelor of Science (B.S.), Philosophy & Political Science
Ford Motor Company November 2014 - Present
Locke Lord LLP August 2011 - November 2014
Baker Botts LLP November 2009 - July 2011
Baker Botts LLP May 2008 - June 2008
U.S. Securities and Exchange Commission May 2007 - August 2007
Skills
Retirement Plans, Health and Welfare Plans, Executive Compensation, Tax-Exempt Organizations, Equity Compensation, ERISA, Nonprofit Corporate..., Tax-exempt, Executive Pay, Corporate Governance, Health & Welfare..., Tax, Retirement Planning, Non-Qualified Deferred..., Equities, Legal Writing, Legal Research, Employee Benefits, Employment Law, Retirement, Non-profits, Health Care Reform, PPACA, HIPAA
Education
Vanderbilt University Law School 2006 — 2009
J.D., Law
University of Utah 2003 — 2006
B.S., Accounting
Brigham Young University 1999 — 2000
LRP Publications May 2006 - Present
Massashusetts Division of Unemployment Assistance, Board of Review August 2002 - August 2005
Roberts, Carroll, Feldstein & Peirce, Inc. August 2000 - August 2002
U.S. Securities and Exchange Commission June 1999 - August 1999
Greater Boston Legal Services June 1998 - August 1998
Boston University June 1995 - August 1997
Cell Press August 1993 - June 1995
Skills
Publications, Appeals, Courts, Management, Employee Benefits, Publishing, Copy Editing, Content Development, Research, Proofreading, Editing, Writing, Legal Writing, Social Media
Education
Boston College Law School 1997 — 2000
Juris Doctor
Boston University, College of Arts and Sciences 1989 — 1993
Bachelor of Arts, English
Ropes & Gray LLP May 2014 - July 2014
U.S. Securities and Exchange Commission September 2013 - December 2013
Mallal & Namazie June 2013 - July 2013
BDP International June 2012 - August 2012
Union County District Attorney's Office January 2012 - May 2012
Breschi and Associates June 2011 - August 2011
Bucknell University June 2010 - August 2011
BDP International June 2008 - August 2010
Education
Boston University School of Law 2012 — 2015
Doctor of Law (J.D.)
Bucknell University 2008 — 2012
BA, Chinese, Political Science
U.S. Securities and Exchange Commission March 2015 - Present
Cohen & Slamowitz, LLP May 2012 - December 2014
Skills
Research, Microsoft Office, International Relations, PowerPoint, English, Microsoft Excel, Microsoft Word, Public Speaking, Social Media, Teamwork, Spanish, Political Science, Economics, Policy Analysis, Politics
Education
Boston University 2010 — 2014
Bachelor of Arts (B.A.), International Relations and Affairs
Bentley University September 2012 - May 2015
PricewaterhouseCoopers June 2014 - August 2014
Ridgewood Karate, LLC. September 2007 - January 2014
U.S. Securities and Exchange Commission June 2013 - August 2013
Zurich North America May 2012 - July 2012
Skills
Finance, Teaching, Accounting, PowerPoint, Microsoft Excel, Analysis, Social Media, Financial Analysis, Microsoft Office, Microsoft Word, Research, Customer Service, Data Analysis, Outlook, Bloomberg Terminal
Education
Bentley University 2011 — 2015
Bachelor’s Degree, Corporate Finance and Accounting, 3.92
Shanghai University of Finance and Economics
Chinese and Business
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
U.S. Securities and Exchange Commission December 2014 - Present
Drinker Biddle & Reath LLP March 2013 - December 2014
Locke Lord LLP 2007 - March 2013
United States District Court for the Eastern District of Missouri January 2006 - May 2006
CCC Information Services October 2002 - July 2004
Skills
Litigation, Appeals, Civil Litigation, Commercial Litigation
Education
Saint Louis University School of Law 2004 — 2007
J.D., Law
Bowling Green State University 1998 — 2002
B.S., Economics & Political Science
Weinberg, Wheeler, Hudgins, Gunn & Dial August 2010 - Present
Cetrulo & Capone September 2008 - August 2010
U.S. Securities and Exchange Commission May 2007 - August 2007
U.S. Securities and Exchange Commission May 2006 - August 2007
American International Group August 2004 - July 2005
Chubb September 2003 - August 2004
Skills
Legal Research, Securities Regulation, Securities, Litigation, Commercial Litigation, Due Diligence, Corporate Law, Insurance, Corporate Governance, Investments, Risk Management, Civil Litigation, Appeals, Product Liability, Document Review, Arbitration, Legal Writing, Personal Injury, Mediation, Insurance Law, Litigation Management, Personal Injury..., Toxic Tort, Business Litigation, Liability, Hearings, Wrongful Death, Depositions, Motions, Policy, Torts, Trial Practice, Westlaw, Courts, Dispute Resolution, Legal Issues, Contract Law, Pleadings, Legal Advice, Breach Of Contract, Class Actions, Trials
Education
Suffolk University Law School 2005 — 2008
J.D., cum laude
Bowdoin College 1998 — 2002
BA, Government and Legal Studies
The London School of Economics and Political Science (LSE) 2000 — 2001
N/A, Law and Sociology
Skadden, Arps, Slate, Meagher & Flom LLP January 2011 - Present
U.S. Securities and Exchange Commission 2010 - 2010
United States District Court S.D.N.Y 2009 - 2009
Skadden, Arps, Slate, Meagher & Flom LLP 2009 - 2009
United States Attorney's Office E.D.N.Y. 2008 - 2008
Lehman Brothers 2005 - 2005
Education
New York University 2002 — 2006
BA
Brooklyn Law School 2007 — 2010
JD
Townsend Harris High School 1998 — 2002
U.S. Securities and Exchange Commission October 2014 - Present
Hogan Lovells August 2011 - October 2014
Hunton & Williams LLP September 2008 - July 2011
US Securities and Exchange Commission June 2006 - August 2006
Education
Boston University School of Law 2005 — 2008
J.D., Law
Georgetown University 2001 — 2005
A.B., History
Deerfield Academy 1997 — 2001
Schofield Law Group, LLC October 2009 - Present
Prince Lobel Glovsky & Tye LLP May 2010 - August 2010
Massachusetts Department of Revenue September 2009 - April 2010
Massachusetts Department of Revenue December 2008 - March 2009
Law Offices of Brown and Black May 2008 - August 2008
U.S. Securities and Exchange Commission November 2007 - February 2008
Suffolk Superior Court May 2007 - July 2007
Education
Northeastern University School of Law 2006 — 2009
J.D.
Boston College 2002 — 2006
Bachelor of Arts, Political Science and Philosophy
Oracle March 2013 - Present
Edward George and Associates November 2011 - August 2012
Yang and Sacchetti December 2009 - September 2011
Raytheon Corporation December 2008 - February 2009
U.S. Securities and Exchange Commission June 2008 - August 2008
Federal District Court for the District of Massachusetts November 2007 - February 2008
Law Offices of Timothy J. McCarthy August 2007 - October 2007
State Street July 2007 - August 2007
Sullivan & Worcester May 2007 - July 2007
Smith Barney December 2004 - August 2006
Skills
Spanish, Mandarin, Cantonese, Legal Research, Legal Writing, Litigation, Immigration Law, Civil Litigation, Courts, Commercial Litigation, Westlaw
Education
Northeastern University School of Law 2006 — 2009
Juris Doctor, Law
Brandeis University 2002 — 2006
Bachelor of Arts (B.A.), Economics and Politics
Medford High School 1998 — 2002
U.S. Securities and Exchange Commission December 2012 - Present
Weil, Gotshal & Manges LLP August 2010 - November 2012
Weil, Gotshal & Manges LLP September 2004 - August 2010
Education
Boston University School of Law 2001 — 2004
Juris Doctor (J.D.)
Cornell University 1996 — 2000
Bachelor’s Degree, Industrial and Labor Relations
Morgan, Lewis & Bockius LLP November 2012 - Present
U.S. Bankruptcy Court, Western District of Texas September 2011 - September 2012
U.S. Attorney's Office, District of Massachusetts September 2010 - January 2011
U.S. Securities and Exchange Commission June 2010 - July 2010
MetLife Legal Affairs Department October 2009 - April 2010
U.S. District Court, District of Puerto Rico June 2009 - August 2009
Wachovia Bank / Wachovia Securities, LLC August 2007 - July 2008
Long & Foster Real Estate January 2007 - August 2007
Morgan Lewis & Bockius, LLP September 2004 - August 2005
Law Offices of Peter J. McNamara June 2002 - April 2003
Skills
Trials, Legal Writing, Legal Research, Litigation, Westlaw, Civil Litigation, Commercial Litigation, Securities Regulation, Bankruptcy, Courts, Lexis, Securities Litigation, Product Liability
Education
Boston University School of Law 2008 — 2011
J.D.
Drexel University 2001 — 2006
B.A. in Sociology, magna cum laude, Minors in Business Administration and Spanish
Universidad de Granada 2005 — 2005
Coursework in Translation, Dialect and Islamic Culture
Harvard University 2001 — 2001
Coursework in Spanish and Family Law
Bacardi June 2014 - December 2014
U.S. Securities and Exchange Commission January 2014 - May 2014
New York State Unified Court System June 2013 - August 2013
Skills
PowerPoint, Microsoft Excel, Microsoft Office, Research, Public Speaking, Social Media, Legal Research, Microsoft Word, Accounting, Civil Litigation, Data Analysis, Outlook, Customer Service
Education
University of Miami School of Law 2012 — 2015
Doctor of Law (J.D.), Top 15%
Bentley University 2008 — 2012
Bachelor of Science, Economics-Finance, Math
Chaminade High School 2004 — 2008
U.S. Securities and Exchange Commission September 2015 - Present
Brooklyn Law School April 2015 - Present
Brown Brothers Harriman June 2015 - August 2015
Cullen and Dykman LLP May 2014 - August 2014
Cullen and Dykman LLP May 2013 - August 2013
Education
Brooklyn Law School 2014 — 2017
Doctor of Law (J.D.)
Cornell University 2010 — 2014
Bachelor of Science
Universitat de Barcelona 2013 — 2013
U.S. Securities and Exchange Commission
Education
Georgetown University Law Center 1997 — 2000
Doctor of Law (JD)
Brigham Young University 1995 — 1997
Bachelor of Science (BS)
U.S. Securities and Exchange Commission August 2015 - Present
Brooklyn Journal of Corporate Financial and Commercial Law February 2015 - Present
Lopresti Law Group January 2015 - Present
Roberta Karmel, Former SEC Commissioner February 2015 - July 2015
Brooklyn Law School Mediation and Arbitration Clinic August 2014 - December 2014
Office of the Attorney General June 2014 - August 2014
Surf Lifesaving Aquatic Services May 2009 - July 2014
Ridge Policy Group January 2013 - April 2013
The Provident Bank June 2012 - January 2013
Kappa Sigma Fraternity November 2011 - November 2012
Education
Brooklyn Law School 2013 — 2016
Juris Doctor Candidate 2016
Franklin & Marshall College 2009 — 2013
Bachelor of Arts (B.A.), Government
Holmdel High School
Holmdel High School
Holmdel High School
Clare Locke LLP January 2015 - May 2015
The Carlyle Group January 2015 - April 2015
Ropes & Gray LLP May 2014 - July 2014
U.S. Securities and Exchange Commission June 2013 - August 2013
Covington & Burling June 2010 - July 2012
Criminal Justice Clinic, Georgetown University Law Center May 2009 - August 2009
Skills
Politics, Legal Research, Westlaw, Due Diligence, Private Equity, Trials
Education
Georgetown University Law Center 2012 — 2015
Doctor of Law (J.D.)
Boston College 2006 — 2010
Bachelor of Arts (B.A.), History/Political Science
U.S. Securities and Exchange Commission April 2015 - Present
US Securities and Exchange Commission October 2013 - April 2015
K&L Gates LLP July 2011 - October 2013
Seward & Kissel LLP September 2007 - June 2011
Skills
Securities Regulation, Investment Management, Securities, Corporate Law, Financial Services, Private Equity, Mutual Funds, Investment Company Act
Education
Boston University School of Law 2004 — 2007
J.D., Law
University of Maryland - Robert H. Smith School of Business 2000 — 2004
BS, BA, Finance, Economics
U.S. Securities and Exchange Commission September 2015 - Present
PDRI, a CEB Company January 2006 - September 2015
Heidelberg College August 2005 - December 2005
Institute for Psychological Research and Application July 2004 - July 2005
Bowling Green State University 2005 - 2005
Procter & Gamble February 2004 - August 2004
Skills
Assessment Development, Job Analysis, Training Needs Analysis, Survey Design, Data Analysis, Certification..., Leadership Development, Organizational..., Performance Management, Analysis, Analytics, Employee Training, SPSS
Education
Bowling Green State University 2001 — 2005
PhD, Industrial-Organizational Psychology
Syracuse University 1998 — 2000
B.S., Psychology
Schwartz Financial Services and Regulatory Consulting 2014 - Present
FXCM 2012 - 2014
Royal Bank of Scotland 2012 - August 2012
Moody's Investors Service August 2009 - June 2011
Nomura Securities August 2007 - June 2009
Axiom Legal October 2006 - August 2007
CITIGROUP PRIVATE BANK September 2005 - January 2006
BANC OF AMERICA INVESTMENT SERVICES, INC December 2003 - September 2005
DEUTSCHE BANK SECURITIES INC December 1999 - May 2003
U.S. Securities and Exchange Commission April 1997 - December 1999
Skills
Financial Regulation, Internal Investigations, Compliance, SOX, Corporate Governance, Risk Management, White Collar, Governance, Compliance Management, Change Management, Change Leadership, White Collar Criminal..., Securities, Securities Regulation, Mergers & Acquisitions, Sarbanes-Oxley Act, Hedge Funds, Capital Markets
Education
Boston University School of Law 1985 — 1988
Doctor of Law (J.D.)
University of Pennsylvania 1981 — 1985
B.A., English, Wharton
U.S. Securities and Exchange Commission June 2008 - Present
McDermott Will & Emery September 2001 - March 2008
Skills
Litigation, Legal Research, Legal Writing, Civil Litigation, Intellectual Property, Securities Regulation, Commercial Litigation, Corporate Law, Appeals, Securities Litigation, Corporate Governance, Privacy Law, Arbitration
Education
Boston University School of Law
J.D.
Brown University
B.A., Philosophy
North Kingstown High School
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
U.S. Securities and Exchange Commission
Skills
Legal Research, Litigation, Securities Regulation
Education
Brooklyn Law School 1998 — 2001
Stradley Ronon Stevens & Young, LLP October 2003 - Present
Morgan, Lewis & Bockius LLP January 2003 - October 2003
Morgan, Lewis & Bockius LLP September 1993 - December 2002
U.S. Securities and Exchange Commission September 1989 - September 1993
Colonial Funds June 1987 - May 1989
Skills
Private Equity, Securities Regulation, Corporate Law, Litigation, Corporate Governance, Securities, Securities Litigation, Hedge Funds, Mutual Funds, SEC, Alternative Investments, Investment Management, Asset Management, Financial Regulation, Investment Advisory, Legal Compliance, Broker-Dealer, FINRA, Capital Markets, Licensing, Due Diligence, Joint Ventures, Mergers & Acquisitions, ETFs, Structured Finance, Investment Company Act, Venture Capital, Investment Advisers Act, Private Placements, Arbitration, Commercial Litigation, Legal Writing, Investments, Restructuring, Privacy Law, Equities, Legal Advice, SEC filings, Banking Law, Intellectual Property, FCPA, Trademarks, Legal Research, Series 7, Litigation Management, Class Actions, Closed-end Funds, Employment Law, Financial Services, Public Speaking
Education
Boston College Law School 1986 — 1989
Doctor of Law (JD)
Boston College
U.S. Securities and Exchange Commission June 2007 - Present
Education
Boston University Questrom School of Business 2004 — 2008
J.P. Morgan November 2009 - Present
Davis Polk & Wardwell April 2008 - December 2009
Sidley Austin February 2005 - March 2008
U.S. Securities and Exchange Commission September 2003 - January 2005
Credit Suisse First Boston September 1998 - April 2003
Skills
Securities, Securities Regulation, Corporate Governance, Capital Markets, Corporate Law, Financial Services, Due Diligence, Legal Research, Litigation
Education
Brooklyn Law School 1999 — 2003
Doctor of Law (J.D.)
Wellesley College 1992 — 1996
BA, Political Science, Latin Am. Studies
U.S. Securities and Exchange Commission October 2009 - Present
U.S. Securities and Exchange Commission April 1999 - October 2009
U.S. Securities and Exchange Commission September 1994 - April 1999
Skills
Certified Public..., Securities Regulation
Education
University of Maryland School of Law 1991 — 1994
Doctor of Law (J.D.), Law, Top 10%
Boston University - School of Management 1987 — 1991
BSBA, Accounting, Magna Cum Laude
US Securities and Exchange Commission November 2007 - Present
U.S. Securities and Exchange Commission November 2007 - November 2008
Wilmer Cutler Pickering Hale and Dorr LLP 2001 - 2007
United States Department of Justice 1998 - 2001
Education
University of Michigan Law School 1994 — 1997
Brown University 1987 — 1991
A.B., History
Franklin Park Chief Financial OfficerFranklin Park Associates LLC2008 - Present
U.S. Securities and Exchange Commission July 2004 - December 2007
Massachusetts Pension Reserves Investment Management 2002 - 2004
Education
Boston College 1992 — 1996
BS, Accounting and Theology
Boston College - Wallace E. Carroll Graduate School of Management 1992 — 1996
BS, Accounting and Theology
U.S. Securities and Exchange Commission December 2005 - Present
Bell, Boyd & Lloyd August 1994 - December 2005
Skills
Securities Regulation, Litigation, Legal Writing, Legal Research, White Collar Criminal..., Corporate Governance, Internal Investigations, FCPA, Courts, Securities Litigation, Trials, Contract Negotiation, Class Actions, Fraud, Corporate Law, Commercial Litigation, Arbitration, Securities, Mediation, Appeals, Civil Litigation
Education
Northwestern University School of Law 1991 — 1994
J.D.
Brigham Young University 1985 — 1991
B.A., Political Science
U.S. Nuclear Regulatory Commission September 2009 - Present
Meyer Glitzenstein & Crystal May 2008 - August 2008
U.S. Securities and Exchange Commission January 2008 - May 2008
U.S. Environmental Protection Agency May 2006 - August 2006
Skills
Litigation, Legal Writing, Administrative Law, Licensing, Westlaw, Legal Research
Education
Boston University School of Law 2006 — 2009
J.D., Law
Drexel University 2002 — 2006
B.S.
Holy Ghost Preparatory School 1998 — 2002
High School
T. Rowe Price June 2015 - Present
U.S. Securities and Exchange Commission January 2015 - April 2015
Boston Children's Hospital July 2011 - July 2014
Tutor.com October 2006 - December 2012
Boston Children's Hospital July 2009 - July 2011
Boston Children's Hospital January 2008 - July 2009
Skills
Business Analysis, Financial Modeling, Business Planning, Financial Statements, QuickBooks, Visio, Adobe Professional, Microsoft Office, Research Administration, Human Resources, Software Documentation, SharePoint, Time Management, PowerPoint, System Administration, Auditing, Management, Finance, Financial Reporting, Tutoring, Mentoring, Accounting, JMP, Data Analytics
Education
Georgetown University - The McDonough School of Business 2014 — 2016
Master of Business Administration (MBA)
Boston University - School of Management 2004 — 2008
Bachelor's of Science in Business Administration, Accounting
Broward Community College 2002 — 2004
Associate of Arts Degree
Archer Norris October 2011 - Present
Sabaitis O'Callaghan LLP January 2009 - October 2011
Sabaitis O'Callaghan LLP March 2003 - January 2009
U.S. Securities and Exchange Commission 2002 - 2002
U.S. Attorney - Southern District of New York 2000 - 2000
PricewaterhouseCoopers July 1997 - August 1999
Skills
Litigation, Product Liability, Construction Law, Civil Litigation, Commercial Litigation, Mediation, Arbitration, Appeals, Trial Practice, Courts, Business Litigation, Corporate Law, Alternative Dispute...
Education
Northeastern University School of Law 1999 — 2002
JD
Boston College 1993 — 1997
BS
U.S. Securities and Exchange Commission July 2015 - Present
Smeal College of Business, Pennsylvania State University July 2010 - June 2015
Washington University January 2009 - July 2010
NISA Investment Advisors June 2004 - December 2008
Washington University June 1998 - June 2004
The Ohio State University 1997 - 1998
Skills
Risk Management, Derivatives, Portfolio Management, Fixed Income, Econometrics, Economics, Financial Analysis, SAS, Quantitative Analytics, Statistics, R, Finance
Education
University of Washington, Michael G. Foster School of Business 1992 — 1997
PhD, Financial Economics
Brigham Young University 1986 — 1992
BA, Eonomics
U.S. Securities and Exchange Commission August 2014 - Present
Suffolk County District Attorney's Office June 2005 - July 2014
Choate, Hall & Stewart May 1998 - June 2005
Education
Boston College Law School 1996 — 1999
Juris Doctor, Law
Skidmore College 1992 — 1996
BA, Government, Economics
BNP Paribas May 2013 - Present
J.P. Morgan January 2011 - May 2013
J.P. Morgan December 2007 - December 2010
Citi 2002 - December 2007
FundWatchDog LLC 2001 - 2003
State Street Corporation 2000 - 2001
Arthur Andersen & Co. 1998 - 2000
BISYS Fund Services 1995 - 1998
AllianceBernstein 1988 - 1995
U.S. Securities and Exchange Commission 1985 - 1988
Skills
Fund Administration, Securities, Mutual Funds, Hedge Funds, Investment Management, Alternative Investments, Financial Services, Asset Management, Securities Regulation, Asset Managment, FINRA, Due Diligence, Private Equity, Risk Management, Corporate Governance, Investments
Education
Georgetown University Law Center 1985 — 1989
LLM, Securities Regulation
Boston University School of Law 1981 — 1984
J.D., Law
John Carroll University 1977 — 1981
Bachelor's Degree, Political Science
White & Case LLP October 2013 - Present
U.S. Securities and Exchange Commission January 2013 - April 2013
White & Case LLP May 2012 - July 2012
Brooklyn Law School Legal Services Corporation January 2012 - May 2012
Honorable Victor Marrero, U.S. District Court, S.D.N.Y. May 2011 - July 2011
South Coastal Counties Legal Services, Inc. August 2009 - July 2010
I.E.S. Albert Einstein September 2008 - June 2009
Education
Brooklyn Law School 2010 — 2013
J.D.
Vanderbilt University 2004 — 2008
Venable LLP August 2012 - Present
U.S. Securities and Exchange Commission August 2009 - August 2012
BYU - Professor D. Gordon Smith October 2007 - September 2008
U.S. Securities and Exchange Commission, Division of Corporation Finance, Office of M&A May 2008 - August 2008
Saalfeld Griggs, P.C. June 2007 - August 2007
Vial Fotheringham, LLP April 2007 - May 2007
James & Co. CPAs May 2004 - May 2006
Skills
Securities, Corporate Finance, Mergers, Business Acquisition, Corporate Law, Tax Law, Securities Regulation, Legal Writing, Legal Research, Corporate Governance, Mergers & Acquisitions
Education
Brigham Young University—J. Reuben Clark Law School 2006 — 2009
JD, Law
Weber State University 1998 — 2006
BA, MAcc, Accounting, Tax
J.P. Morgan November 2014 - Present
Exotix May 2013 - August 2013
U.S. Securities and Exchange Commission 2009 - 2011
Education
Fordham Law School
Doctor of Law (JD)
Brigham Young University
BA, Political Science
U.S. Securities and Exchange Commission May 2015 - Present
New England LawBoston January 2011 - Present
U.S. Securities and Exchange Commission April 2010 - May 2015
U.S. Securities and Exchange Commission September 2001 - May 2015
U.S. Securities and Exchange Commission November 2012 - March 2013
Boston University, Metropolitan College January 2003 - May 2011
U.S. Securities and Exchange Commission September 2000 - September 2001
Choate, Hall & Stewart September 1997 - September 2000
Skills
Securities Regulation, Securities, Litigation, Securities Litigation, Civil Litigation, Legal Research, Legal Writing, Trials
Education
Boston College Law School 1994 — 1997
J.D., Law, Magna Cum Laude
Tufts University 1986 — 1990
B.A., English
Unnamed Hedge Fund May 2011 - Present
Indus Capital April 2010 - April 2011
Behar Bertron PLLC May 2009 - April 2010
Atticus Capital LP January 2007 - January 2009
Sidley Austin LLP August 2004 - December 2006
Thelen Reid & Priest LLP December 1999 - May 2001
U.S. Securities and Exchange Commission February 1997 - December 1999
Prudential Insurance Company of America January 1995 - January 1997
Morgan Guaranty Trust Company January 1989 - January 1994
Shearman & Sterling January 1987 - January 1988
Skills
FINRA, Hedge Funds, Corporate Law, Securities Regulation, Securities, SEC, Investment Advisers Act, Mergers & Acquisitions, Broker-Dealer, Mergers, Investments, Equities, Financial Services, Corporate Finance, Due Diligence, Arbitration, Asset Management
Education
Seton Hall University School of Law 1992 — 1996
JD, Law
Boston College 1984 — 1986
BA, History, Speech Communications
Fordham University 1982 — 1984
History
Fordham Preparatory School 1978 — 1982
Brooklyn Law School July 2013 - Present
U.S. Securities and Exchange Commission September 2014 - November 2014
FINRA May 2014 - July 2014
U.S. Securities & Exchange Commission January 2014 - April 2014
Supreme Court of the State of New York, Appellate Division, 2d Dept. May 2013 - July 2013
Ann Taylor November 2009 - July 2012
ANN INC. September 2011 - October 2011
Lucky magazine November 2008 - November 2010
Dolce & Gabbana February 2009 - May 2009
Skills
PowerPoint, Outlook, Excel, Microsoft Office, Writing, Legal Writing, Legal Research, Westlaw, LexisNexis, Customer Service, Time Management, Marketing, Microsoft Excel, Microsoft Word
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (J.D.)
Fordham University 2008 — 2011
B.S., Business Administration, Concentration in Marketing, Minor in Legal and Ethical Studies
Coudert Freres September 1997 - December 1997
U.S. Securities and Exchange Commission November 1996 - February 1997
U.S. Department of Justice May 1996 - August 1996
Judge Eugene A. Wright, U.S. Court of Appeals for the Ninth Circuit November 1995 - February 1996
Education
Boston University School of Law 1998 — 1999
LL.M., Banking and Financial Law
Northeastern University School of Law 1994 — 1997
J.D.
University of Washington 1982 — 1986
B.A., International Studies
U.S. Securities and Exchange Commission August 2005 - Present
Skills
Securities Litigation, Litigation, Civil Litigation, Legal Research, Trial Practice, Federal Court Practice, Corporate Law, Legal Writing, Fraud Investigation, Depositions, Criminal Investigations, Criminal Law, Teaching, Training
Education
Boston University School of Law 2002 — 2005
Doctor of Law (JD), Cum Laude, Litigation and Dispute Resolution
The University of Chicago 1998 — 2002
Bachelor of Arts (BA), with Honors Distinction, Economics
Gibson, Dunn & Crutcher LLP June 2009 - Present
Clifford Chance US LLP March 2003 - June 2009
Merrill Lynch 1981 - 2003
Merrill Lynch, Pierce, Fenner & Smith Inc. 1981 - 2003
U.S. Securities and Exchange Commission 1974 - 1981
Skills
Securities, Arbitration, Securities Litigation, Securities Regulation, Employment Law, Private Equity, Corporate Governance, Corporate Law, FINRA, Class Actions, Commercial Litigation, Capital Markets, Litigation, Mergers & Acquisitions, Legal Research, Joint Ventures
Education
Brooklyn Law School 1971 — 1974
JD cum laude
Queens College 1967 — 1971
BA, Political Science/Economics
OppenheimerFunds, Inc. April 2006 - Present
MFS Investment Management June 2004 - April 2006
Affiliated Managers Group January 2004 - June 2004
Fidelity Investments FMR Corp. August 1999 - January 2004
Scudder Kemper Investments January 1999 - July 1999
U.S. Securities and Exchange Commission September 1996 - December 1998
U.S. Securities and Exchange Commission July 1995 - September 1996
Rogers & Wells July 1993 - July 1995
Mudge Rose, Guthrie Alexander & Ferdon September 1991 - July 1993
Skills
Mutual Funds, Alternative Investments, Asset Management, Financial Services, Hedge Funds, Equities, Investments, Capital Markets, Fixed Income, Securities, Securities Regulation, Investment Management, FINRA, Mergers & Acquisitions, Corporate Finance, Corporate Governance, Trading, Structured Finance, Corporate Law, Offshore Funds, Municipal Bonds, ETFs, Finance, Due Diligence
Education
Georgetown University Law Center
Master of Laws (LL.M.), Banking, Corporate, Finance, and Securities Law
The Catholic University of America, Columbus School of Law
Doctor of Law (J.D.), Law Review
Boston College
Bachelor of Arts (B.A.), Political Science, Magna Cum Laude
Newington High School 1979 — 1983
U.S. Securities and Exchange Commission October 2014 - Present
U.S. Securities and Exchange Commission December 2008 - September 2014
Howard Rice (now Arnold & Porter) September 2003 - December 2008
Hon. Bernard Zimmerman, N.D. Cal. June 2001 - August 2001
Skills
Securities, Securities Regulation, Legal Writing, Securities Litigation, Commercial Litigation, Civil Litigation, Legal Research, Litigation, Appeals, Arbitration, Corporate Law, Courts, Trials
Education
University of California, Hastings College of the Law
Juris Doctor (J.D.), Magna Cum Laude
Brigham Young University
Bachelor’s Degree, Broadcast Journalism
The Carlyle Group 2001 - Present
U.S. Office of Management and Budget February 2001 - November 2001
U.S. Securities and Exchange Commission June 1997 - February 2001
Skills
Media Relations, Private Equity, Public Affairs, Public Policy, Public Relations, Speech Writing, Strategic Communications, Strategy
Education
Binghamton University 1982 — 1986
BA, Political Science
University of Washington School of Law, Federal Tax Clinic September 2015 - Present
Internal Revenue Service June 2015 - August 2015
U.S. Securities and Exchange Commission January 2015 - March 2015
University of Washington School of Law, Federal Tax Clinic July 2014 - January 2015
J. Reuben Clark Law Society, University of Washington School of Law Chapter October 2013 - June 2014
Seattle Metropolitan Credit Union July 2012 - September 2013
BYU Pre-Law Review September 2011 - April 2012
BYU June 2010 - April 2012
Office of Utah Governor Gary R. Herbert January 2011 - April 2011
BYU April 2010 - April 2011
Skills
Research, Writing, Editing, Mediation, Spanish, Critical Analysis, Critical Thinking, Microsoft Office, Team Oriented, Team Leadership, Training & Development, Technical Writing, Thought Leadership, Customer Service, Public Relations, Recruiting, Teaching, Team-oriented, Strategy, Teamwork, Time Management
Education
University of Washington School of Law
Master of Laws (LL.M.), Taxation
University of Washington School of Law 2013 — 2016
Juris Doctor (J.D.), Law
BYU 2007 — 2012
Bachelors of Art, Philosophy, 3.35
Durham Jones & Pinegar May 2015 - Present
Associate Dean Gordon Smith, J. Reuben Clark Law School May 2014 - Present
Marriott School of Accountancy May 2013 - Present
Marriott School of Accountancy June 2011 - Present
Hall, Bishop & Hall, LLP April 2015 - May 2015
Professor Kristin Gerdy, J. Reuben Clark Law School August 2014 - April 2015
U.S. Securities and Exchange Commission May 2014 - July 2014
Judge Samuel D. McVey, 4th District Court of Utah May 2014 - May 2014
Discount Tire Company September 2009 - May 2014
Deloitte & Touche LLP January 2012 - April 2012
Skills
Financial Accounting, Inventory Management, Team Leadership, Access, Financial Analysis, Microsoft Excel, Tax, Customer Service, Microsoft Office, Research, Accounting, Economics, Data Analysis, Microsoft Word, Auditing, Budgets, AutoCAD, Leadership, Sales, Teamwork, PowerPoint, Analysis, QuickBooks
Education
J. Reuben Clark Law School 2013 — 2016
Doctor of Law (JD)
Brigham Young University 2009 — 2016
Bachelor/Master in Accountancy, Accounting
College of Southern Nevada 2009 — 2009
General
U.S. Securities and Exchange Commission May 2015 - July 2015
PNC Bank August 2013 - March 2014
PNC August 2012 - August 2013
Skills
Microsoft Office, Microsoft Excel, Economics, PowerPoint, Financial Analysis, Data Analysis, Financial Modeling, Investments, Bloomberg, Social Media, Finance, Corporate Finance, Public Speaking, Sales
Education
New York University School of Law 2015 — 2017
Doctor of Law (JD)
Boston University School of Law 2014 — 2015
Doctor of Law (JD)
Duke University 2008 — 2012
BS Economics, Concentration Finance, B.A. Psychology
Wellington Management Company, LLP December 2013 - Present
PwC October 2011 - December 2013
U.S. Securities and Exchange Commission January 2010 - October 2011
Boston University 2003 - 2011
U.S. Securities and Exchange Commission 2004 - 2010
U.S. Securities and Exchange Commission 2000 - 2004
U.S. Securities and Exchange Commission 1998 - 2000
Choate Hall & Stewart 1997 - 1998
Ropes & Gray LLP 1995 - 1997
U.S. District Court, E.D. Pa. (The Honorable Norma L. Shapiro) 1994 - 1995
Education
University of Pennsylvania Law School 1991 — 1994
J.D.
The University of Chicago 1989 — 1991
A.M., Political Science
Boston College 1985 — 1989
B.A., Political Science
U.S. Securities and Exchange Commission September 2014 - December 2014
Fried Frank May 2014 - July 2014
Fried Frank May 2013 - August 2013
Fried Frank July 2010 - July 2012
Education
Boston University School of Law 2012 — 2015
Doctor of Law (J.D.)
Williams College 2006 — 2010
Bachelor's, Political Economy
City of Baltimore September 2014 - Present
Charles County Government December 2013 - May 2014
Charles County Government May 2013 - December 2013
The George Washington University Law School August 2012 - May 2013
The Jacob Burns Law Library August 2012 - March 2013
U.S. Securities and Exchange Commission January 2012 - August 2012
U.S. Department of Justice, Criminal Divison, Fraud Section September 2011 - November 2011
U.S. District Court for the District of Columbia May 2011 - July 2011
U.S. Attorney's Office - District of Maryland January 2011 - April 2011
U.S. Department of Justice, Office of Oversees Prosecutorial Development and Training January 2011 - April 2011
Education
The George Washington University Law School 2010 — 2013
J.D.
Boston University 2006 — 2008
M.A.
New York University 1998 — 2001
B.A.
Burns & Levinson LLP May 2015 - August 2015
U.S. Securities and Exchange Commission May 2014 - August 2014
Carter Jacobs, LLC 2011 - 2013
Jackson National Asset Management, LLC 2007 - 2010
BrookWeiner LLC 2005 - 2007
Skills
Corporate Law, Mergers & Acquisitions, Private Equity, Due Diligence, Investments, Hedge Funds, Portfolio Management, Alternative Investments, Equities, Finance, Fixed Income, Mutual Funds, Business Valuation, Financial Reporting, Financial Analysis, Valuation, Investment Management, Series 7, Tax, Accounting, Securities, Asset Managment, Financial Accounting
Education
Boston College Law School 2013 — 2016
Doctor of Law (J.D.)
DePaul University 2003 — 2007
Bachelor of Science, Finance and Mathematical Science
Cretin-Derham Hall High School 1999 — 2003
Foley & Lardner LLP May 2015 - July 2015
U.S. Securities and Exchange Commission June 2014 - August 2014
Edgeworth Economics, L.L.C. July 2013 - August 2013
Edgeworth Economics, L.L.C. May 2012 - July 2013
Edgeworth Economics, L.L.C. May 2011 - August 2011
General Dynamics Information Technology June 2010 - August 2010
BroadbandCensus.com November 2009 - January 2010
RVIA June 2007 - October 2007
Skills
SAS, Stata, Data Analysis, Economics, Data Management, Antitrust Economics, Labor Economics, Antitrust Law, Russian, Statistics, Public Speaking, Entrepreneurship, Mergers
Education
University of Chicago Law School 2013 — 2016
Doctor of Law (J.D.)
Brigham Young University 2006 — 2012
Bachelor of Science (BS), Economics
U.S. Securities and Exchange Commission December 2013 - Present
Sutherland Asbill & Brennan LLP 2009 - 2013
Fenner Drives 2003 - 2006
Skills
Financial Services, Legal Research, Legal Writing, Strategic Planning, Securities Regulation, Corporate Law
Education
Brigham Young University—J. Reuben Clark Law School 2006 — 2009
Juris Doctor
Duke University 1998 — 2002
Bachelor of Arts (B.A.), Public Policy Studies
O'Donoghue & O'Donoghue LLP August 2015 - Present
O'Donoghue & O'Donoghue LLP May 2015 - July 2015
U.S. Department of Labor August 2014 - January 2015
U.S. Securities and Exchange Commission May 2014 - August 2014
Capital One March 2013 - July 2013
Morgan Stanley June 2009 - October 2012
Morgan Stanley June 2008 - August 2008
New York State Teachers' Retirement System May 2007 - August 2007
Education
The George Washington University Law School 2013 — 2016
Doctor of Law (J.D.)
Boston College 2005 — 2009
B.A.
Allianz Global Investors April 2012 - Present
Deutsche Bank February 2007 - April 2012
GE February 2002 - February 2007
K&L Gates August 1998 - February 2002
The Nasdaq Stock Market, Inc. 1998 - 1998
Nomura Group, Nomura Capital Services, Inc. 1997 - 1997
U.S. Securities and Exchange Commission 1997 - 1997
Skills
Institutional Asset..., Separate Accounts, Private Funds, Securities Regulation, Securities, Hedge Funds, Mutual Funds, Asset Managment, Corporate Governance, Derivatives, Alternative Investments, Corporate Law, Due Diligence, Investments
Education
The Catholic University of America, Columbus School of Law
JD
Boston College
BA, Political Science
U.S. Securities and Exchange Commission January 2015 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates July 2011 - December 2014
United States District Court, Eastern District of New York March 2010 - April 2011
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates October 2008 - March 2010
United States District Court, Eastern District of New York September 2007 - September 2008
Heller Ehrman May 2006 - July 2006
Education
Brooklyn Law School 2004 — 2007
Doctor of Law (JD)
University of Pennsylvania 1999 — 2003
Bachelor of Arts (BA), Fine Arts
U.S. Securities and Exchange Commission January 2013 - May 2014
Financial Industry Regulatory Authority (FINRA) January 2011 - January 2013
Skills
Futures Trading, Securities Regulation, Forensic Analysis, Fraud, Corporate Fraud..., Compliance, SEC filings, SEC Financial Reporting, FINRA, Securities, Alternative Investments, Anti Money Laundering, Civil Litigation, Corporate Governance, Due Diligence, Finance, Hedge Funds, Investments, Legal Research, Legal Writing, Management, Litigation
Education
Brooklyn Law School 2004 — 2007
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law, Ranked top 9%
Penn State University 1998 — 2001
Bachelor of Science (B.S.), Finance with emphasis in Accounting