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
Monica Hawkins Monica Hawkins's US Securities and Exchange Commission Experience May 2015 - July 2015
Job Becker Campus Ambassador at Becker Professional Education
Industry Accounting
Experience
Becker Professional Education August 2015 - Present
Roosevelt University August 2014 - Present
U.S. Securities and Exchange Commission May 2015 - July 2015
Lodge Management Group January 2015 - April 2015
Roosevelt University September 2013 - May 2014
Cakes for All Occasions December 2007 - July 2013
Skills
Organization, Self-discipline, Competitive Intelligence, Sports, Customer Service, Teamwork, Microsoft Office, Microsoft Word, Time Management, Public Speaking, Sales, Critical Thinking, Social Media, Communication
Education
Roosevelt University 2013 — 2016
Accounting, Senior
Becker Professional Education August 2015 - Present
Roosevelt University August 2014 - Present
U.S. Securities and Exchange Commission May 2015 - July 2015
Lodge Management Group January 2015 - April 2015
Roosevelt University September 2013 - May 2014
Cakes for All Occasions December 2007 - July 2013
Skills
Organization, Self-discipline, Competitive Intelligence, Sports, Customer Service, Teamwork, Microsoft Office, Microsoft Word, Time Management, Public Speaking, Sales, Critical Thinking, Social Media, Communication
Education
Roosevelt University 2013 — 2016
Accounting, Senior
Yolanda Ochoa Yolanda Ochoa's US Securities and Exchange Commission Experience October 2014 - Present
Job Attorney at U.S. Securities and Exchange Commission Office of Enforcement
Industry Law Practice
Experience
U.S. Securities and Exchange Commission October 2014 - Present
Sidley Austin November 2009 - September 2014
Education
University of California, Los Angeles - School of Law 2006 — 2009
Doctor of Law (JD), Law
Stanford University 1998 — 2003
BA, MA
U.S. Securities and Exchange Commission October 2014 - Present
Sidley Austin November 2009 - September 2014
Education
University of California, Los Angeles - School of Law 2006 — 2009
Doctor of Law (JD), Law
Stanford University 1998 — 2003
BA, MA
Charles Bzdewka Charles Bzdewka's US Securities and Exchange Commission Experience May 2011 - January 2012
Job Associate, Legal and Compliance at The Blackstone Group
Industry Financial Services
Experience
The Blackstone Group January 2015 - Present
The Blackstone Group June 2013 - December 2014
Alpine Woods Capital Investors, LLC January 2012 - May 2013
U.S. Securities and Exchange Commission May 2011 - January 2012
Rainbow Network Communications June 2008 - May 2011
Skills
Securities Regulation, Trade Compliance, Microsoft Excel, Securities, Mutual Funds, Hedge Funds, Data Analysis, Research, FINRA, Capital Markets, Derivatives, Financial Regulation, PowerPoint, Equities, SEC, Fixed Income, Bloomberg, Finance, Due Diligence, Investment Banking, Alternative Investments, Financial Services, Asset Management, Bloomberg Terminal, Financial Markets, Private Equity
Education
St. John's University, The Peter J. Tobin College of Business 2007 — 2011
B.S., Economics
The Blackstone Group January 2015 - Present
The Blackstone Group June 2013 - December 2014
Alpine Woods Capital Investors, LLC January 2012 - May 2013
U.S. Securities and Exchange Commission May 2011 - January 2012
Rainbow Network Communications June 2008 - May 2011
Skills
Securities Regulation, Trade Compliance, Microsoft Excel, Securities, Mutual Funds, Hedge Funds, Data Analysis, Research, FINRA, Capital Markets, Derivatives, Financial Regulation, PowerPoint, Equities, SEC, Fixed Income, Bloomberg, Finance, Due Diligence, Investment Banking, Alternative Investments, Financial Services, Asset Management, Bloomberg Terminal, Financial Markets, Private Equity
Education
St. John's University, The Peter J. Tobin College of Business 2007 — 2011
B.S., Economics
Vladimir Diaz Vladimir Diaz's US Securities and Exchange Commission Experience August 2015 - Present
Job Diversity Recruitment and Outreach Coordinator at the U.S. Securities and Exchange Commission
Industry Government Administration
Experience
U.S. Securities and Exchange Commission August 2015 - Present
U.S. Department of Agriculture March 2008 - August 2015
U.S. Department of State March 2013 - April 2013
USDA December 2006 - April 2008
U.S. Department of Commerce September 2006 - December 2007
USAID March 2007 - April 2007
Skills
Public Speaking, Government, Change Management, Strategic Planning, Public Policy, Public Relations, Team Building, Policy, Community Outreach, Management, Nonprofits, Program Management, Agriculture, Strategy, Analysis, Marketing, Research, Policy Analysis
Education
Pardee RAND Graduate School 2015 — 2015
Public Policy Research and Analysis Summer Workshop
Yale University 2014 — 2014
Latin American and Caribbean Studies Summer Institute
Stanford University 2009 — 2009
Executive Program for Nonprofit Leaders
The Johns Hopkins University 2002 — 2005
Master's degree, Marketing
State University of New York Institute of Technology at Utica/Rome
Bachelor's degree, Business
U.S. Securities and Exchange Commission August 2015 - Present
U.S. Department of Agriculture March 2008 - August 2015
U.S. Department of State March 2013 - April 2013
USDA December 2006 - April 2008
U.S. Department of Commerce September 2006 - December 2007
USAID March 2007 - April 2007
Skills
Public Speaking, Government, Change Management, Strategic Planning, Public Policy, Public Relations, Team Building, Policy, Community Outreach, Management, Nonprofits, Program Management, Agriculture, Strategy, Analysis, Marketing, Research, Policy Analysis
Education
Pardee RAND Graduate School 2015 — 2015
Public Policy Research and Analysis Summer Workshop
Yale University 2014 — 2014
Latin American and Caribbean Studies Summer Institute
Stanford University 2009 — 2009
Executive Program for Nonprofit Leaders
The Johns Hopkins University 2002 — 2005
Master's degree, Marketing
State University of New York Institute of Technology at Utica/Rome
Bachelor's degree, Business
Hirav Gandhi's US Securities and Exchange Commission Experience March 2009 - August 2009
Job Product Manager at @WalmartLabs
Industry Internet
Experience
@WalmartLabs September 2014 - Present
@WalmartLabs July 2013 - August 2014
Rediscovr.me October 2012 - July 2013
Members Unite October 2011 - November 2012
Oliver Wyman September 2010 - July 2011
BASES May 2009 - June 2010
U.S. Securities and Exchange Commission March 2009 - August 2009
UnitedHealth Networks July 2008 - September 2008
Kaplan Inc January 2007 - March 2007
Skills
Objective-C, SAS, Ruby on Rails, C++, Gujarati, SQL, PHP, Engineering Management, Financial Economics, Management Consulting, MongoDB, Node.js, JavaScript, Program Management, Git, Python, Java, Start-ups, Data Analysis, Strategy, Product Management, Agile Methodologies
Education
Stanford University 2006 — 2010
BS, Management Science and Engineering
@WalmartLabs September 2014 - Present
@WalmartLabs July 2013 - August 2014
Rediscovr.me October 2012 - July 2013
Members Unite October 2011 - November 2012
Oliver Wyman September 2010 - July 2011
BASES May 2009 - June 2010
U.S. Securities and Exchange Commission March 2009 - August 2009
UnitedHealth Networks July 2008 - September 2008
Kaplan Inc January 2007 - March 2007
Skills
Objective-C, SAS, Ruby on Rails, C++, Gujarati, SQL, PHP, Engineering Management, Financial Economics, Management Consulting, MongoDB, Node.js, JavaScript, Program Management, Git, Python, Java, Start-ups, Data Analysis, Strategy, Product Management, Agile Methodologies
Education
Stanford University 2006 — 2010
BS, Management Science and Engineering
Steven Belt Steven Belt's US Securities and Exchange Commission Experience July 2014 - August 2014
Job Prosecutor Houston, Texas (Harris County)
Industry Law Enforcement
Experience
Harris County District Attorney's Office March 2015 - Present
Southern Methodist University Dedman School of Law August 2011 - December 2014
U.S. Securities and Exchange Commission July 2014 - August 2014
Attig Law Firm March 2014 - August 2014
Lennox International, Inc. Office of General Counsel May 2014 - June 2014
Hewlett-Packard Company Office of General Counsel August 2013 - December 2013
U.S. Department of Justice – Federal Bureau of Prisons May 2013 - August 2013
Collin County Criminal District Attorney Office January 2013 - May 2013
Verner Brumley February 2012 - December 2012
US Army January 2007 - October 2010
Skills
Situational Leadership, Awareness, Team Leadership, Microsoft Excel, Legal Research, Microsoft Word, Criminal Law, Research, PowerPoint, Legal Writing, Program Management, Customer Service, Leadership Development, Microsoft Office, Marketing, Teamwork, Social Media
Education
Southern Methodist University Dedman School of Law 2011 — 2014
Doctor of Law (J.D.)
Texas State University-San Marcos 2003 — 2006
BS, Criminal Justice - Law Enforcement
Harris County District Attorney's Office March 2015 - Present
Southern Methodist University Dedman School of Law August 2011 - December 2014
U.S. Securities and Exchange Commission July 2014 - August 2014
Attig Law Firm March 2014 - August 2014
Lennox International, Inc. Office of General Counsel May 2014 - June 2014
Hewlett-Packard Company Office of General Counsel August 2013 - December 2013
U.S. Department of Justice – Federal Bureau of Prisons May 2013 - August 2013
Collin County Criminal District Attorney Office January 2013 - May 2013
Verner Brumley February 2012 - December 2012
US Army January 2007 - October 2010
Skills
Situational Leadership, Awareness, Team Leadership, Microsoft Excel, Legal Research, Microsoft Word, Criminal Law, Research, PowerPoint, Legal Writing, Program Management, Customer Service, Leadership Development, Microsoft Office, Marketing, Teamwork, Social Media
Education
Southern Methodist University Dedman School of Law 2011 — 2014
Doctor of Law (J.D.)
Texas State University-San Marcos 2003 — 2006
BS, Criminal Justice - Law Enforcement
Michael Moskowitz Michael Moskowitz's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Associate Counsel at Activision Blizzard
Industry Law Practice
Experience
Activision Blizzard August 2014 - Present
U.S. Securities and Exchange Commission January 2014 - May 2014
Activision Blizzard May 2012 - January 2014
Skills
PowerPoint, Licensing, Social Media, WordPress, Research, Final Cut Pro, Digital Media, Video Editing, Microsoft Excel, Intellectual Property, Film, Video, Marketing, Entrepreneurship, Corporate Law, Photoshop, Editing, New Media, Video Production, Mac, Event Planning, Blogging, Entertainment, Press Releases, Advertising, Social Media Marketing, Social Networking, Outlook, Microsoft Office, Facebook, Nonprofits, OS X, Microsoft Word, Pro Tools, Adobe Creative Suite
Education
Pepperdine University School of Law 2011 — 2014
Doctor of Law (J.D.)
UCLA 2006 — 2010
Bachelor of Arts (B.A.), Linguistics and Psychology
Activision Blizzard August 2014 - Present
U.S. Securities and Exchange Commission January 2014 - May 2014
Activision Blizzard May 2012 - January 2014
Skills
PowerPoint, Licensing, Social Media, WordPress, Research, Final Cut Pro, Digital Media, Video Editing, Microsoft Excel, Intellectual Property, Film, Video, Marketing, Entrepreneurship, Corporate Law, Photoshop, Editing, New Media, Video Production, Mac, Event Planning, Blogging, Entertainment, Press Releases, Advertising, Social Media Marketing, Social Networking, Outlook, Microsoft Office, Facebook, Nonprofits, OS X, Microsoft Word, Pro Tools, Adobe Creative Suite
Education
Pepperdine University School of Law 2011 — 2014
Doctor of Law (J.D.)
UCLA 2006 — 2010
Bachelor of Arts (B.A.), Linguistics and Psychology
Attracta M. Gaudio's US Securities and Exchange Commission Experience March 1998 - November 2004
Job Financial Analyst at Owl Computing Technologies Inc
Industry Accounting
Experience
Owl Computing Technologies Inc February 2012 - August 2014
Owl Computing Technologies Inc March 2011 - February 2012
Callisto Capital Management, Inc. March 2007 - December 2009
U.S. Securities and Exchange Commission March 1998 - November 2004
Education
Queens College 1993 — 1997
BA, Accounting
Owl Computing Technologies Inc February 2012 - August 2014
Owl Computing Technologies Inc March 2011 - February 2012
Callisto Capital Management, Inc. March 2007 - December 2009
U.S. Securities and Exchange Commission March 1998 - November 2004
Education
Queens College 1993 — 1997
BA, Accounting
Lissa Maldonado's US Securities and Exchange Commission Experience 1994 - 1995
Job Senior Corporate Counsel with Expertise in Energy, Technology, Business & Financial Transactions
Industry Legal Services
Experience
Safeway Inc. March 2007 - February 2015
Tripp Scott, P.A. May 2005 - June 2006
Winston & Strawn LLP (acquired Murphy Sheneman) September 2001 - May 2004
Manwell & Schwartz April 1998 - June 2001
Feldman, Waldman & Kline 1997 - 1998
CVR Associates, Inc. 1996 - 1997
U.S. Securities and Exchange Commission 1994 - 1995
Skills
Corporate Law, Licensing, Renewable Energy, Solar Energy, Corporate Finance, Contract Negotiation, Contract Law, M&A execution, Securities, Natural Gas, Electricity, Uniform Commercial Code, Cross-border..., Alternative Energy, PPA, Finance, Project Finance, Securities Regulation, Intellectual Property, Mergers & Acquisitions, Corporate Governance, Due Diligence
Education
Stanford University Law School 1991 — 1994
Juris Doctor, Law
University of Massachusetts, Amherst 1986 — 1991
Bachelor of Arts, Art History
Safeway Inc. March 2007 - February 2015
Tripp Scott, P.A. May 2005 - June 2006
Winston & Strawn LLP (acquired Murphy Sheneman) September 2001 - May 2004
Manwell & Schwartz April 1998 - June 2001
Feldman, Waldman & Kline 1997 - 1998
CVR Associates, Inc. 1996 - 1997
U.S. Securities and Exchange Commission 1994 - 1995
Skills
Corporate Law, Licensing, Renewable Energy, Solar Energy, Corporate Finance, Contract Negotiation, Contract Law, M&A execution, Securities, Natural Gas, Electricity, Uniform Commercial Code, Cross-border..., Alternative Energy, PPA, Finance, Project Finance, Securities Regulation, Intellectual Property, Mergers & Acquisitions, Corporate Governance, Due Diligence
Education
Stanford University Law School 1991 — 1994
Juris Doctor, Law
University of Massachusetts, Amherst 1986 — 1991
Bachelor of Arts, Art History
Tara McAleer Tara McAleer's US Securities and Exchange Commission Experience 1992 - 1996
Job Managing Director, New York Life Investments
Industry Financial Services
Experience
New York Life & MainStay Investments April 2004 - Present
Yoga November 2014 - July 2015
Prudential Financial 2001 - 2004
PricewaterhouseCoopers 1999 - 2001
PricewaterhouseCoopers April 1996 - 1999
U.S. Securities and Exchange Commission 1992 - 1996
Skills
Asset Management, Financial Services, Securities, Investments, Alternative Investments, Fixed Income, Equities, Mutual Funds
Education
Seton Hall University 1990 — 1992
Master of Business Administration (MBA), Economics
Seton Hall University 1985 — 1989
Bachelor of Science (B.S.), Finance, General
New York Life & MainStay Investments April 2004 - Present
Yoga November 2014 - July 2015
Prudential Financial 2001 - 2004
PricewaterhouseCoopers 1999 - 2001
PricewaterhouseCoopers April 1996 - 1999
U.S. Securities and Exchange Commission 1992 - 1996
Skills
Asset Management, Financial Services, Securities, Investments, Alternative Investments, Fixed Income, Equities, Mutual Funds
Education
Seton Hall University 1990 — 1992
Master of Business Administration (MBA), Economics
Seton Hall University 1985 — 1989
Bachelor of Science (B.S.), Finance, General
Sydney Allen's US Securities and Exchange Commission Experience August 2015 - Present
Job J.D. Candidate at The George Washington University Law School
Industry Law Practice
Experience
U.S. Securities and Exchange Commission August 2015 - Present
The George Washington University Law School January 2015 - Present
San Mateo County District Attorney's Office May 2015 - July 2015
U.S. Department of Justice January 2015 - April 2015
U.S. Office of Special Counsel May 2014 - July 2014
USC Gould School of Law Post-Conviction Justice Project January 2012 - May 2013
Law Office of Paul J. Smoot June 2012 - July 2012
San Francisco Deputy Sheriff’s Prisoner Legal Services August 2010 - September 2010
ACCESS (Assisting Court Customers with Education and Self Help Services) July 2010 - July 2010
Education
The George Washington University Law School 2013 — 2016
Doctor of Law (J.D.)
University of Southern California 2011 — 2013
B.A. Philosophy, Politics and Law
Santa Clara University 2009 — 2011
Transferred
St. Ignatius College Preparatory 2005 — 2009
High School
U.S. Securities and Exchange Commission August 2015 - Present
The George Washington University Law School January 2015 - Present
San Mateo County District Attorney's Office May 2015 - July 2015
U.S. Department of Justice January 2015 - April 2015
U.S. Office of Special Counsel May 2014 - July 2014
USC Gould School of Law Post-Conviction Justice Project January 2012 - May 2013
Law Office of Paul J. Smoot June 2012 - July 2012
San Francisco Deputy Sheriff’s Prisoner Legal Services August 2010 - September 2010
ACCESS (Assisting Court Customers with Education and Self Help Services) July 2010 - July 2010
Education
The George Washington University Law School 2013 — 2016
Doctor of Law (J.D.)
University of Southern California 2011 — 2013
B.A. Philosophy, Politics and Law
Santa Clara University 2009 — 2011
Transferred
St. Ignatius College Preparatory 2005 — 2009
High School
Ian D. Pfaff Ian D. Pfaff's US Securities and Exchange Commission Experience August 2010 - June 2011
Job Chief Knowledge Officer U.S. Army Corps of Engineers
Industry Government Administration
Experience
U.S. Army Corps of Engineers July 2014 - Present
U.S. Department of State February 2013 - July 2014
United States Department of Defense September 2012 - February 2013
National Guard Bureau June 2011 - September 2012
U.S. Securities and Exchange Commission August 2010 - June 2011
U.S. Department of State February 2009 - August 2010
U.S. Department of the Air Force December 1999 - February 2009
Skills
National Security, Government, Policy Analysis, International Relations, Security Clearance, Military, Foreign Policy, DoD, Public Policy, Politics, Policy, Military Operations, Public Speaking, Operational Planning, Analysis, Homeland Security, Intelligence Analysis, Defense, Counterterrorism, Federal Government, Emergency Management, Program Management, Crisis Management, International Policy
Education
Boston University 2010 — 2011
Master of Arts, Political Science and Government
Norwich University 2009 — 2010
Master of Arts, Diplomacy: International Conflict Management
State University of New York at New Paltz 2003 — 2007
Bachelor of Science, Political Science
U.S. Army Corps of Engineers July 2014 - Present
U.S. Department of State February 2013 - July 2014
United States Department of Defense September 2012 - February 2013
National Guard Bureau June 2011 - September 2012
U.S. Securities and Exchange Commission August 2010 - June 2011
U.S. Department of State February 2009 - August 2010
U.S. Department of the Air Force December 1999 - February 2009
Skills
National Security, Government, Policy Analysis, International Relations, Security Clearance, Military, Foreign Policy, DoD, Public Policy, Politics, Policy, Military Operations, Public Speaking, Operational Planning, Analysis, Homeland Security, Intelligence Analysis, Defense, Counterterrorism, Federal Government, Emergency Management, Program Management, Crisis Management, International Policy
Education
Boston University 2010 — 2011
Master of Arts, Political Science and Government
Norwich University 2009 — 2010
Master of Arts, Diplomacy: International Conflict Management
State University of New York at New Paltz 2003 — 2007
Bachelor of Science, Political Science
Stacy Puente Stacy Puente's US Securities and Exchange Commission Experience February 2015 - Present
Job Attorney, Office of Chief Counsel at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission February 2015 - Present
Elkins Kalt Weintraub Reuben Gartside LLP June 2012 - November 2014
Dewey & LeBoeuf LLP July 2007 - May 2012
Crowell & Moring LLP September 2005 - June 2007
Chadbourne & Parke LLP June 2004 - August 2005
Skills
Civil Litigation, Commercial Litigation, Alternative Dispute..., Securities Litigation, White Collar Criminal..., Creative Writing, Magazine Articles, Trials, Corporate Law, Mediation, Dispute, Environmental Law, Appeals, Corporate Governance, Intellectual Property, Legal Writing, Litigation, Arbitration, Legal Research
Education
Stanford University Law School 1998 — 2001
Doctor of Law (J.D.)
The University of Texas at Austin 1993 — 1997
Bachelor of Arts (B.A.), English Language and Literature
U.S. Securities and Exchange Commission February 2015 - Present
Elkins Kalt Weintraub Reuben Gartside LLP June 2012 - November 2014
Dewey & LeBoeuf LLP July 2007 - May 2012
Crowell & Moring LLP September 2005 - June 2007
Chadbourne & Parke LLP June 2004 - August 2005
Skills
Civil Litigation, Commercial Litigation, Alternative Dispute..., Securities Litigation, White Collar Criminal..., Creative Writing, Magazine Articles, Trials, Corporate Law, Mediation, Dispute, Environmental Law, Appeals, Corporate Governance, Intellectual Property, Legal Writing, Litigation, Arbitration, Legal Research
Education
Stanford University Law School 1998 — 2001
Doctor of Law (J.D.)
The University of Texas at Austin 1993 — 1997
Bachelor of Arts (B.A.), English Language and Literature
Jonathan Dabney's US Securities and Exchange Commission Experience March 2014 - July 2014
Job Regulatory Consultant/Paralegal at Advanced Regulatory Compliance, Inc./The Law Offices of Patrick J. Burns, Jr.
Industry Legal Services
Experience
Advanced Regulatory Compliance, Inc./The Law Offices of Patrick J. Burns, Jr. August 2014 - Present
U.S. Securities and Exchange Commission March 2014 - July 2014
Vista Del Mar October 2011 - June 2013
Skills
Westlaw, Lexis, Case Management, Community Outreach, Nonprofits, Legal Writing, Legal Research, Research, Paralegals, Legal Documents, Mediation, CaseMap, Reccomind, Microsoft Excel, Team Leadership, Legal Discovery, Administrative..., Document Review, Document Drafting, Litigation Support, Pleadings
Education
University of California, Los Angeles 2013 — 2014
Paralegal Certificate, With Distinction
Portland State University 2009 — 2011
Master of Science (M.S.), Criminology & Criminal Justice
Portland State University 2007 — 2009
Bachelor of Arts (B.A.), Criminology & Criminal Justice, Summa Cum Laude
Advanced Regulatory Compliance, Inc./The Law Offices of Patrick J. Burns, Jr. August 2014 - Present
U.S. Securities and Exchange Commission March 2014 - July 2014
Vista Del Mar October 2011 - June 2013
Skills
Westlaw, Lexis, Case Management, Community Outreach, Nonprofits, Legal Writing, Legal Research, Research, Paralegals, Legal Documents, Mediation, CaseMap, Reccomind, Microsoft Excel, Team Leadership, Legal Discovery, Administrative..., Document Review, Document Drafting, Litigation Support, Pleadings
Education
University of California, Los Angeles 2013 — 2014
Paralegal Certificate, With Distinction
Portland State University 2009 — 2011
Master of Science (M.S.), Criminology & Criminal Justice
Portland State University 2007 — 2009
Bachelor of Arts (B.A.), Criminology & Criminal Justice, Summa Cum Laude
Tracy McGowan Tracy McGowan's US Securities and Exchange Commission Experience 1997 - 2000
Job Trial Attorney at United States Department of Agriculture
Industry Law Practice
Experience
United States Department of Agriculture August 2014 - Present
The Leukemia & Lymphoma Society 2008 - 2010
U.S. Securities and Exchange Commission 1997 - 2000
Sidley Austin LLP 1990 - 1997
Skills
Fundraising, Volunteer Management, Government, Policy Analysis, Legal Writing
Education
Northwestern University 1987 — 1990
Doctor of Law (J.D.)
The Johns Hopkins University 1980 — 1984
Bachelor of Arts (B.A.), Political Science and Government
United States Department of Agriculture August 2014 - Present
The Leukemia & Lymphoma Society 2008 - 2010
U.S. Securities and Exchange Commission 1997 - 2000
Sidley Austin LLP 1990 - 1997
Skills
Fundraising, Volunteer Management, Government, Policy Analysis, Legal Writing
Education
Northwestern University 1987 — 1990
Doctor of Law (J.D.)
The Johns Hopkins University 1980 — 1984
Bachelor of Arts (B.A.), Political Science and Government
Christine Sakach Christine Sakach's US Securities and Exchange Commission Experience October 1985 - October 1993
Job Senior Advisor at FINRA
Industry Financial Services
Experience
FINRA September 2010 - Present
Merrill Lynch October 1993 - February 2009
U.S. Securities and Exchange Commission October 1985 - October 1993
U.S. Securities and Exchange Commission October 1985 - October 1993
Education
The George Washington University Law School 1981 — 1985
J.D.
Penn State University 1976 — 1981
B.A., Political Science
FINRA September 2010 - Present
Merrill Lynch October 1993 - February 2009
U.S. Securities and Exchange Commission October 1985 - October 1993
U.S. Securities and Exchange Commission October 1985 - October 1993
Education
The George Washington University Law School 1981 — 1985
J.D.
Penn State University 1976 — 1981
B.A., Political Science
Benjamin Tarczy Benjamin Tarczy's US Securities and Exchange Commission Experience January 2015 - April 2015
Job Juris Doctor (Admission Pending)
Industry Law Practice
Experience
U.S. Securities and Exchange Commission January 2015 - April 2015
Woolf Simmonds Solicitors August 2013 - November 2013
The Dorton Firm June 2013 - July 2013
Citizens Bank August 2011 - July 2012
Skills
Legal Research, Microsoft Office, Legal Writing, Microsoft Word, Research, Westlaw, Teamwork, Reddit, Data Entry, Outlook, Mediation
Education
Pepperdine University School of Law 2012 — 2015
Doctor of Law (JD)
University of Pittsburgh 2007 — 2011
Bachelor of Science (BS), Psychology/History
U.S. Securities and Exchange Commission January 2015 - April 2015
Woolf Simmonds Solicitors August 2013 - November 2013
The Dorton Firm June 2013 - July 2013
Citizens Bank August 2011 - July 2012
Skills
Legal Research, Microsoft Office, Legal Writing, Microsoft Word, Research, Westlaw, Teamwork, Reddit, Data Entry, Outlook, Mediation
Education
Pepperdine University School of Law 2012 — 2015
Doctor of Law (JD)
University of Pittsburgh 2007 — 2011
Bachelor of Science (BS), Psychology/History
Judith Perlman Judith Perlman's US Securities and Exchange Commission Experience 1979 - 1981
Job Consultant, writer
Industry Executive Office
Experience
Applied Ecological Services 2007 - October 2012
Conservare, LLC 2006 - 2012
Perlman Comservation Development LLC 2003 - 2012
Landkeepers, LLC 2007 - January 2011
University of Texas Press 2004 - 2004
Perlman on Business 2000 - 2003
Community Leader 1992 - 1999
The O'Connor Partnerships/UBS 1987 - 1994
Sears Roebuck and Co. 1983 - 1988
U.S. Securities and Exchange Commission 1979 - 1981
Skills
Strategic Planning, Legal Advice, Writing, Business Transactions, Business Process..., Human Resources, Employee Benefits, New Business Development, Strategy, Environmental Awareness, Project Management, Start-ups, Leadership, Management, Strategic Partnerships, Marketing, Mergers & Acquisitions, Sustainability, Executive Management, Due Diligence, Corporate Law, Government, Risk Management, Joint Ventures, Legal Writing, Intellectual Property, Nonprofits, Environmental Permitting, Wetlands, Finance, Mitigation, Conservation Issues, Natural Resources, Land Use, Ecology, Environmental Law, Environmental Policy, Sustainable Development, Natural Resource..., Environmental Consulting, Endangered Species, Water Resources, Grant Writing, Wildlife
Education
University of Illinois College of Law 1975 — 1978
Juris Doctor
Princeton University 1971 — 1973
B.A.
Von Steuben High School 1964 — 1969
H.S. Diploma
Von Steuben High School
Applied Ecological Services 2007 - October 2012
Conservare, LLC 2006 - 2012
Perlman Comservation Development LLC 2003 - 2012
Landkeepers, LLC 2007 - January 2011
University of Texas Press 2004 - 2004
Perlman on Business 2000 - 2003
Community Leader 1992 - 1999
The O'Connor Partnerships/UBS 1987 - 1994
Sears Roebuck and Co. 1983 - 1988
U.S. Securities and Exchange Commission 1979 - 1981
Skills
Strategic Planning, Legal Advice, Writing, Business Transactions, Business Process..., Human Resources, Employee Benefits, New Business Development, Strategy, Environmental Awareness, Project Management, Start-ups, Leadership, Management, Strategic Partnerships, Marketing, Mergers & Acquisitions, Sustainability, Executive Management, Due Diligence, Corporate Law, Government, Risk Management, Joint Ventures, Legal Writing, Intellectual Property, Nonprofits, Environmental Permitting, Wetlands, Finance, Mitigation, Conservation Issues, Natural Resources, Land Use, Ecology, Environmental Law, Environmental Policy, Sustainable Development, Natural Resource..., Environmental Consulting, Endangered Species, Water Resources, Grant Writing, Wildlife
Education
University of Illinois College of Law 1975 — 1978
Juris Doctor
Princeton University 1971 — 1973
B.A.
Von Steuben High School 1964 — 1969
H.S. Diploma
Von Steuben High School
Justin Kisner's US Securities and Exchange Commission Experience May 2011 - August 2011
Job Attorney Advisor at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission: Division of Corporation Finance January 2013 - Present
U.S. Securities and Exchange Commission May 2011 - August 2011
U.S. Securities and Exchange Commission January 2011 - May 2011
ViaSat May 2010 - December 2010
Palomar Pomerado Health May 2009 - August 2009
Skills
Legal Research, Legal Issues, Legal Writing, Westlaw, Courts, Corporate Law, Securities Regulation, Corporate Governance, Start-ups
Education
University of San Diego School of Law 2009 — 2012
J.D.
Southern Methodist University Dedman School of Law 2011 — 2011
Visiting J.D. Student
University of San Diego 2005 — 2008
B.A.
U.S. Securities and Exchange Commission: Division of Corporation Finance January 2013 - Present
U.S. Securities and Exchange Commission May 2011 - August 2011
U.S. Securities and Exchange Commission January 2011 - May 2011
ViaSat May 2010 - December 2010
Palomar Pomerado Health May 2009 - August 2009
Skills
Legal Research, Legal Issues, Legal Writing, Westlaw, Courts, Corporate Law, Securities Regulation, Corporate Governance, Start-ups
Education
University of San Diego School of Law 2009 — 2012
J.D.
Southern Methodist University Dedman School of Law 2011 — 2011
Visiting J.D. Student
University of San Diego 2005 — 2008
B.A.
Andrew J. Dunbar Andrew J. Dunbar's US Securities and Exchange Commission Experience September 1999 - August 2008
Job General Counsel / Chief Compliance Officer at Bel Air Investment Advisors
Industry Law Practice
Experience
Bel Air Investment Advisors February 2015 - Present
Sidley Austin January 2012 - February 2015
Sidley Austin August 2008 - January 2012
U.S. Securities and Exchange Commission September 1999 - August 2008
Skills
Securities Litigation, White Collar Criminal..., Securities Law, Securities Fraud, Hedge Funds, FCPA, Securities Regulation, Internal Investigations, Fraud, Corporate Law, SEC, Trials, Criminal Law, Private Investigations, Corporate Governance, Class Actions, Commercial Litigation, Civil Litigation, Litigation
Education
Pepperdine University School of Law 1996 — 1999
J.D.
University of California, Davis 1991 — 1996
B.S., Managerial Economics, English
Bel Air Investment Advisors February 2015 - Present
Sidley Austin January 2012 - February 2015
Sidley Austin August 2008 - January 2012
U.S. Securities and Exchange Commission September 1999 - August 2008
Skills
Securities Litigation, White Collar Criminal..., Securities Law, Securities Fraud, Hedge Funds, FCPA, Securities Regulation, Internal Investigations, Fraud, Corporate Law, SEC, Trials, Criminal Law, Private Investigations, Corporate Governance, Class Actions, Commercial Litigation, Civil Litigation, Litigation
Education
Pepperdine University School of Law 1996 — 1999
J.D.
University of California, Davis 1991 — 1996
B.S., Managerial Economics, English
Jason Choe Jason Choe's US Securities and Exchange Commission Experience May 2015 - August 2015
Job Summer Honors Intern at the U.S. Securities and Exchange Commission
Industry
Experience
International Panel on Social Progress March 2015 - Present
Princeton University September 2014 - Present
Innovation Journal of Science and Technology August 2013 - Present
The Daily Princetonian August 2013 - Present
U.S. Securities and Exchange Commission May 2015 - August 2015
Retention Science June 2014 - May 2015
Skills
Research, Microsoft Office, PowerPoint, Matlab, Market Analysis, Sales Operations, Microsoft Excel, Microsoft Word, Stata, Leadership, International Relations
Education
Princeton University 2013 — 2017
Bachelor of Arts (B.A.), Economics
Palos Verdes Peninsula High School 2009 — 2013
4.0 (unweighted)/ 4.9 (weighted) GPA
International Panel on Social Progress March 2015 - Present
Princeton University September 2014 - Present
Innovation Journal of Science and Technology August 2013 - Present
The Daily Princetonian August 2013 - Present
U.S. Securities and Exchange Commission May 2015 - August 2015
Retention Science June 2014 - May 2015
Skills
Research, Microsoft Office, PowerPoint, Matlab, Market Analysis, Sales Operations, Microsoft Excel, Microsoft Word, Stata, Leadership, International Relations
Education
Princeton University 2013 — 2017
Bachelor of Arts (B.A.), Economics
Palos Verdes Peninsula High School 2009 — 2013
4.0 (unweighted)/ 4.9 (weighted) GPA
Tarik Shah Tarik Shah's US Securities and Exchange Commission Experience August 2015 - Present
Job U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission August 2015 - Present
Constellation Advisers, LLC April 2014 - August 2015
Goldman Sachs August 2013 - April 2014
U.S. Securities and Exchange Commission January 2013 - May 2013
State of New Jersey Office of the Attorney General August 2012 - December 2012
Education
Rutgers University School of Law - Newark 2010 — 2013
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
Tufts University 2004 — 2008
Bachelor of Arts (B.A.), Political Science and Government
U.S. Securities and Exchange Commission August 2015 - Present
Constellation Advisers, LLC April 2014 - August 2015
Goldman Sachs August 2013 - April 2014
U.S. Securities and Exchange Commission January 2013 - May 2013
State of New Jersey Office of the Attorney General August 2012 - December 2012
Education
Rutgers University School of Law - Newark 2010 — 2013
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
Tufts University 2004 — 2008
Bachelor of Arts (B.A.), Political Science and Government
Brian V. Breheny Brian V. Breheny's US Securities and Exchange Commission Experience November 2007 - September 2010
Job Partner at Skadden, Arps, Slate, Meagher & Flom LLP
Industry Law Practice
Experience
Skadden, Arps, Slate, Meagher & Flom LLP October 2010 - Present
U.S. Securities and Exchange Commission November 2007 - September 2010
US Securities and Exchange Commission July 2003 - October 2007
Clifford Chance (London and New York offices) September 1996 - July 2003
Clifford Chance US LLP September 1996 - July 2003
Clifford Chance 1995 - July 2003
Rogers & Wells 1996 - 1999
KPMG Peat Marwick September 1990 - January 1994
KPMG LLP May 1989 - January 1994
Education
St. John's University School of Law 1994 — 1996
St. John's University, The Peter J. Tobin College of Business 1986 — 1990
B.S., Accounting
Skadden, Arps, Slate, Meagher & Flom LLP October 2010 - Present
U.S. Securities and Exchange Commission November 2007 - September 2010
US Securities and Exchange Commission July 2003 - October 2007
Clifford Chance (London and New York offices) September 1996 - July 2003
Clifford Chance US LLP September 1996 - July 2003
Clifford Chance 1995 - July 2003
Rogers & Wells 1996 - 1999
KPMG Peat Marwick September 1990 - January 1994
KPMG LLP May 1989 - January 1994
Education
St. John's University School of Law 1994 — 1996
St. John's University, The Peter J. Tobin College of Business 1986 — 1990
B.S., Accounting
Steve Korotash Steve Korotash's US Securities and Exchange Commission Experience 2007 - 2011
Job Partner, Morgan Lewis & Bockius
Industry Law Practice
Experience
Morgan, Lewis & Bockius LLP March 2013 - Present
U.S. Securities and Exchange Commission 2007 - 2011
U.S. Securities and Exchange Commission 1989 - 2007
SEC/DOJ 1992 - 1996
U.S. Department of Justice 1983 - 1989
Oklahoma County District Attorney 1979 - 1983
Oklahoma County Public Defender 1977 - 1979
Skills
Fraud, Litigation, Securities Regulation, FINRA, Government, Securities Litigation, Enforcement, Securities, White Collar Criminal..., Hedge Funds, Internal Controls, Trials, Civil Litigation, Bankruptcy, Appeals, Private Investigations, Corporate Governance, SEC, Courts, Trial Practice, Administrative Law, Dog Training, Criminal Defense, Arbitration, Dispute Resolution, Alternative Dispute..., Corporate Law, Broker-Dealer, Criminal Law, Legal Research, Commercial Litigation, Privacy Law, Litigation Support, Trade Secrets, Class Actions, Mediation, Litigation Management, Competition Law, Intellectual Property, Jury Trials, Business Litigation, Product Liability, Corporate Internal..., Business Transactions, Legal Writing, Banking Law
Education
Georgetown University Law Center 1990 — 1993
LL.M., Securities Regulation
Oklahoma City University 1975 — 1978
J.D., With Honors
Ripon College 1969 — 1973
Perkiomen School
Morgan, Lewis & Bockius LLP March 2013 - Present
U.S. Securities and Exchange Commission 2007 - 2011
U.S. Securities and Exchange Commission 1989 - 2007
SEC/DOJ 1992 - 1996
U.S. Department of Justice 1983 - 1989
Oklahoma County District Attorney 1979 - 1983
Oklahoma County Public Defender 1977 - 1979
Skills
Fraud, Litigation, Securities Regulation, FINRA, Government, Securities Litigation, Enforcement, Securities, White Collar Criminal..., Hedge Funds, Internal Controls, Trials, Civil Litigation, Bankruptcy, Appeals, Private Investigations, Corporate Governance, SEC, Courts, Trial Practice, Administrative Law, Dog Training, Criminal Defense, Arbitration, Dispute Resolution, Alternative Dispute..., Corporate Law, Broker-Dealer, Criminal Law, Legal Research, Commercial Litigation, Privacy Law, Litigation Support, Trade Secrets, Class Actions, Mediation, Litigation Management, Competition Law, Intellectual Property, Jury Trials, Business Litigation, Product Liability, Corporate Internal..., Business Transactions, Legal Writing, Banking Law
Education
Georgetown University Law Center 1990 — 1993
LL.M., Securities Regulation
Oklahoma City University 1975 — 1978
J.D., With Honors
Ripon College 1969 — 1973
Perkiomen School
LaShundra Worthy LaShundra Worthy's US Securities and Exchange Commission Experience July 2013 - Present
Job Case Management Specialist at U.S. Securities and Exchange Commission
Industry Government Administration
Experience
U.S. Securities and Exchange Commission July 2013 - Present
Social Security Administration September 2010 - July 2013
Shapiro & Swertfeger, LLP September 2010 - January 2011
Adorno & Yoss, LLC October 2006 - June 2007
Law Offices of Ross Gelfand April 2005 - September 2006
Cingular Wireless August 2003 - April 2005
Skills
Courts, Westlaw, Customer Service, Lexis, Bankruptcy, Legal Documents, Notary Public, Editing, Motions, Leadership, Legal Research, Legal Writing, Management, Microsoft Excel, WordPerfect
Education
Savannah State University 1999 — 2003
B.S., Political Science/English
Savannah State University
B.S, Political Science/ English
Institute, Seeking Real Estate
Kennesaw State University Paralegal Certification 2006
U.S. Securities and Exchange Commission July 2013 - Present
Social Security Administration September 2010 - July 2013
Shapiro & Swertfeger, LLP September 2010 - January 2011
Adorno & Yoss, LLC October 2006 - June 2007
Law Offices of Ross Gelfand April 2005 - September 2006
Cingular Wireless August 2003 - April 2005
Skills
Courts, Westlaw, Customer Service, Lexis, Bankruptcy, Legal Documents, Notary Public, Editing, Motions, Leadership, Legal Research, Legal Writing, Management, Microsoft Excel, WordPerfect
Education
Savannah State University 1999 — 2003
B.S., Political Science/English
Savannah State University
B.S, Political Science/ English
Institute, Seeking Real Estate
Kennesaw State University Paralegal Certification 2006
Seth Mann Seth Mann's US Securities and Exchange Commission Experience June 2015 - Present
Job Management and Program Analyst at the U.S. Securities and Exchange Commission
Industry Government Administration
Experience
U.S. Securities and Exchange Commission June 2015 - Present
Consumer Financial Protection Bureau June 2014 - June 2015
Consumer Financial Protection Bureau February 2011 - June 2014
National Science Foundation February 2008 - March 2011
Rutgers University January 2003 - March 2008
Skills
Project Management, Writing, Human Capital Management, Public Administration, Higher Education, Organizational..., Strategic Planning, Government, Change Management
Education
Rutgers, The State University of New Jersey-Newark 2005 — 2008
Masters, Public Administration
Rutgers, The State University of New Jersey-Newark 1999 — 2003
BA, Anthropology - Major, Botany & English
U.S. Securities and Exchange Commission June 2015 - Present
Consumer Financial Protection Bureau June 2014 - June 2015
Consumer Financial Protection Bureau February 2011 - June 2014
National Science Foundation February 2008 - March 2011
Rutgers University January 2003 - March 2008
Skills
Project Management, Writing, Human Capital Management, Public Administration, Higher Education, Organizational..., Strategic Planning, Government, Change Management
Education
Rutgers, The State University of New Jersey-Newark 2005 — 2008
Masters, Public Administration
Rutgers, The State University of New Jersey-Newark 1999 — 2003
BA, Anthropology - Major, Botany & English
William Schoenfeld William Schoenfeld's US Securities and Exchange Commission Experience May 2015 - August 2015
Job J.D. Candidate at Northwestern University School of Law
Industry Financial Services
Experience
Northwestern University School of Law August 2015 - Present
U.S. Securities and Exchange Commission May 2015 - August 2015
Chicago Clearing Corporation December 2012 - August 2014
Cook County Public Defender's Office June 2010 - August 2010
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Lexis, JSTOR, Clerical Skills, Report Writing, Exceptional verbal, Online Research, Archival Research, EDGAR filings
Education
Northwestern University School of Law 2015 — 2017
Juris Doctor (J.D.)
Washington University in St. Louis School of Law 2014 — 2015
Juris Doctor (J.D.)
The College of Wooster 2008 — 2012
Bachelor of Arts (B.A.), History
Evanston Township High School 2004 — 2008
Northwestern University School of Law August 2015 - Present
U.S. Securities and Exchange Commission May 2015 - August 2015
Chicago Clearing Corporation December 2012 - August 2014
Cook County Public Defender's Office June 2010 - August 2010
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Lexis, JSTOR, Clerical Skills, Report Writing, Exceptional verbal, Online Research, Archival Research, EDGAR filings
Education
Northwestern University School of Law 2015 — 2017
Juris Doctor (J.D.)
Washington University in St. Louis School of Law 2014 — 2015
Juris Doctor (J.D.)
The College of Wooster 2008 — 2012
Bachelor of Arts (B.A.), History
Evanston Township High School 2004 — 2008
Kristen Cornacchio Kristen Cornacchio's US Securities and Exchange Commission Experience September 1996 - June 2003
Job V.P. and AML Group Manager, US Wealth
Industry Banking
Experience
TD August 2013 - Present
TD October 2011 - August 2013
TD April 2011 - October 2011
Navigant Consulting Inc November 2007 - April 2011
KPMG, LLP June 2003 - November 2007
U.S. SECURITIES AND EXCHANGE COMMISSION September 1996 - June 2003
CMS Companies December 1994 - August 1996
CMS Companies May 1989 - December 1994
Skills
Anti-Money Laundering..., Securities Regulation..., Program Management, Bank Secrecy Act, USA PATRIOT Act
Education
Villanova University 1991 — 1996
Master of Business Administration (M.B.A.), College of Commerce and Finance
Penn State University 1984 — 1988
Bachelor of Arts (B.A.), Foreign Service and International Politics
TD August 2013 - Present
TD October 2011 - August 2013
TD April 2011 - October 2011
Navigant Consulting Inc November 2007 - April 2011
KPMG, LLP June 2003 - November 2007
U.S. SECURITIES AND EXCHANGE COMMISSION September 1996 - June 2003
CMS Companies December 1994 - August 1996
CMS Companies May 1989 - December 1994
Skills
Anti-Money Laundering..., Securities Regulation..., Program Management, Bank Secrecy Act, USA PATRIOT Act
Education
Villanova University 1991 — 1996
Master of Business Administration (M.B.A.), College of Commerce and Finance
Penn State University 1984 — 1988
Bachelor of Arts (B.A.), Foreign Service and International Politics
Laura Isaacs's US Securities and Exchange Commission Experience March 2012 - April 2014
Job Personnel Assistant at Union Tank Car Company UTLX
Industry Government Administration
Experience
Union Tank Car Company - UTLX April 2014 - Present
U.S. Securities and Exchange Commission March 2012 - April 2014
Kustom Seating Unlimited, Inc. May 2011 - July 2011
William J. Hawkins & Associates, Ltd. January 2008 - May 2011
Mary Kay Cosmetics 2007 - 2008
Hennessy & Roach, P.C. 2003 - 2007
Cargill Investor Services 1999 - 2001
Skills
Microsoft Office, Microsoft Excel, Time Management, Visio, Accounts Receivable, Customer Service, Office Management, QuickBooks, SharePoint, Microsoft Word, Access, Outlook, Data Entry, Trials, Westlaw, Project Management, Legal Assistants, Databases, Accounts Payable, Leadership, Litigation Support, Spreadsheets, PowerPoint, MS Project, Legal Documents, Wordperfect, Filing, Lexis, Document Review, Microsoft Visio 2010, Microsoft Project 2010, Microsoft Sharepoint..., Human Resources, ADP Payroll
Education
Robert Morris University - Illinois 1991 — 1993
Bachelors, Business Administration
Union Tank Car Company - UTLX April 2014 - Present
U.S. Securities and Exchange Commission March 2012 - April 2014
Kustom Seating Unlimited, Inc. May 2011 - July 2011
William J. Hawkins & Associates, Ltd. January 2008 - May 2011
Mary Kay Cosmetics 2007 - 2008
Hennessy & Roach, P.C. 2003 - 2007
Cargill Investor Services 1999 - 2001
Skills
Microsoft Office, Microsoft Excel, Time Management, Visio, Accounts Receivable, Customer Service, Office Management, QuickBooks, SharePoint, Microsoft Word, Access, Outlook, Data Entry, Trials, Westlaw, Project Management, Legal Assistants, Databases, Accounts Payable, Leadership, Litigation Support, Spreadsheets, PowerPoint, MS Project, Legal Documents, Wordperfect, Filing, Lexis, Document Review, Microsoft Visio 2010, Microsoft Project 2010, Microsoft Sharepoint..., Human Resources, ADP Payroll
Education
Robert Morris University - Illinois 1991 — 1993
Bachelors, Business Administration
John Saia's US Securities and Exchange Commission Experience September 1998 - March 2004
Job Senior Counsel at McKesson Corporation
Industry Law Practice
Experience
McKESSON CORPORATION April 2007 - Present
DLA PIPER US LLP March 2004 - April 2007
U.S. SECURITIES AND EXCHANGE COMMISSION September 1998 - March 2004
FULBRIGHT & JAWORSKI, LLP August 1997 - June 1998
Skills
Corporate Finance, Corporate Governance, Mergers, Merger Communications, Securities Offerings, Securities Regulation, Securities Law, Corporate Law, Internal Investigations, IPO, Non-profits, Board Development, Board Training, Board Relations, Investor Relations, Institutional Investors, Investor Presentations, Capital Markets, Institutional..., Joint Ventures, Litigation, Nonprofits, Sarbanes-Oxley Act, Start-ups, Mergers & Acquisitions, Training, Securities, Intellectual Property, Privacy Law
Education
The George Washington University Law School 1995 — 1998
JD
Santa Clara University 1990 — 1994
BS/BA, Political Science / Economics
McKESSON CORPORATION April 2007 - Present
DLA PIPER US LLP March 2004 - April 2007
U.S. SECURITIES AND EXCHANGE COMMISSION September 1998 - March 2004
FULBRIGHT & JAWORSKI, LLP August 1997 - June 1998
Skills
Corporate Finance, Corporate Governance, Mergers, Merger Communications, Securities Offerings, Securities Regulation, Securities Law, Corporate Law, Internal Investigations, IPO, Non-profits, Board Development, Board Training, Board Relations, Investor Relations, Institutional Investors, Investor Presentations, Capital Markets, Institutional..., Joint Ventures, Litigation, Nonprofits, Sarbanes-Oxley Act, Start-ups, Mergers & Acquisitions, Training, Securities, Intellectual Property, Privacy Law
Education
The George Washington University Law School 1995 — 1998
JD
Santa Clara University 1990 — 1994
BS/BA, Political Science / Economics
Hadi Tabbaa's US Securities and Exchange Commission Experience May 2005 - August 2005
Job
Industry Investment Banking
Experience
BlackRock December 2014 - Present
BlackRock August 2010 - December 2014
BlackRock March 2009 - August 2010
Barclays Capital August 2007 - February 2009
Debevoise & Plimpton July 2006 - August 2006
Gunderson Dettmer May 2006 - July 2006
U.S. Securities and Exchange Commission May 2005 - August 2005
Capital One Financial June 2002 - June 2004
McKinsey & Company August 2000 - May 2002
Skills
Strategic Planning, Valuation, Deal Structuring, Investment Banking, Management Consulting, Private Equity, Corporate Development, Leveraged Finance, Acquisitions, Venture Capital, Financial Modeling, Corporate Finance, Emerging Markets, Due Diligence, Financial Analysis, Strategy, Negotiation, Mergers & Acquisitions, Portfolio Management, Business Strategy, Asset Management, Investments, Finance, Financial Services
Education
Stanford University Law School 2004 — 2007
J.D., Law
Rice University 1996 — 2000
B.A., Political Science, Economics, Policy Studies
Memorial High School 1992 — 1996
BlackRock December 2014 - Present
BlackRock August 2010 - December 2014
BlackRock March 2009 - August 2010
Barclays Capital August 2007 - February 2009
Debevoise & Plimpton July 2006 - August 2006
Gunderson Dettmer May 2006 - July 2006
U.S. Securities and Exchange Commission May 2005 - August 2005
Capital One Financial June 2002 - June 2004
McKinsey & Company August 2000 - May 2002
Skills
Strategic Planning, Valuation, Deal Structuring, Investment Banking, Management Consulting, Private Equity, Corporate Development, Leveraged Finance, Acquisitions, Venture Capital, Financial Modeling, Corporate Finance, Emerging Markets, Due Diligence, Financial Analysis, Strategy, Negotiation, Mergers & Acquisitions, Portfolio Management, Business Strategy, Asset Management, Investments, Finance, Financial Services
Education
Stanford University Law School 2004 — 2007
J.D., Law
Rice University 1996 — 2000
B.A., Political Science, Economics, Policy Studies
Memorial High School 1992 — 1996
Ernest Holtzheimer's US Securities and Exchange Commission Experience August 2014 - December 2014
Job Student Lawyer at Entrepreneurial Law Clinic, Thomas R. Kline School of Law
Industry Law Practice
Experience
Entrepreneurial Law Clinic, Thomas R. Kline School of Law August 2015 - Present
Robin Hood Ventures November 2014 - Present
Keiretsu Forum February 2014 - Present
Montgomery McCracken Walker & Rhoads LLP June 2015 - July 2015
Rowan University January 2013 - June 2015
City of Philadelphia January 2015 - April 2015
U.S. Department of Education August 2014 - April 2015
U.S. Securities and Exchange Commission August 2014 - December 2014
Rowan University May 2014 - September 2014
Montgomery McCracken Walker & Rhoads LLP June 2014 - August 2014
Skills
Marketing, Social Media Marketing, Entrepreneurship, Sales, Management, Social Media, Marketing Strategy, Market Research, Start-ups, Advertising, Social Networking, Marketing Communications, Facebook, Investments, Finance, Financial Analysis, Research, Business Planning, Marketing Research, Business Development, Legal Research, Negotiation, Small Business, Higher Education, Contract Negotiation, New Business Development, Brand Management, Venture Capital, Capital Budgeting, Capital Structure, Personal Finance
Education
Drexel University: Thomas R. Kline School of Law 2013 — 2016
Doctor of Law (JD), Business and Entrepreneurship Law Concentration, 3.55; Top 10%
Renmin University of China 2015 — 2015
Chinese Law
Rowan University 2012 — 2013
Master of Business Administration (M.B.A.), Finance, General, 3.94
Forum Nexus Study Abroad (IQS Business School) 2012 — 2012
Accounting and Finance, 3.2
Rowan University 2007 — 2012
B.S. Entrepreneurship & B.S. Management, Business, Management, Marketing, and Related Support Services, 3.5
Gloucester Catholic
Entrepreneurial Law Clinic, Thomas R. Kline School of Law August 2015 - Present
Robin Hood Ventures November 2014 - Present
Keiretsu Forum February 2014 - Present
Montgomery McCracken Walker & Rhoads LLP June 2015 - July 2015
Rowan University January 2013 - June 2015
City of Philadelphia January 2015 - April 2015
U.S. Department of Education August 2014 - April 2015
U.S. Securities and Exchange Commission August 2014 - December 2014
Rowan University May 2014 - September 2014
Montgomery McCracken Walker & Rhoads LLP June 2014 - August 2014
Skills
Marketing, Social Media Marketing, Entrepreneurship, Sales, Management, Social Media, Marketing Strategy, Market Research, Start-ups, Advertising, Social Networking, Marketing Communications, Facebook, Investments, Finance, Financial Analysis, Research, Business Planning, Marketing Research, Business Development, Legal Research, Negotiation, Small Business, Higher Education, Contract Negotiation, New Business Development, Brand Management, Venture Capital, Capital Budgeting, Capital Structure, Personal Finance
Education
Drexel University: Thomas R. Kline School of Law 2013 — 2016
Doctor of Law (JD), Business and Entrepreneurship Law Concentration, 3.55; Top 10%
Renmin University of China 2015 — 2015
Chinese Law
Rowan University 2012 — 2013
Master of Business Administration (M.B.A.), Finance, General, 3.94
Forum Nexus Study Abroad (IQS Business School) 2012 — 2012
Accounting and Finance, 3.2
Rowan University 2007 — 2012
B.S. Entrepreneurship & B.S. Management, Business, Management, Marketing, and Related Support Services, 3.5
Gloucester Catholic
Tony Evangelista Tony Evangelista's US Securities and Exchange Commission Experience 1993 - 1996
Job Partner at PricewaterhouseCoopers LLP
Industry Financial Services
Experience
PricewaterhouseCoopers LLP September 1996 - Present
U.S. Securities and Exchange Commission 1993 - 1996
PwC 1985 - 1993
Education
St. Francis University 1978 — 1981
BS Accounting
Shippensburg University of Pennsylvania 1984 — 1985
MBA, International Finance
PricewaterhouseCoopers LLP September 1996 - Present
U.S. Securities and Exchange Commission 1993 - 1996
PwC 1985 - 1993
Education
St. Francis University 1978 — 1981
BS Accounting
Shippensburg University of Pennsylvania 1984 — 1985
MBA, International Finance
Jean Bioni Jean Bioni's US Securities and Exchange Commission Experience November 2009 - Present
Job Management Analyst, Office of Acquisitions, Policy, Oversight & Acquisitions Program
Industry Government Administration
Experience
U.S. Securities and Exchange Commission November 2009 - Present
Compusearch September 2008 - November 2009
Peace Corps June 2006 - September 2008
Peace Corps December 1997 - June 2006
Paul B. Silberman, DDS & Associates May 1985 - October 1997
US Navy, NNDC, Branch Dental Clinic, GTMO December 1983 - March 1985
Navy Exchange, U. S. Naval Base, Guantanamo Bay, Cuba December 1982 - December 1983
US Navy, NNDC, Branch Dental Clinic, Washington Navy Yard September 1980 - June 1982
Skills
Government, Analysis, Management Consulting, Project Management, Change Management, Process Improvement, Policy Analysis, Business Process..., Requirements Analysis, Team Building, SharePoint, International Relations, Training, Federal Government, Business Process, Nonprofits, Governance, System Administration, Proposal Writing, Leadership, Procurement, Software Documentation, Business Strategy, Consulting, Management, Budgets, Human Resources, Requirements Gathering, Public Policy, Finance, Organizational..., Security, Strategy, CRM
Education
Prince George's Community College 1975 — 1976
Dental Assisting
The Catholic University of America 1974 — 1975
Biology
U.S. Securities and Exchange Commission November 2009 - Present
Compusearch September 2008 - November 2009
Peace Corps June 2006 - September 2008
Peace Corps December 1997 - June 2006
Paul B. Silberman, DDS & Associates May 1985 - October 1997
US Navy, NNDC, Branch Dental Clinic, GTMO December 1983 - March 1985
Navy Exchange, U. S. Naval Base, Guantanamo Bay, Cuba December 1982 - December 1983
US Navy, NNDC, Branch Dental Clinic, Washington Navy Yard September 1980 - June 1982
Skills
Government, Analysis, Management Consulting, Project Management, Change Management, Process Improvement, Policy Analysis, Business Process..., Requirements Analysis, Team Building, SharePoint, International Relations, Training, Federal Government, Business Process, Nonprofits, Governance, System Administration, Proposal Writing, Leadership, Procurement, Software Documentation, Business Strategy, Consulting, Management, Budgets, Human Resources, Requirements Gathering, Public Policy, Finance, Organizational..., Security, Strategy, CRM
Education
Prince George's Community College 1975 — 1976
Dental Assisting
The Catholic University of America 1974 — 1975
Biology
Michael MacPhail Michael MacPhail's US Securities and Exchange Commission Experience 2002 - 2005
Job SEC Dispute, Accountant's Liability and Shareholder Litigation Defense Attorney at Faegre Baker Daniels LLP
Industry Law Practice
Experience
Faegre Baker Daniels LLP January 2012 - Present
Holme, Roberts & Owen, LLP July 2009 - January 2012
Holland & Hart, LLP August 2005 - July 2009
U.S. Securities and Exchange Commission 2002 - 2005
U.S. Court of Appeals for the D.C. Circuit September 1989 - September 1991
Skills
Securities Litigation, Internal Investigations, Mediation, Settlement Agreements, Corporate Fraud..., document, Civil Litigation, Corporate Internal..., Appeals, Commercial Litigation, SEC, Securities Regulation, Securities, Class Actions, Corporate Governance, Litigation, FINRA, Dispute, Corporate Law
Education
University of California, Hastings College of the Law 1985 — 1988
Doctor of Law (JD)
Oberlin College 1981 — 1985
B.A., Political Science and Government
Boulder High
Faegre Baker Daniels LLP January 2012 - Present
Holme, Roberts & Owen, LLP July 2009 - January 2012
Holland & Hart, LLP August 2005 - July 2009
U.S. Securities and Exchange Commission 2002 - 2005
U.S. Court of Appeals for the D.C. Circuit September 1989 - September 1991
Skills
Securities Litigation, Internal Investigations, Mediation, Settlement Agreements, Corporate Fraud..., document, Civil Litigation, Corporate Internal..., Appeals, Commercial Litigation, SEC, Securities Regulation, Securities, Class Actions, Corporate Governance, Litigation, FINRA, Dispute, Corporate Law
Education
University of California, Hastings College of the Law 1985 — 1988
Doctor of Law (JD)
Oberlin College 1981 — 1985
B.A., Political Science and Government
Boulder High
Gina Basile's US Securities and Exchange Commission Experience April 1992 - September 2013
Job Experienced HR and Compensation Program Manager
Industry Human Resources
Experience
U.S. Securities and Exchange Commission April 1992 - September 2013
Skills
Compensation Structures, Compensation Strategies, Executive Pay, Executive Staffing, Human Resources, Personnel Management, Recruiting, Compensation & Benefit, Salary, Management, Human Capital, Job Analysis, New Hire Orientations, HRIS, Onboarding, Employment Law
Education
University of Maryland University College 1987 — 1992
Master of General Administration, Human Resources Management/Personnel Administration, General
Salisbury University - Perdue School of Business 1983 — 1987
Bachelor of Science (BS), Business Administration and Management, General
U.S. Securities and Exchange Commission April 1992 - September 2013
Skills
Compensation Structures, Compensation Strategies, Executive Pay, Executive Staffing, Human Resources, Personnel Management, Recruiting, Compensation & Benefit, Salary, Management, Human Capital, Job Analysis, New Hire Orientations, HRIS, Onboarding, Employment Law
Education
University of Maryland University College 1987 — 1992
Master of General Administration, Human Resources Management/Personnel Administration, General
Salisbury University - Perdue School of Business 1983 — 1987
Bachelor of Science (BS), Business Administration and Management, General
Malinda Bridges Simpson's US Securities and Exchange Commission Experience September 2014 - December 2014
Job Law Clerk, Debevoise & Plimpton, LLP
Industry Law Practice
Experience
Debevoise & Plimpton September 2015 - Present
U.S. Securities and Exchange Commission September 2014 - December 2014
Debevoise & Plimpton May 2014 - August 2014
Adler Pollock & Sheehan P.C. June 2013 - August 2013
Cravath, Swaine & Moore LLP June 2012 - August 2012
Rhode Island Office of the Attorney General January 2012 - May 2012
Rhode Island College July 2009 - May 2012
Office of Congressman Patrick Kennedy March 2009 - April 2009
Education
University of Virginia School of Law 2012 — 2015
Juris Doctor (J.D.)
Rhode Island College 2008 — 2012
Bachelor of Arts (B.A.), Justice Studies, Summa Cum Laude
Debevoise & Plimpton September 2015 - Present
U.S. Securities and Exchange Commission September 2014 - December 2014
Debevoise & Plimpton May 2014 - August 2014
Adler Pollock & Sheehan P.C. June 2013 - August 2013
Cravath, Swaine & Moore LLP June 2012 - August 2012
Rhode Island Office of the Attorney General January 2012 - May 2012
Rhode Island College July 2009 - May 2012
Office of Congressman Patrick Kennedy March 2009 - April 2009
Education
University of Virginia School of Law 2012 — 2015
Juris Doctor (J.D.)
Rhode Island College 2008 — 2012
Bachelor of Arts (B.A.), Justice Studies, Summa Cum Laude
Patrick Dennis Patrick Dennis's US Securities and Exchange Commission Experience June 1991 - December 1996
Job Founding Principal & Managing Director, Oyster Consulting, LLC
Industry Financial Services
Experience
Oyster Consulting, LLC August 2008 - Present
Wachovia Securities, LLC 1998 - 2008
Banc One Securities Corporation December 1996 - December 1998
U.S. Securities and Exchange Commission June 1991 - December 1996
Cadwalader, Wickersham & Taft LLP January 1989 - June 1991
US Securities and Exchange Commission January 1986 - January 1989
Skills
FINRA, Securities, Securities Regulation, Investment Advisory, AML, Series 7, Capital Markets, SEC, Mutual Funds, Risk Management, Hedge Funds, Corporate Governance, Private Equity, Asset Managment, Investments, Equities, Licensing, Series 63, Due Diligence, Fixed Income, Golf Resorts, Asset Management, Golf Courses, Mergers & Acquisitions, Series 24, Investment Management, Financial Services, Alternative Investments, Corporate Finance, Wealth Management, Arbitration, Financial Markets, Options, Derivatives, ETFs
Education
University of Wisconsin-Madison 1984 — 1985
JD, Law
Rochester Institute of Technology 1973 — 1975
BS, Management
Oyster Consulting, LLC August 2008 - Present
Wachovia Securities, LLC 1998 - 2008
Banc One Securities Corporation December 1996 - December 1998
U.S. Securities and Exchange Commission June 1991 - December 1996
Cadwalader, Wickersham & Taft LLP January 1989 - June 1991
US Securities and Exchange Commission January 1986 - January 1989
Skills
FINRA, Securities, Securities Regulation, Investment Advisory, AML, Series 7, Capital Markets, SEC, Mutual Funds, Risk Management, Hedge Funds, Corporate Governance, Private Equity, Asset Managment, Investments, Equities, Licensing, Series 63, Due Diligence, Fixed Income, Golf Resorts, Asset Management, Golf Courses, Mergers & Acquisitions, Series 24, Investment Management, Financial Services, Alternative Investments, Corporate Finance, Wealth Management, Arbitration, Financial Markets, Options, Derivatives, ETFs
Education
University of Wisconsin-Madison 1984 — 1985
JD, Law
Rochester Institute of Technology 1973 — 1975
BS, Management
Connor Raso Connor Raso's US Securities and Exchange Commission Experience October 2014 - Present
Job Counsel at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission October 2014 - Present
Consumer Financial Protection Bureau September 2011 - September 2014
U.S. Court of Appeals 2010 - 2011
Covington & Burling May 2008 - July 2008
FCC Office of Commissioner Copps June 2007 - August 2007
Democratic National Committee January 2003 - June 2003
Tim Johnson for Senate May 2002 - November 2002
Skills
Public Policy, Administrative Law, Legal Research, Legal Writing, Political Science, Policy, Government, Legislative Relations, Legislation, Financial Regulation, Policy Analysis, Statistics, Politics, Litigation, Lawyer, Consumer Financial..., Regulation, Consumer Financial..., Econometrics, Banking, Cost Benefit, Legal Compliance, Securities Regulation, Securities Litigation, SEC
Education
Stanford University 2004 — 2010
PhD, Political
Yale Law School 2006 — 2009
JD, Law
Victoria University of Wellington 2003 — 2004
MA, Political Science
Washington University in St. Louis 1998 — 2002
BSBA, Finance
U.S. Securities and Exchange Commission October 2014 - Present
Consumer Financial Protection Bureau September 2011 - September 2014
U.S. Court of Appeals 2010 - 2011
Covington & Burling May 2008 - July 2008
FCC Office of Commissioner Copps June 2007 - August 2007
Democratic National Committee January 2003 - June 2003
Tim Johnson for Senate May 2002 - November 2002
Skills
Public Policy, Administrative Law, Legal Research, Legal Writing, Political Science, Policy, Government, Legislative Relations, Legislation, Financial Regulation, Policy Analysis, Statistics, Politics, Litigation, Lawyer, Consumer Financial..., Regulation, Consumer Financial..., Econometrics, Banking, Cost Benefit, Legal Compliance, Securities Regulation, Securities Litigation, SEC
Education
Stanford University 2004 — 2010
PhD, Political
Yale Law School 2006 — 2009
JD, Law
Victoria University of Wellington 2003 — 2004
MA, Political Science
Washington University in St. Louis 1998 — 2002
BSBA, Finance
Nick Balamaci Nick Balamaci's US Securities and Exchange Commission Experience 1994 - 1997
Job VP, Head of Internal Communications at Federal Reserve Bank of New York
Industry Financial Services
Experience
Federal Reserve Bank of New York April 2012 - Present
WILLIS GROUP HOLDINGS June 2010 - March 2012
RBS AMERICAS & CITIZENS FINANCIAL GROUP 2007 - 2009
CITIGROUP 2000 - 2007
MERRILL LYNCH & CO 1997 - 2000
U.S. SECURITIES AND EXCHANGE COMMISSION 1994 - 1997
PORT AUTHORITY OF NEW YORK & NEW JERSEY 1993 - 1994
OFFICE OF THE MAYOR, CITY OF NEW YORK 1989 - 1993
Skills
Government Relations, Community Relations, Philanthropy, Sponsorship, Internal Communications, Corporate Communications, Speech Writing
Education
Rutgers, The State University of New Jersey-New Brunswick 1986 — 1990
Master of Arts, European History
Queens College, CUNY 1982 — 1986
Bachelor of Arts, History
Federal Reserve Bank of New York April 2012 - Present
WILLIS GROUP HOLDINGS June 2010 - March 2012
RBS AMERICAS & CITIZENS FINANCIAL GROUP 2007 - 2009
CITIGROUP 2000 - 2007
MERRILL LYNCH & CO 1997 - 2000
U.S. SECURITIES AND EXCHANGE COMMISSION 1994 - 1997
PORT AUTHORITY OF NEW YORK & NEW JERSEY 1993 - 1994
OFFICE OF THE MAYOR, CITY OF NEW YORK 1989 - 1993
Skills
Government Relations, Community Relations, Philanthropy, Sponsorship, Internal Communications, Corporate Communications, Speech Writing
Education
Rutgers, The State University of New Jersey-New Brunswick 1986 — 1990
Master of Arts, European History
Queens College, CUNY 1982 — 1986
Bachelor of Arts, History
Kasia (Benson) Moore's US Securities and Exchange Commission Experience June 2005 - August 2005
Job Director, Chief Counsel for LII Commercial, Worldwide Sourcing and IT at Lennox International
Industry Law Practice
Experience
Lennox International January 2013 - Present
Lennox International June 2012 - January 2013
Essilor of America November 2009 - June 2012
Wardrobe Peace 2008 - December 2010
Andrews Kurth LLP August 2007 - November 2009
Federal Trade Commission January 2007 - April 2007
Andrews Kurth LLP July 2006 - August 2006
Perkins Coie LLP May 2006 - July 2006
drugstore.com, inc. June 2004 - April 2006
U.S. Securities and Exchange Commission June 2005 - August 2005
Skills
Intellectual Property, Securities, Compliance, Contract Negotiation, Mergers, Licensing, Strategic Planning, Corporate Law, Contract Management, Healthcare, Medical Devices, Corporate Finance, Business Strategy, Financial Analysis, Risk Management, Negotiation, Corporate Governance, Mergers & Acquisitions, Strategy, Cross-functional Team..., Securities Regulation, Litigation, Commercial Litigation, Due Diligence, Management, Analysis, Policy, Executive Management, Training, Start-ups, Joint Ventures, Restructuring, Finance, Patents, Employment Law, Private Equity, Bankruptcy, Privacy Law, Real Estate, Competition Law, Patent Litigation, Legal Documents, Legal Advice, Legal Writing, Legal Compliance, Mediation, Legal Research, Trade Secrets, International Law, Legal Assistance
Education
Albers School of Business and Economics (Seattle University) 2004 — 2007
Master of Science in Finance, Corporate Finance
Seattle University School of Law 2003 — 2007
JD, cum laude, Corporate and Securities Law
University of Washington 1997 — 2001
Bachelor of the Arts, Biological Anthropology and Biochemistry
Lennox International January 2013 - Present
Lennox International June 2012 - January 2013
Essilor of America November 2009 - June 2012
Wardrobe Peace 2008 - December 2010
Andrews Kurth LLP August 2007 - November 2009
Federal Trade Commission January 2007 - April 2007
Andrews Kurth LLP July 2006 - August 2006
Perkins Coie LLP May 2006 - July 2006
drugstore.com, inc. June 2004 - April 2006
U.S. Securities and Exchange Commission June 2005 - August 2005
Skills
Intellectual Property, Securities, Compliance, Contract Negotiation, Mergers, Licensing, Strategic Planning, Corporate Law, Contract Management, Healthcare, Medical Devices, Corporate Finance, Business Strategy, Financial Analysis, Risk Management, Negotiation, Corporate Governance, Mergers & Acquisitions, Strategy, Cross-functional Team..., Securities Regulation, Litigation, Commercial Litigation, Due Diligence, Management, Analysis, Policy, Executive Management, Training, Start-ups, Joint Ventures, Restructuring, Finance, Patents, Employment Law, Private Equity, Bankruptcy, Privacy Law, Real Estate, Competition Law, Patent Litigation, Legal Documents, Legal Advice, Legal Writing, Legal Compliance, Mediation, Legal Research, Trade Secrets, International Law, Legal Assistance
Education
Albers School of Business and Economics (Seattle University) 2004 — 2007
Master of Science in Finance, Corporate Finance
Seattle University School of Law 2003 — 2007
JD, cum laude, Corporate and Securities Law
University of Washington 1997 — 2001
Bachelor of the Arts, Biological Anthropology and Biochemistry
Emily R. Steed Compliance and Process Specialist Emily R. Steed Compliance and Process Specialist's US Securities and Exchange Commission Experience January 2000 - March 2003
Job Attorney specializing in strengthening & scaling policies, processes & training. Avoid missteps. Former SEC, KPMG, CCO.
Industry Management Consulting
Experience
Compliance and Operational Effectiveness Specialist - Strengthening Policies, Processes and Training August 2014 - Present
WGBH Educational Foundation, Public TV and Radio Broadcaster (NPR / PBS) June 2013 - July 2014
Commonwealth of Massachusetts January 2012 - June 2013
New York City Council May 2009 - October 2010
Daylight Forensic & Advisory LLC June 2007 - February 2009
KPMG Forensic March 2003 - June 2007
U.S. Securities and Exchange Commission January 2000 - March 2003
Massachusetts General Hospital 2003 - 2003
Skadden Arps 1998 - 2000
Heenan Blaikie LLP 1997 - 1998
Skills
Risk Assessment, Risk Management, Fraud, Policy, Auditing, Due Diligence, Corporate Governance, Disclosure, Forensic Accounting, Bribery, Internal Controls, Management, Ethics, Securities Regulation, Business Process Design, Process Improvement, Financial Risk, Fraud Prevention, Legal Compliance, Policies & Procedures, Business Process...
Education
University of Toronto 1996 — 1997
LL.M., Masters in Law - Thesis - Defining Genuine Consent
Queen's University 1990 — 1993
JD, Law
University of Toronto - Victoria University 1986 — 1990
B.A. (Hons.), Philosophy (Ethics)
Compliance and Operational Effectiveness Specialist - Strengthening Policies, Processes and Training August 2014 - Present
WGBH Educational Foundation, Public TV and Radio Broadcaster (NPR / PBS) June 2013 - July 2014
Commonwealth of Massachusetts January 2012 - June 2013
New York City Council May 2009 - October 2010
Daylight Forensic & Advisory LLC June 2007 - February 2009
KPMG Forensic March 2003 - June 2007
U.S. Securities and Exchange Commission January 2000 - March 2003
Massachusetts General Hospital 2003 - 2003
Skadden Arps 1998 - 2000
Heenan Blaikie LLP 1997 - 1998
Skills
Risk Assessment, Risk Management, Fraud, Policy, Auditing, Due Diligence, Corporate Governance, Disclosure, Forensic Accounting, Bribery, Internal Controls, Management, Ethics, Securities Regulation, Business Process Design, Process Improvement, Financial Risk, Fraud Prevention, Legal Compliance, Policies & Procedures, Business Process...
Education
University of Toronto 1996 — 1997
LL.M., Masters in Law - Thesis - Defining Genuine Consent
Queen's University 1990 — 1993
JD, Law
University of Toronto - Victoria University 1986 — 1990
B.A. (Hons.), Philosophy (Ethics)
Kevin D. Rosen's US Securities and Exchange Commission Experience June 1994 - August 1994
Job Senior Regional Counsel at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) April 2013 - Present
Financial Industry Regulatory Authority (FINRA) April 2000 - March 2013
Moody, Jones, Montefusco & Krause, P.A. 1998 - 2000
Florida Department of Banking and Finance 1995 - 1998
U.S. Securities and Exchange Commission June 1994 - August 1994
Office of the State Attorney, 17th Judicial Circuit Florida January 1994 - May 1994
Skills
Securities Regulation, Cyber-security, Arbitration, Securities, Securities Litigation, Commercial Litigation, Corporate Governance, Dispute Resolution, Litigation, Fraud, Anti Money Laundering, Financial Regulation, Privacy Law, Trials, Depositions
Education
Nova Southeastern University Shepard Broad College of Law 1992 — 1995
Juris Doctor (J.D.), Law
University of Florida 1988 — 1992
Bachelor’s Degree, Finance, General
Financial Industry Regulatory Authority (FINRA) April 2013 - Present
Financial Industry Regulatory Authority (FINRA) April 2000 - March 2013
Moody, Jones, Montefusco & Krause, P.A. 1998 - 2000
Florida Department of Banking and Finance 1995 - 1998
U.S. Securities and Exchange Commission June 1994 - August 1994
Office of the State Attorney, 17th Judicial Circuit Florida January 1994 - May 1994
Skills
Securities Regulation, Cyber-security, Arbitration, Securities, Securities Litigation, Commercial Litigation, Corporate Governance, Dispute Resolution, Litigation, Fraud, Anti Money Laundering, Financial Regulation, Privacy Law, Trials, Depositions
Education
Nova Southeastern University Shepard Broad College of Law 1992 — 1995
Juris Doctor (J.D.), Law
University of Florida 1988 — 1992
Bachelor’s Degree, Finance, General
Rob Lydick Rob Lydick's US Securities and Exchange Commission Experience August 1995 - June 1997
Job Partner, Corporate and Securities Practice Group at Jackson Walker L.L.P.
Industry Investment Management
Experience
Jackson Walker L.L.P. February 2015 - Present
H/FW Capital Partners, LP 2001 - Present
Corriente Advisors, LLC March 2008 - December 2012
Kelly Hart & Hallman LLP June 1997 - March 2008
U.S. Securities and Exchange Commission August 1995 - June 1997
Skills
Mergers, Corporate Law, Contract Negotiation, Real Estate, Litigation, Commercial Litigation, Leases, Legal Research, Hedge Funds, Due Diligence, Private Equity, Alternative Investments, Legal Writing, Securities Regulation, Investment Management, Joint Ventures, Mergers & Acquisitions, Corporate Governance, Investments, Securities, Venture Capital, Acquisitions, Negotiation
Education
Pepperdine University School of Law 1992 — 1995
Juris Doctorate
The University of Texas at Austin 1987 — 1991
Bachelor of Arts, International Business
Jackson Walker L.L.P. February 2015 - Present
H/FW Capital Partners, LP 2001 - Present
Corriente Advisors, LLC March 2008 - December 2012
Kelly Hart & Hallman LLP June 1997 - March 2008
U.S. Securities and Exchange Commission August 1995 - June 1997
Skills
Mergers, Corporate Law, Contract Negotiation, Real Estate, Litigation, Commercial Litigation, Leases, Legal Research, Hedge Funds, Due Diligence, Private Equity, Alternative Investments, Legal Writing, Securities Regulation, Investment Management, Joint Ventures, Mergers & Acquisitions, Corporate Governance, Investments, Securities, Venture Capital, Acquisitions, Negotiation
Education
Pepperdine University School of Law 1992 — 1995
Juris Doctorate
The University of Texas at Austin 1987 — 1991
Bachelor of Arts, International Business
David Will David Will's US Securities and Exchange Commission Experience May 2015 - July 2015
Job Law Student, University of Virginia School of Law
Industry Law Practice
Experience
U.S. Securities and Exchange Commission May 2015 - July 2015
Swedish Parliament June 2013 - August 2013
Institute for Justice May 2012 - August 2012
Ronald Reagan Centennial National Youth Leadership Committee May 2010 - June 2012
Ruder Finn June 2011 - August 2011
The Laura Ingraham Show May 2010 - June 2010
Skills
Digital Media, Social Media, Research, Public Speaking, Radio, Microsoft Excel, Blogging, Public Relations, Microsoft Office, Politics, Facebook, Event Management, Event Planning, Social Media Marketing, Fundraising, Marketing, Editing, Press Releases, Spanish, Crisis Communications, Social Networking, Community Outreach, Nonprofits, Political Science, Public Policy, Policy Analysis, Leadership, Marketing Communications, Creative Writing, Publicity, Strategic Communications, Media Relations, Speech Writing, Message Development
Education
University of Virginia School of Law 2014 — 2017
Doctor of Law (J.D.)
Princeton University 2010 — 2014
Religion, Politics, Philosophy, Religion, Senior
U.S. Securities and Exchange Commission May 2015 - July 2015
Swedish Parliament June 2013 - August 2013
Institute for Justice May 2012 - August 2012
Ronald Reagan Centennial National Youth Leadership Committee May 2010 - June 2012
Ruder Finn June 2011 - August 2011
The Laura Ingraham Show May 2010 - June 2010
Skills
Digital Media, Social Media, Research, Public Speaking, Radio, Microsoft Excel, Blogging, Public Relations, Microsoft Office, Politics, Facebook, Event Management, Event Planning, Social Media Marketing, Fundraising, Marketing, Editing, Press Releases, Spanish, Crisis Communications, Social Networking, Community Outreach, Nonprofits, Political Science, Public Policy, Policy Analysis, Leadership, Marketing Communications, Creative Writing, Publicity, Strategic Communications, Media Relations, Speech Writing, Message Development
Education
University of Virginia School of Law 2014 — 2017
Doctor of Law (J.D.)
Princeton University 2010 — 2014
Religion, Politics, Philosophy, Religion, Senior
Angelo Aratan Angelo Aratan's US Securities and Exchange Commission Experience August 2015 - Present
Job U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission August 2015 - Present
Orrick, Herrington & Sutcliffe LLP May 2015 - July 2015
Norvell IP llc September 2014 - May 2015
Hewlett-Packard May 2014 - August 2014
Pillsbury Winthrop Shaw Pittman May 2010 - July 2013
Bank of America December 2007 - November 2008
Hype Creative Agency June 2006 - August 2007
Education
Northwestern University School of Law 2014 — 2016
Juris Doctor (J.D.)
University of California, Hastings College of the Law 2013 — 2014
Juris Doctor (J.D.)
University of California, Berkeley
Bachelor of Arts (B.A.)
U.S. Securities and Exchange Commission August 2015 - Present
Orrick, Herrington & Sutcliffe LLP May 2015 - July 2015
Norvell IP llc September 2014 - May 2015
Hewlett-Packard May 2014 - August 2014
Pillsbury Winthrop Shaw Pittman May 2010 - July 2013
Bank of America December 2007 - November 2008
Hype Creative Agency June 2006 - August 2007
Education
Northwestern University School of Law 2014 — 2016
Juris Doctor (J.D.)
University of California, Hastings College of the Law 2013 — 2014
Juris Doctor (J.D.)
University of California, Berkeley
Bachelor of Arts (B.A.)
Patrick Gant Patrick Gant's US Securities and Exchange Commission Experience June 2014 - August 2014
Job Student Athlete at Prairie View A&M University
Industry Sports
Experience
Nike May 2015 - Present
Prairie View A&M University August 2011 - Present
U.S. Securities and Exchange Commission June 2014 - August 2014
Florida State Law School Summer for Undergraduates Program May 2014 - June 2014
Xian International Studies University May 2012 - July 2012
Morgan Stanley April 2012 - April 2012
Skills
Sports, Time Management, Athletics, Public Speaking, PowerPoint, Microsoft Word, Microsoft Office, Customer Service, Microsoft Excel, Event Planning, Social Networking, Leadership, Research, Teamwork
Education
Prairie View A&M University 2011 — 2015
Bachelor of Arts (BA), Political Science, 3.72
Nike May 2015 - Present
Prairie View A&M University August 2011 - Present
U.S. Securities and Exchange Commission June 2014 - August 2014
Florida State Law School Summer for Undergraduates Program May 2014 - June 2014
Xian International Studies University May 2012 - July 2012
Morgan Stanley April 2012 - April 2012
Skills
Sports, Time Management, Athletics, Public Speaking, PowerPoint, Microsoft Word, Microsoft Office, Customer Service, Microsoft Excel, Event Planning, Social Networking, Leadership, Research, Teamwork
Education
Prairie View A&M University 2011 — 2015
Bachelor of Arts (BA), Political Science, 3.72
Corey Trail Corey Trail's US Securities and Exchange Commission Experience August 2015 - Present
Job Legal Extern at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission August 2015 - Present
New York City Law Department June 2015 - July 2015
Robert P. Macchia and Associates April 2012 - July 2014
Sports and Arts in Schools Foundation January 2008 - April 2012
Sweeny, Gallow, Reich & Bolz, LLP December 2010 - September 2011
Queens County District Attorney's Office July 2007 - August 2007
Skills
Tutoring, Teaching, Westlaw, Legal Research, Microsoft Office, Litigation, Legal Documents, Wordperfect, Arbitration, English, Nonprofits, Community Outreach, Research, Public Speaking
Education
St. John's University School of Law 2014 — 2017
Doctor of Law (J.D.)
St. John's University 2007 — 2011
Bachelor of Science, Legal Studies, Business Administration
Flushing High School 2003 — 2007
U.S. Securities and Exchange Commission August 2015 - Present
New York City Law Department June 2015 - July 2015
Robert P. Macchia and Associates April 2012 - July 2014
Sports and Arts in Schools Foundation January 2008 - April 2012
Sweeny, Gallow, Reich & Bolz, LLP December 2010 - September 2011
Queens County District Attorney's Office July 2007 - August 2007
Skills
Tutoring, Teaching, Westlaw, Legal Research, Microsoft Office, Litigation, Legal Documents, Wordperfect, Arbitration, English, Nonprofits, Community Outreach, Research, Public Speaking
Education
St. John's University School of Law 2014 — 2017
Doctor of Law (J.D.)
St. John's University 2007 — 2011
Bachelor of Science, Legal Studies, Business Administration
Flushing High School 2003 — 2007
Steven Sabel's US Securities and Exchange Commission Experience May 2014 - August 2014
Job J.D. Candidate at UCLA School of Law
Industry Legal Services
Experience
Bet Tzedek Legal Services March 2015 - March 2015
U.S. Securities and Exchange Commission May 2014 - August 2014
PROTECTION LAW GROUP, LLP February 2014 - May 2014
Autodesk May 2013 - August 2013
Legal Aid of Marin December 2012 - December 2012
Watsonville Law Center November 2012 - November 2012
Purchase Fire Department October 2008 - July 2012
Skills
Legal Research, Legal Writing, Legal Issues, Public Speaking, Litigation, Securities Litigation, Securities Enforcement, Trial Advocacy, Research, Lexis, International Law, Westlaw, Firefighting, LexisNexis, Teamwork
Education
UCLA School of Law 2013 — 2015
Juris Doctorate (J.D.)
SUNY Purchase 2006 — 2010
Bachelor of Arts (B.A.), Political Science
Bet Tzedek Legal Services March 2015 - March 2015
U.S. Securities and Exchange Commission May 2014 - August 2014
PROTECTION LAW GROUP, LLP February 2014 - May 2014
Autodesk May 2013 - August 2013
Legal Aid of Marin December 2012 - December 2012
Watsonville Law Center November 2012 - November 2012
Purchase Fire Department October 2008 - July 2012
Skills
Legal Research, Legal Writing, Legal Issues, Public Speaking, Litigation, Securities Litigation, Securities Enforcement, Trial Advocacy, Research, Lexis, International Law, Westlaw, Firefighting, LexisNexis, Teamwork
Education
UCLA School of Law 2013 — 2015
Juris Doctorate (J.D.)
SUNY Purchase 2006 — 2010
Bachelor of Arts (B.A.), Political Science
James Hoffmeister James Hoffmeister's US Securities and Exchange Commission Experience June 2003 - June 2005
Job Global Corporate Controller at Visa
Industry Information Technology and Services
Experience
Visa February 2008 - Present
PwC June 2005 - February 2008
U.S. Securities and Exchange Commission June 2003 - June 2005
Skills
Management, Project Management, Financial Analysis, Business Strategy, Accounting, Strategic Planning, Risk Management, Financial Reporting, Analysis, Finance
Education
Penn State University 1990 — 1994
Bachelor of Science (BS), Accounting and Finance
Visa February 2008 - Present
PwC June 2005 - February 2008
U.S. Securities and Exchange Commission June 2003 - June 2005
Skills
Management, Project Management, Financial Analysis, Business Strategy, Accounting, Strategic Planning, Risk Management, Financial Reporting, Analysis, Finance
Education
Penn State University 1990 — 1994
Bachelor of Science (BS), Accounting and Finance
Julia Maas Julia Maas's US Securities and Exchange Commission Experience June 2013 - August 2013
Job Student at The College of William and Mary The Mason School of Business
Industry Accounting
Experience
St. Mary's College of Maryland September 2012 - May 2015
Chesapeake Orchestra June 2014 - August 2014
U.S. Securities and Exchange Commission June 2013 - August 2013
Upper Crust Bakery June 2010 - January 2013
Cook Ross, Inc September 2010 - August 2011
Education
The College of William and Mary - The Mason School of Business 2015 — 2016
Master’s Degree, Accounting
St. Mary's College of Maryland 2011 — 2015
Bachelor’s Degree, Economics and French Major; Mathematics and Music (Violin) Minor, 3.95
St. Mary's College of Maryland September 2012 - May 2015
Chesapeake Orchestra June 2014 - August 2014
U.S. Securities and Exchange Commission June 2013 - August 2013
Upper Crust Bakery June 2010 - January 2013
Cook Ross, Inc September 2010 - August 2011
Education
The College of William and Mary - The Mason School of Business 2015 — 2016
Master’s Degree, Accounting
St. Mary's College of Maryland 2011 — 2015
Bachelor’s Degree, Economics and French Major; Mathematics and Music (Violin) Minor, 3.95
Louis Labriola Louis Labriola's US Securities and Exchange Commission Experience September 2014 - November 2014
Job Summer Associate at Davis Polk & Wardwell LLP
Industry Law Practice
Experience
Davis Polk & Wardwell LLP May 2015 - Present
U.S. Securities and Exchange Commission September 2014 - November 2014
United States District Court for the Eastern District of New York May 2014 - August 2014
Lowers & Associates June 2012 - June 2013
New York State Assembly January 2012 - May 2012
Skills
Customer Satisfaction, Insurance, Operations Management, Risk Management, Public Speaking, Legal Research, Event Planning, Social Networking, Legal Writing, Social Media
Education
St. John's University School of Law 2013 — 2016
State University of New York at Albany 2008 — 2012
Bachelor of Arts (B.A.), Psychology
University of Westminster 2011 — 2011
Davis Polk & Wardwell LLP May 2015 - Present
U.S. Securities and Exchange Commission September 2014 - November 2014
United States District Court for the Eastern District of New York May 2014 - August 2014
Lowers & Associates June 2012 - June 2013
New York State Assembly January 2012 - May 2012
Skills
Customer Satisfaction, Insurance, Operations Management, Risk Management, Public Speaking, Legal Research, Event Planning, Social Networking, Legal Writing, Social Media
Education
St. John's University School of Law 2013 — 2016
State University of New York at Albany 2008 — 2012
Bachelor of Arts (B.A.), Psychology
University of Westminster 2011 — 2011
David W. Zukowski, CFE David W. Zukowski, CFE's US Securities and Exchange Commission Experience June 2014 - June 2015
Job Assistant National Bank Examiner at Office of the Comptroller of the Currency
Industry Banking
Experience
Office of the Comptroller of the Currency June 2015 - Present
U.S. Securities and Exchange Commission June 2014 - June 2015
BPE (Boston) July 2013 - June 2014
U.S. Coast Guard May 2008 - May 2013
Skills
Financial Analysis, Accounting, Military Operations, National Security, Command, Interagency Coordination
Education
Penn State University 2015 — 2017
Master of Finance (MFin)
Salem State University 2014 — 2015
Bertolon School of Business, Accounting Certificate
US Coast Guard Academy 2004 — 2008
BS, Government
Office of the Comptroller of the Currency June 2015 - Present
U.S. Securities and Exchange Commission June 2014 - June 2015
BPE (Boston) July 2013 - June 2014
U.S. Coast Guard May 2008 - May 2013
Skills
Financial Analysis, Accounting, Military Operations, National Security, Command, Interagency Coordination
Education
Penn State University 2015 — 2017
Master of Finance (MFin)
Salem State University 2014 — 2015
Bertolon School of Business, Accounting Certificate
US Coast Guard Academy 2004 — 2008
BS, Government
Damian Lewandowski Damian Lewandowski's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Federal Financial Analyst at Accenture
Industry Financial Services
Experience
Accenture June 2015 - Present
Federal Deposit Insurance Corporation September 2014 - May 2015
U.S. Securities and Exchange Commission January 2014 - April 2014
MB Financial Bank February 2011 - August 2012
Parkway Bank & Trust Company February 2010 - December 2010
Education
University of Illinois at Chicago 2012 — 2014
Bachelor's Degree, Accounting
Oakton Community College 2010 — 2012
Associate's Degree, Concentration in Business, 3.03
Accenture June 2015 - Present
Federal Deposit Insurance Corporation September 2014 - May 2015
U.S. Securities and Exchange Commission January 2014 - April 2014
MB Financial Bank February 2011 - August 2012
Parkway Bank & Trust Company February 2010 - December 2010
Education
University of Illinois at Chicago 2012 — 2014
Bachelor's Degree, Accounting
Oakton Community College 2010 — 2012
Associate's Degree, Concentration in Business, 3.03
Abdon Bolivar Abdon Bolivar's US Securities and Exchange Commission Experience 1994 - 1998
Job Founder of Incentive Assurance LLC
Industry Investment Management
Experience
Incentive Assurance LLC 2013 - Present
AQR Capital Management 2002 - 2013
Invesco US 1999 - 2002
Deloitte 1998 - 1999
U.S. Securities and Exchange Commission 1994 - 1998
Skills
Hedge Funds
Education
Queens College
Bachelor's Degree, Accounting
Incentive Assurance LLC 2013 - Present
AQR Capital Management 2002 - 2013
Invesco US 1999 - 2002
Deloitte 1998 - 1999
U.S. Securities and Exchange Commission 1994 - 1998
Skills
Hedge Funds
Education
Queens College
Bachelor's Degree, Accounting
Alice Parker's US Securities and Exchange Commission Experience September 2014 - November 2014
Job Student at SMU Dedman School of Law
Industry Law Practice
Experience
SMU Dedman School of Law August 2012 - Present
U.S. Securities and Exchange Commission September 2014 - November 2014
ERCOT May 2014 - August 2014
Justice Kerry FitzGerald - Court of Appeals for the Fifth District of Texas July 2013 - July 2013
Justice Elizabeth Lang-Miers - Court of Appeals for the Fifth District of Texas May 2013 - June 2013
Western National Bank (now part of Frost Bank) June 2009 - July 2012
Skills
Credit Analysis, Financial Analysis, Cash Flow Lending, Sensitivity Analysis, Legal Research Skills, Legal Writing, Commercial Lending, Recruiting, Hiring Employees, Supervisory Skills
Education
Southern Methodist University 2012 — 2016
Juris Doctor, Law
University of St. Thomas (TX) 2007 — 2009
Master of Business Administration (M.B.A.), Finance
Texas A&M University 2003 — 2007
Bachelor of Business Administration (B.B.A.), Management
SMU Dedman School of Law August 2012 - Present
U.S. Securities and Exchange Commission September 2014 - November 2014
ERCOT May 2014 - August 2014
Justice Kerry FitzGerald - Court of Appeals for the Fifth District of Texas July 2013 - July 2013
Justice Elizabeth Lang-Miers - Court of Appeals for the Fifth District of Texas May 2013 - June 2013
Western National Bank (now part of Frost Bank) June 2009 - July 2012
Skills
Credit Analysis, Financial Analysis, Cash Flow Lending, Sensitivity Analysis, Legal Research Skills, Legal Writing, Commercial Lending, Recruiting, Hiring Employees, Supervisory Skills
Education
Southern Methodist University 2012 — 2016
Juris Doctor, Law
University of St. Thomas (TX) 2007 — 2009
Master of Business Administration (M.B.A.), Finance
Texas A&M University 2003 — 2007
Bachelor of Business Administration (B.B.A.), Management
Ali Panjwani's US Securities and Exchange Commission Experience June 2015 - August 2015
Job Data Science, Quantitative Research, Financial Modeling I MPP Candidate UCLA
Industry Information Services
Experience
UCLA April 2015 - Present
UCLA Luskin Center for Innovation January 2015 - Present
U.S. Securities and Exchange Commission June 2015 - August 2015
Pixineo July 2012 - March 2014
Balfour Beatty February 2009 - April 2012
Bank of America June 2008 - August 2008
Skills
Entrepreneurship, Project Management, Strategy, Statistical Data..., Finance, Financial Analysis, Business Planning, Public Policy, Financial Modeling, Economics, Creative Strategy, Business, Analytics, Start-ups, CRM, Mergers & Acquisitions, Valuation, Due Diligence, Corporate Finance, Innovation, Business Strategy, Business Analysis, Analysis, Strategic Planning, Microsoft Office, Leadership, Management, Solar Energy, Policy Analysis
Education
UCLA Luskin School of Public Affairs 2014 — 2016
Master's Degree, Public Policy
Southern Methodist University - Cox School of Business 2005 — 2009
BBA, Finance
UCLA April 2015 - Present
UCLA Luskin Center for Innovation January 2015 - Present
U.S. Securities and Exchange Commission June 2015 - August 2015
Pixineo July 2012 - March 2014
Balfour Beatty February 2009 - April 2012
Bank of America June 2008 - August 2008
Skills
Entrepreneurship, Project Management, Strategy, Statistical Data..., Finance, Financial Analysis, Business Planning, Public Policy, Financial Modeling, Economics, Creative Strategy, Business, Analytics, Start-ups, CRM, Mergers & Acquisitions, Valuation, Due Diligence, Corporate Finance, Innovation, Business Strategy, Business Analysis, Analysis, Strategic Planning, Microsoft Office, Leadership, Management, Solar Energy, Policy Analysis
Education
UCLA Luskin School of Public Affairs 2014 — 2016
Master's Degree, Public Policy
Southern Methodist University - Cox School of Business 2005 — 2009
BBA, Finance
Joseph Darragh, CFE Joseph Darragh, CFE's US Securities and Exchange Commission Experience Fraud InvestigatorU.S. Securities and Exchange CommissionNovember 2013 - Present
Job Fraud Analyst and Certified Fraud Examiner
Industry Security and Investigations
Experience
U.S. Securities and Exchange Commission Fraud InvestigatorU.S. Securities and Exchange CommissionNovember 2013 - Present
Internal Revenue Service August 2009 - November 2013
Redendo's Brick Oven Pizzeria and Restaurant August 2001 - August 2009
Skills
Financial Analysis, Accounting, Business Analysis, Income Tax, Finance, Payroll, Internal Audit, Tax, Certified Fraud Examiner, Anti Money Laundering, Fraud Detection, Interviewing Skills, KYC, Financial Reporting, Financial Accounting, Investments, Investigation, Computer Proficiency, Love to Cook, Subpoenas, Legal Writing, Databases, Data Analysis, Interviews, Management, Economics, Computers, Fraud, AML, Anti-corruption, Microsoft Excel, Analysis, Microsoft Office
Education
University of Phoenix 2009 — 2010
Master of Science in Accountancy, Accounting
Pace University - Lubin School of Business 2006 — 2009
BBA, Finance, Economics
Quinnipiac University 2003 — 2007
Carmel High School
Westchester Community College
Associate, Marketing
U.S. Securities and Exchange Commission Fraud InvestigatorU.S. Securities and Exchange CommissionNovember 2013 - Present
Internal Revenue Service August 2009 - November 2013
Redendo's Brick Oven Pizzeria and Restaurant August 2001 - August 2009
Skills
Financial Analysis, Accounting, Business Analysis, Income Tax, Finance, Payroll, Internal Audit, Tax, Certified Fraud Examiner, Anti Money Laundering, Fraud Detection, Interviewing Skills, KYC, Financial Reporting, Financial Accounting, Investments, Investigation, Computer Proficiency, Love to Cook, Subpoenas, Legal Writing, Databases, Data Analysis, Interviews, Management, Economics, Computers, Fraud, AML, Anti-corruption, Microsoft Excel, Analysis, Microsoft Office
Education
University of Phoenix 2009 — 2010
Master of Science in Accountancy, Accounting
Pace University - Lubin School of Business 2006 — 2009
BBA, Finance, Economics
Quinnipiac University 2003 — 2007
Carmel High School
Westchester Community College
Associate, Marketing
Helen Barnhill Helen Barnhill's US Securities and Exchange Commission Experience August 1990 - December 1994
Job Associate General Counsel at TIAACref
Industry Financial Services
Experience
TIAA-Cref October 2014 - Present
Financial Industry Regulatory Authority May 1999 - October 2014
Prudential Securities Incorporated January 1995 - March 1999
U.S. Securities and Exchange Commission August 1990 - December 1994
Peterson, Ross, Schloerb & Seidel June 1988 - July 1990
Office of U.S. Senator Bill Bradley January 1988 - May 1988
Skills
Legal Research, Legal Writing, Securities Regulation, Litigation, Private Investigations, SEC, Risk Management, FINRA, Policy, Insurance, Dispute Resolution, Contract Negotiation, Broker-Dealer, Legal Issues, Securities
Education
Washington University School of Law
J.D
Smith College
B.A, Political Science
Marymount High School – International BaccalaureateLondon
TIAA-Cref October 2014 - Present
Financial Industry Regulatory Authority May 1999 - October 2014
Prudential Securities Incorporated January 1995 - March 1999
U.S. Securities and Exchange Commission August 1990 - December 1994
Peterson, Ross, Schloerb & Seidel June 1988 - July 1990
Office of U.S. Senator Bill Bradley January 1988 - May 1988
Skills
Legal Research, Legal Writing, Securities Regulation, Litigation, Private Investigations, SEC, Risk Management, FINRA, Policy, Insurance, Dispute Resolution, Contract Negotiation, Broker-Dealer, Legal Issues, Securities
Education
Washington University School of Law
J.D
Smith College
B.A, Political Science
Marymount High School – International BaccalaureateLondon
Robert Burrow Robert Burrow's US Securities and Exchange Commission Experience August 2013 - December 2013
Job Associate at Moore & Van Allen, PLLC
Industry Law Practice
Experience
Moore & Van Allen, PLLC September 2014 - Present
U.S. Securities and Exchange Commission August 2013 - December 2013
Education
University of North Carolina School of Law 2011 — 2014
Doctor of Law (JD)
Rice University 2007 — 2011
Bachelor of Arts (B.A.), Economics
Moore & Van Allen, PLLC September 2014 - Present
U.S. Securities and Exchange Commission August 2013 - December 2013
Education
University of North Carolina School of Law 2011 — 2014
Doctor of Law (JD)
Rice University 2007 — 2011
Bachelor of Arts (B.A.), Economics
Johnathan Jackson Johnathan Jackson's US Securities and Exchange Commission Experience May 1999 - Present
Job Sr. Staff Accountant at U.S. Securities and Exchange Commission
Industry Investment Management
Experience
Collegium Charter School June 2014 - Present
U.S. Securities and Exchange Commission May 1999 - Present
Skills
Phi Beta Kappa, Accounting, Financial Reporting, Financial Analysis, Financial Accounting, Account Reconciliation, Internal Controls, Auditing, General Ledger, Managerial Finance, IFRS, Tax, Cash Flow, Financial Statements, Financial Audits, Finance
Education
Temple University 1997 — 1999
Master of Business Administration (MBA)
Randolph-Macon College 1993 — 1997
Bachelor's degree, Economics
Collegium Charter School June 2014 - Present
U.S. Securities and Exchange Commission May 1999 - Present
Skills
Phi Beta Kappa, Accounting, Financial Reporting, Financial Analysis, Financial Accounting, Account Reconciliation, Internal Controls, Auditing, General Ledger, Managerial Finance, IFRS, Tax, Cash Flow, Financial Statements, Financial Audits, Finance
Education
Temple University 1997 — 1999
Master of Business Administration (MBA)
Randolph-Macon College 1993 — 1997
Bachelor's degree, Economics
Anton Heldmann Anton Heldmann's US Securities and Exchange Commission Experience May 2011 - May 2012
Job Senior Examiner at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority May 2012 - Present
U.S. Securities and Exchange Commission May 2011 - May 2012
Skills
Bloomberg, CRD, Derivatives, Fixed Income, Capital Markets, Microsoft Office, Access, Excel, SQL, VBA, Data Analysis, Financial Analysis, Research, Economics, Time Management, Securities Regulation, Compliance, FINRA, SEC, LexisNexis, Microsoft Excel, Securities, Financial Risk
Education
Seton Hall University 2008 — 2012
Bachelor of Science, Business Administration; Finance, Economics
Somerville High School 2004 — 2008
Financial Industry Regulatory Authority May 2012 - Present
U.S. Securities and Exchange Commission May 2011 - May 2012
Skills
Bloomberg, CRD, Derivatives, Fixed Income, Capital Markets, Microsoft Office, Access, Excel, SQL, VBA, Data Analysis, Financial Analysis, Research, Economics, Time Management, Securities Regulation, Compliance, FINRA, SEC, LexisNexis, Microsoft Excel, Securities, Financial Risk
Education
Seton Hall University 2008 — 2012
Bachelor of Science, Business Administration; Finance, Economics
Somerville High School 2004 — 2008
Michelle Munoz Durk Michelle Munoz Durk's US Securities and Exchange Commission Experience September 2015 - Present
Job Attorney at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission September 2015 - Present
Winston & Strawn LLP October 2012 - September 2015
U.S. District Court August 2012 - October 2012
U.S. District Court September 2011 - August 2012
Winston & Strawn LLP January 2011 - August 2011
Winston & Strawn LLP June 2009 - July 2009
Stanford Law School Immigrants' Rights Clinic January 2009 - May 2009
Hewlett-Packard Co. July 2008 - August 2008
U.S. District Court May 2008 - July 2008
Equal Justice Works January 2008 - May 2008
Skills
Litigation, Civil Litigation, Legal Research, Class Actions, Legal, Internal Investigations, Antitrust Law, White Collar Criminal..., Securities Fraud, Corporate Law, Legal Writing, Patent Litigation, Legal Issues, Commercial Litigation, Legal Assistance, Westlaw, Courts, Immigration Law, Motions, Financial Services..., Federal Court Practice
Education
Stanford University Law School 2007 — 2010
J.D., Law
University of Notre Dame 2003 — 2007
B.A., Political Science
U.S. Securities and Exchange Commission September 2015 - Present
Winston & Strawn LLP October 2012 - September 2015
U.S. District Court August 2012 - October 2012
U.S. District Court September 2011 - August 2012
Winston & Strawn LLP January 2011 - August 2011
Winston & Strawn LLP June 2009 - July 2009
Stanford Law School Immigrants' Rights Clinic January 2009 - May 2009
Hewlett-Packard Co. July 2008 - August 2008
U.S. District Court May 2008 - July 2008
Equal Justice Works January 2008 - May 2008
Skills
Litigation, Civil Litigation, Legal Research, Class Actions, Legal, Internal Investigations, Antitrust Law, White Collar Criminal..., Securities Fraud, Corporate Law, Legal Writing, Patent Litigation, Legal Issues, Commercial Litigation, Legal Assistance, Westlaw, Courts, Immigration Law, Motions, Financial Services..., Federal Court Practice
Education
Stanford University Law School 2007 — 2010
J.D., Law
University of Notre Dame 2003 — 2007
B.A., Political Science
Paul Catches Paul Catches's US Securities and Exchange Commission Experience April 2014 - Present
Job Contract Specialist
Industry Government Administration
Experience
U.S. Securities and Exchange Commission April 2014 - Present
ASI Government April 2012 - April 2014
Space Energy, Inc. April 2011 - August 2011
Space Energy, Inc. September 2009 - April 2011
Teatro ZinZanni May 2005 - February 2010
SF Department of the Environment September 2008 - July 2009
Skills
Strategy, Project Management, Management, Editing, Content Management, Energy, Research, Leadership, Software Documentation, Marketing, Public Relations, Microsoft Office, Solar Energy, CAD, Business Development, Change Management, Budgets, Industrial Design, Market Research, Product Design, Strategic Planning, Training
Education
The Catholic University of America 2012 — 2014
M.S. in Management, Federal Acquisition and Contract Management
San Francisco State University 2005 — 2009
B.S., Industrial and Product Design
Pacific Energy Center
U.S. Securities and Exchange Commission April 2014 - Present
ASI Government April 2012 - April 2014
Space Energy, Inc. April 2011 - August 2011
Space Energy, Inc. September 2009 - April 2011
Teatro ZinZanni May 2005 - February 2010
SF Department of the Environment September 2008 - July 2009
Skills
Strategy, Project Management, Management, Editing, Content Management, Energy, Research, Leadership, Software Documentation, Marketing, Public Relations, Microsoft Office, Solar Energy, CAD, Business Development, Change Management, Budgets, Industrial Design, Market Research, Product Design, Strategic Planning, Training
Education
The Catholic University of America 2012 — 2014
M.S. in Management, Federal Acquisition and Contract Management
San Francisco State University 2005 — 2009
B.S., Industrial and Product Design
Pacific Energy Center
Murthy Mantha Murthy Mantha's US Securities and Exchange Commission Experience July 2014 - Present
Job Sr. Lead ETL Consultant at U.S. Securities and Exchange Commission
Industry Information Technology and Services
Experience
U.S. Securities and Exchange Commission July 2014 - Present
Deloitte, Arlington September 2013 - June 2014
IntelliDyne February 2006 - June 2013
Sprint 2005 - 2007
Skills
Data Stage 9.1, Netezza
Education
Shivaji University
B.E, Computers
U.S. Securities and Exchange Commission July 2014 - Present
Deloitte, Arlington September 2013 - June 2014
IntelliDyne February 2006 - June 2013
Sprint 2005 - 2007
Skills
Data Stage 9.1, Netezza
Education
Shivaji University
B.E, Computers
Patrice M. Pitts Patrice M. Pitts's US Securities and Exchange Commission Experience May 1988 - May 1997
Job Insurance and Investment Management Regulation Attorney at Sutherland Asbill & Brennan LLP
Industry Law Practice
Experience
Sutherland Asbill & Brennan LLP CounselPorter Wright Morris & Arthur LLPMay 1997 - July 2000
U.S. Securities and Exchange Commission May 1988 - May 1997
Skills
Litigation, Financial Services, Investment Management, Securities Regulation, Corporate Law, Commercial Litigation, Legal Research, Policy Analysis, Insurance, Corporate Governance, Securities, Appeals, Securities Litigation, Legal Writing, Securities Offerings, Mergers & Acquisitions, Intellectual Property, Investment Company Act, Class Actions, Public Policy
Education
Yale University - Yale School of Management 1980 — 1983
MBA
Yale Law School 1979 — 1983
JD
Princeton University 1975 — 1979
AB, with honors, Woodrow Wilson School
Sutherland Asbill & Brennan LLP CounselPorter Wright Morris & Arthur LLPMay 1997 - July 2000
U.S. Securities and Exchange Commission May 1988 - May 1997
Skills
Litigation, Financial Services, Investment Management, Securities Regulation, Corporate Law, Commercial Litigation, Legal Research, Policy Analysis, Insurance, Corporate Governance, Securities, Appeals, Securities Litigation, Legal Writing, Securities Offerings, Mergers & Acquisitions, Intellectual Property, Investment Company Act, Class Actions, Public Policy
Education
Yale University - Yale School of Management 1980 — 1983
MBA
Yale Law School 1979 — 1983
JD
Princeton University 1975 — 1979
AB, with honors, Woodrow Wilson School
Devan Fogle Devan Fogle's US Securities and Exchange Commission Experience January 2015 - April 2015
Job J.D./ MBA Candidate at University of Baltimore School of Law
Industry Law Practice
Experience
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
University of Baltimore May 2013 - Present
Community Development Clinic January 2015 - May 2015
U.S. Securities and Exchange Commission January 2015 - April 2015
ConnectYourCare May 2014 - November 2014
John H. Denick & Associates December 2013 - April 2014
Maryland Office of the Public Defender, Felony Division May 2013 - August 2013
NJ American Civil Liberties Union January 2011 - May 2011
New Jersey Department of Community Affairs January 2011 - 2011
Skills
Microsoft Office, Government, Research, Politics, Corporate Law, Public Speaking, Policy, Data Analysis, Leadership, Analysis, Legal Research, PowerPoint, Legal Writing, LexisNexis, Westlaw, Microsoft Word
Education
University of Baltimore, Merrick School of Business 2013 — 2015
Master of Business Administration (MBA)
University of Baltimore 2012 — 2015
Doctor of Law (J.D.), Business Law
Rutgers University 2008 — 2012
Bachelor of Arts (B.A.), Political Science
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
University of Baltimore May 2013 - Present
Community Development Clinic January 2015 - May 2015
U.S. Securities and Exchange Commission January 2015 - April 2015
ConnectYourCare May 2014 - November 2014
John H. Denick & Associates December 2013 - April 2014
Maryland Office of the Public Defender, Felony Division May 2013 - August 2013
NJ American Civil Liberties Union January 2011 - May 2011
New Jersey Department of Community Affairs January 2011 - 2011
Skills
Microsoft Office, Government, Research, Politics, Corporate Law, Public Speaking, Policy, Data Analysis, Leadership, Analysis, Legal Research, PowerPoint, Legal Writing, LexisNexis, Westlaw, Microsoft Word
Education
University of Baltimore, Merrick School of Business 2013 — 2015
Master of Business Administration (MBA)
University of Baltimore 2012 — 2015
Doctor of Law (J.D.), Business Law
Rutgers University 2008 — 2012
Bachelor of Arts (B.A.), Political Science
Lesleigh Craft's US Securities and Exchange Commission Experience February 2015 - Present
Job Accountant at U.S. Securities and Exchange Commission
Industry Accounting
Experience
U.S. Securities and Exchange Commission February 2015 - Present
Kearney & Company May 2014 - Present
Kearney & Company January 2012 - May 2014
Skills
Accounting
Education
Radford University 2009 — 2011
Bachelor of Business Administration (BBA), Accounting
Virginia Western Community College 2005 — 2008
Associate of Science (AS), General Studies
U.S. Securities and Exchange Commission February 2015 - Present
Kearney & Company May 2014 - Present
Kearney & Company January 2012 - May 2014
Skills
Accounting
Education
Radford University 2009 — 2011
Bachelor of Business Administration (BBA), Accounting
Virginia Western Community College 2005 — 2008
Associate of Science (AS), General Studies
Jeff Ansley Jeff Ansley's US Securities and Exchange Commission Experience 2000 - 2002
Job Partner at Bell | Nunnally LLP
Industry Law Practice
Experience
Bell Nunnally LLP 2012 - Present
Curran Tomko Tarski LLP 2010 - 2012
Bracewell & Giuliani LLP 2008 - May 2010
United States Attorney's Office 2002 - 2008
U.S. Securities and Exchange Commission 2000 - 2002
Shannon, Gracey, Ratliff & Miller, LLP 1995 - 2000
Skills
Trial Practice, Securities, White Collar Criminal..., Internal Investigations, Criminal Law, Fraud, Investigations, Private Investigations, Litigation, Securities Regulation, Securities Litigation, Public Corruption, Civil Litigation, Commercial Litigation, Health Care Fraud, Enforcement, Trials, FCPA, Employment Law, Hearings, Criminal Defense, Courts, Curling, Competition Law, SEC, Legal Research, Licensing, Investigation, Trade Secrets, Business Litigation, Arbitration, Jury Trials, False Claims, Prosecution, Class Actions, Mediation, Appeals, Creditors' Rights, Dispute Resolution, Breach Of Contract, Torts, Unfair Competition, Bankruptcy, Legal Writing, Corporate Law, Non-compete Agreements, Dispute
Education
Southern Methodist University Dedman School of Law 1991 — 1994
JD, Law
Texas A&M University 1986 — 1991
BA
Nolan 1983 — 1986
Bell Nunnally LLP 2012 - Present
Curran Tomko Tarski LLP 2010 - 2012
Bracewell & Giuliani LLP 2008 - May 2010
United States Attorney's Office 2002 - 2008
U.S. Securities and Exchange Commission 2000 - 2002
Shannon, Gracey, Ratliff & Miller, LLP 1995 - 2000
Skills
Trial Practice, Securities, White Collar Criminal..., Internal Investigations, Criminal Law, Fraud, Investigations, Private Investigations, Litigation, Securities Regulation, Securities Litigation, Public Corruption, Civil Litigation, Commercial Litigation, Health Care Fraud, Enforcement, Trials, FCPA, Employment Law, Hearings, Criminal Defense, Courts, Curling, Competition Law, SEC, Legal Research, Licensing, Investigation, Trade Secrets, Business Litigation, Arbitration, Jury Trials, False Claims, Prosecution, Class Actions, Mediation, Appeals, Creditors' Rights, Dispute Resolution, Breach Of Contract, Torts, Unfair Competition, Bankruptcy, Legal Writing, Corporate Law, Non-compete Agreements, Dispute
Education
Southern Methodist University Dedman School of Law 1991 — 1994
JD, Law
Texas A&M University 1986 — 1991
BA
Nolan 1983 — 1986
Hardy Callcott Hardy Callcott's US Securities and Exchange Commission Experience 1994 - 1997
Job partner at Sidley Austin LLP
Industry Law Practice
Experience
Sidley Austin LLP April 2013 - Present
Bingham McCutchen 2003 - April 2013
Charles Schwab & Co., Inc. 1997 - 2003
U.S. Securities and Exchange Commission 1994 - 1997
Wilmer, Cutler & Pickering 1987 - 1994
U.S. District Court C.D. California 1986 - 1987
Education
Stanford University Law School 1983 — 1986
JD, Law
Yale University 1979 — 1983
B.A., History
Sidley Austin LLP April 2013 - Present
Bingham McCutchen 2003 - April 2013
Charles Schwab & Co., Inc. 1997 - 2003
U.S. Securities and Exchange Commission 1994 - 1997
Wilmer, Cutler & Pickering 1987 - 1994
U.S. District Court C.D. California 1986 - 1987
Education
Stanford University Law School 1983 — 1986
JD, Law
Yale University 1979 — 1983
B.A., History
Clayton Basser-Wall Clayton Basser-Wall's US Securities and Exchange Commission Experience December 2012 - April 2015
Job Vice President, Compliance, Ethics Policy
Industry Financial Services
Experience
Fidelity Investments April 2015 - Present
U.S. Securities and Exchange Commission December 2012 - April 2015
Wilson Sonsini Goodrich and Rosati April 2003 - December 2012
Brobeck, Phleger & Harrison 2000 - 2003
San Francisco Public Defender's Office June 1998 - August 1998
Skills
Securities Litigation, Securities Regulation, Commercial Litigation, Litigation, Class Actions, Corporate Governance, Arbitration, Civil Litigation, Intellectual Property, Corporate Law, Licensing, Mergers, Acquisitions, Business Litigation, Trial Practice, Legal Discovery, SEC filings, Depositions, Securities Exchange Act..., Due Diligence, Trade Secrets, Internal Investigations, Appeals, Legal Research, White Collar Criminal..., Legal Writing
Education
Vanderbilt University Law School 1997 — 2000
Doctor of Law (J.D.)
Sonoma State University 1992 — 1997
Bachelor of Arts (B.A.), Philosophy, Graduated cum laude and with distinction
Fidelity Investments April 2015 - Present
U.S. Securities and Exchange Commission December 2012 - April 2015
Wilson Sonsini Goodrich and Rosati April 2003 - December 2012
Brobeck, Phleger & Harrison 2000 - 2003
San Francisco Public Defender's Office June 1998 - August 1998
Skills
Securities Litigation, Securities Regulation, Commercial Litigation, Litigation, Class Actions, Corporate Governance, Arbitration, Civil Litigation, Intellectual Property, Corporate Law, Licensing, Mergers, Acquisitions, Business Litigation, Trial Practice, Legal Discovery, SEC filings, Depositions, Securities Exchange Act..., Due Diligence, Trade Secrets, Internal Investigations, Appeals, Legal Research, White Collar Criminal..., Legal Writing
Education
Vanderbilt University Law School 1997 — 2000
Doctor of Law (J.D.)
Sonoma State University 1992 — 1997
Bachelor of Arts (B.A.), Philosophy, Graduated cum laude and with distinction
Brian Fagel Brian Fagel's US Securities and Exchange Commission Experience November 2014 - Present
Job Assistant Director, Municipal Securities and Public Pensions Unit, Division of Enforcement
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission November 2014 - Present
U.S. Securities and Exchange Commission May 2010 - November 2014
Goldberg Kohn Ltd. January 2002 - May 2010
Education
The University of Chicago 1995 — 2000
Ph.D., English
The University of Chicago 1994 — 1995
M.A., English
University of Chicago Law School 1991 — 1994
J.D.
Stanford University 1987 — 1991
A.B., English
Highland Park High School 1983 — 1987
U.S. Securities and Exchange Commission November 2014 - Present
U.S. Securities and Exchange Commission May 2010 - November 2014
Goldberg Kohn Ltd. January 2002 - May 2010
Education
The University of Chicago 1995 — 2000
Ph.D., English
The University of Chicago 1994 — 1995
M.A., English
University of Chicago Law School 1991 — 1994
J.D.
Stanford University 1987 — 1991
A.B., English
Highland Park High School 1983 — 1987
Rebekah Toton Rebekah Toton's US Securities and Exchange Commission Experience September 2003 - September 2007
Job Director, Associate General Counsel at E*TRADE Financial
Industry Law Practice
Experience
E*TRADE Financial January 2014 - Present
O'Melveny & Myers LLP October 2007 - December 2013
U.S. Securities and Exchange Commission September 2003 - September 2007
Skills
Securities Regulation, Corporate Governance, SEC filings, SEC, IPO, Corporate Finance, Securities, Securities Litigation, Mergers & Acquisitions, Securities Offerings
Education
University of North Carolina School of Law 2000 — 2003
J.D., Law
Southern Methodist University 1992 — 1997
BS/BA, Economics/Government, Public Policy and International Studies
E*TRADE Financial January 2014 - Present
O'Melveny & Myers LLP October 2007 - December 2013
U.S. Securities and Exchange Commission September 2003 - September 2007
Skills
Securities Regulation, Corporate Governance, SEC filings, SEC, IPO, Corporate Finance, Securities, Securities Litigation, Mergers & Acquisitions, Securities Offerings
Education
University of North Carolina School of Law 2000 — 2003
J.D., Law
Southern Methodist University 1992 — 1997
BS/BA, Economics/Government, Public Policy and International Studies
Marc Oorloff Sharma Marc Oorloff Sharma's US Securities and Exchange Commission Experience May 2014 - Present
Job Senior Special Counsel, U.S. Securities and Exchange Commission
Industry Investment Management
Experience
U.S. Securities and Exchange Commission May 2014 - Present
U.S. Securities and Exchange Commission May 2010 - May 2014
U.S. Securities and Exchange Commission February 2009 - May 2010
U.S. Securities and Exchange Commission January 2003 - January 2009
Levin Schreder & Carey 2000 - 2002
McDermott Will & Emery 1998 - 2000
Katten Muchin Rosenman August 1997 - December 1998
Skills
Investment Management, Financial Education, Securities Regulation, Securities, SEC, Disclosure, Investment Company Act, Investment Advisers Act, Broker-Dealer, Mutual Funds, Securities Offerings, FINRA, Financial Regulation, Private Placements, Securities Litigation, Investments, Financial Services
Education
Northwestern University School of Law 1994 — 1997
J.D.
University of Southern California - Marshall School of Business 1991 — 1993
M.B.A.
University of California, Irvine 1983 — 1987
B.A., cum laude
U.S. Securities and Exchange Commission May 2014 - Present
U.S. Securities and Exchange Commission May 2010 - May 2014
U.S. Securities and Exchange Commission February 2009 - May 2010
U.S. Securities and Exchange Commission January 2003 - January 2009
Levin Schreder & Carey 2000 - 2002
McDermott Will & Emery 1998 - 2000
Katten Muchin Rosenman August 1997 - December 1998
Skills
Investment Management, Financial Education, Securities Regulation, Securities, SEC, Disclosure, Investment Company Act, Investment Advisers Act, Broker-Dealer, Mutual Funds, Securities Offerings, FINRA, Financial Regulation, Private Placements, Securities Litigation, Investments, Financial Services
Education
Northwestern University School of Law 1994 — 1997
J.D.
University of Southern California - Marshall School of Business 1991 — 1993
M.B.A.
University of California, Irvine 1983 — 1987
B.A., cum laude
Brian Raisl's US Securities and Exchange Commission Experience 2003 - 2005
Job
Industry Financial Services
Experience
FM Global November 2012 - November 2014
Bernstein Global Wealth Management October 2010 - November 2012
PricewaterhouseCoopers 2005 - 2010
U.S. Securities and Exchange Commission 2003 - 2005
Skills
Investment Management, Alternative Investments, Private Equity, Securities, Capital Markets, Financial Analysis, Valuation, Financial Services, Investments, Equities, Bloomberg, Due Diligence, Risk Management, Financial Modeling, Series 7, Series 63, Corporate Finance, Fixed Income, Portfolio Management, Derivatives, Comparable Analysis, Financial & Operational..., Finance, Asset Allocation, Financial Risk, Financial Reporting, Accounting, Analysis, Mutual Funds, Auditing
Education
Penn State University 2001 — 2005
Bachelor's Degree, Accounting
FM Global November 2012 - November 2014
Bernstein Global Wealth Management October 2010 - November 2012
PricewaterhouseCoopers 2005 - 2010
U.S. Securities and Exchange Commission 2003 - 2005
Skills
Investment Management, Alternative Investments, Private Equity, Securities, Capital Markets, Financial Analysis, Valuation, Financial Services, Investments, Equities, Bloomberg, Due Diligence, Risk Management, Financial Modeling, Series 7, Series 63, Corporate Finance, Fixed Income, Portfolio Management, Derivatives, Comparable Analysis, Financial & Operational..., Finance, Asset Allocation, Financial Risk, Financial Reporting, Accounting, Analysis, Mutual Funds, Auditing
Education
Penn State University 2001 — 2005
Bachelor's Degree, Accounting
Hugh Flick's US Securities and Exchange Commission Experience September 2010 - Present
Job U.S. Securities and Exchange Commission
Industry Information Technology and Services
Experience
U.S. Securities and Exchange Commission September 2010 - Present
ITSolutions, LLC October 2004 - September 2010
Freddie Mac 1999 - 2004
Sodexho 1994 - 1999
Marriott 1988 - 1999
General Electric 1984 - 1988
Skills
Business Process..., Process Improvement, Business Intelligence, Risk Management, SharePoint, Project Management, Requirements Analysis, Disaster Recovery, Visio, Change Management, Information Security, SQL, Project Portfolio..., PMP, ITIL, IT Strategy, IT Solutions, IT Infrastructure..., HRIS, SDLC, Governance
Education
The George Washington University - School of Business 1989 — 1992
MBA
Shippensburg University of Pennsylvania 1980 — 1984
BS
U.S. Securities and Exchange Commission September 2010 - Present
ITSolutions, LLC October 2004 - September 2010
Freddie Mac 1999 - 2004
Sodexho 1994 - 1999
Marriott 1988 - 1999
General Electric 1984 - 1988
Skills
Business Process..., Process Improvement, Business Intelligence, Risk Management, SharePoint, Project Management, Requirements Analysis, Disaster Recovery, Visio, Change Management, Information Security, SQL, Project Portfolio..., PMP, ITIL, IT Strategy, IT Solutions, IT Infrastructure..., HRIS, SDLC, Governance
Education
The George Washington University - School of Business 1989 — 1992
MBA
Shippensburg University of Pennsylvania 1980 — 1984
BS
Ashlee Connett's US Securities and Exchange Commission Experience May 2015 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission May 2015 - Present
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Securities and Exchange Commission March 2014 - June 2014
U.S. Securities and Exchange Commission August 2011 - March 2014
KPMG US July 2010 - July 2011
KPMG US September 2009 - July 2010
KPMG US August 2008 - September 2009
KPMG US January 2008 - May 2008
FINRA (Formerly NASD) October 2007 - December 2007
U.S. Securities and Exchange Commission May 2007 - August 2007
Skills
Mergers, Due Diligence, Tax, Legal Research, Legal Writing, SEC filings, Corporate Law, Mergers & Acquisitions, Litigation, Tax Law, Securities, State Tax, Westlaw, Legal Issues, Securities Regulation, Administrative Law, Lexis, Hearings, Corporate Tax, Courts, Legal Assistance, Legal Advice, Private Equity, Corporate Governance
Education
Rutgers University School of Law - Newark 2006 — 2008
J.D, Law
The American University of Paris 2000 — 2004
B.S., International Finance; International Economics
U.S. Securities and Exchange Commission May 2015 - Present
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Securities and Exchange Commission March 2014 - June 2014
U.S. Securities and Exchange Commission August 2011 - March 2014
KPMG US July 2010 - July 2011
KPMG US September 2009 - July 2010
KPMG US August 2008 - September 2009
KPMG US January 2008 - May 2008
FINRA (Formerly NASD) October 2007 - December 2007
U.S. Securities and Exchange Commission May 2007 - August 2007
Skills
Mergers, Due Diligence, Tax, Legal Research, Legal Writing, SEC filings, Corporate Law, Mergers & Acquisitions, Litigation, Tax Law, Securities, State Tax, Westlaw, Legal Issues, Securities Regulation, Administrative Law, Lexis, Hearings, Corporate Tax, Courts, Legal Assistance, Legal Advice, Private Equity, Corporate Governance
Education
Rutgers University School of Law - Newark 2006 — 2008
J.D, Law
The American University of Paris 2000 — 2004
B.S., International Finance; International Economics
Joel Crepea's US Securities and Exchange Commission Experience 1972 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Financial Services
Experience
US SEC Staff AccountantUS Securities and Exchange CommissionJuly 1972 - Present
U.S. Securities and Exchange Commission 1972 - Present
Skills
Investment Advisory, Hedge Funds, Asset Management, SEC reporting, SEC, SEC filings, Securities Regulation, Asset Managment
Education
Pace University 1966 — 1966
US SEC Staff AccountantUS Securities and Exchange CommissionJuly 1972 - Present
U.S. Securities and Exchange Commission 1972 - Present
Skills
Investment Advisory, Hedge Funds, Asset Management, SEC reporting, SEC, SEC filings, Securities Regulation, Asset Managment
Education
Pace University 1966 — 1966
Vik Sheth, PMP's US Securities and Exchange Commission Experience December 2014 - Present
Job Branch Chief, US Securities and Exchange Commission
Industry Government Administration
Experience
U.S. Securities and Exchange Commission December 2014 - Present
US Treasury June 2012 - January 2015
Department of Treasury September 2010 - June 2012
Street Solutions Inc. July 2004 - December 2010
Citigroup Global Markets February 2002 - May 2003
Goldman Sachs, Listed Equities Technology June 2000 - November 2001
Skills
Risk Management, Fixed Income, Credit, Equities, Federal Budgeting, Business Analysis, SDLC, Financial Services
Education
Rutgers, The State University of New Jersey-New Brunswick
BS, Finance and Computer Science
U.S. Securities and Exchange Commission December 2014 - Present
US Treasury June 2012 - January 2015
Department of Treasury September 2010 - June 2012
Street Solutions Inc. July 2004 - December 2010
Citigroup Global Markets February 2002 - May 2003
Goldman Sachs, Listed Equities Technology June 2000 - November 2001
Skills
Risk Management, Fixed Income, Credit, Equities, Federal Budgeting, Business Analysis, SDLC, Financial Services
Education
Rutgers, The State University of New Jersey-New Brunswick
BS, Finance and Computer Science
Benjamin Brutlag's US Securities and Exchange Commission Experience March 2015 - Present
Job Enforcement Attorney at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission March 2015 - Present
Cravath, Swaine and Moore October 2007 - March 2015
Quinn Emanuel July 2006 - August 2006
Morrison & Foerster LLP May 2006 - July 2006
DLA Piper May 2005 - July 2005
Education
University of Pennsylvania Law School 2004 — 2007
J.D.
Sciences Po 2002 — 2004
Diplome
Stanford University 1998 — 2002
B.A., History & International Relations
U.S. Securities and Exchange Commission March 2015 - Present
Cravath, Swaine and Moore October 2007 - March 2015
Quinn Emanuel July 2006 - August 2006
Morrison & Foerster LLP May 2006 - July 2006
DLA Piper May 2005 - July 2005
Education
University of Pennsylvania Law School 2004 — 2007
J.D.
Sciences Po 2002 — 2004
Diplome
Stanford University 1998 — 2002
B.A., History & International Relations
Ryan S. MacLean's US Securities and Exchange Commission Experience June 2007 - August 2007
Job Attorney at Law and Business Consultant
Industry Legal Services
Experience
Ryan S. MacLean Legal Services, PLLC March 2010 - Present
Walter Bracing, Inc. January 2009 - December 2009
U.S. Securities and Exchange Commission June 2007 - August 2007
Education
State University of New York at Buffalo - Law School 2004 — 2008
JD/MBA, Finance, Financial Transactions, Management Consulting and Technology and Intellectual Property
State University of New York at Buffalo - School of Management 2004 — 2008
JD/MBA, Finance and Management Consulting
Ryan S. MacLean Legal Services, PLLC March 2010 - Present
Walter Bracing, Inc. January 2009 - December 2009
U.S. Securities and Exchange Commission June 2007 - August 2007
Education
State University of New York at Buffalo - Law School 2004 — 2008
JD/MBA, Finance, Financial Transactions, Management Consulting and Technology and Intellectual Property
State University of New York at Buffalo - School of Management 2004 — 2008
JD/MBA, Finance and Management Consulting
Leslie MacDonald's US Securities and Exchange Commission Experience September 2003 - February 2007
Job Legal & Regulatory Counsel
Industry Investment Management
Experience
Pacific Life July 2014 - Present
Regulatory Consulting, LLC May 2014 - Present
PAAMCO February 2007 - March 2014
U.S. Securities and Exchange Commission September 2003 - February 2007
Skills
Mutual Funds, Securities Regulation, Investments, Hedge Funds, Financial Structuring, Private Equity, Restructuring, Legal Writing, Investment Advisers Act, Management, Alternative Investments, Securities, Fund Of Funds
Education
Saint Louis University School of Law 2000 — 2003
JD
Southern Methodist University 1996 — 2000
MICDS 1992 — 1996
Pacific Life July 2014 - Present
Regulatory Consulting, LLC May 2014 - Present
PAAMCO February 2007 - March 2014
U.S. Securities and Exchange Commission September 2003 - February 2007
Skills
Mutual Funds, Securities Regulation, Investments, Hedge Funds, Financial Structuring, Private Equity, Restructuring, Legal Writing, Investment Advisers Act, Management, Alternative Investments, Securities, Fund Of Funds
Education
Saint Louis University School of Law 2000 — 2003
JD
Southern Methodist University 1996 — 2000
MICDS 1992 — 1996
Michael Kosoff's US Securities and Exchange Commission Experience July 2015 - Present
Job Senior Special Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission July 2015 - Present
Skills
Securities Regulation, Mutual Funds, Investment Management, Securities, Investments, Insurance, Finance, Litigation, Corporate Governance
Education
State University of New York at Buffalo - School of Management 2002 — 2005
MBA, Finance
SUNY Buffalo Law School 2001 — 2005
JD, Financial Transactions
State University of New York at Albany 1997 — 2001
BS, Biology
State University of New York at Albany 1997 — 2001
Bachelor of Science (B.S.), Biology, General
U.S. Securities and Exchange Commission July 2015 - Present
Skills
Securities Regulation, Mutual Funds, Investment Management, Securities, Investments, Insurance, Finance, Litigation, Corporate Governance
Education
State University of New York at Buffalo - School of Management 2002 — 2005
MBA, Finance
SUNY Buffalo Law School 2001 — 2005
JD, Financial Transactions
State University of New York at Albany 1997 — 2001
BS, Biology
State University of New York at Albany 1997 — 2001
Bachelor of Science (B.S.), Biology, General
Angela McHale's US Securities and Exchange Commission Experience June 2007 - Present
Job Attorney at the U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission June 2007 - Present
U.S. Securities and Exchange Commission September 2004 - June 2007
Education
Pepperdine University School of Law 2001 — 2004
U.S. Securities and Exchange Commission June 2007 - Present
U.S. Securities and Exchange Commission September 2004 - June 2007
Education
Pepperdine University School of Law 2001 — 2004
Jennifer Allegra's US Securities and Exchange Commission Experience August 2014 - Present
Job Legal Intern at U.S. Securities and Exchange Commission
Industry Legal Services
Experience
University of Miami School of Law FellowUniversity of Miami Investors Rights ClinicAugust 2014 - Present
U.S. Securities and Exchange Commission August 2014 - Present
University of Miami’s Investors Rights Clinic January 2014 - May 2014
Skills
Research, Real Estate, Public Speaking, Legal Writing, Legal Research, Social Media
Education
Rutgers, The State University of New Jersey-New Brunswick
University of Miami School of Law
Juris Doctor Candidate, 2015
University of Miami School of Law FellowUniversity of Miami Investors Rights ClinicAugust 2014 - Present
U.S. Securities and Exchange Commission August 2014 - Present
University of Miami’s Investors Rights Clinic January 2014 - May 2014
Skills
Research, Real Estate, Public Speaking, Legal Writing, Legal Research, Social Media
Education
Rutgers, The State University of New Jersey-New Brunswick
University of Miami School of Law
Juris Doctor Candidate, 2015
Chad Gazzillo's US Securities and Exchange Commission Experience July 2007 - July 2010
Job Audit Partner at KPMG LLP
Industry Accounting
Kathleen Malone's US Securities and Exchange Commission Experience August 2008 - June 2012
Job Managing Director at CounselWorks LLC
Industry Financial Services
Experience
CounselWorks LLC August 2012 - Present
U.S. Securities and Exchange Commission August 2008 - June 2012
U.S. Securities and Exchange Commission July 2005 - August 2008
Financial Industry Regulatory Authority (FINRA) November 2002 - July 2005
Skills
Securities, Hedge Funds, Legal Research, Due Diligence, Westlaw, FINRA, Risk Management, AML, Securities Regulation, Private Equity, Alternative Investments, Financial Regulation, Investment Advisory
Education
Seton Hall University School of Law 2008 — 2012
Law, JD
Villanova University 1997 — 2001
BS, Finance
CounselWorks LLC August 2012 - Present
U.S. Securities and Exchange Commission August 2008 - June 2012
U.S. Securities and Exchange Commission July 2005 - August 2008
Financial Industry Regulatory Authority (FINRA) November 2002 - July 2005
Skills
Securities, Hedge Funds, Legal Research, Due Diligence, Westlaw, FINRA, Risk Management, AML, Securities Regulation, Private Equity, Alternative Investments, Financial Regulation, Investment Advisory
Education
Seton Hall University School of Law 2008 — 2012
Law, JD
Villanova University 1997 — 2001
BS, Finance
Lisa Wilhelmy's US Securities and Exchange Commission Experience 1992 - 2000
Job Independent Law Practice Professional
Industry Law Practice
Experience
U.S. Securities and Exchange Commission 1992 - 2000
Skills
Strategic Planning, Securities Regulation, Litigation, Public Speaking, Policy, Contract Negotiation, Corporate Governance, Negotiation, Due Diligence, Securities Offerings, Government, Securities Litigation, Investment Advisers Act, Legal Writing, Legal Research, FCPA, Civil Litigation, White Collar Criminal..., Trade Secrets
Education
Samford University, Cumberland School of Law 1983 — 1986
jd, law
U.S. Securities and Exchange Commission 1992 - 2000
Skills
Strategic Planning, Securities Regulation, Litigation, Public Speaking, Policy, Contract Negotiation, Corporate Governance, Negotiation, Due Diligence, Securities Offerings, Government, Securities Litigation, Investment Advisers Act, Legal Writing, Legal Research, FCPA, Civil Litigation, White Collar Criminal..., Trade Secrets
Education
Samford University, Cumberland School of Law 1983 — 1986
jd, law
Aaron Washington's US Securities and Exchange Commission Experience August 2014 - Present
Job Attorney at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission August 2014 - Present
State of New Jersey Department of Banking and Insurance January 2014 - May 2014
Kates Nussman Rapone Ellis & Farhi, LLP August 2013 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
JP Morgan Chase July 2010 - May 2013
THE BUDGET GROUP LLC September 2008 - March 2010
Merrill Lynch 2005 - 2008
Travelers March 2003 - November 2005
Computershare May 2000 - September 2002
Skills
Investments, Securities, Fixed Annuities, Insurance, Retirement, Equities, Portfolio Management, Estate Planning, Credit, Banking, Mortgage Lending, Strategic Planning, Series 7, Finance, Mutual Funds, Financial Modeling, Series 63, Securities Regulation, Corporate Finance, Investment Advisory, Legal Writing, Public Speaking
Education
Rutgers University School of Law - Newark 2010 — 2014
Juris Doctorate, Law
Eagleton Institute of Politics, Rutgers–The State University of New Jersey 2013 — 2014
Graduate Fellowship in Government and Politics, Govenor's Executive Fellow
Rutgers, The State University of New Jersey-New Brunswick 1996 — 2001
BA, African American Studies, Political Science
U.S. Securities and Exchange Commission August 2014 - Present
State of New Jersey Department of Banking and Insurance January 2014 - May 2014
Kates Nussman Rapone Ellis & Farhi, LLP August 2013 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
JP Morgan Chase July 2010 - May 2013
THE BUDGET GROUP LLC September 2008 - March 2010
Merrill Lynch 2005 - 2008
Travelers March 2003 - November 2005
Computershare May 2000 - September 2002
Skills
Investments, Securities, Fixed Annuities, Insurance, Retirement, Equities, Portfolio Management, Estate Planning, Credit, Banking, Mortgage Lending, Strategic Planning, Series 7, Finance, Mutual Funds, Financial Modeling, Series 63, Securities Regulation, Corporate Finance, Investment Advisory, Legal Writing, Public Speaking
Education
Rutgers University School of Law - Newark 2010 — 2014
Juris Doctorate, Law
Eagleton Institute of Politics, Rutgers–The State University of New Jersey 2013 — 2014
Graduate Fellowship in Government and Politics, Govenor's Executive Fellow
Rutgers, The State University of New Jersey-New Brunswick 1996 — 2001
BA, African American Studies, Political Science
Jamilla Coleman's US Securities and Exchange Commission Experience February 2014 - July 2015
Job Librarian, DC Public Schools
Industry Libraries
Experience
U.S. Securities and Exchange Commission February 2014 - July 2015
DC Public Library June 2009 - October 2013
PEN/Faulkner Foundation November 2005 - June 2009
Savannah College of Art and Design June 2004 - August 2005
American Association for Justice November 2003 - June 2004
O, The Oprah Magazine/Hearst Corporation September 2000 - October 2003
Skills
Editing, Research, Writing, Community Outreach, Nonprofits, Public Speaking, Social Media, Newsletters, Event Planning, Publications, Libraries, Programming, Working With Children, School Library Media, Public Libraries, Press Releases, Teaching, Books, Curriculum Design, Publishing, Program Development, Proofreading, Interviews, Program Management, Education, Strategic Partnerships, Editorial, Library Science, Grant Writing
Education
University of Maryland College Park 2009 — 2015
Master's Degree, Library and Information Science
Spelman College 1996 — 2000
B.A., English
Stanford University 1999 — 1999
English
Georgetown Visitation 1992 — 1996
U.S. Securities and Exchange Commission February 2014 - July 2015
DC Public Library June 2009 - October 2013
PEN/Faulkner Foundation November 2005 - June 2009
Savannah College of Art and Design June 2004 - August 2005
American Association for Justice November 2003 - June 2004
O, The Oprah Magazine/Hearst Corporation September 2000 - October 2003
Skills
Editing, Research, Writing, Community Outreach, Nonprofits, Public Speaking, Social Media, Newsletters, Event Planning, Publications, Libraries, Programming, Working With Children, School Library Media, Public Libraries, Press Releases, Teaching, Books, Curriculum Design, Publishing, Program Development, Proofreading, Interviews, Program Management, Education, Strategic Partnerships, Editorial, Library Science, Grant Writing
Education
University of Maryland College Park 2009 — 2015
Master's Degree, Library and Information Science
Spelman College 1996 — 2000
B.A., English
Stanford University 1999 — 1999
English
Georgetown Visitation 1992 — 1996
Maria Ehlinger's US Securities and Exchange Commission Experience September 2014 - December 2014
Job Juris Doctor, June 2015, Pending New York State and New Jersey Bar Admission
Industry Law Practice
Experience
Morrison & Foerster LLP September 2015 - Present
Richard T. Lau & Associates, State Farm Corporate Department January 2015 - May 2015
U.S. Securities and Exchange Commission September 2014 - December 2014
Cullen and Dykman LLP May 2014 - August 2014
St. John's Securities Arbitration Clinic January 2014 - May 2014
JPMorgan Chase July 2011 - August 2012
JPMorgan Chase July 2009 - July 2011
JPMorgan Chase 2008 - 2008
Skills
Legal Research, Legal Writing, Equities, Bloomberg, Trading, Commodity, Investment Banking, Legal Documents, Corporate Law, Real Estate Transactions, Finance, Corporate Finance, Banking Law, Financial Law, Securities Regulation, Securities Litigation, Bankruptcy
Education
St. John's University School of Law 2012 — 2015
Doctor of Law (J.D.)
Providence College 2005 — 2009
BS, Marketing, Finance
St. Dominic High School 2001 — 2005
Morrison & Foerster LLP September 2015 - Present
Richard T. Lau & Associates, State Farm Corporate Department January 2015 - May 2015
U.S. Securities and Exchange Commission September 2014 - December 2014
Cullen and Dykman LLP May 2014 - August 2014
St. John's Securities Arbitration Clinic January 2014 - May 2014
JPMorgan Chase July 2011 - August 2012
JPMorgan Chase July 2009 - July 2011
JPMorgan Chase 2008 - 2008
Skills
Legal Research, Legal Writing, Equities, Bloomberg, Trading, Commodity, Investment Banking, Legal Documents, Corporate Law, Real Estate Transactions, Finance, Corporate Finance, Banking Law, Financial Law, Securities Regulation, Securities Litigation, Bankruptcy
Education
St. John's University School of Law 2012 — 2015
Doctor of Law (J.D.)
Providence College 2005 — 2009
BS, Marketing, Finance
St. Dominic High School 2001 — 2005
Meredith Munro's US Securities and Exchange Commission Experience 1999 - 2004
Job Attorney at King & Greisen LLP
Industry Law Practice
Experience
Hamil/Hecht LLC December 2007 - February 2015
Steese Evans & Frankel, P.C. 2004 - 2007
US Securities and Exchange Commission 1999 - 2004
U.S. Securities and Exchange Commission 1999 - 2004
Davis Graham & Stubbs LLP 1993 - 1999
Fulbright & Jaworski 1992 - 1995
U.S. Ninth Circuit Court of Appeals 1991 - 1992
Skills
Legal Research, Civil Litigation, Securities Regulation, Litigation, Enforcement, Arbitration, Intellectual Property, Legal Writing, Commercial Litigation, Appeals, Legal Advice, Securities Litigation, Trial Practice, Corporate Law, Trade Secrets, Corporate Governance, Business Litigation, Due Diligence, Trademarks, International Law, Westlaw, Copyright Law, Public Policy, Courts, Product Liability, Mediation, Trials, Class Actions, Employment Law, Bankruptcy, Document Review, Privacy Law
Education
University of California, Hastings College of the Law 1988 — 1991
JD
Rice University 1984 — 1988
BA, Economics and English
Hamil/Hecht LLC December 2007 - February 2015
Steese Evans & Frankel, P.C. 2004 - 2007
US Securities and Exchange Commission 1999 - 2004
U.S. Securities and Exchange Commission 1999 - 2004
Davis Graham & Stubbs LLP 1993 - 1999
Fulbright & Jaworski 1992 - 1995
U.S. Ninth Circuit Court of Appeals 1991 - 1992
Skills
Legal Research, Civil Litigation, Securities Regulation, Litigation, Enforcement, Arbitration, Intellectual Property, Legal Writing, Commercial Litigation, Appeals, Legal Advice, Securities Litigation, Trial Practice, Corporate Law, Trade Secrets, Corporate Governance, Business Litigation, Due Diligence, Trademarks, International Law, Westlaw, Copyright Law, Public Policy, Courts, Product Liability, Mediation, Trials, Class Actions, Employment Law, Bankruptcy, Document Review, Privacy Law
Education
University of California, Hastings College of the Law 1988 — 1991
JD
Rice University 1984 — 1988
BA, Economics and English
Lesley Ward, CRCP's US Securities and Exchange Commission Experience November 2014 - Present
Job Senior Program Adviser at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission March 2013 - November 2014
U.S. Securities & Exchange Commission March 2007 - March 2013
SEC June 1999 - March 2007
Education
Old Dominion University 1996 — 1999
BS, Finance
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission March 2013 - November 2014
U.S. Securities & Exchange Commission March 2007 - March 2013
SEC June 1999 - March 2007
Education
Old Dominion University 1996 — 1999
BS, Finance
Robert Conrrad's US Securities and Exchange Commission Experience 2013 - Present
Job Assistant Regional Director at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission 2013 - Present
U.S. Securities and Exchange Commission 2004 - 2013
Latham & Watkins LLP 1998 - 2004
Education
Northwestern University School of Law 1995 — 1998
J.D., Law
University of California, Berkeley 1991 — 1995
A.B., Political Science
U.S. Securities and Exchange Commission 2013 - Present
U.S. Securities and Exchange Commission 2004 - 2013
Latham & Watkins LLP 1998 - 2004
Education
Northwestern University School of Law 1995 — 1998
J.D., Law
University of California, Berkeley 1991 — 1995
A.B., Political Science
Giselle Casella's US Securities and Exchange Commission Experience June 1999 - October 2001
Job Senior Principal Consultant at ACA Compliance Group
Industry Financial Services
Experience
ACA Compliance Group May 2010 - Present
Deutsche Asset Management August 2006 - May 2010
Allianz Global Investors November 2004 - August 2006
UBS Alternative Investment Group January 2004 - October 2004
Prudential Investments LLC September 2002 - December 2003
AIG Global Investment Corporation October 2001 - August 2002
U.S. Securities and Exchange Commission June 1999 - October 2001
Skills
Regulatory Filings, Hedge Funds, Compliance, Investment Advisory, Investments, Private Equity, Auditing, Asset Management, Ethics, Consultancy, Account Management, Articles, Project Planning, SEC reporting, Securities Regulation, Policy Writing, Procedures Manuals, Procedure Review, Compliance Management, Compliance Audits, SEC compliance, Code Compliance, Risk Assessment, Conflict Analysis, Committees, Seminar Speaker, Speaking Engagements, Conference Speaking, Conference Presentations, Supervisory Experience, Legal Research, Newsletter Writing, Staff Training, Surveillance, Site Inspections, Due Diligence, Mock Interviews, Exit Interviews, Systems Monitoring, Client Consulting, Client Development, SEC, Policy, SEC filings, Quality Auditing, Management Consulting, Asset Managment, Internal Audit, Public Speaking, System Monitoring
Education
Utica College 2015 — 2016
Master of Science (M.S.), Cybersecurity/Forensics
Regis University 2001 — 2003
Masters, Business Administration; Management
Pace University 1995 — 1999
Bachelor, Business Administration; Finance
Utica College
ACA Compliance Group May 2010 - Present
Deutsche Asset Management August 2006 - May 2010
Allianz Global Investors November 2004 - August 2006
UBS Alternative Investment Group January 2004 - October 2004
Prudential Investments LLC September 2002 - December 2003
AIG Global Investment Corporation October 2001 - August 2002
U.S. Securities and Exchange Commission June 1999 - October 2001
Skills
Regulatory Filings, Hedge Funds, Compliance, Investment Advisory, Investments, Private Equity, Auditing, Asset Management, Ethics, Consultancy, Account Management, Articles, Project Planning, SEC reporting, Securities Regulation, Policy Writing, Procedures Manuals, Procedure Review, Compliance Management, Compliance Audits, SEC compliance, Code Compliance, Risk Assessment, Conflict Analysis, Committees, Seminar Speaker, Speaking Engagements, Conference Speaking, Conference Presentations, Supervisory Experience, Legal Research, Newsletter Writing, Staff Training, Surveillance, Site Inspections, Due Diligence, Mock Interviews, Exit Interviews, Systems Monitoring, Client Consulting, Client Development, SEC, Policy, SEC filings, Quality Auditing, Management Consulting, Asset Managment, Internal Audit, Public Speaking, System Monitoring
Education
Utica College 2015 — 2016
Master of Science (M.S.), Cybersecurity/Forensics
Regis University 2001 — 2003
Masters, Business Administration; Management
Pace University 1995 — 1999
Bachelor, Business Administration; Finance
Utica College
Phil Perrone's US Securities and Exchange Commission Experience October 2010 - Present
Job Exam Manager at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission October 2010 - Present
ALPS Fund Services April 2007 - September 2010
Dividend Capital Investments January 2004 - April 2007
OppenheimerFunds October 1997 - January 2004
FINRA (Formally National Association of Securities Dealers) July 1989 - October 1997
Kidder Peabody & Co. May 1982 - July 1989
Skills
Internal Audit, Securities, Mutual Funds, Internal Controls, Hedge Funds, ETFs, Investments, Risk Management, Financial Risk, Series 63, Portfolio Management, Alternative Investments, Broker-Dealer, Trading, Series 7, Due Diligence, Equities, Fixed Income, Asset Management, Auditing, Bloomberg, Series 24, AML, Financial Services, FINRA, Investment Advisory
Education
Regis University
BS, Finance
U.S. Securities and Exchange Commission October 2010 - Present
ALPS Fund Services April 2007 - September 2010
Dividend Capital Investments January 2004 - April 2007
OppenheimerFunds October 1997 - January 2004
FINRA (Formally National Association of Securities Dealers) July 1989 - October 1997
Kidder Peabody & Co. May 1982 - July 1989
Skills
Internal Audit, Securities, Mutual Funds, Internal Controls, Hedge Funds, ETFs, Investments, Risk Management, Financial Risk, Series 63, Portfolio Management, Alternative Investments, Broker-Dealer, Trading, Series 7, Due Diligence, Equities, Fixed Income, Asset Management, Auditing, Bloomberg, Series 24, AML, Financial Services, FINRA, Investment Advisory
Education
Regis University
BS, Finance
Bob Bell's US Securities and Exchange Commission Experience August 2001 - May 2005
Job Assistant Professor at College of Saint Benedict / Saint John's University
Industry Higher Education
Experience
College of Saint Benedict / Saint John's University August 2010 - Present
Willkie Farr & Gallagher January 2008 - January 2010
Clifford Chance August 2005 - January 2008
U.S. Securities and Exchange Commission August 2001 - May 2005
U.S. Senate, Office of Senator Bob Graham May 2000 - August 2000
Arthur Andersen September 1994 - June 1998
Skills
Financial Analysis, SEC filings, Corporate Finance, Public Speaking, Nonprofits, Microsoft Excel, Accounting, Fundraising, Microsoft Office, Customer Service, Financial Reporting, Event Planning, Teaching, Strategic Planning, Time Management, Leadership, Social Media, PowerPoint
Education
University of Minnesota Law School 1998 — 2001
J.D.
Saint John's University 1989 — 1994
B.A., Accounting
Pensacola Catholic High School
College of Saint Benedict / Saint John's University August 2010 - Present
Willkie Farr & Gallagher January 2008 - January 2010
Clifford Chance August 2005 - January 2008
U.S. Securities and Exchange Commission August 2001 - May 2005
U.S. Senate, Office of Senator Bob Graham May 2000 - August 2000
Arthur Andersen September 1994 - June 1998
Skills
Financial Analysis, SEC filings, Corporate Finance, Public Speaking, Nonprofits, Microsoft Excel, Accounting, Fundraising, Microsoft Office, Customer Service, Financial Reporting, Event Planning, Teaching, Strategic Planning, Time Management, Leadership, Social Media, PowerPoint
Education
University of Minnesota Law School 1998 — 2001
J.D.
Saint John's University 1989 — 1994
B.A., Accounting
Pensacola Catholic High School
Sandra DaDalt's US Securities and Exchange Commission Experience January 1981 - January 1985
Job Senior Counsel at Symetra Life Insurance Company
Industry Insurance
Experience
Symetra Life Insurance Company May 2012 - Present
SUN LIFE FINANCIAL January 1999 - April 2012
JOHN HANCOCK LIFE INSURANCE COMPANY January 1985 - January 1999
U.S. SECURITIES AND EXCHANGE COMMISSION January 1981 - January 1985
American Bar Association January 1976 - January 1978
Skills
Securities, Mutual Funds, Investments, Insurance, FINRA, Securities Regulation, Corporate Governance, Due Diligence, Employee Benefits, Fixed Annuities, Legal Writing, Variable Annuities
Education
NOTRE DAME LAW SCHOOL, Notre Dame
Juris Doctor
Smith College
A.B, English
Supreme Judicial Court of MassachusettsU.S. District Court for the District of Massachusetts
Symetra Life Insurance Company May 2012 - Present
SUN LIFE FINANCIAL January 1999 - April 2012
JOHN HANCOCK LIFE INSURANCE COMPANY January 1985 - January 1999
U.S. SECURITIES AND EXCHANGE COMMISSION January 1981 - January 1985
American Bar Association January 1976 - January 1978
Skills
Securities, Mutual Funds, Investments, Insurance, FINRA, Securities Regulation, Corporate Governance, Due Diligence, Employee Benefits, Fixed Annuities, Legal Writing, Variable Annuities
Education
NOTRE DAME LAW SCHOOL, Notre Dame
Juris Doctor
Smith College
A.B, English
Supreme Judicial Court of MassachusettsU.S. District Court for the District of Massachusetts
Hal Arteaga's US Securities and Exchange Commission Experience 1982 - 1986
Job Of Counsel at Shook, Hardy & Bacon
Industry Law Practice
Experience
Shook, Hardy & Bacon 1998 - Present
HBO Latin America 1993 - 1997
U.S. Securities and Exchange Commission 1982 - 1986
Skills
Litigation, Product Liability, Civil Litigation, Trial Practice, Torts, Legal Writing, Courts, Trade Secrets, Toxic Tort, Legal Research, Class Actions, Business Litigation, Appeals, Trials, Commercial Litigation, Arbitration, Intellectual Property, Personal Injury..., Alternative Dispute...
Education
Santa Clara University
BS, Political Science
University of California, Berkeley
JD, Law
University of Miami - School of Business
MBA, International Business
Shook, Hardy & Bacon 1998 - Present
HBO Latin America 1993 - 1997
U.S. Securities and Exchange Commission 1982 - 1986
Skills
Litigation, Product Liability, Civil Litigation, Trial Practice, Torts, Legal Writing, Courts, Trade Secrets, Toxic Tort, Legal Research, Class Actions, Business Litigation, Appeals, Trials, Commercial Litigation, Arbitration, Intellectual Property, Personal Injury..., Alternative Dispute...
Education
Santa Clara University
BS, Political Science
University of California, Berkeley
JD, Law
University of Miami - School of Business
MBA, International Business
Eric Humphreys's US Securities and Exchange Commission Experience June 2009 - April 2010
Job Director of Marketing at Avon Studio Transportation
Industry Transportation/Trucking/Railroad
Experience
Climate Controlled Vaults January 2013 - Present
Avon Rent a Car Truck Van December 2010 - Present
Express My Way March 2010 - June 2011
U.S. Securities and Exchange Commission June 2009 - April 2010
Wachovia Securities 2007 - 2008
ING Financial Partners 2005 - 2007
CompUSA January 2001 - January 2003
Skills
Customer Service, Sales
Education
Pepperdine University, The George L. Graziadio School of Business and Management 2008 — 2009
MBA, Finance
Upper Iowa University 2004 — 2007
Bachelors degree, Finance
Stoneridge College Preparatory
Climate Controlled Vaults January 2013 - Present
Avon Rent a Car Truck Van December 2010 - Present
Express My Way March 2010 - June 2011
U.S. Securities and Exchange Commission June 2009 - April 2010
Wachovia Securities 2007 - 2008
ING Financial Partners 2005 - 2007
CompUSA January 2001 - January 2003
Skills
Customer Service, Sales
Education
Pepperdine University, The George L. Graziadio School of Business and Management 2008 — 2009
MBA, Finance
Upper Iowa University 2004 — 2007
Bachelors degree, Finance
Stoneridge College Preparatory
Jonathan Groff's US Securities and Exchange Commission Experience June 2010 - May 2013
Job Associate at Ice Miller LLP
Industry Law Practice
Experience
Ice Miller LLP August 2013 - Present
U.S. Securities and Exchange Commission June 2010 - May 2013
Latham & Watkins October 2008 - March 2009
Santa Clara District Attorney's Office June 2006 - August 2006
Anschutz Entertainment Group July 2003 - December 2004
The Sports Business Group 2003 - 2003
Skills
Securities, Corporate Law, Corporate Finance, Legal Writing, Legal Research
Education
Northwestern University School of Law 2005 — 2008
JD, cum laude
University of Southern California - Marshall School of Business 1999 — 2003
BS, Business Finance, cum laude
Ice Miller LLP August 2013 - Present
U.S. Securities and Exchange Commission June 2010 - May 2013
Latham & Watkins October 2008 - March 2009
Santa Clara District Attorney's Office June 2006 - August 2006
Anschutz Entertainment Group July 2003 - December 2004
The Sports Business Group 2003 - 2003
Skills
Securities, Corporate Law, Corporate Finance, Legal Writing, Legal Research
Education
Northwestern University School of Law 2005 — 2008
JD, cum laude
University of Southern California - Marshall School of Business 1999 — 2003
BS, Business Finance, cum laude
James J. Finnegan's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Audit Senior at KPMG US
Industry Higher Education
Experience
KPMG US July 2015 - Present
KPMG US August 2013 - July 2015
U.S. Securities and Exchange Commission May 2013 - August 2013
St. John's University September 2012 - May 2013
St. John's University January 2009 - May 2013
KPMG US June 2012 - August 2012
South Bronx Educational Foundation 2009 - 2009
Skills
Accounting, Microsoft Excel, PowerPoint, Microsoft Word, Microsoft Office, Access, QuickBooks, Research, Financial Reporting, Financial Statements, Auditing, GAAP, Customer Service, Financial Analysis, Financial Statement..., Financial Accounting, Tax Preparation, Tax, Pivot Tables, Teamwork, Public Speaking, Outlook
Education
St. John's University 2012 — 2013
M.S. Taxation, Accounting, Graduate Student, 3.98 GPA
St. John's University 2009 — 2012
Bachelor of Science (B.S.), Accounting, 3.98 GPA
KPMG US July 2015 - Present
KPMG US August 2013 - July 2015
U.S. Securities and Exchange Commission May 2013 - August 2013
St. John's University September 2012 - May 2013
St. John's University January 2009 - May 2013
KPMG US June 2012 - August 2012
South Bronx Educational Foundation 2009 - 2009
Skills
Accounting, Microsoft Excel, PowerPoint, Microsoft Word, Microsoft Office, Access, QuickBooks, Research, Financial Reporting, Financial Statements, Auditing, GAAP, Customer Service, Financial Analysis, Financial Statement..., Financial Accounting, Tax Preparation, Tax, Pivot Tables, Teamwork, Public Speaking, Outlook
Education
St. John's University 2012 — 2013
M.S. Taxation, Accounting, Graduate Student, 3.98 GPA
St. John's University 2009 — 2012
Bachelor of Science (B.S.), Accounting, 3.98 GPA
Bonnie Westbrook's US Securities and Exchange Commission Experience January 1987 - April 1991
Job Independent Consultant at Adelis Development Systems
Industry Management Consulting
Experience
Adelis Development Systems 2008 - Present
Federal Communications Commission December 2000 - August 2005
Securities and Exchange Commission March 1993 - December 2000
U.S. Securities and Exchange Commission January 1987 - April 1991
U.S. Bureau of Engraving and Printing September 1983 - April 1991
U.S. Bureau of Engraving and Printing October 1976 - September 1983
Gallaudet University September 1974 - October 1976
Skills
Management Consulting, Organizational..., Organizational Design, Executive Coaching, Change Management, Policy, Retirement Planning, Coaching, Strategic Planning, Program Management, Performance Management, Management, Employee Relations, Project Management, Organizational..., Succession Planning, Personnel Management, Conflict Resolution, Team Leadership, Team Building, Leadership, Training, Business Process..., Executive Management, Business Strategy, Training and Development, Mid-career retirement..., Pre-retirement planning...
Education
University of Maryland College Park 1972 — 1976
Masters and Advanced Graduate Specialist Degree (30 hours beyond Masters), Counseling & Personnel Services
Penn State University 1968 — 1972
BA, Psychology
Adelis Development Systems 2008 - Present
Federal Communications Commission December 2000 - August 2005
Securities and Exchange Commission March 1993 - December 2000
U.S. Securities and Exchange Commission January 1987 - April 1991
U.S. Bureau of Engraving and Printing September 1983 - April 1991
U.S. Bureau of Engraving and Printing October 1976 - September 1983
Gallaudet University September 1974 - October 1976
Skills
Management Consulting, Organizational..., Organizational Design, Executive Coaching, Change Management, Policy, Retirement Planning, Coaching, Strategic Planning, Program Management, Performance Management, Management, Employee Relations, Project Management, Organizational..., Succession Planning, Personnel Management, Conflict Resolution, Team Leadership, Team Building, Leadership, Training, Business Process..., Executive Management, Business Strategy, Training and Development, Mid-career retirement..., Pre-retirement planning...
Education
University of Maryland College Park 1972 — 1976
Masters and Advanced Graduate Specialist Degree (30 hours beyond Masters), Counseling & Personnel Services
Penn State University 1968 — 1972
BA, Psychology
Kenneth Schneider's US Securities and Exchange Commission Experience February 2012 - Present
Job Assistant Regional Director at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission February 2012 - Present
ACA Compliance Group February 2011 - December 2011
US Securities and Exchange Commission April 2007 - February 2011
US Securities and Exchange Commission September 2003 - March 2007
Education
Seattle University 1999 — 2000
MBA, Finance
University of Oregon 1983 — 1986
BS, Finance
U.S. Securities and Exchange Commission February 2012 - Present
ACA Compliance Group February 2011 - December 2011
US Securities and Exchange Commission April 2007 - February 2011
US Securities and Exchange Commission September 2003 - March 2007
Education
Seattle University 1999 — 2000
MBA, Finance
University of Oregon 1983 — 1986
BS, Finance
Dmitry Solovyev's US Securities and Exchange Commission Experience October 2014 - Present
Job Securities Compliance Examiner at U.S. Securities and Exchange Commission
Industry Government Administration
Experience
U.S. Securities and Exchange Commission October 2014 - Present
Department of Veterans Affairs January 2012 - December 2012
U.S. Department of Defense February 2008 - June 2011
Skills
Access, Microsoft Excel, Strategic Planning, Team Leadership, Team Building, Process Improvement, Project Planning, Microsoft Word, Finance, Conflict Management, Microsoft Office, Accounting, Financial Analysis, Management, PowerPoint, Visio, VBA, Python, FMS, Public Speaking, Customer Service
Education
Sacred Heart University 2013 — 2015
Master of Business Administration (M.B.A.), Finance and Financial Management Services, 3.9
Sacred Heart University 2011 — 2012
Bachelor of Science (B.S.), Finance
South Ural State University 2000 — 2004
Bachelor of Science (BS), Banking, Corporate, Finance, and Securities Law
U.S. Securities and Exchange Commission October 2014 - Present
Department of Veterans Affairs January 2012 - December 2012
U.S. Department of Defense February 2008 - June 2011
Skills
Access, Microsoft Excel, Strategic Planning, Team Leadership, Team Building, Process Improvement, Project Planning, Microsoft Word, Finance, Conflict Management, Microsoft Office, Accounting, Financial Analysis, Management, PowerPoint, Visio, VBA, Python, FMS, Public Speaking, Customer Service
Education
Sacred Heart University 2013 — 2015
Master of Business Administration (M.B.A.), Finance and Financial Management Services, 3.9
Sacred Heart University 2011 — 2012
Bachelor of Science (B.S.), Finance
South Ural State University 2000 — 2004
Bachelor of Science (BS), Banking, Corporate, Finance, and Securities Law
Kai Munshi's US Securities and Exchange Commission Experience June 2014 - Present
Job Risk Mitigation and Security Professional
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Department of Justice October 2010 - June 2014
U.S. Secret Service August 2002 - October 2010
USMC August 1992 - August 2002
Skills
Command, Counterterrorism, Defense, DoD, Government, Homeland Security, Military, Military Experience, Military Operations, National Security, Policy, Security Clearance, Criminal Investigations, Executive Protection, Law Enforcement, Physical Security, Security, Firearms, Surveillance, Intelligence Analysis, Interrogation, Counterintelligence, Security Operations, Fraud, Criminal Justice, Private Investigations, Emergency Management, Internal Investigations, Tactics, Security Management, Crisis Management, Risk Assessment, Force Protection, Criminal Law, Public Safety, Personal Protection, Protection, Management, Federal Law Enforcement, Special Operations, Personal Security
Education
State University of New York College at Brockport 1990 — 1994
Bachelor's degree, International/Global Studies
State University of New York College at Brockport 1990 — 1994
International Studies, International/Global Studies
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Department of Justice October 2010 - June 2014
U.S. Secret Service August 2002 - October 2010
USMC August 1992 - August 2002
Skills
Command, Counterterrorism, Defense, DoD, Government, Homeland Security, Military, Military Experience, Military Operations, National Security, Policy, Security Clearance, Criminal Investigations, Executive Protection, Law Enforcement, Physical Security, Security, Firearms, Surveillance, Intelligence Analysis, Interrogation, Counterintelligence, Security Operations, Fraud, Criminal Justice, Private Investigations, Emergency Management, Internal Investigations, Tactics, Security Management, Crisis Management, Risk Assessment, Force Protection, Criminal Law, Public Safety, Personal Protection, Protection, Management, Federal Law Enforcement, Special Operations, Personal Security
Education
State University of New York College at Brockport 1990 — 1994
Bachelor's degree, International/Global Studies
State University of New York College at Brockport 1990 — 1994
International Studies, International/Global Studies
Roxy Motta's US Securities and Exchange Commission Experience June 2014 - January 2015
Job analyst
Industry Legal Services
Experience
Polsinelli PC January 2014 - April 2015
U.S. Securities and Exchange Commission June 2014 - January 2015
Frank Greenhouse, PC June 2012 - January 2013
George & Brothers January 2010 - November 2010
Polsinelli Shughart PC October 2008 - January 2010
George & Brothers, LLP January 2006 - May 2008
Scott Douglas & McConnico May 2001 - October 2005
Skills
Litigation, Courts, Complex Litigation, Trade Secrets, Pleadings, MIS, SPSS, Billing Systems, Microsoft Office, Access, PowerPoint, Excel, Word, Outlook, Database Management, Document Drafting, Policy Analysis, Homeland Security, Discovery, Team Leadership, Technical Training, Trials, Legal Research, Document Review, Civil Litigation, Commercial Litigation, Depositions, Mediation, Legal Writing
Education
Penn State University 2010 — 2012
Masters, Master in Public Administration
Texas State University 1996 — 2000
BA, Political Science
Polsinelli PC January 2014 - April 2015
U.S. Securities and Exchange Commission June 2014 - January 2015
Frank Greenhouse, PC June 2012 - January 2013
George & Brothers January 2010 - November 2010
Polsinelli Shughart PC October 2008 - January 2010
George & Brothers, LLP January 2006 - May 2008
Scott Douglas & McConnico May 2001 - October 2005
Skills
Litigation, Courts, Complex Litigation, Trade Secrets, Pleadings, MIS, SPSS, Billing Systems, Microsoft Office, Access, PowerPoint, Excel, Word, Outlook, Database Management, Document Drafting, Policy Analysis, Homeland Security, Discovery, Team Leadership, Technical Training, Trials, Legal Research, Document Review, Civil Litigation, Commercial Litigation, Depositions, Mediation, Legal Writing
Education
Penn State University 2010 — 2012
Masters, Master in Public Administration
Texas State University 1996 — 2000
BA, Political Science
Ben Schaefer's US Securities and Exchange Commission Experience January 2009 - July 2009
Job Attorney at S & R Law Firm
Industry Law Practice
Experience
S & R Law Firm, PLLC June 2014 - Present
FirstPoint Law Group February 2012 - June 2014
Thorsey Law Firm January 2010 - August 2010
U.S. Securities and Exchange Commission January 2009 - July 2009
Skills
Criminal Law, Litigation, Civil Law
Education
Penn State University 2006 — 2009
Juris Doctorate, Law
University of Vermont 2002 — 2004
Master of Arts (M.A.), History
University of Vermont 1996 — 2000
Bachelor of Arts (B.A.), History and Political Science
S & R Law Firm, PLLC June 2014 - Present
FirstPoint Law Group February 2012 - June 2014
Thorsey Law Firm January 2010 - August 2010
U.S. Securities and Exchange Commission January 2009 - July 2009
Skills
Criminal Law, Litigation, Civil Law
Education
Penn State University 2006 — 2009
Juris Doctorate, Law
University of Vermont 2002 — 2004
Master of Arts (M.A.), History
University of Vermont 1996 — 2000
Bachelor of Arts (B.A.), History and Political Science
A. Thomas Smith III's US Securities and Exchange Commission Experience January 1986 - December 1988
Job Managing Director/Global Head of Asset and Wealth Management Legal at Deutsche Bank
Industry Legal Services
Experience
Deutsche Bank June 2004 - Present
Morgan Stanley August 2001 - May 2004
Van Kampen Investments February 1999 - July 2001
New York Life Insurance Company January 1994 - January 1999
THE DREYFUS CORPORATION March 1991 - December 1993
Willkie Farr & Gallagher LLP January 1989 - February 1991
U.S. Securities and Exchange Commission January 1986 - December 1988
Illinois Department of Financial and Professional Regulation September 1984 - December 1985
Skills
Legal Expert in the..., Securities Regulation, Investment Company Act, Mutual Funds, Asset Management, Wealth Management, Corporate Law, Leadership, Management, Investments, Alternative Investments, Due Diligence, SEC, Investment Advisers Act, Capital Markets, Mergers & Acquisitions, Private Equity, Securities, Corporate Governance, Hedge Funds, Investment Management, Legal Assistance, Risk Management
Education
Saint Louis University 1978 — 1983
JD/MBA, Law and Business
Wabash College 1974 — 1978
Bachelor's degree, Religion/Religious Studies
Deutsche Bank June 2004 - Present
Morgan Stanley August 2001 - May 2004
Van Kampen Investments February 1999 - July 2001
New York Life Insurance Company January 1994 - January 1999
THE DREYFUS CORPORATION March 1991 - December 1993
Willkie Farr & Gallagher LLP January 1989 - February 1991
U.S. Securities and Exchange Commission January 1986 - December 1988
Illinois Department of Financial and Professional Regulation September 1984 - December 1985
Skills
Legal Expert in the..., Securities Regulation, Investment Company Act, Mutual Funds, Asset Management, Wealth Management, Corporate Law, Leadership, Management, Investments, Alternative Investments, Due Diligence, SEC, Investment Advisers Act, Capital Markets, Mergers & Acquisitions, Private Equity, Securities, Corporate Governance, Hedge Funds, Investment Management, Legal Assistance, Risk Management
Education
Saint Louis University 1978 — 1983
JD/MBA, Law and Business
Wabash College 1974 — 1978
Bachelor's degree, Religion/Religious Studies
Evaristo Otero's US Securities and Exchange Commission Experience September 2015 - Present
Job Attorney at the U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission September 2015 - Present
Office of the Comptroller of the Currency September 2011 - September 2015
U.S. Court of Appeals August 2010 - August 2011
U.S. Court of Appeals May 2009 - August 2009
Federal Bureau of Investigation (FBI) Honors Program June 2008 - August 2008
Dorsa Elementary School August 2005 - June 2007
Teach For America August 2005 - June 2007
Supreme Court of California June 2004 - September 2004
Skills
Legal Writing, Research, Legal Advice, Administrative Law, Hearings, Legal Research, Legislative Relations, Litigation, Public Speaking
Education
Washington University in St. Louis School of Law 2007 — 2010
Juris Doctorate
Stanford University 2004 — 2005
Master of Arts, Sociology
Stanford University 2000 — 2004
Bachelor of Arts, Political Science
U.S. Securities and Exchange Commission September 2015 - Present
Office of the Comptroller of the Currency September 2011 - September 2015
U.S. Court of Appeals August 2010 - August 2011
U.S. Court of Appeals May 2009 - August 2009
Federal Bureau of Investigation (FBI) Honors Program June 2008 - August 2008
Dorsa Elementary School August 2005 - June 2007
Teach For America August 2005 - June 2007
Supreme Court of California June 2004 - September 2004
Skills
Legal Writing, Research, Legal Advice, Administrative Law, Hearings, Legal Research, Legislative Relations, Litigation, Public Speaking
Education
Washington University in St. Louis School of Law 2007 — 2010
Juris Doctorate
Stanford University 2004 — 2005
Master of Arts, Sociology
Stanford University 2000 — 2004
Bachelor of Arts, Political Science
Jamie Lynn Walter's US Securities and Exchange Commission Experience August 2014 - Present
Job Senior Counsel Division of Investment Management Private Funds Branch at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission August 2014 - Present
U.S. Securities and Exchange Commission, Division of Investment Management October 2013 - Present
Fried Frank September 2008 - October 2013
U.S. Court of Appeals for the Fifth Circuit July 2007 - June 2008
Skills
Legal Writing, Hedge Funds, Private Equity, Investment Management, Securities Regulation, Due Diligence, Corporate Law, Asset Management, Fund Of Funds, Financial Structuring, Securities, Corporate Governance
Education
Tulane University Law School 2004 — 2007
J.D., Law
Ohio University 2000 — 2004
B.A., Spanish, Political Science
U.S. Securities and Exchange Commission August 2014 - Present
U.S. Securities and Exchange Commission, Division of Investment Management October 2013 - Present
Fried Frank September 2008 - October 2013
U.S. Court of Appeals for the Fifth Circuit July 2007 - June 2008
Skills
Legal Writing, Hedge Funds, Private Equity, Investment Management, Securities Regulation, Due Diligence, Corporate Law, Asset Management, Fund Of Funds, Financial Structuring, Securities, Corporate Governance
Education
Tulane University Law School 2004 — 2007
J.D., Law
Ohio University 2000 — 2004
B.A., Spanish, Political Science
Khaleelah Wright's US Securities and Exchange Commission Experience July 2014 - Present
Job Contract Specialist at Federal Government in Washington DC
Industry Government Administration
Experience
U.S. Securities and Exchange Commission July 2014 - Present
Corporation for National and Community Service January 2010 - July 2014
DISA October 2002 - December 2009
DISA December 2000 - October 2002
Skills
Federal Government, Government Contracting, Collaborative..., Highly detail oriented, Analyze Information, Research Information, Attentiveness to Detail, Problem Solving, Self-motivated..., Oral & Written..., Customer-focused Service, Contract Negotiation, Meet Deadlines, Outstanding time..., Energetic team player, Organization Skills, Superior Computer Skills, Analysis, Government, Leadership, Policy, Program Management, Project Planning, Proposal Writing, Time Management, Contract Management, DoD, Government Procurement, Process Improvement, Security Clearance, Strategic Planning
Education
Webster University 2008 — 2011
Master of Arts (M.A.), Human Resources Management, 3.64
Southeastern University 1995 — 1998
Bachelor of Science (B.S.), Computer Science
U.S. Securities and Exchange Commission July 2014 - Present
Corporation for National and Community Service January 2010 - July 2014
DISA October 2002 - December 2009
DISA December 2000 - October 2002
Skills
Federal Government, Government Contracting, Collaborative..., Highly detail oriented, Analyze Information, Research Information, Attentiveness to Detail, Problem Solving, Self-motivated..., Oral & Written..., Customer-focused Service, Contract Negotiation, Meet Deadlines, Outstanding time..., Energetic team player, Organization Skills, Superior Computer Skills, Analysis, Government, Leadership, Policy, Program Management, Project Planning, Proposal Writing, Time Management, Contract Management, DoD, Government Procurement, Process Improvement, Security Clearance, Strategic Planning
Education
Webster University 2008 — 2011
Master of Arts (M.A.), Human Resources Management, 3.64
Southeastern University 1995 — 1998
Bachelor of Science (B.S.), Computer Science
Christina A. Fraziero's US Securities and Exchange Commission Experience January 2015 - Present
Job Summer Associate at KKR
Industry Legal Services
Experience
KKR May 2015 - Present
U.S. Securities and Exchange Commission January 2015 - Present
U.S. Securities and Exchange Commission August 2014 - Present
U.S. Trade Representative June 2014 - August 2014
Springfield District Court of Massachusetts May 2014 - June 2014
The Patrick-Murray Administration of Massachusetts January 2013 - 2013
Law Offices of Daniel P. Morrissey June 2012 - September 2012
Suffield Academy 2003 - 2007
Skills
Research, Spanish, Legal Writing, Immigration Law, Legal Research, International Relations, Securities Regulation, Arbitration, Alternative Dispute..., Westlaw
Education
The George Washington University Law School
J.D. Candidate, Banking, Corporate, Finance, and Securities Law
Skidmore College 2007 — 2011
BA, International Affairs
SIT New Delhi India 2010 — 2010
Matriculated directly into the School for International Training.
Suffield Academy 2003 — 2007
High School Diploma
KKR May 2015 - Present
U.S. Securities and Exchange Commission January 2015 - Present
U.S. Securities and Exchange Commission August 2014 - Present
U.S. Trade Representative June 2014 - August 2014
Springfield District Court of Massachusetts May 2014 - June 2014
The Patrick-Murray Administration of Massachusetts January 2013 - 2013
Law Offices of Daniel P. Morrissey June 2012 - September 2012
Suffield Academy 2003 - 2007
Skills
Research, Spanish, Legal Writing, Immigration Law, Legal Research, International Relations, Securities Regulation, Arbitration, Alternative Dispute..., Westlaw
Education
The George Washington University Law School
J.D. Candidate, Banking, Corporate, Finance, and Securities Law
Skidmore College 2007 — 2011
BA, International Affairs
SIT New Delhi India 2010 — 2010
Matriculated directly into the School for International Training.
Suffield Academy 2003 — 2007
High School Diploma
Alonzo Coley's US Securities and Exchange Commission Experience October 2014 - March 2015
Job uspto
Industry Information Technology and Services
Experience
USPTO March 2015 - Present
U.S. Securities and Exchange Commission October 2014 - March 2015
US Department of Defense May 2006 - August 2014
Fort Meade Teen Center October 2009 - October 2010
Skills
Enforcement, Higher Education, Management, Microsoft Office, Customer Service, Access, Weapons, Human Resources, Program Management, DoD, Training, Public Speaking, Budgets, Government, Fundraising
Education
St. Francis University 2000 — 2005
B.A., Sociology / Criminal Justice
USPTO March 2015 - Present
U.S. Securities and Exchange Commission October 2014 - March 2015
US Department of Defense May 2006 - August 2014
Fort Meade Teen Center October 2009 - October 2010
Skills
Enforcement, Higher Education, Management, Microsoft Office, Customer Service, Access, Weapons, Human Resources, Program Management, DoD, Training, Public Speaking, Budgets, Government, Fundraising
Education
St. Francis University 2000 — 2005
B.A., Sociology / Criminal Justice
CARL LOUIS's US Securities and Exchange Commission Experience October 2007 - February 2008
Job XBRL Project Manager at PR Newswire
Industry Accounting
Experience
The Vintage Group October 2010 - Present
Nielsen Media Research February 2008 - February 2010
U.S. Securities and Exchange Commission October 2007 - February 2008
VIACOM INC April 2007 - September 2007
IPG January 2006 - March 2007
Con Edison Development Inc July 2004 - January 2006
Coach Inc September 1996 - July 2004
Skills
Financial Reporting, Accounts Payable, Account Reconciliation, Financial Statements, Accounting, Financial Analysis, Budget, Forecasting, Analysis, Microsoft Excel, Access, Consolidation, Finance, Outlook, Corporate Finance
Education
Pace University 1993 — 1996
Bachelor of Business Administration (BBA), Accounting and Finance, 3.0
Pace University 1993 — 1996
Bachelor of Business Administration (BBA), Accounting
The Vintage Group October 2010 - Present
Nielsen Media Research February 2008 - February 2010
U.S. Securities and Exchange Commission October 2007 - February 2008
VIACOM INC April 2007 - September 2007
IPG January 2006 - March 2007
Con Edison Development Inc July 2004 - January 2006
Coach Inc September 1996 - July 2004
Skills
Financial Reporting, Accounts Payable, Account Reconciliation, Financial Statements, Accounting, Financial Analysis, Budget, Forecasting, Analysis, Microsoft Excel, Access, Consolidation, Finance, Outlook, Corporate Finance
Education
Pace University 1993 — 1996
Bachelor of Business Administration (BBA), Accounting and Finance, 3.0
Pace University 1993 — 1996
Bachelor of Business Administration (BBA), Accounting
Rick Gambhir's US Securities and Exchange Commission Experience March 2013 - Present
Job Network Operations Manager
Industry Information Technology and Services
Experience
U.S. Securities and Exchange Commission March 2013 - Present
U.S. Securities and Exchange Commission January 2005 - March 2013
Cornet Technology, Inc. 2002 - January 2005
The Enrichment Centers 2001 - 2002
Skills
Management, Leadership, Strategic Planning, Technical Hiring, Project Management, Large Systems..., Budgets, IT Strategy, Continuous Process..., Agile Methodologies, Networking, Team Building, Program Management, Client Relations, Troubleshooting, Customer Service, Scrum, Talent Acquisition, Proposal Writing, Project Planning, Photography, Public Speaking, Headshots, Parties, Time Management, System Administration, Team Leadership, Digital Imaging, Vendor Management, Training, Marketing
Education
Penn State University 1992 — 1997
Bachelor of Science (B.S.), Management
Thomas Jefferson High School for Science & Technology 1988 — 1992
U.S. Securities and Exchange Commission March 2013 - Present
U.S. Securities and Exchange Commission January 2005 - March 2013
Cornet Technology, Inc. 2002 - January 2005
The Enrichment Centers 2001 - 2002
Skills
Management, Leadership, Strategic Planning, Technical Hiring, Project Management, Large Systems..., Budgets, IT Strategy, Continuous Process..., Agile Methodologies, Networking, Team Building, Program Management, Client Relations, Troubleshooting, Customer Service, Scrum, Talent Acquisition, Proposal Writing, Project Planning, Photography, Public Speaking, Headshots, Parties, Time Management, System Administration, Team Leadership, Digital Imaging, Vendor Management, Training, Marketing
Education
Penn State University 1992 — 1997
Bachelor of Science (B.S.), Management
Thomas Jefferson High School for Science & Technology 1988 — 1992
Tom Garzlaff's US Securities and Exchange Commission Experience October 2004 - Present
Job Program Analyst at Securities and Exchange Commission
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission October 2004 - Present
US Army August 1987 - July 1990
Skills
Government, Federal Government, Policy Analysis, Personnel Management, Policy, Military, Intelligence Analysis, Program Management, Public Policy
Education
Pepperdine University, The George L. Graziadio School of Business and Management 1990 — 1992
Master of Business Administration (MBA), Business Administration, Management, Accounting and Operations
UCLA, German Dept. Graduate Program 1985 — 1986
Bachelor of Arts (B.A.), Germanic Languages, Literatures, and Linguistics
UCLA 1981 — 1984
German, German Language and Literature
U.S. Securities and Exchange Commission October 2004 - Present
US Army August 1987 - July 1990
Skills
Government, Federal Government, Policy Analysis, Personnel Management, Policy, Military, Intelligence Analysis, Program Management, Public Policy
Education
Pepperdine University, The George L. Graziadio School of Business and Management 1990 — 1992
Master of Business Administration (MBA), Business Administration, Management, Accounting and Operations
UCLA, German Dept. Graduate Program 1985 — 1986
Bachelor of Arts (B.A.), Germanic Languages, Literatures, and Linguistics
UCLA 1981 — 1984
German, German Language and Literature
somi seong's US Securities and Exchange Commission Experience December 2014 - Present
Job Senior Financial Economist at U.S. Securities and Exchange Commission
Industry Government Administration
Experience
U.S. Securities and Exchange Commission December 2014 - Present
U.S. Commodity Futures Trading Commission June 2010 - December 2014
RAND Corporation February 2004 - June 2010
Korea Development Institute 2001 - 2003
Korea Development Institute (KDI) 1989 - 2003
Stanford University, Department of Economics and Hoover Institution January 1997 - June 1999
Skills
Econometrics, Economics, Policy Analysis, Public Policy, Stata, Macroeconomics, Economic Research, SAS, Government, Statistics, Policy, Data Analysis
Education
Yale University 1984 — 1989
Doctor of Philosophy (PhD), Economics
Yale University 1984 — 1986
Master of Arts (M.A.), Economics
Seoul National University 1979 — 1983
Bachelor of Arts (B.A.), Economics
U.S. Securities and Exchange Commission December 2014 - Present
U.S. Commodity Futures Trading Commission June 2010 - December 2014
RAND Corporation February 2004 - June 2010
Korea Development Institute 2001 - 2003
Korea Development Institute (KDI) 1989 - 2003
Stanford University, Department of Economics and Hoover Institution January 1997 - June 1999
Skills
Econometrics, Economics, Policy Analysis, Public Policy, Stata, Macroeconomics, Economic Research, SAS, Government, Statistics, Policy, Data Analysis
Education
Yale University 1984 — 1989
Doctor of Philosophy (PhD), Economics
Yale University 1984 — 1986
Master of Arts (M.A.), Economics
Seoul National University 1979 — 1983
Bachelor of Arts (B.A.), Economics
Max Werner's US Securities and Exchange Commission Experience May 2015 - Present
Job Business Honors Intern at U.S. Securities and Exchange Commission
Industry Accounting
Experience
U.S. Securities and Exchange Commission May 2015 - Present
Sterne, Kessler, Goldstein & Fox June 2013 - May 2015
Portland State Univeristy Organization Budget Council July 2012 - July 2013
Ace Hardware September 2010 - June 2013
Oregon Health Sciences University September 2009 - September 2010
Education
University of Maryland College Park
Bachelor's Degree, Accounting
Portland Community College 2012 — 2013
Associate’s Degree, General Studies
Ben-Gurion University of the Negev 2008 — 2009
Portland State University
Accounting
U.S. Securities and Exchange Commission May 2015 - Present
Sterne, Kessler, Goldstein & Fox June 2013 - May 2015
Portland State Univeristy Organization Budget Council July 2012 - July 2013
Ace Hardware September 2010 - June 2013
Oregon Health Sciences University September 2009 - September 2010
Education
University of Maryland College Park
Bachelor's Degree, Accounting
Portland Community College 2012 — 2013
Associate’s Degree, General Studies
Ben-Gurion University of the Negev 2008 — 2009
Portland State University
Accounting
Gene Carasick's US Securities and Exchange Commission Experience 1974 - 1982
Job Owner of GC Litigation Support, LLC
Industry
Experience
GC Litigation Support, LLC 2013 - Present
Financial Industry Regulatory Authority (FINRA) 1990 - 2009
Johnston, Lemon & Co. Incorporated 1982 - 1990
U.S. Securities and Exchange Commission 1974 - 1982
Skills
FINRA, Litigation Support, Securities Litigation, Securities, Broker-Dealer
Education
Northwestern University School of Law 1971 — 1974
Doctor of Law (J.D.), Securities Regulation and Corporate Law
University of Pittsburgh 1967 — 1971
B.A. (Philosophy)
GC Litigation Support, LLC 2013 - Present
Financial Industry Regulatory Authority (FINRA) 1990 - 2009
Johnston, Lemon & Co. Incorporated 1982 - 1990
U.S. Securities and Exchange Commission 1974 - 1982
Skills
FINRA, Litigation Support, Securities Litigation, Securities, Broker-Dealer
Education
Northwestern University School of Law 1971 — 1974
Doctor of Law (J.D.), Securities Regulation and Corporate Law
University of Pittsburgh 1967 — 1971
B.A. (Philosophy)
Donald Bernhardt's US Securities and Exchange Commission Experience January 2014 - Present
Job Security Swaps Examiner at U.S. Securities and Exchange Commission
Industry Capital Markets
Experience
U.S. Securities and Exchange Commission January 2014 - Present
Federal Reserve Bank of Chicago 2009 - January 2014
Tradition North America December 1996 - May 2008
Martin Bierbaum Inc. September 1991 - December 1996
Lasser Marshall 1990 - August 1991
Bank of Tokyo-Mitsubishi UFJ 1988 - 1990
Skills
Derivatives, Liquidity Risk, Risk Management, Interest Rate Risk..., ALM, Trading System, Trading, Trading Operations, Trading Strategies, Trading Software, Financial Risk, Capital Markets, Market Risk, Financial Analysis, Swaps, FX Options, Credit Risk, Money Market, Fixed Income, Economics, Liquidity, Securities, Basel II, Structured Finance, Operational Risk, Financial Institutions, Communication, Financial Markets, Banking
Education
University of Maryland College Park 1985 — 1988
BA, Economics
Saint Peter's University 1994 — 1998
Master of Business Administration (M.B.A.), International Business, 3.3/4.0
Saint Peter's University 1994 — 1998
Master of Business Administration (M.B.A.), Business Administration and Management, General, 3.3/4.0
U.S. Securities and Exchange Commission January 2014 - Present
Federal Reserve Bank of Chicago 2009 - January 2014
Tradition North America December 1996 - May 2008
Martin Bierbaum Inc. September 1991 - December 1996
Lasser Marshall 1990 - August 1991
Bank of Tokyo-Mitsubishi UFJ 1988 - 1990
Skills
Derivatives, Liquidity Risk, Risk Management, Interest Rate Risk..., ALM, Trading System, Trading, Trading Operations, Trading Strategies, Trading Software, Financial Risk, Capital Markets, Market Risk, Financial Analysis, Swaps, FX Options, Credit Risk, Money Market, Fixed Income, Economics, Liquidity, Securities, Basel II, Structured Finance, Operational Risk, Financial Institutions, Communication, Financial Markets, Banking
Education
University of Maryland College Park 1985 — 1988
BA, Economics
Saint Peter's University 1994 — 1998
Master of Business Administration (M.B.A.), International Business, 3.3/4.0
Saint Peter's University 1994 — 1998
Master of Business Administration (M.B.A.), Business Administration and Management, General, 3.3/4.0
Alaina Tshontikidis's US Securities and Exchange Commission Experience July 2013 - July 2015
Job Senior HR Strategic Business Partner at the U.S. Naval Academy
Industry Human Resources
Experience
United States Naval Academy July 2015 - Present
U.S. Securities and Exchange Commission July 2013 - July 2015
Executive Office for the US Attorneys July 2012 - July 2013
National Institutes of Health July 2011 - July 2012
US Navy August 2009 - July 2011
Skills
Human Resources, Workforce Planning, Organizational..., Policy, Data Analysis, Personnel Management, Onboarding, Recruiting, Performance Management, Interviews, Employee Relations, Labor Relations
Education
St. Mary's College of Maryland 2005 — 2009
Bachelor of Arts (B.A.), Art History, Criticism and Conservation
United States Naval Academy July 2015 - Present
U.S. Securities and Exchange Commission July 2013 - July 2015
Executive Office for the US Attorneys July 2012 - July 2013
National Institutes of Health July 2011 - July 2012
US Navy August 2009 - July 2011
Skills
Human Resources, Workforce Planning, Organizational..., Policy, Data Analysis, Personnel Management, Onboarding, Recruiting, Performance Management, Interviews, Employee Relations, Labor Relations
Education
St. Mary's College of Maryland 2005 — 2009
Bachelor of Arts (B.A.), Art History, Criticism and Conservation
Ginger Thomason's US Securities and Exchange Commission Experience May 2014 - Present
Job Administrative Assistant
Industry Higher Education
Experience
U.S. Securities and Exchange Commission May 2014 - Present
Convergys April 2014 - May 2014
Strayer University April 2009 - March 2013
Utah State Office of Education September 2008 - April 2009
Flying J Communications April 2007 - September 2008
Skills
Microsoft Office, Internet, Microsoft Excel, Microsoft Word, Mac OS X, Social Media, Receptionist Duties, Office Administration, Executive Level..., Travel Planning, Event Planning, Data Entry, File Management, Expense Reports, Ordering Office Supplies, Customer Service, Creative Writing, Editing, Technical Writing, PowerPoint, Employee Training, Research
Education
Fairleigh Dickinson University-Florham Campus 2014 — 2016
Master's Degree, Creative Writing
Southern New Hampshire University 2011 — 2014
Bachelor of Arts (BA), Creative Writing and English
Weber State University 2005 — 2008
Bachelor of Arts, History and English
U.S. Securities and Exchange Commission May 2014 - Present
Convergys April 2014 - May 2014
Strayer University April 2009 - March 2013
Utah State Office of Education September 2008 - April 2009
Flying J Communications April 2007 - September 2008
Skills
Microsoft Office, Internet, Microsoft Excel, Microsoft Word, Mac OS X, Social Media, Receptionist Duties, Office Administration, Executive Level..., Travel Planning, Event Planning, Data Entry, File Management, Expense Reports, Ordering Office Supplies, Customer Service, Creative Writing, Editing, Technical Writing, PowerPoint, Employee Training, Research
Education
Fairleigh Dickinson University-Florham Campus 2014 — 2016
Master's Degree, Creative Writing
Southern New Hampshire University 2011 — 2014
Bachelor of Arts (BA), Creative Writing and English
Weber State University 2005 — 2008
Bachelor of Arts, History and English
Adrian Vaughan's US Securities and Exchange Commission Experience November 2014 - Present
Job Training with Purpose
Industry Education Management
Experience
U.S. Securities and Exchange Commission November 2014 - Present
MOVE Training Center January 2012 - Present
Skills
Government, Public Speaking, Customer Service, Program Management, Team Building, Leadership, Leadership Development
Education
UMUC
Bachelor's degree, Communications
Surrattsville High 1981 — 1984
High School Diploma, General Studies
Prince George's Community College
Associate's degree, Legal Assistant/Paralegal
U.S. Securities and Exchange Commission November 2014 - Present
MOVE Training Center January 2012 - Present
Skills
Government, Public Speaking, Customer Service, Program Management, Team Building, Leadership, Leadership Development
Education
UMUC
Bachelor's degree, Communications
Surrattsville High 1981 — 1984
High School Diploma, General Studies
Prince George's Community College
Associate's degree, Legal Assistant/Paralegal
Steven Kirberger's US Securities and Exchange Commission Experience 1993 - 2001
Job Counsel at Dechert LLP
Industry Law Practice
Experience
Dechert LLP August 2007 - Present
Lowenstein Sandler LLP 2004 - 2007
Goodwin Procter LLP 2002 - 2004
U.S. Securities and Exchange Commission 1993 - 2001
Skills
Hedge Funds, Private Equity Funds, Investment Advisory, Broker-Dealer, Corporate Governance, Investment Company Act, Private Equity Funding, Securities, Investment Advisers Act, Private Equity
Education
Rutgers University School of Law - Newark 1997 — 2001
J.D.
Rutgers University 1988 — 1993
Business Management/Spanish
Dechert LLP August 2007 - Present
Lowenstein Sandler LLP 2004 - 2007
Goodwin Procter LLP 2002 - 2004
U.S. Securities and Exchange Commission 1993 - 2001
Skills
Hedge Funds, Private Equity Funds, Investment Advisory, Broker-Dealer, Corporate Governance, Investment Company Act, Private Equity Funding, Securities, Investment Advisers Act, Private Equity
Education
Rutgers University School of Law - Newark 1997 — 2001
J.D.
Rutgers University 1988 — 1993
Business Management/Spanish
Gil Tillman's US Securities and Exchange Commission Experience November 2013 - Present
Job Total Rewards Strategy Manager at U.S. Securities and Exchange Commission
Industry Government Administration
Experience
U.S. Securities and Exchange Commission November 2013 - Present
U.S. Department of the Treasury September 2013 - November 2013
Department of the Treasury October 2010 - August 2013
Skills
Organizational..., Human Resources, Policy, Government, Workforce Planning, Personnel Management, Employee Relations, Performance Management, HRIS, Policy Analysis, Labor Relations, Program Management, Deferred Compensation, PeopleSoft, Benefits Administration
Education
Troy University 1994 — 1997
Master of Science (MS), Human Resources Management
Park University 1988 — 1993
Bachelor of Science (BS), Business Administration and Management, General
U.S. Securities and Exchange Commission November 2013 - Present
U.S. Department of the Treasury September 2013 - November 2013
Department of the Treasury October 2010 - August 2013
Skills
Organizational..., Human Resources, Policy, Government, Workforce Planning, Personnel Management, Employee Relations, Performance Management, HRIS, Policy Analysis, Labor Relations, Program Management, Deferred Compensation, PeopleSoft, Benefits Administration
Education
Troy University 1994 — 1997
Master of Science (MS), Human Resources Management
Park University 1988 — 1993
Bachelor of Science (BS), Business Administration and Management, General
Jeffrey Feit's US Securities and Exchange Commission Experience September 2014 - December 2014
Job Research Assistant at Standard & Poor's
Industry Financial Services
Experience
Standard & Poor's July 2015 - Present
U.S. Securities and Exchange Commission September 2014 - December 2014
Cedarview Capital Management June 2014 - August 2014
Skills
Microsoft Office, PowerPoint, Microsoft Excel, Microsoft Word, Research, Leadership
Education
Queens College 2012 — 2015
Bachelor’s Degree, Applied Mathematics in Finance
Standard & Poor's July 2015 - Present
U.S. Securities and Exchange Commission September 2014 - December 2014
Cedarview Capital Management June 2014 - August 2014
Skills
Microsoft Office, PowerPoint, Microsoft Excel, Microsoft Word, Research, Leadership
Education
Queens College 2012 — 2015
Bachelor’s Degree, Applied Mathematics in Finance
Ferdaus Ahmed's US Securities and Exchange Commission Experience November 2014 - Present
Job System Analyst at U.S. Securities and Exchange Commission
Industry Information Technology and Services
Experience
U.S. Securities and Exchange Commission November 2014 - Present
New York, NY March 2011 - October 2014
Port Washington, NY December 2009 - February 2011
Skills
Manual Testing, Automated Software..., Full SDLC, STLC, Agile & Waterfall..., User Acceptance Testing, Quality Assurance, ALM, JIRA, IEEE standards, Microsoft Excel
Education
Queens College 2010 — 2011
Bachelor of Arts (B.A.), Accounting and Information Systems
U.S. Securities and Exchange Commission November 2014 - Present
New York, NY March 2011 - October 2014
Port Washington, NY December 2009 - February 2011
Skills
Manual Testing, Automated Software..., Full SDLC, STLC, Agile & Waterfall..., User Acceptance Testing, Quality Assurance, ALM, JIRA, IEEE standards, Microsoft Excel
Education
Queens College 2010 — 2011
Bachelor of Arts (B.A.), Accounting and Information Systems
Alison Conn's US Securities and Exchange Commission Experience 2012 - 2012
Job Goldman Sachs Asset Management, Fund Chief Compliance Officer
Industry Financial Services
Experience
Goldman Sachs Asset Management July 2014 - Present
European Central Bank 2013 - 2013
U.S. Securities and Exchange Commission 2012 - 2012
U.S. Securities and Exchange Commission 2008 - 2012
U.S. Securities and Exchange Commission 2005 - 2008
U.S. Securities and Exchange Commission 2003 - 2005
Dechert LLP 1999 - 2002
Women's Law Project 1998 - 1999
Judge Rendell 1997 - 1998
Education
Smith College
Bachelor of Arts (B.A.), History
Yale Law School
Doctor of Law (J.D.)
Goldman Sachs Asset Management July 2014 - Present
European Central Bank 2013 - 2013
U.S. Securities and Exchange Commission 2012 - 2012
U.S. Securities and Exchange Commission 2008 - 2012
U.S. Securities and Exchange Commission 2005 - 2008
U.S. Securities and Exchange Commission 2003 - 2005
Dechert LLP 1999 - 2002
Women's Law Project 1998 - 1999
Judge Rendell 1997 - 1998
Education
Smith College
Bachelor of Arts (B.A.), History
Yale Law School
Doctor of Law (J.D.)
Geoffrey Olin's US Securities and Exchange Commission Experience January 2015 - Present
Job Student at Pepperdine University School of Law
Industry Financial Services
Experience
U.S. Securities and Exchange Commission January 2015 - Present
Education
Pepperdine University School of Law 2014 — 2016
U.S. Securities and Exchange Commission January 2015 - Present
Education
Pepperdine University School of Law 2014 — 2016
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency