US Securities and Exchange Commission
Industry: Federal agency
DescriptionThe U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Jurisdiction: United States of America Employees: 4,301 (2015) Headquarters: Washington, D.C., United States Founder: Franklin D. Roosevelt Founded: 6 June 1934
US Securities and Exchange Commission List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at US Securities and Exchange Commission. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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US Securities and Exchange Commission Employees
Employee
Years
Job
Industry
Max Perricone Max Perricone's US Securities and Exchange Commission Experience May 2013 - August 2013
Job J.D. Candidate at Boston University School of Law
Industry Law Practice
Experience
The Noble Network of Charter Schools June 2014 - July 2015
Lehigh University August 2013 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
Obama for America 2011 - 2012
Pinecrest School 2009 - 2012
Skills
Economics, Political Organization, Microsoft Office, Community Organizing, Canvassing, Campaigns, PowerPoint, Statistics, Government, Data Analysis, Analysis, Financial Services, Financial Regulation, Managing Database, Education, Political Science
Education
Boston University School of Law 2015 — 2018
Juris Doctor (J.D.)
Lehigh University 2010 — 2014
Bachelor of Arts (B.A.), Economics, Political Science Minor
Danish Institute for Study Abroad 2012 — 2012
Semester in Copenhagen, Global Economics
Lake Braddock Secondary School 2004 — 2010
The Noble Network of Charter Schools June 2014 - July 2015
Lehigh University August 2013 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
Obama for America 2011 - 2012
Pinecrest School 2009 - 2012
Skills
Economics, Political Organization, Microsoft Office, Community Organizing, Canvassing, Campaigns, PowerPoint, Statistics, Government, Data Analysis, Analysis, Financial Services, Financial Regulation, Managing Database, Education, Political Science
Education
Boston University School of Law 2015 — 2018
Juris Doctor (J.D.)
Lehigh University 2010 — 2014
Bachelor of Arts (B.A.), Economics, Political Science Minor
Danish Institute for Study Abroad 2012 — 2012
Semester in Copenhagen, Global Economics
Lake Braddock Secondary School 2004 — 2010
Sameer Sheikh Sameer Sheikh's US Securities and Exchange Commission Experience January 2012 - May 2012
Job Kellogg, Huber, Hansen, Todd, Evans & Figel
Industry Law Practice
Experience
Kellogg, Huber, Hansen, Todd, Evans & Figel September 2013 - Present
Amom Charity (Foundation) November 2007 - Present
Kellogg, Huber, Hansen, Todd, Evans & Figel, PLLC June 2012 - August 2012
US Securities and Exchange Commission January 2012 - May 2012
Office of the Attorney General of Massachusetts June 2011 - August 2011
Grameen Foundation August 2006 - August 2010
United Nations June 2005 - January 2006
John Kerry 2002 - 2004
Education
Boston College Law School 2010 — 2013
JD, Law
University of Pennsylvania 2003 — 2006
B.A., Philosophy, Political Science and Economics
Institut d'Etudes politiques de Paris 2004 — 2005
IEP, Sciences-Po, Diplôme du Programme International
Brooks School 1999 — 2002
Kellogg, Huber, Hansen, Todd, Evans & Figel September 2013 - Present
Amom Charity (Foundation) November 2007 - Present
Kellogg, Huber, Hansen, Todd, Evans & Figel, PLLC June 2012 - August 2012
US Securities and Exchange Commission January 2012 - May 2012
Office of the Attorney General of Massachusetts June 2011 - August 2011
Grameen Foundation August 2006 - August 2010
United Nations June 2005 - January 2006
John Kerry 2002 - 2004
Education
Boston College Law School 2010 — 2013
JD, Law
University of Pennsylvania 2003 — 2006
B.A., Philosophy, Political Science and Economics
Institut d'Etudes politiques de Paris 2004 — 2005
IEP, Sciences-Po, Diplôme du Programme International
Brooks School 1999 — 2002
Christian Schultz Christian Schultz's US Securities and Exchange Commission Experience January 2012 - Present
Job Assistant Chief Litigation Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission January 2012 - Present
Kirkland & Ellis LLP October 2007 - January 2012
Kirkland & Ellis LLP January 2004 - September 2007
United States Court of Appeals - 7th Circuit January 2003 - December 2003
Brown & Bain August 2001 - December 2002
N.W. Ayer & Partners September 1995 - July 1997
Skills
Trade Secrets, Commercial Litigation, Litigation, Breach Of Contract, securities, Securities Litigation, Securities Regulation, Civil Litigation, Dispute Resolution, Fraud, Courts, Trials, Arbitration, Class Actions, Corporate Governance, Securities
Education
University of Notre Dame Law School 1998 — 2001
JD
University of Notre Dame - Mendoza College of Business 1997 — 2000
MBA
Michigan State University 1992 — 1995
BA, Political Science & Marketing
Boston University Questrom School of Business 1991 — 1992
Cranbrook Kingswood School 1987 — 1991
US Securities and Exchange Commission January 2012 - Present
Kirkland & Ellis LLP October 2007 - January 2012
Kirkland & Ellis LLP January 2004 - September 2007
United States Court of Appeals - 7th Circuit January 2003 - December 2003
Brown & Bain August 2001 - December 2002
N.W. Ayer & Partners September 1995 - July 1997
Skills
Trade Secrets, Commercial Litigation, Litigation, Breach Of Contract, securities, Securities Litigation, Securities Regulation, Civil Litigation, Dispute Resolution, Fraud, Courts, Trials, Arbitration, Class Actions, Corporate Governance, Securities
Education
University of Notre Dame Law School 1998 — 2001
JD
University of Notre Dame - Mendoza College of Business 1997 — 2000
MBA
Michigan State University 1992 — 1995
BA, Political Science & Marketing
Boston University Questrom School of Business 1991 — 1992
Cranbrook Kingswood School 1987 — 1991
Stephen Dent Stephen Dent's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Judicial Law Clerk
Industry Law Practice
Experience
U.S. District Court October 2014 - Present
US Securities and Exchange Commission January 2014 - April 2014
Utah Law Review January 2013 - April 2014
Gibson, Dunn & Crutcher LLP May 2013 - July 2013
University of Utah May 2012 - June 2013
United States District Court January 2013 - April 2013
Brownstein Hyatt Farber Schreck May 2012 - August 2012
Skills
Legal Research, Courts, Legal Writing, Westlaw, Litigation, Research, Public Speaking, Public Policy, Policy Analysis, Civil Litigation, Editing, Mediation, Appeals, Commercial Litigation, Corporate Law, LexisNexis, Trials, Criminal Law, Politics
Education
University of Utah S.J. Quinney College of Law 2011 — 2014
J.D., Law
Brigham Young University 2005 — 2011
B.A., Political Science
U.S. District Court October 2014 - Present
US Securities and Exchange Commission January 2014 - April 2014
Utah Law Review January 2013 - April 2014
Gibson, Dunn & Crutcher LLP May 2013 - July 2013
University of Utah May 2012 - June 2013
United States District Court January 2013 - April 2013
Brownstein Hyatt Farber Schreck May 2012 - August 2012
Skills
Legal Research, Courts, Legal Writing, Westlaw, Litigation, Research, Public Speaking, Public Policy, Policy Analysis, Civil Litigation, Editing, Mediation, Appeals, Commercial Litigation, Corporate Law, LexisNexis, Trials, Criminal Law, Politics
Education
University of Utah S.J. Quinney College of Law 2011 — 2014
J.D., Law
Brigham Young University 2005 — 2011
B.A., Political Science
Adam Chevrier Adam Chevrier's US Securities and Exchange Commission Experience July 2014 - August 2014
Job Investigative Analyst at Internal Revenue Service
Industry Law Practice
Experience
Bloomberg BNA August 2014 - Present
Internal Revenue Service July 2015 - August 2015
ScottHulse, P.C. May 2015 - June 2015
The Bradshaw Law Group December 2014 - February 2015
US Securities and Exchange Commission July 2014 - August 2014
United States Attorney's Office May 2014 - June 2014
Brigham Young University June 2011 - June 2013
Heritage Law September 2012 - December 2012
Skills
Public Speaking, Social Media, PowerPoint, Microsoft Office, Microsoft Excel, Teaching, Research, Legal Research, Legal Writing, Press Releases, Editing, Microsoft Word
Education
Brigham Young University—J. Reuben Clark Law School 2013 — 2016
Doctor of Law (J.D.)
Brigham Young University 2011 — 2013
B.A., Communications
Bloomberg BNA August 2014 - Present
Internal Revenue Service July 2015 - August 2015
ScottHulse, P.C. May 2015 - June 2015
The Bradshaw Law Group December 2014 - February 2015
US Securities and Exchange Commission July 2014 - August 2014
United States Attorney's Office May 2014 - June 2014
Brigham Young University June 2011 - June 2013
Heritage Law September 2012 - December 2012
Skills
Public Speaking, Social Media, PowerPoint, Microsoft Office, Microsoft Excel, Teaching, Research, Legal Research, Legal Writing, Press Releases, Editing, Microsoft Word
Education
Brigham Young University—J. Reuben Clark Law School 2013 — 2016
Doctor of Law (J.D.)
Brigham Young University 2011 — 2013
B.A., Communications
Tatyana Rozenberg Tatyana Rozenberg's US Securities and Exchange Commission Experience January 2010 - April 2010
Job Associate at Holland & Knight LLP
Industry Law Practice
Experience
Holland & Knight LLP August 2014 - Present
Greenberg Traurig, LLP February 2012 - June 2014
US Securities and Exchange Commission January 2010 - April 2010
Unica May 2009 - August 2009
State Street June 2008 - August 2008
Office of Counsel for the Commandant & Commandant's Office of Legislative Affairs February 2006 - May 2006
Education
Boston University School of Law 2010 — 2010
LL.M., Banking and Financial Law
Boston University School of Law 2007 — 2010
J.D., concentration in Business Organizations and Finance Law
Cornell University 2004 — 2007
B.A., Economics and Government with concentration in Law and Society
Holland & Knight LLP August 2014 - Present
Greenberg Traurig, LLP February 2012 - June 2014
US Securities and Exchange Commission January 2010 - April 2010
Unica May 2009 - August 2009
State Street June 2008 - August 2008
Office of Counsel for the Commandant & Commandant's Office of Legislative Affairs February 2006 - May 2006
Education
Boston University School of Law 2010 — 2010
LL.M., Banking and Financial Law
Boston University School of Law 2007 — 2010
J.D., concentration in Business Organizations and Finance Law
Cornell University 2004 — 2007
B.A., Economics and Government with concentration in Law and Society
Anastasia Schulze Anastasia Schulze's US Securities and Exchange Commission Experience February 2009 - May 2009
Job Senior AttorneyAdvisor at Social Security Administration
Industry Government Administration
Experience
Social Security Administration September 2010 - Present
US Securities and Exchange Commission February 2009 - May 2009
Gunderson Dettmer May 2008 - July 2008
Loyola University Law School, Katrina Clinic June 2007 - August 2007
Elm Street Publications March 2003 - July 2006
Trinity Consultants January 2002 - February 2003
Education
Boston College Law School 2006 — 2009
J.D., Business Law, Tax Law
Courtauld Institute of Art, U. of London 2000 — 2001
M.A., Early Modern Art
University of Pennsylvania 1995 — 2000
B.A., History of Art, U.S. History, Anthropology
Social Security Administration September 2010 - Present
US Securities and Exchange Commission February 2009 - May 2009
Gunderson Dettmer May 2008 - July 2008
Loyola University Law School, Katrina Clinic June 2007 - August 2007
Elm Street Publications March 2003 - July 2006
Trinity Consultants January 2002 - February 2003
Education
Boston College Law School 2006 — 2009
J.D., Business Law, Tax Law
Courtauld Institute of Art, U. of London 2000 — 2001
M.A., Early Modern Art
University of Pennsylvania 1995 — 2000
B.A., History of Art, U.S. History, Anthropology
Benjamin Craven Benjamin Craven's US Securities and Exchange Commission Experience 2012 - 2012
Job Associate at Jones Day
Industry Law Practice
Experience
Jones Day 2013 - 2013
US Securities and Exchange Commission 2012 - 2012
BYU Economics Department 2010 - 2011
BYU Economics Dept. 2010 - 2011
The Church of Jesus Christ of Latter-day Saints September 2006 - October 2008
Skills
Teaching, Legal Research, Legal Writing, Research, Econometrics, Statistics, Public Speaking, Economics, Data Analysis, Stata, Microsoft Excel, Microsoft Office, Policy Analysis, Public Policy
Education
University of California, Berkeley - School of Law
Doctor of Law (J.D.)
Brigham Young University
B.A. magna cum laude, Economics
Jones Day 2013 - 2013
US Securities and Exchange Commission 2012 - 2012
BYU Economics Department 2010 - 2011
BYU Economics Dept. 2010 - 2011
The Church of Jesus Christ of Latter-day Saints September 2006 - October 2008
Skills
Teaching, Legal Research, Legal Writing, Research, Econometrics, Statistics, Public Speaking, Economics, Data Analysis, Stata, Microsoft Excel, Microsoft Office, Policy Analysis, Public Policy
Education
University of California, Berkeley - School of Law
Doctor of Law (J.D.)
Brigham Young University
B.A. magna cum laude, Economics
David Vaughan David Vaughan's US Securities and Exchange Commission Experience April 2009 - July 2011
Job Hedge Fund Attorney at Dechert LLP
Industry Law Practice
Experience
Dechert LLP August 2011 - Present
Catholic University Columbus School of Law January 2013 - May 2013
US Securities and Exchange Commission April 2009 - July 2011
Dechert LLP January 2000 - March 2009
Dechert LLP January 1997 - December 1999
Sutherland Asbill & Brennan LLP February 1995 - December 1996
Purroy, Canut & de la Vega February 1994 - January 1995
Sutherland Asbill & Brennan LLP August 1993 - January 1994
Coudert Brothers January 1991 - July 1993
Skills
Hedge Funds, Investment Advisers Act, Investment Company Act, Securities Offerings, Private Equity, Securities Regulation, CFTC
Education
Georgetown University Law Center 1987 — 1990
Doctor of Law (J.D.)
Bowling Green State University 1983 — 1987
Bachelor of Arts (B.A.), Spanish
Dechert LLP August 2011 - Present
Catholic University Columbus School of Law January 2013 - May 2013
US Securities and Exchange Commission April 2009 - July 2011
Dechert LLP January 2000 - March 2009
Dechert LLP January 1997 - December 1999
Sutherland Asbill & Brennan LLP February 1995 - December 1996
Purroy, Canut & de la Vega February 1994 - January 1995
Sutherland Asbill & Brennan LLP August 1993 - January 1994
Coudert Brothers January 1991 - July 1993
Skills
Hedge Funds, Investment Advisers Act, Investment Company Act, Securities Offerings, Private Equity, Securities Regulation, CFTC
Education
Georgetown University Law Center 1987 — 1990
Doctor of Law (J.D.)
Bowling Green State University 1983 — 1987
Bachelor of Arts (B.A.), Spanish
Hao Li Hao Li's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Enforcement Investigator at Financial Industry Regulatory Authority (FINRA); Securities Attorney
Industry Law Practice
Experience
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Massachusetts Securities Division January 2015 - May 2015
Massachusetts Securities Division December 2011 - January 2015
US Securities and Exchange Commission June 2010 - August 2010
MetLife May 2009 - August 2009
Financial Industry Regulatory Authority May 2008 - August 2008
Petillon Hiraide and Loomis LLP May 2007 - August 2007
Skills
Corporate Law, Securities, Securities Regulation, Corporate Governance, FINRA, Legal Research, Private Placements, Litigation, Broker-Dealer, SEC, Alternative Investments, Investment Advisor..., Investment Advisers Act, Investment Company Act
Education
Boston College Law School 2007 — 2011
Doctor of Law (JD), Securities and Corporate Law
Harvard University 2009 — 2011
Master of Arts (M.A.), Regional Studies-East Asia
University of California, Berkeley 2002 — 2006
Bachelor of Arts (B.A.), Economics and Legal Studies
West Torrance High School
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Massachusetts Securities Division January 2015 - May 2015
Massachusetts Securities Division December 2011 - January 2015
US Securities and Exchange Commission June 2010 - August 2010
MetLife May 2009 - August 2009
Financial Industry Regulatory Authority May 2008 - August 2008
Petillon Hiraide and Loomis LLP May 2007 - August 2007
Skills
Corporate Law, Securities, Securities Regulation, Corporate Governance, FINRA, Legal Research, Private Placements, Litigation, Broker-Dealer, SEC, Alternative Investments, Investment Advisor..., Investment Advisers Act, Investment Company Act
Education
Boston College Law School 2007 — 2011
Doctor of Law (JD), Securities and Corporate Law
Harvard University 2009 — 2011
Master of Arts (M.A.), Regional Studies-East Asia
University of California, Berkeley 2002 — 2006
Bachelor of Arts (B.A.), Economics and Legal Studies
West Torrance High School
Babback Sabahi Babback Sabahi's US Securities and Exchange Commission Experience January 2009 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission January 2009 - Present
Georgetown University Law Center January 2009 - Present
Innovation Station Child Development Center – Bright Horizons March 2013 - Present
Mayer Brown July 2006 - December 2008
International Monetary Fund January 2005 - June 2006
Bureau of International Legal Services (BILS) 1996 - 1998
Skills
Securities Regulation, International Law, Securities, Banking Law, Legal Advice, Legal Writing, Capital Markets, Legal Research, Financial Regulation, Securities Litigation, Cross-border..., Legal Compliance, Policy, Finance, Banking, Privacy Law, Securities Law
Education
Boston University School of Law 2001 — 2004
J.D., Law
University of Pennsylvania Law School 1999 — 2000
Master of Laws (LL.M.)
The Hague Academy of International Law 1998 — 1998
Summer Courses in Public International Law
Shahid Beheshti University Law School (formerly, National University of Iran) 1992 — 1995
Master of Laws, Public International Law
University of Tehran School of Law 1988 — 1992
Bachelor of Laws (LL.B.)
US Securities and Exchange Commission January 2009 - Present
Georgetown University Law Center January 2009 - Present
Innovation Station Child Development Center – Bright Horizons March 2013 - Present
Mayer Brown July 2006 - December 2008
International Monetary Fund January 2005 - June 2006
Bureau of International Legal Services (BILS) 1996 - 1998
Skills
Securities Regulation, International Law, Securities, Banking Law, Legal Advice, Legal Writing, Capital Markets, Legal Research, Financial Regulation, Securities Litigation, Cross-border..., Legal Compliance, Policy, Finance, Banking, Privacy Law, Securities Law
Education
Boston University School of Law 2001 — 2004
J.D., Law
University of Pennsylvania Law School 1999 — 2000
Master of Laws (LL.M.)
The Hague Academy of International Law 1998 — 1998
Summer Courses in Public International Law
Shahid Beheshti University Law School (formerly, National University of Iran) 1992 — 1995
Master of Laws, Public International Law
University of Tehran School of Law 1988 — 1992
Bachelor of Laws (LL.B.)
James Hang Jiang 蒋航 James Hang Jiang 蒋航's US Securities and Exchange Commission Experience 2010 - 2010
Job Associate at Mayer Brown
Industry Law Practice
Experience
Mayer Brown December 2014 - Present
Cadwalader, Wickersham & Taft LLP October 2012 - December 2014
Investment Adviser Association March 2012 - July 2012
Cadwalader, Wickersham & Taft LLP May 2011 - August 2011
US Securities and Exchange Commission 2010 - 2010
Sidley Austin June 2009 - July 2009
Skills
Legal Research, Corporate Law, Legal Writing, Corporate Finance, Capital Markets, U.S. Securities and..., Legal Advice, Cross-border..., Securitization, Corporate Governance, International Law, Due Diligence, Securities Regulation, Joint Ventures, Mergers & Acquisitions, Securities, Private Equity, Intellectual Property, Commercial Litigation, Humor
Education
Georgetown University Law Center 2008 — 2011
J.D., Law
Boston University 2008 — 2008
Peking University 2004 — 2008
LL.B., Law
Mayer Brown December 2014 - Present
Cadwalader, Wickersham & Taft LLP October 2012 - December 2014
Investment Adviser Association March 2012 - July 2012
Cadwalader, Wickersham & Taft LLP May 2011 - August 2011
US Securities and Exchange Commission 2010 - 2010
Sidley Austin June 2009 - July 2009
Skills
Legal Research, Corporate Law, Legal Writing, Corporate Finance, Capital Markets, U.S. Securities and..., Legal Advice, Cross-border..., Securitization, Corporate Governance, International Law, Due Diligence, Securities Regulation, Joint Ventures, Mergers & Acquisitions, Securities, Private Equity, Intellectual Property, Commercial Litigation, Humor
Education
Georgetown University Law Center 2008 — 2011
J.D., Law
Boston University 2008 — 2008
Peking University 2004 — 2008
LL.B., Law
Joseph Comizio Joseph Comizio's US Securities and Exchange Commission Experience June 2008 - August 2008
Job Business Development Executive at DAS Worldwide
Industry Telecommunications
Experience
DAS Worldwide May 2015 - Present
ESRA: Electronic Signature & Records Association October 2012 - May 2015
BuckleySandler LLP December 2011 - May 2015
Congressional Bank June 2010 - August 2010
US Securities and Exchange Commission June 2008 - August 2008
Skills
Microsoft Office, Research, Microsoft Excel, Due Diligence, PowerPoint, Social Media, Data Analysis, Public Speaking, Leadership, Microsoft Word, Event Planning, Marketing, Customer Service, Editing
Education
Bowdoin College 2007 — 2011
Bachelor of Arts (B.A.), Government and Legal Studies
Gonzaga College High School (Washington, DC) 2003 — 2007
College High School
DAS Worldwide May 2015 - Present
ESRA: Electronic Signature & Records Association October 2012 - May 2015
BuckleySandler LLP December 2011 - May 2015
Congressional Bank June 2010 - August 2010
US Securities and Exchange Commission June 2008 - August 2008
Skills
Microsoft Office, Research, Microsoft Excel, Due Diligence, PowerPoint, Social Media, Data Analysis, Public Speaking, Leadership, Microsoft Word, Event Planning, Marketing, Customer Service, Editing
Education
Bowdoin College 2007 — 2011
Bachelor of Arts (B.A.), Government and Legal Studies
Gonzaga College High School (Washington, DC) 2003 — 2007
College High School
Matthew Engellenner Matthew Engellenner's US Securities and Exchange Commission Experience September 2011 - January 2012
Job Director at LockeBridge
Industry Investment Banking
Experience
LockeBridge August 2012 - Present
US Securities and Exchange Commission September 2011 - January 2012
Gulf Oil September 2010 - June 2011
Skills
Legal Research
Education
rivers
Suffolk University Law School 2009 — 2012
Doctor of Law (J.D.)
Suffolk University - Sawyer School of Management 2009 — 2012
Master of Business Administration (M.B.A.)
Boston University 2002 — 2006
Bachelor's degree, International Relations and Affairs
LockeBridge August 2012 - Present
US Securities and Exchange Commission September 2011 - January 2012
Gulf Oil September 2010 - June 2011
Skills
Legal Research
Education
rivers
Suffolk University Law School 2009 — 2012
Doctor of Law (J.D.)
Suffolk University - Sawyer School of Management 2009 — 2012
Master of Business Administration (M.B.A.)
Boston University 2002 — 2006
Bachelor's degree, International Relations and Affairs
Michael McGowan Michael McGowan's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Vice President, Transactional Risk at ACE Group
Industry Financial Services
Experience
ACE Group July 2015 - Present
Focus Financial Partners June 2013 - July 2015
Vinson and Elkins, LLP September 2011 - June 2013
Vinson and Elkins, LLP May 2010 - July 2010
Poten & Partners July 2009 - August 2009
US Securities and Exchange Commission June 2009 - August 2009
Guy Carpenter & Co., LLC August 2007 - August 2008
Skills
Mergers & Acquisitions, Private Equity, Corporate Governance, Due Diligence, Capital Markets, Corporate Law, Securities, Securities Regulation, Mergers, Insurance, Energy, Cross-border..., Reinsurance, Business Development, Oil/Gas, Fund Formation, Broker-Dealer Compliance, Investment Advisor..., Joint Ventures, Corporate Finance, Finance, Mutual Funds, Financial Modeling, Investments
Education
Duke University School of Law 2008 — 2011
J.D., Law
Boston College 2003 — 2007
BA, cum laude, Communication, Psychology
UNSW Australia 2005 — 2005
Study Abroad
Half Hollow Hills High School West 1999 — 2003
ACE Group July 2015 - Present
Focus Financial Partners June 2013 - July 2015
Vinson and Elkins, LLP September 2011 - June 2013
Vinson and Elkins, LLP May 2010 - July 2010
Poten & Partners July 2009 - August 2009
US Securities and Exchange Commission June 2009 - August 2009
Guy Carpenter & Co., LLC August 2007 - August 2008
Skills
Mergers & Acquisitions, Private Equity, Corporate Governance, Due Diligence, Capital Markets, Corporate Law, Securities, Securities Regulation, Mergers, Insurance, Energy, Cross-border..., Reinsurance, Business Development, Oil/Gas, Fund Formation, Broker-Dealer Compliance, Investment Advisor..., Joint Ventures, Corporate Finance, Finance, Mutual Funds, Financial Modeling, Investments
Education
Duke University School of Law 2008 — 2011
J.D., Law
Boston College 2003 — 2007
BA, cum laude, Communication, Psychology
UNSW Australia 2005 — 2005
Study Abroad
Half Hollow Hills High School West 1999 — 2003
Eric P. Van Allen Eric P. Van Allen's US Securities and Exchange Commission Experience September 1999 - April 2003
Job Executive Director, Compliance & Operational Risk Control at UBS Asset Management
Industry Financial Services
Experience
Brown Brothers Harriman March 2014 - February 2015
Morgan Stanley Wealth Management May 2013 - February 2014
Morgan Stanley International Wealth Management April 2011 - April 2013
Morgan Stanley Wealth Management June 2007 - March 2011
Morgan Stanley September 2006 - May 2007
Morgan Stanley Wealth Management August 2004 - August 2006
American Stock Exchange April 2003 - August 2004
US Securities and Exchange Commission September 1999 - April 2003
Education
Boston College Law School 1996 — 1999
J.D.
University of California, Berkeley 1989 — 1994
B.S., Industrial Engineering and Operations Research
Brown Brothers Harriman March 2014 - February 2015
Morgan Stanley Wealth Management May 2013 - February 2014
Morgan Stanley International Wealth Management April 2011 - April 2013
Morgan Stanley Wealth Management June 2007 - March 2011
Morgan Stanley September 2006 - May 2007
Morgan Stanley Wealth Management August 2004 - August 2006
American Stock Exchange April 2003 - August 2004
US Securities and Exchange Commission September 1999 - April 2003
Education
Boston College Law School 1996 — 1999
J.D.
University of California, Berkeley 1989 — 1994
B.S., Industrial Engineering and Operations Research
Benjamin Righthand Benjamin Righthand's US Securities and Exchange Commission Experience August 2010 - January 2011
Job Attorney, Global Compliance & Ethics at American Express
Industry Law Practice
Experience
American Express September 2014 - Present
The Law Offices of Michael E. Pressman February 2013 - June 2014
New Jersey Office of Attorney General September 2012 - February 2013
Thomson Reuters January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - December 2011
Third Avenue Management June 2011 - August 2011
Professor Ernest Badway, Esq. May 2010 - June 2011
Central Park Group, LLC January 2011 - April 2011
US Securities and Exchange Commission August 2010 - January 2011
Gibson, Dunn & Crutcher LLP May 2008 - August 2008
Skills
Legal Research, Legal Writing, Corporate Law, Litigation, Civil Litigation, Securities Law, Securities Regulation, Financial Law, Microsoft Office, Excel, Lexis, Westlaw, Legal Compliance
Education
Brooklyn Law School 2009 — 2012
Juris Doctor, Certificate in Business Law
University of Michigan 2005 — 2009
Bachelor of Arts, American Culture
Ridgewood High School, Ridgewood, NJ 2001 — 2005
High School
American Express September 2014 - Present
The Law Offices of Michael E. Pressman February 2013 - June 2014
New Jersey Office of Attorney General September 2012 - February 2013
Thomson Reuters January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - December 2011
Third Avenue Management June 2011 - August 2011
Professor Ernest Badway, Esq. May 2010 - June 2011
Central Park Group, LLC January 2011 - April 2011
US Securities and Exchange Commission August 2010 - January 2011
Gibson, Dunn & Crutcher LLP May 2008 - August 2008
Skills
Legal Research, Legal Writing, Corporate Law, Litigation, Civil Litigation, Securities Law, Securities Regulation, Financial Law, Microsoft Office, Excel, Lexis, Westlaw, Legal Compliance
Education
Brooklyn Law School 2009 — 2012
Juris Doctor, Certificate in Business Law
University of Michigan 2005 — 2009
Bachelor of Arts, American Culture
Ridgewood High School, Ridgewood, NJ 2001 — 2005
High School
David T. Cohen, CIPP/US David T. Cohen, CIPP/US's US Securities and Exchange Commission Experience 2005 - 2005
Job Counsel at Ropes & Gray LLP
Industry Law Practice
Experience
Ropes & Gray LLP January 2015 - Present
Ropes & Gray LLP September 2008 - December 2014
U.S. Court of Appeals for the Third Circuit September 2007 - August 2008
Ropes & Gray LLP May 2006 - August 2006
US Securities and Exchange Commission 2005 - 2005
Freelance 1999 - 2003
Skills
Litigation, Class Actions, Privacy Law, Competition Law, Appeals, Commercial Litigation, Antitrust Law, Data Privacy, Civil Litigation, Data Security, Certified Information..., Privacy Issues, Online Privacy, Privacy Compliance, Privacy Policies, Privacy Regulations
Education
Boston College Law School 2004 — 2007
J.D.
Brown University 1999 — 2003
A.B.
Ropes & Gray LLP January 2015 - Present
Ropes & Gray LLP September 2008 - December 2014
U.S. Court of Appeals for the Third Circuit September 2007 - August 2008
Ropes & Gray LLP May 2006 - August 2006
US Securities and Exchange Commission 2005 - 2005
Freelance 1999 - 2003
Skills
Litigation, Class Actions, Privacy Law, Competition Law, Appeals, Commercial Litigation, Antitrust Law, Data Privacy, Civil Litigation, Data Security, Certified Information..., Privacy Issues, Online Privacy, Privacy Compliance, Privacy Policies, Privacy Regulations
Education
Boston College Law School 2004 — 2007
J.D.
Brown University 1999 — 2003
A.B.
Daniel Leslie Daniel Leslie's US Securities and Exchange Commission Experience January 2012 - Present
Job Attorney at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission January 2012 - Present
US Securities and Exchange Commission September 2011 - November 2011
US Securities and Exchange Commission June 2010 - August 2010
Skills
Securities Regulation, Corporate Finance, Legal Writing, Legal Research
Education
Duke University School of Law 2008 — 2011
JD/LLM, Internation and Comparative Law
Brigham Young University 2002 — 2008
BS/MAcc, Accounting
US Securities and Exchange Commission January 2012 - Present
US Securities and Exchange Commission September 2011 - November 2011
US Securities and Exchange Commission June 2010 - August 2010
Skills
Securities Regulation, Corporate Finance, Legal Writing, Legal Research
Education
Duke University School of Law 2008 — 2011
JD/LLM, Internation and Comparative Law
Brigham Young University 2002 — 2008
BS/MAcc, Accounting
Matthew Brock's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Associate at Davis Polk & Wardwell LLP
Industry Law Practice
Experience
Davis Polk & Wardwell LLP September 2014 - Present
Columbia Journal of Law and Social Problems September 2012 - April 2014
Chief Judge Carol Bagley Amon, Eastern District of New York September 2013 - December 2013
US Securities and Exchange Commission May 2013 - August 2013
New York City Law Department January 2013 - May 2013
New York City Department of Consumer Affairs June 2012 - August 2012
New York State Assembly May 2010 - August 2010
New York State Assembly May 2009 - August 2009
Skadden, Arps July 2007 - August 2007
New York City Council July 2006 - June 2007
Skills
Editing, Legal Writing, Legal Research, Editorial, Journalism, Research, Politics, Policy Analysis
Education
Columbia Law School 2011 — 2014
Juris Doctor
Vassar College 2008 — 2011
Bachelor of Arts, Political Science and Economics
Brandeis University 2007 — 2008
Bachelor of Arts, Political science
Hunter College High School 2001 — 2007
High School
Davis Polk & Wardwell LLP September 2014 - Present
Columbia Journal of Law and Social Problems September 2012 - April 2014
Chief Judge Carol Bagley Amon, Eastern District of New York September 2013 - December 2013
US Securities and Exchange Commission May 2013 - August 2013
New York City Law Department January 2013 - May 2013
New York City Department of Consumer Affairs June 2012 - August 2012
New York State Assembly May 2010 - August 2010
New York State Assembly May 2009 - August 2009
Skadden, Arps July 2007 - August 2007
New York City Council July 2006 - June 2007
Skills
Editing, Legal Writing, Legal Research, Editorial, Journalism, Research, Politics, Policy Analysis
Education
Columbia Law School 2011 — 2014
Juris Doctor
Vassar College 2008 — 2011
Bachelor of Arts, Political Science and Economics
Brandeis University 2007 — 2008
Bachelor of Arts, Political science
Hunter College High School 2001 — 2007
High School
Meg Rehrauer's US Securities and Exchange Commission Experience June 2008 - August 2008
Job Attorney
Industry Law Practice
Experience
Ropes & Gray LLP October 2011 - Present
Greater Boston Legal Services September 2010 - September 2011
Earned Income Tax Credit Campaign February 2009 - April 2010
Raytheon December 2009 - February 2010
Ropes & Gray LLP May 2009 - July 2009
Greater Boston Legal Services December 2008 - February 2009
US Securities and Exchange Commission June 2008 - August 2008
Education
Northeastern University School of Law 2007 — 2010
JD
Boston University 2003 — 2007
BS, Business Administration
Boston University Questrom School of Business 2003 — 2007
BSBA, Accounting and Law
Nashoba Regional High School 1999 — 2003
Ropes & Gray LLP October 2011 - Present
Greater Boston Legal Services September 2010 - September 2011
Earned Income Tax Credit Campaign February 2009 - April 2010
Raytheon December 2009 - February 2010
Ropes & Gray LLP May 2009 - July 2009
Greater Boston Legal Services December 2008 - February 2009
US Securities and Exchange Commission June 2008 - August 2008
Education
Northeastern University School of Law 2007 — 2010
JD
Boston University 2003 — 2007
BS, Business Administration
Boston University Questrom School of Business 2003 — 2007
BSBA, Accounting and Law
Nashoba Regional High School 1999 — 2003
Peter Tsirigotis Peter Tsirigotis's US Securities and Exchange Commission Experience November 1997 - August 2000
Job Counsel at Stradley Ronon | Attorney | Asset Management Law | Legal Compliance | Financial Product Development Attorney
Industry Law Practice
Experience
Stradley Ronon September 2014 - Present
Brown Brothers Harriman April 2010 - August 2014
Apis Capital Advisors, LLC March 2008 - December 2009
Bank of America July 2007 - March 2008
US Trust September 2005 - July 2007
Prudential Financial September 2004 - September 2005
Schulte Roth & Zabel LLP November 2002 - September 2004
Dechert LLP August 2000 - November 2002
US Securities and Exchange Commission November 1997 - August 2000
US EPA May 1990 - November 1997
Skills
Hedge Funds, Securities Regulation, Alternative Investments, Securities, Mutual Funds, Private Equity, Financial Services, Financial Risk, Asset Management, Finance, Legal Compliance, Operational Risk..., Investment Management, Corporate Governance, Economics, Investment Advisory, Attorney, Compliance Regulations, UCITS, Legal Advice, Martial Arts, Public Speaking, Published Author, Closed-end Funds, Business Development..., Investment Banking, Investments, Real Estate Funds, Real Estate, Financial Product..., Due Diligence, Law, Asset Management Law
Education
The Catholic University of America, Columbus School of Law 1993 — 1997
Juris Doctor (J.D.)
Boston University 1986 — 1990
BA, Economics, Political Science, International Relations
Stradley Ronon September 2014 - Present
Brown Brothers Harriman April 2010 - August 2014
Apis Capital Advisors, LLC March 2008 - December 2009
Bank of America July 2007 - March 2008
US Trust September 2005 - July 2007
Prudential Financial September 2004 - September 2005
Schulte Roth & Zabel LLP November 2002 - September 2004
Dechert LLP August 2000 - November 2002
US Securities and Exchange Commission November 1997 - August 2000
US EPA May 1990 - November 1997
Skills
Hedge Funds, Securities Regulation, Alternative Investments, Securities, Mutual Funds, Private Equity, Financial Services, Financial Risk, Asset Management, Finance, Legal Compliance, Operational Risk..., Investment Management, Corporate Governance, Economics, Investment Advisory, Attorney, Compliance Regulations, UCITS, Legal Advice, Martial Arts, Public Speaking, Published Author, Closed-end Funds, Business Development..., Investment Banking, Investments, Real Estate Funds, Real Estate, Financial Product..., Due Diligence, Law, Asset Management Law
Education
The Catholic University of America, Columbus School of Law 1993 — 1997
Juris Doctor (J.D.)
Boston University 1986 — 1990
BA, Economics, Political Science, International Relations
Vishal Mahadkar Vishal Mahadkar's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Senior Associate, Financial Services Regulatory at PwC Consulting
Industry Legal Services
Experience
PwC Consulting September 2013 - Present
US Securities and Exchange Commission January 2013 - April 2013
United States Bankruptcy Court for the Southern District of New York May 2012 - August 2012
Morgan Stanley May 2011 - July 2012
Education
Fordham University School of Law 2010 — 2013
J.D., cum laude
Boston College 2006 — 2010
B.A., magna cum laude, Economics, History
PwC Consulting September 2013 - Present
US Securities and Exchange Commission January 2013 - April 2013
United States Bankruptcy Court for the Southern District of New York May 2012 - August 2012
Morgan Stanley May 2011 - July 2012
Education
Fordham University School of Law 2010 — 2013
J.D., cum laude
Boston College 2006 — 2010
B.A., magna cum laude, Economics, History
William Leahey William Leahey's US Securities and Exchange Commission Experience January 2007 - April 2007
Job Vice President of Operations and Technology at SIFMA
Industry Financial Services
Experience
SIFMA March 2013 - Present
Financial Industry Regulatory Authority May 2011 - March 2013
Financial Industry Regulatory Authority June 2010 - May 2011
NYSE Regulation - Market Surveillance July 2008 - June 2010
Bear Stearns October 2007 - July 2008
US Securities and Exchange Commission January 2007 - April 2007
NYSE May 2006 - November 2006
Morgan Stanley, Compliance January 2006 - April 2006
Skills
FINRA, Securities, Equities, Capital Markets, Trading, Legal Writing, Legal Research, Financial Regulation, Equity Trading, Options
Education
Brooklyn Law School 2004 — 2007
University at Albany, SUNY 2000 — 2004
BS, Finance, Economics
SIFMA March 2013 - Present
Financial Industry Regulatory Authority May 2011 - March 2013
Financial Industry Regulatory Authority June 2010 - May 2011
NYSE Regulation - Market Surveillance July 2008 - June 2010
Bear Stearns October 2007 - July 2008
US Securities and Exchange Commission January 2007 - April 2007
NYSE May 2006 - November 2006
Morgan Stanley, Compliance January 2006 - April 2006
Skills
FINRA, Securities, Equities, Capital Markets, Trading, Legal Writing, Legal Research, Financial Regulation, Equity Trading, Options
Education
Brooklyn Law School 2004 — 2007
University at Albany, SUNY 2000 — 2004
BS, Finance, Economics
Bettina Ruppert, Esq. Bettina Ruppert, Esq.'s US Securities and Exchange Commission Experience August 2000 - December 2000
Job Vice President, Commercial Banking Compliance at JPMorgan Chase
Industry Financial Services
Experience
JPMorgan Chase December 2013 - Present
Morgan Stanley July 2012 - December 2013
Financial Industry Regulatory Authority 2001 - 2011
US Securities and Exchange Commission August 2000 - December 2000
NYSE Euronext August 1999 - May 2000
Milbank, Tweed, Hadley & McCloy LLP October 1996 - July 1998
Skills
FINRA, Enforcement, NYSE, Securities Regulation, compliance, Securities, Securities Fraud, French, Portuguese, Investigation, Appeals, Financial Regulation, Legal Compliance, Private Investigations, Equities, Capital Markets, Fraud, Legal Writing, Corporate Governance, Litigation, Compliance, Anti Money Laundering, Hedge Funds
Education
Brooklyn Law School 1998 — 2001
Doctor of Law (JD)
Washington University in St. Louis 1992 — 1996
Bachelor of Arts (B.A.), French and International Studies
JPMorgan Chase December 2013 - Present
Morgan Stanley July 2012 - December 2013
Financial Industry Regulatory Authority 2001 - 2011
US Securities and Exchange Commission August 2000 - December 2000
NYSE Euronext August 1999 - May 2000
Milbank, Tweed, Hadley & McCloy LLP October 1996 - July 1998
Skills
FINRA, Enforcement, NYSE, Securities Regulation, compliance, Securities, Securities Fraud, French, Portuguese, Investigation, Appeals, Financial Regulation, Legal Compliance, Private Investigations, Equities, Capital Markets, Fraud, Legal Writing, Corporate Governance, Litigation, Compliance, Anti Money Laundering, Hedge Funds
Education
Brooklyn Law School 1998 — 2001
Doctor of Law (JD)
Washington University in St. Louis 1992 — 1996
Bachelor of Arts (B.A.), French and International Studies
Elizabeth Schauber's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Law Clerk at Davis Polk & Wardwell LLP
Industry Law Practice
Experience
Davis Polk & Wardwell LLP March 2015 - Present
PwC September 2014 - March 2015
EFG Asset Management August 2013 - November 2013
Kaufman Borgeest & Ryan LLP June 2013 - August 2013
US Securities and Exchange Commission January 2013 - April 2013
Appellate Division, Supreme Court of the State of NY, Second Department September 2012 - December 2012
New York City Conflicts of Interest Board May 2012 - August 2012
Wilson Elser July 2010 - August 2011
Skills
Corporate Law
Education
Brooklyn Law School 2011 — 2014
Juris Doctor (J.D.), Cum Laude
Tufts University 2006 — 2010
B.A., History
School of the Holy Child 2004 — 2006
Professional Children's School 2002 — 2004
Davis Polk & Wardwell LLP March 2015 - Present
PwC September 2014 - March 2015
EFG Asset Management August 2013 - November 2013
Kaufman Borgeest & Ryan LLP June 2013 - August 2013
US Securities and Exchange Commission January 2013 - April 2013
Appellate Division, Supreme Court of the State of NY, Second Department September 2012 - December 2012
New York City Conflicts of Interest Board May 2012 - August 2012
Wilson Elser July 2010 - August 2011
Skills
Corporate Law
Education
Brooklyn Law School 2011 — 2014
Juris Doctor (J.D.), Cum Laude
Tufts University 2006 — 2010
B.A., History
School of the Holy Child 2004 — 2006
Professional Children's School 2002 — 2004
Jake Saifman's US Securities and Exchange Commission Experience May 2013 - August 2013
Job J.D. Candidate at Boston University School of Law, Anticipated 2015
Industry Law Practice
Experience
Fried Frank May 2014 - July 2014
US Securities and Exchange Commission May 2013 - August 2013
Paul, Weiss, Rifkind, Wharton & Garrison LLP June 2012 - August 2012
UBS Wealth Management June 2011 - August 2011
Skills
Legal Research, Capital Markets, Mergers & Acquisitions, Corporate Law, Investment Valuation, Corporate Finance
Education
Boston University School of Law 2014 — 2015
Master of Laws (LL.M.)
Boston University School of Law 2012 — 2015
Doctor of Law (J.D.)
University of Florida - Warrington College Of Business 2009 — 2012
Bachelor of Science in Business Administration
Fried Frank May 2014 - July 2014
US Securities and Exchange Commission May 2013 - August 2013
Paul, Weiss, Rifkind, Wharton & Garrison LLP June 2012 - August 2012
UBS Wealth Management June 2011 - August 2011
Skills
Legal Research, Capital Markets, Mergers & Acquisitions, Corporate Law, Investment Valuation, Corporate Finance
Education
Boston University School of Law 2014 — 2015
Master of Laws (LL.M.)
Boston University School of Law 2012 — 2015
Doctor of Law (J.D.)
University of Florida - Warrington College Of Business 2009 — 2012
Bachelor of Science in Business Administration
Samantha Maurer's US Securities and Exchange Commission Experience May 2013 - August 2013
Job ThirdYear Student at Boston University School of Law
Industry Law Practice
Experience
Re January 2015 - Present
Monroe County District Attorney's Office May 2014 - August 2014
U.S. District Court for the District of Massachusetts January 2014 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
Mississippi Center for Justice March 2013 - March 2013
Jill M. Myers, Esq. May 2012 - August 2012
Rockland County District Attorney's Office May 2011 - August 2011
Skills
Legal Research, Lexis, Westlaw, Microsoft Excel, American History
Education
Boston University School of Law 2012 — 2015
Doctor of Law (J.D.)
State University of New York College at Geneseo 2008 — 2012
Bachelor's degree, History; Honors Program, Magna Cum Laude
Re January 2015 - Present
Monroe County District Attorney's Office May 2014 - August 2014
U.S. District Court for the District of Massachusetts January 2014 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
Mississippi Center for Justice March 2013 - March 2013
Jill M. Myers, Esq. May 2012 - August 2012
Rockland County District Attorney's Office May 2011 - August 2011
Skills
Legal Research, Lexis, Westlaw, Microsoft Excel, American History
Education
Boston University School of Law 2012 — 2015
Doctor of Law (J.D.)
State University of New York College at Geneseo 2008 — 2012
Bachelor's degree, History; Honors Program, Magna Cum Laude
Nicholas DiLorenzo Nicholas DiLorenzo's US Securities and Exchange Commission Experience January 2012 - May 2012
Job Associate at Dechert LLP
Industry Law Practice
Experience
Dechert LLP August 2012 - Present
Boston University Law Review September 2010 - June 2012
US Securities and Exchange Commission January 2012 - May 2012
Boston University School of Law October 2011 - May 2012
Direct Edge May 2011 - August 2011
The Honorable Joseph F. Bianco - E.D.N.Y. May 2010 - August 2010
FXCM May 2009 - August 2009
TIAA-CREF May 2008 - August 2008
Education
Boston University School of Law 2009 — 2012
JD, Banking & Financial Law
New York University - Leonard N. Stern School of Business 2005 — 2009
Bachelor of Science (B.S.), Marketing and Finance
Xavier High School 2001 — 2005
High School
Dechert LLP August 2012 - Present
Boston University Law Review September 2010 - June 2012
US Securities and Exchange Commission January 2012 - May 2012
Boston University School of Law October 2011 - May 2012
Direct Edge May 2011 - August 2011
The Honorable Joseph F. Bianco - E.D.N.Y. May 2010 - August 2010
FXCM May 2009 - August 2009
TIAA-CREF May 2008 - August 2008
Education
Boston University School of Law 2009 — 2012
JD, Banking & Financial Law
New York University - Leonard N. Stern School of Business 2005 — 2009
Bachelor of Science (B.S.), Marketing and Finance
Xavier High School 2001 — 2005
High School
Julie Morse Julie Morse's US Securities and Exchange Commission Experience June 2006 - September 2006
Job Attorney at McLane Middleton, Professional Association
Industry Legal Services
Experience
McLane Middleton, Professional Association September 2008 - Present
NH Bureau of Securities Regulation September 2006 - May 2008
US Securities and Exchange Commission June 2006 - September 2006
United States Attorney's Office June 2005 - August 2005
Skills
Corporate Governance, Corporate Law, Securities Regulation, Mergers & Acquisitions, Immigration Law, Securities
Education
Suffolk University Law School 2004 — 2008
Doctor of Law (J.D.), Business Law and Financial Services Concentration
Boston University - School of Management 2000 — 2004
Bachelor of Science (B.S.), Business Administration, Finance and Business Law Concentration
McLane Middleton, Professional Association September 2008 - Present
NH Bureau of Securities Regulation September 2006 - May 2008
US Securities and Exchange Commission June 2006 - September 2006
United States Attorney's Office June 2005 - August 2005
Skills
Corporate Governance, Corporate Law, Securities Regulation, Mergers & Acquisitions, Immigration Law, Securities
Education
Suffolk University Law School 2004 — 2008
Doctor of Law (J.D.), Business Law and Financial Services Concentration
Boston University - School of Management 2000 — 2004
Bachelor of Science (B.S.), Business Administration, Finance and Business Law Concentration
Michelle Blanter Michelle Blanter's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Legal Counsel at International Health Services/Solutions
Industry Legal Services
Experience
US Securities and Exchange Commission January 2013 - April 2013
Small Business & Community Economic Development Clinic August 2012 - December 2012
U.S. Department of Commerce June 2012 - August 2012
Rubin, Weisman, Colasanti, Kajko & Stein, LLP June 2011 - August 2011
International Health Services June 2006 - August 2010
JustArkh June 2008 - August 2008
Skills
Legal Writing, Legal Research, Research, Corporate Law, Lexis, Commercial Litigation, Securities Regulation, EDGAR, Nonprofits, Document Drafting, Legal Compliance, Employment Law
Education
The George Washington University Law School 2010 — 2013
JD
Brandeis University 2007 — 2010
BA
Northeastern University 2006 — 2007
Bachelor of Arts (B.A.)
Andover High School 2002 — 2006
US Securities and Exchange Commission January 2013 - April 2013
Small Business & Community Economic Development Clinic August 2012 - December 2012
U.S. Department of Commerce June 2012 - August 2012
Rubin, Weisman, Colasanti, Kajko & Stein, LLP June 2011 - August 2011
International Health Services June 2006 - August 2010
JustArkh June 2008 - August 2008
Skills
Legal Writing, Legal Research, Research, Corporate Law, Lexis, Commercial Litigation, Securities Regulation, EDGAR, Nonprofits, Document Drafting, Legal Compliance, Employment Law
Education
The George Washington University Law School 2010 — 2013
JD
Brandeis University 2007 — 2010
BA
Northeastern University 2006 — 2007
Bachelor of Arts (B.A.)
Andover High School 2002 — 2006
Denver G. Edwards Denver G. Edwards's US Securities and Exchange Commission Experience April 1999 - March 2002
Job Partner at Bryant Rabbino LLP
Industry Law Practice
Experience
Bryant Rabbino LLP January 2014 - Present
NAMWOLF 2014 - 2015
New United Motor Manufacturing, Inc. January 2010 - December 2013
Bingham McCutchen February 2008 - December 2008
Goldman Sachs & Co. April 2006 - January 2008
Kelley Drye & Warren LLP April 2002 - January 2006
US Securities and Exchange Commission April 1999 - March 2002
US Dept. of Treasury - Office of the Comptroller of the Currency September 1995 - March 1999
Skills
Bankruptcy, Commercial Litigation, Restructuring, Compliance, Due Diligence, Financial Services..., Corporate Governance, General Corporate..., Regulatory Affairs, Risk Management, Internal Investigations, Financial Regulation, Corporate Law, Private Equity, Legal Advice, Fraud, Mergers
Education
Boston University School of Law 1991 — 1994
JD, Creditors' Rights, Corporate, Finance, and Securities Law
Middlebury College 1984 — 1988
B.A., History
Bryant Rabbino LLP January 2014 - Present
NAMWOLF 2014 - 2015
New United Motor Manufacturing, Inc. January 2010 - December 2013
Bingham McCutchen February 2008 - December 2008
Goldman Sachs & Co. April 2006 - January 2008
Kelley Drye & Warren LLP April 2002 - January 2006
US Securities and Exchange Commission April 1999 - March 2002
US Dept. of Treasury - Office of the Comptroller of the Currency September 1995 - March 1999
Skills
Bankruptcy, Commercial Litigation, Restructuring, Compliance, Due Diligence, Financial Services..., Corporate Governance, General Corporate..., Regulatory Affairs, Risk Management, Internal Investigations, Financial Regulation, Corporate Law, Private Equity, Legal Advice, Fraud, Mergers
Education
Boston University School of Law 1991 — 1994
JD, Creditors' Rights, Corporate, Finance, and Securities Law
Middlebury College 1984 — 1988
B.A., History
Carl Hasselbarth, Esq. Carl Hasselbarth, Esq.'s US Securities and Exchange Commission Experience May 2008 - August 2008
Job Attorney and Tax Preparer
Industry Law Practice
Experience
Law Office of Carl W. Hasselbarth June 2012 - Present
Excelsior College May 2010 - May 2014
Hartmann Financial Group September 2010 - April 2014
Jackson Hewitt January 2011 - April 2011
Legal Aid Society of Northeastern New York, Inc. September 2009 - November 2009
Brooklyn Law School Legal Services, Corp. August 2008 - May 2009
US Securities and Exchange Commission May 2008 - August 2008
Commodity Futures Trading Commission September 2007 - December 2007
Bear Stearns June 2007 - August 2007
The Ayco Company, L.P. June 2003 - January 2006
Skills
Investments
Education
Brooklyn Law School 2006 — 2009
J.D., Law
University of Michigan - Stephen M. Ross School of Business 2001 — 2003
BBA
University of Michigan 1999 — 2001
Guilderland Central High School 1995 — 1999
Law Office of Carl W. Hasselbarth June 2012 - Present
Excelsior College May 2010 - May 2014
Hartmann Financial Group September 2010 - April 2014
Jackson Hewitt January 2011 - April 2011
Legal Aid Society of Northeastern New York, Inc. September 2009 - November 2009
Brooklyn Law School Legal Services, Corp. August 2008 - May 2009
US Securities and Exchange Commission May 2008 - August 2008
Commodity Futures Trading Commission September 2007 - December 2007
Bear Stearns June 2007 - August 2007
The Ayco Company, L.P. June 2003 - January 2006
Skills
Investments
Education
Brooklyn Law School 2006 — 2009
J.D., Law
University of Michigan - Stephen M. Ross School of Business 2001 — 2003
BBA
University of Michigan 1999 — 2001
Guilderland Central High School 1995 — 1999
Ryan Kelly Ryan Kelly's US Securities and Exchange Commission Experience 2011 - 2011
Job Growth Marketing Manager at Nanigans
Industry Internet
Experience
Nanigans August 2015 - Present
Bridj May 2014 - August 2015
Startup Institute March 2014 - May 2014
Various Clients March 2013 - February 2014
Bressler, Amery & Ross, P.C. May 2012 - August 2012
State Street January 2012 - April 2012
US Securities and Exchange Commission 2011 - 2011
U.S. District Court for the Middle District of Florida 2010 - 2010
Florida State University 2008 - 2009
Skills
Technical Marketing, Communication, Analytics, Growth Strategies, Brand Development, Content Strategy, Press Relations, Early-stage Startups, Project Management, Strategic Partnerships, Market Research, Contract Negotiation, Litigation
Education
Boston University School of Law 2009 — 2012
Doctor of Law (J.D.)
Florida State University 2005 — 2008
Bachelor of Arts (B.A.), Political Science and International Affairs
Nanigans August 2015 - Present
Bridj May 2014 - August 2015
Startup Institute March 2014 - May 2014
Various Clients March 2013 - February 2014
Bressler, Amery & Ross, P.C. May 2012 - August 2012
State Street January 2012 - April 2012
US Securities and Exchange Commission 2011 - 2011
U.S. District Court for the Middle District of Florida 2010 - 2010
Florida State University 2008 - 2009
Skills
Technical Marketing, Communication, Analytics, Growth Strategies, Brand Development, Content Strategy, Press Relations, Early-stage Startups, Project Management, Strategic Partnerships, Market Research, Contract Negotiation, Litigation
Education
Boston University School of Law 2009 — 2012
Doctor of Law (J.D.)
Florida State University 2005 — 2008
Bachelor of Arts (B.A.), Political Science and International Affairs
Iain Page Iain Page's US Securities and Exchange Commission Experience February 1990 - September 1994
Job 5,6 and 10pm Weeknight Anchor at WTXF FOX 29
Industry Broadcast Media
Experience
WTXF FOX 29 February 2013 - Present
KPRC TV October 2010 - September 2012
Golf Channel August 2004 - January 2010
ESPN August 1996 - August 2000
US Securities and Exchange Commission February 1990 - September 1994
Skills
Broadcast, Television, Broadcast Television, Television Production, Radio, TV production, Sports, Avid, Public Relations, Video Production, Video, Broadcast Journalism, Breaking News, ENPS, Non-linear Editing, Camera, Video Editing, New Media, Social Media Marketing, Blogging, Media Production, Sponsorship, Field Producing, Adobe Audition, Final Cut Pro, News Writing, Journalism, Event Management, Producing, Sports Marketing, Storytelling, Media Relations, Radio Broadcasting, Press Releases, Social Media
Education
The George Washington University Law School 1985 — 1988
JD
Boston University 1981 — 1985
BA, Political Science
WTXF FOX 29 February 2013 - Present
KPRC TV October 2010 - September 2012
Golf Channel August 2004 - January 2010
ESPN August 1996 - August 2000
US Securities and Exchange Commission February 1990 - September 1994
Skills
Broadcast, Television, Broadcast Television, Television Production, Radio, TV production, Sports, Avid, Public Relations, Video Production, Video, Broadcast Journalism, Breaking News, ENPS, Non-linear Editing, Camera, Video Editing, New Media, Social Media Marketing, Blogging, Media Production, Sponsorship, Field Producing, Adobe Audition, Final Cut Pro, News Writing, Journalism, Event Management, Producing, Sports Marketing, Storytelling, Media Relations, Radio Broadcasting, Press Releases, Social Media
Education
The George Washington University Law School 1985 — 1988
JD
Boston University 1981 — 1985
BA, Political Science
D. Christopher Walker D. Christopher Walker's US Securities and Exchange Commission Experience May 2001 - August 2001
Job Head of Regulatory Exams at UBS Investment Bank
Industry Financial Services
Experience
UBS Investment Bank November 2014 - Present
UBS Securities April 2011 - Present
CME Group March 2009 - April 2011
FINRA May 2005 - March 2009
Beam & Astarita, LLC November 2002 - May 2005
US Securities and Exchange Commission May 2001 - August 2001
New York Stock Exchange, Inc. February 1999 - May 2001
Paine Webber September 1996 - February 1999
TD Waterhouse October 1994 - July 1996
Skills
Corporate Governance, Securities, Corporate Law, Risk Management, Derivatives, Due Diligence, Capital Markets, Securities Regulation, Financial Regulation, Hedge Funds, FINRA, Series 7, Fixed Income, Equities
Education
New York Law School 2009 — 2013
LL.M., Financial Services Law
Brooklyn Law School 1998 — 2002
J.D., Law
Florida State University 1989 — 1993
B.A., History and International Affairs
UBS Investment Bank November 2014 - Present
UBS Securities April 2011 - Present
CME Group March 2009 - April 2011
FINRA May 2005 - March 2009
Beam & Astarita, LLC November 2002 - May 2005
US Securities and Exchange Commission May 2001 - August 2001
New York Stock Exchange, Inc. February 1999 - May 2001
Paine Webber September 1996 - February 1999
TD Waterhouse October 1994 - July 1996
Skills
Corporate Governance, Securities, Corporate Law, Risk Management, Derivatives, Due Diligence, Capital Markets, Securities Regulation, Financial Regulation, Hedge Funds, FINRA, Series 7, Fixed Income, Equities
Education
New York Law School 2009 — 2013
LL.M., Financial Services Law
Brooklyn Law School 1998 — 2002
J.D., Law
Florida State University 1989 — 1993
B.A., History and International Affairs
Gregory Schulz Gregory Schulz's US Securities and Exchange Commission Experience June 2011 - August 2011
Job Attorney
Industry Law Practice
Experience
Shumway Van May 2013 - Present
Brigham Young University September 2010 - April 2013
Holland & Hart LLP January 2013 - March 2013
State of Utah April 2012 - August 2012
US Securities and Exchange Commission June 2011 - August 2011
Intel-Micron Flash Technologies April 2011 - May 2011
Apple Computers April 2009 - August 2009
Millenniata April 2008 - August 2008
UPS May 2007 - June 2007
Skills
Appellate Practice, Brief Writing, Legal Research, Data Analysis, Legal Writing, Public Speaking, Microsoft Excel, Microsoft Office, PowerPoint, Commercial Litigation, Legal Issues, Leadership
Education
Brigham Young University—J. Reuben Clark Law School 2010 — 2010
Juris Doctorate, Law
Brigham Young University 2007 — 2010
Bachelor's, Management - Strategy Emphasis
Shumway Van May 2013 - Present
Brigham Young University September 2010 - April 2013
Holland & Hart LLP January 2013 - March 2013
State of Utah April 2012 - August 2012
US Securities and Exchange Commission June 2011 - August 2011
Intel-Micron Flash Technologies April 2011 - May 2011
Apple Computers April 2009 - August 2009
Millenniata April 2008 - August 2008
UPS May 2007 - June 2007
Skills
Appellate Practice, Brief Writing, Legal Research, Data Analysis, Legal Writing, Public Speaking, Microsoft Excel, Microsoft Office, PowerPoint, Commercial Litigation, Legal Issues, Leadership
Education
Brigham Young University—J. Reuben Clark Law School 2010 — 2010
Juris Doctorate, Law
Brigham Young University 2007 — 2010
Bachelor's, Management - Strategy Emphasis
Thomas Powers's US Securities and Exchange Commission Experience January 2011 - May 2011
Job Associate at Nutter McClennen & Fish LLP
Industry Law Practice
Experience
Nutter McClennen & Fish LLP January 2012 - Present
US Securities and Exchange Commission January 2011 - May 2011
Massachusetts Superior Court June 2009 - August 2009
Education
Boston University School of Law 2008 — 2011
Doctor of Law (J.D.)
The Catholic University of America 2002 — 2006
Bachelor of Arts (B.A.), Philosophy
Nutter McClennen & Fish LLP January 2012 - Present
US Securities and Exchange Commission January 2011 - May 2011
Massachusetts Superior Court June 2009 - August 2009
Education
Boston University School of Law 2008 — 2011
Doctor of Law (J.D.)
The Catholic University of America 2002 — 2006
Bachelor of Arts (B.A.), Philosophy
Carlos Hanco, Jr. Carlos Hanco, Jr.'s US Securities and Exchange Commission Experience September 2012 - December 2012
Job Associate at Morgan, Lewis & Bockius LLP
Industry Law Practice
Experience
Morgan, Lewis & Bockius LLP January 2014 - Present
US Securities and Exchange Commission September 2012 - December 2012
Bingham McCutchen May 2012 - July 2012
Volunteer Lawyers Project of the Boston Bar Association September 2011 - November 2011
State of New Jersey Office of the Attorney General May 2011 - August 2011
Princeton University September 2008 - July 2010
Education
Boston University School of Law 2010 — 2013
J.D., Banking and Financial Law
Princeton University 2005 — 2009
A.B., Politics
Morgan, Lewis & Bockius LLP January 2014 - Present
US Securities and Exchange Commission September 2012 - December 2012
Bingham McCutchen May 2012 - July 2012
Volunteer Lawyers Project of the Boston Bar Association September 2011 - November 2011
State of New Jersey Office of the Attorney General May 2011 - August 2011
Princeton University September 2008 - July 2010
Education
Boston University School of Law 2010 — 2013
J.D., Banking and Financial Law
Princeton University 2005 — 2009
A.B., Politics
Jeff Hayes's US Securities and Exchange Commission Experience 2006 - 2006
Job Partner at Payne & Fears LLP
Industry Law Practice
Experience
Payne & Fears LLP January 2015 - Present
Payne & Fears LLP April 2009 - December 2014
O'Melveny & Myers LLP September 2007 - March 2009
Ninth Circuit Court of Appeals August 2006 - August 2007
US Securities and Exchange Commission 2006 - 2006
Skills
Appeals, Legal Research, Breach Of Contract, Commercial Litigation, Litigation, Civil Litigation, Arbitration, Oral Arguments, Legal Writing, Depositions, Corporate Law
Education
Stanford University Law School 2003 — 2006
J.D., with distinction, Law
Brigham Young University 1997 — 2002
B.A, Political Science
Bountiful High
Payne & Fears LLP January 2015 - Present
Payne & Fears LLP April 2009 - December 2014
O'Melveny & Myers LLP September 2007 - March 2009
Ninth Circuit Court of Appeals August 2006 - August 2007
US Securities and Exchange Commission 2006 - 2006
Skills
Appeals, Legal Research, Breach Of Contract, Commercial Litigation, Litigation, Civil Litigation, Arbitration, Oral Arguments, Legal Writing, Depositions, Corporate Law
Education
Stanford University Law School 2003 — 2006
J.D., with distinction, Law
Brigham Young University 1997 — 2002
B.A, Political Science
Bountiful High
Doria Bachenheimer's US Securities and Exchange Commission Experience January 1999 - August 2008
Job Managing Director, General Counsel, Regulatory Law at TIAACREF
Industry Financial Services
Experience
TIAA-CREF September 2008 - Present
US Securities and Exchange Commission January 1999 - August 2008
Department of Justice, Office of the US Trustee August 1992 - December 1998
Baker & McKenzie August 1991 - August 1992
Gaston & Snow August 1989 - August 1991
Chadbourne & Parke LLP September 1986 - August 1989
Skills
Financial services..., Securities enforcement..., Securities, Securities Regulation, Enforcement, Arbitration, Commercial Litigation, Litigation, Legal Research, Trials, Financial Regulation, Civil Litigation, Derivatives, Fraud, Corporate Governance
Education
Boston University School of Law 1983 — 1986
J. D., Law
Brandeis University 1979 — 1983
A. B., Magna Cum Laude
TIAA-CREF September 2008 - Present
US Securities and Exchange Commission January 1999 - August 2008
Department of Justice, Office of the US Trustee August 1992 - December 1998
Baker & McKenzie August 1991 - August 1992
Gaston & Snow August 1989 - August 1991
Chadbourne & Parke LLP September 1986 - August 1989
Skills
Financial services..., Securities enforcement..., Securities, Securities Regulation, Enforcement, Arbitration, Commercial Litigation, Litigation, Legal Research, Trials, Financial Regulation, Civil Litigation, Derivatives, Fraud, Corporate Governance
Education
Boston University School of Law 1983 — 1986
J. D., Law
Brandeis University 1979 — 1983
A. B., Magna Cum Laude
Hunter Anderson Hunter Anderson's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Tax Associate at PwC
Industry Law Practice
Experience
PwC October 2013 - Present
Investment Adviser Association January 2013 - October 2013
US Securities and Exchange Commission September 2012 - December 2012
The Financial Services Roundtable May 2012 - August 2012
Patton Boggs LLP May 2011 - September 2011
Skills
Legal Research, Spanish, Legal Writing
Education
The George Washington University Law School 2010 — 2013
Juris Doctor
Brigham Young University 2003 — 2009
B.A., Latin American Studies
PwC October 2013 - Present
Investment Adviser Association January 2013 - October 2013
US Securities and Exchange Commission September 2012 - December 2012
The Financial Services Roundtable May 2012 - August 2012
Patton Boggs LLP May 2011 - September 2011
Skills
Legal Research, Spanish, Legal Writing
Education
The George Washington University Law School 2010 — 2013
Juris Doctor
Brigham Young University 2003 — 2009
B.A., Latin American Studies
Allan Oster's US Securities and Exchange Commission Experience May 1991 - May 1996
Job AVP & Associate General Counsel at Nationwide Financial Services, Inc.
Industry Law Practice
Experience
Nationwide Financial Services, Inc./Nationwide Funds Group January 2005 - Present
Merrill Lynch June 1999 - December 2004
Drinker Biddle & Reath LLP June 1996 - June 1999
US Securities and Exchange Commission May 1991 - May 1996
Skills
Securities, Securities Regulation, Mutual Funds, Investment Management, Corporate Governance, Hedge Funds, Mergers & Acquisitions, Due Diligence, Financial Services, Corporate Law, FINRA, Alternative Investments, Private Equity, Legal Compliance, Investments
Education
Boston University School of Law 1985 — 1988
J.D., Law
Brandeis University 1981 — 1985
B.A., Near Eastern and Judaic Studies
Nationwide Financial Services, Inc./Nationwide Funds Group January 2005 - Present
Merrill Lynch June 1999 - December 2004
Drinker Biddle & Reath LLP June 1996 - June 1999
US Securities and Exchange Commission May 1991 - May 1996
Skills
Securities, Securities Regulation, Mutual Funds, Investment Management, Corporate Governance, Hedge Funds, Mergers & Acquisitions, Due Diligence, Financial Services, Corporate Law, FINRA, Alternative Investments, Private Equity, Legal Compliance, Investments
Education
Boston University School of Law 1985 — 1988
J.D., Law
Brandeis University 1981 — 1985
B.A., Near Eastern and Judaic Studies
Cary Lapidus Cary Lapidus's US Securities and Exchange Commission Experience 1982 - 1986
Job Attorney at Law Offices of Cary S. Lapidus
Industry Law Practice
Experience
Law Offices of Cary S. Lapidus 1993 - Present
U.S. Securities and Exchange Commission 1982 - 1986
US Securities and Exchange Commission 1982 - 1986
Skills
Securities Arbitration, Securities Law, Securities Litigation, Securities Regulation, Commercial Litigation, Class Actions, Arbitration, Litigation, Civil Litigation, Fraud, Dispute Resolution, Trial Practice, Trials, Appeals, Torts, White Collar Criminal..., Mediation, Legal Research, Breach Of Contract, Bankruptcy, Alternative Dispute..., Courts, Business Litigation, Non-compete Agreements
Education
Boston University School of Law 1978 — 1981
JD
University of Virginia 1974 — 1978
BA
Law Offices of Cary S. Lapidus 1993 - Present
U.S. Securities and Exchange Commission 1982 - 1986
US Securities and Exchange Commission 1982 - 1986
Skills
Securities Arbitration, Securities Law, Securities Litigation, Securities Regulation, Commercial Litigation, Class Actions, Arbitration, Litigation, Civil Litigation, Fraud, Dispute Resolution, Trial Practice, Trials, Appeals, Torts, White Collar Criminal..., Mediation, Legal Research, Breach Of Contract, Bankruptcy, Alternative Dispute..., Courts, Business Litigation, Non-compete Agreements
Education
Boston University School of Law 1978 — 1981
JD
University of Virginia 1974 — 1978
BA
Mark David Hunter Mark David Hunter's US Securities and Exchange Commission Experience 2003 - 2004
Job Partner at Hunter Taubman Weiss LLP
Industry Law Practice
Experience
Hunter Taubman Weiss LLP March 2011 - Present
Leser Hunter Taubman & Taubman, PLLC January 2007 - March 2011
U.S. Army Reserves JAG Corps 2004 - 2009
Mark David Hunter, P.A. 2004 - 2007
US Securities and Exchange Commission 2003 - 2004
Kings County District Attorneys Office 2001 - 2003
Bear Stearns Securities Corp. 2001 - 2001
Skills
Securities Litigation, Securities Regulation, Litigation, White Collar Criminal..., Commercial Litigation, Criminal Law, Civil Litigation, Internal Investigations, Class Actions, Arbitration, Legal Research, Trial Practice, Courts, Fraud, Trials, International Law, Business Litigation, Corporate Governance, Private Investigations, Corporate Law, Securities, Hearings, Pleadings, Legal Advice, Legal Compliance, Legal Issues, Intellectual Property, Litigation Support, Dispute Resolution, Westlaw, Mediation, Alternative Dispute..., Administrative Law, Depositions, FCPA, Medical Malpractice, Legal Assistance, Employment Law, Insurance Law, Legal Writing, Criminal Defense, Torts, Enforcement, Criminal Justice, Evidence, Licensing
Education
Brooklyn Law School 1998 — 2001
Juris Doctor
Southern Illinois University, Edwardsville 1994 — 1998
Bachelor of Science (B.S.), Sociology
Hunter Taubman Weiss LLP March 2011 - Present
Leser Hunter Taubman & Taubman, PLLC January 2007 - March 2011
U.S. Army Reserves JAG Corps 2004 - 2009
Mark David Hunter, P.A. 2004 - 2007
US Securities and Exchange Commission 2003 - 2004
Kings County District Attorneys Office 2001 - 2003
Bear Stearns Securities Corp. 2001 - 2001
Skills
Securities Litigation, Securities Regulation, Litigation, White Collar Criminal..., Commercial Litigation, Criminal Law, Civil Litigation, Internal Investigations, Class Actions, Arbitration, Legal Research, Trial Practice, Courts, Fraud, Trials, International Law, Business Litigation, Corporate Governance, Private Investigations, Corporate Law, Securities, Hearings, Pleadings, Legal Advice, Legal Compliance, Legal Issues, Intellectual Property, Litigation Support, Dispute Resolution, Westlaw, Mediation, Alternative Dispute..., Administrative Law, Depositions, FCPA, Medical Malpractice, Legal Assistance, Employment Law, Insurance Law, Legal Writing, Criminal Defense, Torts, Enforcement, Criminal Justice, Evidence, Licensing
Education
Brooklyn Law School 1998 — 2001
Juris Doctor
Southern Illinois University, Edwardsville 1994 — 1998
Bachelor of Science (B.S.), Sociology
Teisha Ruggiero Teisha Ruggiero's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Associate, International Tax at KPMG US
Industry Legal Services
Experience
KPMG US May 2013 - August 2013
Hon. Harold Baer, U.S. District Court, Southern District of New York January 2013 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
US Commodity Futures Trading Commission 2012 - 2012
Congressional Research Service October 2010 - February 2011
Oxford University July 2009 - November 2009
Skills
Legal Research, Legal Writing, International Tax, Policy Analysis, International Relations, Foreign Policy, International Political...
Education
Brooklyn Law School 2011 — 2014
Bucerius Law School
London School of Economics and Political Science 2008 — 2009
MSc Comparative Politics, Politics and Markets
McGill University 2004 — 2008
Bachelor of Arts, Political Science; International Political Economy
River Dell Regional High School
KPMG US May 2013 - August 2013
Hon. Harold Baer, U.S. District Court, Southern District of New York January 2013 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
US Commodity Futures Trading Commission 2012 - 2012
Congressional Research Service October 2010 - February 2011
Oxford University July 2009 - November 2009
Skills
Legal Research, Legal Writing, International Tax, Policy Analysis, International Relations, Foreign Policy, International Political...
Education
Brooklyn Law School 2011 — 2014
Bucerius Law School
London School of Economics and Political Science 2008 — 2009
MSc Comparative Politics, Politics and Markets
McGill University 2004 — 2008
Bachelor of Arts, Political Science; International Political Economy
River Dell Regional High School
Daniel Reineberg's US Securities and Exchange Commission Experience July 2012 - May 2014
Job UX/UI Designer and Creative
Industry Design
Experience
Massachusetts Technology Corporation November 2014 - Present
Vocoli, The Digital Suggestion Box & Innovation Platform November 2014 - Present
Freelance Designer: Wined and Dined September 2014 - October 2014
Mullen June 2014 - August 2014
US Securities and Exchange Commission July 2012 - May 2014
Boston University ADLab September 2013 - December 2013
Amp Agency: Insights Lab Incubator Course September 2013 - December 2013
Boston University ADLab January 2013 - May 2013
Reston Association June 2009 - August 2011
Skills
User Experience, User Interface Design, Advertising, Creative Strategy, Balsamiq Mockups, Wire Framing, Adobe Creative Suite, Graphic Design, Creative Direction, Market Research, Creative Writing, Social Media, Microsoft Excel, Marketing, Social Networking, Microsoft Office, Customer Service, Social Media Marketing, Art, Microsoft Word, Research, Copywriting, InDesign, Card Sorting, Layout, Logo Design, Web Design, Photoshop, Prototyping, JustInMind
Education
Boston University 2010 — 2014
Bachelor of Science (BS), Advertising (focus in Psychology)
South Lakes High School 2006 — 2010
National Honor Society, Advanced Diploma and IB Certificates, 3.9
Massachusetts Technology Corporation November 2014 - Present
Vocoli, The Digital Suggestion Box & Innovation Platform November 2014 - Present
Freelance Designer: Wined and Dined September 2014 - October 2014
Mullen June 2014 - August 2014
US Securities and Exchange Commission July 2012 - May 2014
Boston University ADLab September 2013 - December 2013
Amp Agency: Insights Lab Incubator Course September 2013 - December 2013
Boston University ADLab January 2013 - May 2013
Reston Association June 2009 - August 2011
Skills
User Experience, User Interface Design, Advertising, Creative Strategy, Balsamiq Mockups, Wire Framing, Adobe Creative Suite, Graphic Design, Creative Direction, Market Research, Creative Writing, Social Media, Microsoft Excel, Marketing, Social Networking, Microsoft Office, Customer Service, Social Media Marketing, Art, Microsoft Word, Research, Copywriting, InDesign, Card Sorting, Layout, Logo Design, Web Design, Photoshop, Prototyping, JustInMind
Education
Boston University 2010 — 2014
Bachelor of Science (BS), Advertising (focus in Psychology)
South Lakes High School 2006 — 2010
National Honor Society, Advanced Diploma and IB Certificates, 3.9
Chad DeCoursey's US Securities and Exchange Commission Experience May 2010 - July 2010
Job Attorney at Private Capital Group
Industry Legal Services
Experience
Private Capital Group, Inc. March 2015 - Present
Deloitte August 2014 - Present
Deloitte April 2013 - August 2014
Deloitte October 2012 - April 2013
PwC June 2011 - August 2011
US Securities and Exchange Commission May 2010 - July 2010
Deloitte & Touche LLP June 2009 - July 2009
Skills
Legal Research, Tax, Accounting, Tax Law, Microsoft Excel, PowerPoint, Microsoft Word, Corporate Finance, Spanish, Access, Financial Analysis, Legal Writing, External Audit, Financial Reporting, International Tax, US GAAP, Budgets, Financial Accounting, CPA, Sarbanes-Oxley Act, SEC filings, Corporate Tax, Finance, Microsoft Office, Financial Statements, Research, Due Diligence, General Ledger, GAAP, Auditing, Financial Modeling, Tax Research, Analysis, Internal Audit, Internal Controls
Education
Brigham Young University—J. Reuben Clark Law School 2009 — 2012
J.D., Cum Laude, Law
Brigham Young University—Marriott School of Management 2006 — 2012
Master of Accountancy, Accounting
Brigham Young University—Marriott School of Management 2006 — 2012
Bachelor of Science, Accounting
Brigham Young University - Idaho 2002 — 2003
Associate of Science, General Studies
Viewmont High 1999 — 2002
Private Capital Group, Inc. March 2015 - Present
Deloitte August 2014 - Present
Deloitte April 2013 - August 2014
Deloitte October 2012 - April 2013
PwC June 2011 - August 2011
US Securities and Exchange Commission May 2010 - July 2010
Deloitte & Touche LLP June 2009 - July 2009
Skills
Legal Research, Tax, Accounting, Tax Law, Microsoft Excel, PowerPoint, Microsoft Word, Corporate Finance, Spanish, Access, Financial Analysis, Legal Writing, External Audit, Financial Reporting, International Tax, US GAAP, Budgets, Financial Accounting, CPA, Sarbanes-Oxley Act, SEC filings, Corporate Tax, Finance, Microsoft Office, Financial Statements, Research, Due Diligence, General Ledger, GAAP, Auditing, Financial Modeling, Tax Research, Analysis, Internal Audit, Internal Controls
Education
Brigham Young University—J. Reuben Clark Law School 2009 — 2012
J.D., Cum Laude, Law
Brigham Young University—Marriott School of Management 2006 — 2012
Master of Accountancy, Accounting
Brigham Young University—Marriott School of Management 2006 — 2012
Bachelor of Science, Accounting
Brigham Young University - Idaho 2002 — 2003
Associate of Science, General Studies
Viewmont High 1999 — 2002
Gary Guttenberg Gary Guttenberg's US Securities and Exchange Commission Experience September 2012 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission, September 2012 - Present
FINRA January 2010 - September 2012
Integral Guardianship Services May 2009 - November 2009
Cohen Tauber Spievack & Wagner LLP August 2008 - December 2008
Lazard Asset Management May 2007 - August 2007
Hon. Herbert Kramer, Supreme Court, Kings County May 2006 - August 2006
FXCM 2005 - 2005
Skills
Securities Regulation, FINRA, Securities, Investigations, Broker-Dealer Compliance
Education
Brooklyn Law School 2005 — 2008
J.D., Law
Yeshiva University 2003 — 2006
Semicha (Rabbinic Ordination), Talmud
Yeshiva University 2000 — 2004
B.A., Economics
Kerem B'yavneh 1998 — 2000
Talmudical Academy 1985 — 1998
US Securities and Exchange Commission, September 2012 - Present
FINRA January 2010 - September 2012
Integral Guardianship Services May 2009 - November 2009
Cohen Tauber Spievack & Wagner LLP August 2008 - December 2008
Lazard Asset Management May 2007 - August 2007
Hon. Herbert Kramer, Supreme Court, Kings County May 2006 - August 2006
FXCM 2005 - 2005
Skills
Securities Regulation, FINRA, Securities, Investigations, Broker-Dealer Compliance
Education
Brooklyn Law School 2005 — 2008
J.D., Law
Yeshiva University 2003 — 2006
Semicha (Rabbinic Ordination), Talmud
Yeshiva University 2000 — 2004
B.A., Economics
Kerem B'yavneh 1998 — 2000
Talmudical Academy 1985 — 1998
Chris C. Han Chris C. Han's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Attorney at LeClairRyan
Industry Law Practice
Experience
LeClairRyan December 2014 - Present
United States District Court for the District of Massaschusetts January 2014 - April 2014
US Securities and Exchange Commission September 2013 - December 2013
LeClairRyan May 2013 - August 2013
United States Bankruptcy Court - District of Massachusetts June 2012 - August 2012
Corporate Executive Board January 2009 - October 2011
JetBlue Airways September 2007 - January 2009
McGladrey April 2007 - July 2007
Skills
Legal Research, Legal Writing, Corporate Litigation, Commercial Litigation, Government Regulations..., Intellectual Property, Financial Institutions, Drafting Agreements, Venture Capital, Private Equity, SPSS, Statistics, Consulting, Contract Negotiation, Advocacy, Depositions, Public Speaking, Westlaw, Civil Litigation, Research, Litigation, Mediation
Education
Boston University School of Law 2011 — 2014
Doctor of Law (J.D.), Law
The Chicago School of Professional Psychology 2006 — 2008
M.A., Industrial-Organizational Psychology
University of California, Irvine 2001 — 2005
B.A., Psycholoy
LeClairRyan December 2014 - Present
United States District Court for the District of Massaschusetts January 2014 - April 2014
US Securities and Exchange Commission September 2013 - December 2013
LeClairRyan May 2013 - August 2013
United States Bankruptcy Court - District of Massachusetts June 2012 - August 2012
Corporate Executive Board January 2009 - October 2011
JetBlue Airways September 2007 - January 2009
McGladrey April 2007 - July 2007
Skills
Legal Research, Legal Writing, Corporate Litigation, Commercial Litigation, Government Regulations..., Intellectual Property, Financial Institutions, Drafting Agreements, Venture Capital, Private Equity, SPSS, Statistics, Consulting, Contract Negotiation, Advocacy, Depositions, Public Speaking, Westlaw, Civil Litigation, Research, Litigation, Mediation
Education
Boston University School of Law 2011 — 2014
Doctor of Law (J.D.), Law
The Chicago School of Professional Psychology 2006 — 2008
M.A., Industrial-Organizational Psychology
University of California, Irvine 2001 — 2005
B.A., Psycholoy
John Yoder John Yoder's US Securities and Exchange Commission Experience August 2002 - June 2011
Job VP & Assistant Counsel at OppenheimerFunds
Industry Financial Services
Experience
OppenheimerFunds July 2011 - Present
US Securities and Exchange Commission August 2002 - June 2011
US Securities and Exchange Commission May 2001 - August 2001
Price Waterhouse Coopers May 2000 - June 2000
Skills
Securities, Corporate Law, Mutual Funds, Compliance, Derivatives, Investment Advisers Act, Investment Company Act, ETFs, Contract Law, AML, SEC filings, Corporate Finance, Corporate Governance, Securities Regulation, Due Diligence, Investment Management, Legal Research, Legal Writing, SEC Filings, FINRA, Investments, Asset Management, Intellectual Property, Hedge Funds, Tax, Analysis, Investment Companies, Legal Issues, Litigation, Licensing, Capital Markets, Alternative Investments, Investment Advisory, Broker-Dealer, Privacy Law, Equities, Financial Services, Mergers & Acquisitions, Accounting, Legal Compliance, Securities Exchange Act..., Fund Of Funds
Education
Brigham Young University—J. Reuben Clark Law School 1999 — 2002
J.D., Law
Brigham Young University 1993 — 1999
B.S., Economics with University Honors
CFA Institute
Passed Level I of the CFA Program
OppenheimerFunds July 2011 - Present
US Securities and Exchange Commission August 2002 - June 2011
US Securities and Exchange Commission May 2001 - August 2001
Price Waterhouse Coopers May 2000 - June 2000
Skills
Securities, Corporate Law, Mutual Funds, Compliance, Derivatives, Investment Advisers Act, Investment Company Act, ETFs, Contract Law, AML, SEC filings, Corporate Finance, Corporate Governance, Securities Regulation, Due Diligence, Investment Management, Legal Research, Legal Writing, SEC Filings, FINRA, Investments, Asset Management, Intellectual Property, Hedge Funds, Tax, Analysis, Investment Companies, Legal Issues, Litigation, Licensing, Capital Markets, Alternative Investments, Investment Advisory, Broker-Dealer, Privacy Law, Equities, Financial Services, Mergers & Acquisitions, Accounting, Legal Compliance, Securities Exchange Act..., Fund Of Funds
Education
Brigham Young University—J. Reuben Clark Law School 1999 — 2002
J.D., Law
Brigham Young University 1993 — 1999
B.S., Economics with University Honors
CFA Institute
Passed Level I of the CFA Program
Sarah Chibani, Esq.'s US Securities and Exchange Commission Experience September 2013 - December 2013
Job International Law | Commercial Arbitration | Litigation | Alternative Dispute Resolution (ADR) | Corporate Law
Industry Law Practice
Experience
US Securities and Exchange Commission September 2013 - December 2013
Elizabeth Arden July 2013 - August 2013
13th Judicial Circuit, Hillsborough County May 2012 - July 2012
Skills
Legal Research, Westlaw, Legal Writing
Education
University of Miami School of Law 2011 — 2014
Juris Doctor (J.D.)
Boston University 2006 — 2010
Bachelor of Arts (BA), International Relations and Affairs
H.B. Plant High School 2002 — 2006
High School
US Securities and Exchange Commission September 2013 - December 2013
Elizabeth Arden July 2013 - August 2013
13th Judicial Circuit, Hillsborough County May 2012 - July 2012
Skills
Legal Research, Westlaw, Legal Writing
Education
University of Miami School of Law 2011 — 2014
Juris Doctor (J.D.)
Boston University 2006 — 2010
Bachelor of Arts (BA), International Relations and Affairs
H.B. Plant High School 2002 — 2006
High School
Mark Kam Mark Kam's US Securities and Exchange Commission Experience June 2013 - June 2013
Job JD/MAcc
Industry Law Practice
Experience
Baker Botts July 2014 - August 2014
Latham & Watkins May 2014 - July 2014
Beard St. Clair Gaffney July 2013 - August 2013
US Securities and Exchange Commission June 2013 - June 2013
J. Reuben Clark Law School - Professor Shima Baradaran May 2013 - June 2013
Idaho District Court - Honorable Judge Gregory Moeller May 2013 - May 2013
Skills
Accounting, Financial Accounting, Leadership, Analysis, Spreadsheets, Legal Writing, Legal Research, Financial Reporting, Tax, French, Financial Statements, Securities Regulation, Mergers & Acquisitions, State and Local Tax, Federal & State Income..., Partnership Taxation, Corporate Tax
Education
Brigham Young University—J. Reuben Clark Law School 2012 — 2015
Doctor of Law (J.D.)
Brigham Young University 2012 — 2015
Master's of Accounting, Tax Law/Taxation
Brigham Young University - Idaho 2006 — 2012
BS, Accounting
Baker Botts July 2014 - August 2014
Latham & Watkins May 2014 - July 2014
Beard St. Clair Gaffney July 2013 - August 2013
US Securities and Exchange Commission June 2013 - June 2013
J. Reuben Clark Law School - Professor Shima Baradaran May 2013 - June 2013
Idaho District Court - Honorable Judge Gregory Moeller May 2013 - May 2013
Skills
Accounting, Financial Accounting, Leadership, Analysis, Spreadsheets, Legal Writing, Legal Research, Financial Reporting, Tax, French, Financial Statements, Securities Regulation, Mergers & Acquisitions, State and Local Tax, Federal & State Income..., Partnership Taxation, Corporate Tax
Education
Brigham Young University—J. Reuben Clark Law School 2012 — 2015
Doctor of Law (J.D.)
Brigham Young University 2012 — 2015
Master's of Accounting, Tax Law/Taxation
Brigham Young University - Idaho 2006 — 2012
BS, Accounting
Alex Farr Alex Farr's US Securities and Exchange Commission Experience June 2010 - July 2010
Job Associate at Vinson & Elkins
Industry Law Practice
Experience
Vinson & Elkins June 2012 - Present
Susan G. Komen for the Cure February 2011 - April 2011
Griffith Nixon Davison, P.C. July 2010 - August 2010
US Securities and Exchange Commission June 2010 - July 2010
Fifth District Court of Appeals of Dallas January 2010 - April 2010
Wallach & Andrews, P.C. May 2009 - August 2009
Skip Barber Racing School May 2008 - August 2008
HSBC Securities June 2007 - August 2007
Town of Weston May 2006 - September 2006
Skills
Tax Law, Legal Research, Legal Writing, Tax, Financial Analysis, International Tax, Corporate Tax, Income Tax, Legal Services, Employee Benefits, Executive Compensation...
Education
New York University School of Law 2011 — 2012
LL.M., Taxation
Southern Methodist University Dedman School of Law 2008 — 2011
J.D.
Boston University 2004 — 2008
B.S.
Boston University - School of Management 2004 — 2008
B.S., Business Administration and Management: Finance, Law
Weston High School 2001 — 2004
Diploma, All
Vinson & Elkins June 2012 - Present
Susan G. Komen for the Cure February 2011 - April 2011
Griffith Nixon Davison, P.C. July 2010 - August 2010
US Securities and Exchange Commission June 2010 - July 2010
Fifth District Court of Appeals of Dallas January 2010 - April 2010
Wallach & Andrews, P.C. May 2009 - August 2009
Skip Barber Racing School May 2008 - August 2008
HSBC Securities June 2007 - August 2007
Town of Weston May 2006 - September 2006
Skills
Tax Law, Legal Research, Legal Writing, Tax, Financial Analysis, International Tax, Corporate Tax, Income Tax, Legal Services, Employee Benefits, Executive Compensation...
Education
New York University School of Law 2011 — 2012
LL.M., Taxation
Southern Methodist University Dedman School of Law 2008 — 2011
J.D.
Boston University 2004 — 2008
B.S.
Boston University - School of Management 2004 — 2008
B.S., Business Administration and Management: Finance, Law
Weston High School 2001 — 2004
Diploma, All
Jacquelyn Trussell Jacquelyn Trussell's US Securities and Exchange Commission Experience January 2003 - May 2003
Job Senior Associate Attorney
Industry Law Practice
Experience
Hodgson Russ LLP January 2007 - Present
Bressler, Amery & Ross, P.C. January 2005 - December 2006
Querrey & Harrow, Ltd. June 2003 - May 2004
US Securities and Exchange Commission January 2003 - May 2003
Skills
Litigation, Courts, Legal Research, Legal Writing, Commercial Litigation, Corporate Law, Civil Litigation, Appeals, Dispute Resolution, Arbitration, E-Discovery Consulting, International...
Education
Loyola University Chicago School of Law 2001 — 2004
Juris Doctor, Law
Boston University 1997 — 2001
Bachelor's Degree, International Relations with a Concentration on Security Studies
Hodgson Russ LLP January 2007 - Present
Bressler, Amery & Ross, P.C. January 2005 - December 2006
Querrey & Harrow, Ltd. June 2003 - May 2004
US Securities and Exchange Commission January 2003 - May 2003
Skills
Litigation, Courts, Legal Research, Legal Writing, Commercial Litigation, Corporate Law, Civil Litigation, Appeals, Dispute Resolution, Arbitration, E-Discovery Consulting, International...
Education
Loyola University Chicago School of Law 2001 — 2004
Juris Doctor, Law
Boston University 1997 — 2001
Bachelor's Degree, International Relations with a Concentration on Security Studies
H Norman Knickle H Norman Knickle's US Securities and Exchange Commission Experience October 2003 - Present
Job Attorney at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission October 2003 - Present
Boston University School of Law July 2012 - Present
Rhode Island House of Representatives January 1999 - January 2003
Skills
Civil Litigation, Securities Regulation, Commercial Litigation, Enforcement, Government
Education
Boston University School of Law 2002 — 2003
LLM, Banking and Financial Law
Quinnipiac University School of Law 1990 — 1993
JD, Law
University of Rhode Island 1984 — 1989
B.A., Communications, Political Science
US Securities and Exchange Commission October 2003 - Present
Boston University School of Law July 2012 - Present
Rhode Island House of Representatives January 1999 - January 2003
Skills
Civil Litigation, Securities Regulation, Commercial Litigation, Enforcement, Government
Education
Boston University School of Law 2002 — 2003
LLM, Banking and Financial Law
Quinnipiac University School of Law 1990 — 1993
JD, Law
University of Rhode Island 1984 — 1989
B.A., Communications, Political Science
Julianne Bisceglia's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Business & Bankruptcy Litigation Attorney at BAST AMRON LLP
Industry Law Practice
Experience
BAST AMRON LLP January 2015 - Present
Kurzban Kurzban Weinger Tetzeli & Pratt P.A. April 2014 - January 2015
Eleanor R. Cristol and Judge A. Jay Cristol Bankruptcy Pro Bono Assistance Clinic August 2013 - May 2014
US Securities and Exchange Commission January 2014 - April 2014
Hamilton Miller & Birthisel May 2013 - April 2014
University of Miami School of Law June 2013 - August 2013
University of Miami School of Law November 2012 - May 2013
University of Miami School of Law August 2012 - May 2013
Borgognoni & Fast, P.L. August 2012 - May 2013
United States Bankruptcy Court for the Southern District of Florida July 2012 - August 2012
Education
University of Miami School of Law 2011 — 2014
Juris Doctor, Cum Laude
Boston University 2007 — 2011
Bachelor of Arts, Economics, French Language & Literature
Université Stendhal (Grenoble III) 2009 — 2009
BAST AMRON LLP January 2015 - Present
Kurzban Kurzban Weinger Tetzeli & Pratt P.A. April 2014 - January 2015
Eleanor R. Cristol and Judge A. Jay Cristol Bankruptcy Pro Bono Assistance Clinic August 2013 - May 2014
US Securities and Exchange Commission January 2014 - April 2014
Hamilton Miller & Birthisel May 2013 - April 2014
University of Miami School of Law June 2013 - August 2013
University of Miami School of Law November 2012 - May 2013
University of Miami School of Law August 2012 - May 2013
Borgognoni & Fast, P.L. August 2012 - May 2013
United States Bankruptcy Court for the Southern District of Florida July 2012 - August 2012
Education
University of Miami School of Law 2011 — 2014
Juris Doctor, Cum Laude
Boston University 2007 — 2011
Bachelor of Arts, Economics, French Language & Literature
Université Stendhal (Grenoble III) 2009 — 2009
Fred Kemper Fred Kemper's US Securities and Exchange Commission Experience August 2011 - December 2011
Job Securities Litigation & Enforcement Associate at WilmerHale
Industry Legal Services
Experience
WilmerHale September 2012 - Present
Shelter Legal Services January 2012 - April 2012
US Securities and Exchange Commission August 2011 - December 2011
WilmerHale May 2011 - July 2011
United States Attorney's Office June 2010 - August 2010
ICF International July 2007 - June 2009
NJ Department of Military and Veterans' Affairs 2006 - 2007
Office of Strategic Analysis 2004 - 2004
Skills
Courts, Appeals, Analysis, Legal Assistance, Document Review
Education
Boston University School of Law 2009 — 2012
J.D., Law, cum laude
Connecticut College 2003 — 2007
BA, Government, Economics, Public Policy, summa cum laude
SATA Vietnam 2006 — 2006
Economics
WilmerHale September 2012 - Present
Shelter Legal Services January 2012 - April 2012
US Securities and Exchange Commission August 2011 - December 2011
WilmerHale May 2011 - July 2011
United States Attorney's Office June 2010 - August 2010
ICF International July 2007 - June 2009
NJ Department of Military and Veterans' Affairs 2006 - 2007
Office of Strategic Analysis 2004 - 2004
Skills
Courts, Appeals, Analysis, Legal Assistance, Document Review
Education
Boston University School of Law 2009 — 2012
J.D., Law, cum laude
Connecticut College 2003 — 2007
BA, Government, Economics, Public Policy, summa cum laude
SATA Vietnam 2006 — 2006
Economics
Kade Miller Kade Miller's US Securities and Exchange Commission Experience April 2010 - June 2010
Job Associate at Snell & Wilmer
Industry Law Practice
Experience
Snell & Wilmer August 2015 - Present
Lewis Roca Rothgerber September 2012 - August 2015
US Securities and Exchange Commission April 2010 - June 2010
KPMG Tax & Advisory May 2009 - July 2009
Education
Brigham Young University—J. Reuben Clark Law School 2009 — 2012
Juris Doctor
Brigham Young University 2006 — 2012
Master of Accountancy, Taxation
Brigham Young University 2006 — 2012
Bachelor of Science (B.S.), Accounting
Snell & Wilmer August 2015 - Present
Lewis Roca Rothgerber September 2012 - August 2015
US Securities and Exchange Commission April 2010 - June 2010
KPMG Tax & Advisory May 2009 - July 2009
Education
Brigham Young University—J. Reuben Clark Law School 2009 — 2012
Juris Doctor
Brigham Young University 2006 — 2012
Master of Accountancy, Taxation
Brigham Young University 2006 — 2012
Bachelor of Science (B.S.), Accounting
Laurie Abbott's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Judicial Law Clerk at U.S. Court of Appeals for the 10th Circuit
Industry Law Practice
Experience
U.S. Court of Appeals for the 10th Circuit August 2014 - Present
Utah Supreme Court August 2013 - August 2014
Parr Brown Gee & Loveless April 2013 - June 2013
US Securities and Exchange Commission January 2013 - April 2013
Parr Brown Gee & Loveless May 2012 - August 2012
Utah Supreme Court August 2011 - December 2011
Parr Brown Gee & Loveless May 2011 - August 2011
Ouelessebougou Alliance August 2008 - July 2010
United Nations Economic Commission for Latin America & the Caribbean April 2008 - July 2008
Skills
Legal Writing, Microsoft Word, Legal Research, Microsoft Office, PowerPoint, Nonprofits
Education
University of Utah S.J. Quinney College of Law 2010 — 2013
Doctor of Law (J.D.)
Brigham Young University 2002 — 2008
Bachelor of Arts (B.A.), International Relations
U.S. Court of Appeals for the 10th Circuit August 2014 - Present
Utah Supreme Court August 2013 - August 2014
Parr Brown Gee & Loveless April 2013 - June 2013
US Securities and Exchange Commission January 2013 - April 2013
Parr Brown Gee & Loveless May 2012 - August 2012
Utah Supreme Court August 2011 - December 2011
Parr Brown Gee & Loveless May 2011 - August 2011
Ouelessebougou Alliance August 2008 - July 2010
United Nations Economic Commission for Latin America & the Caribbean April 2008 - July 2008
Skills
Legal Writing, Microsoft Word, Legal Research, Microsoft Office, PowerPoint, Nonprofits
Education
University of Utah S.J. Quinney College of Law 2010 — 2013
Doctor of Law (J.D.)
Brigham Young University 2002 — 2008
Bachelor of Arts (B.A.), International Relations
Max Polonsky Max Polonsky's US Securities and Exchange Commission Experience October 2013 - Present
Job Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission October 2013 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates October 2008 - June 2013
United States Bankruptcy Court August 2007 - September 2008
White & Case May 2006 - July 2006
Skills
Courts, Legal Research, Chapter 11, International Law, Commercial Litigation, Litigation, Civil Litigation, Creditors' Rights, Bankruptcy, Intellectual Property, Debtors, Restructuring, Debt Restructuring, Securities Litigation, Securities Regulation
Education
University of Pennsylvania Law School 2004 — 2007
JD, Law
Brandeis University 2000 — 2004
BA, Economics and Anthropology
US Securities and Exchange Commission October 2013 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates October 2008 - June 2013
United States Bankruptcy Court August 2007 - September 2008
White & Case May 2006 - July 2006
Skills
Courts, Legal Research, Chapter 11, International Law, Commercial Litigation, Litigation, Civil Litigation, Creditors' Rights, Bankruptcy, Intellectual Property, Debtors, Restructuring, Debt Restructuring, Securities Litigation, Securities Regulation
Education
University of Pennsylvania Law School 2004 — 2007
JD, Law
Brandeis University 2000 — 2004
BA, Economics and Anthropology
Stewart Mayhew Stewart Mayhew's US Securities and Exchange Commission Experience August 2002 - August 2010
Job Vice President at Cornerstone Research
Industry Legal Services
Experience
Cornerstone Research August 2010 - Present
University of Maryland October 2012 - December 2012
US Securities and Exchange Commission August 2002 - August 2010
University of Georgia 2000 - 2004
Purdue University 1996 - 1999
Education
University of California, Berkeley, Haas School of Business 1992 — 1996
PhD, Finance
Brigham Young University 1985 — 1992
BS, MS, Economics
Cornerstone Research August 2010 - Present
University of Maryland October 2012 - December 2012
US Securities and Exchange Commission August 2002 - August 2010
University of Georgia 2000 - 2004
Purdue University 1996 - 1999
Education
University of California, Berkeley, Haas School of Business 1992 — 1996
PhD, Finance
Brigham Young University 1985 — 1992
BS, MS, Economics
Giulio Girardi Giulio Girardi's US Securities and Exchange Commission Experience August 2012 - Present
Job Financial Economist at the Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission August 2012 - Present
University of Massachusetts January 2012 - May 2012
Northeastern University September 2011 - May 2012
Suffolk University September 2009 - December 2011
Department of Revenue at Massachusetts Government, Office of Tax and Policy Analysis May 2009 - September 2009
Skills
Economics, Econometrics, Statistics, Risk Management, Quantitative Analytics, SAS, Policy Analysis, R, Time Series Analysis, Eviews, Qualitative Research, Statistical Modeling, Public Policy, Quantitative Research, Matlab, Economic Research, Microeconomics, Risk Assessment, EViews
Education
Suffolk University 2008 — 2012
Doctor of Philosophy (Ph.D.), Economics
Boston University 2006 — 2008
Master of Arts (M.A.), Economic Policy
US Securities and Exchange Commission August 2012 - Present
University of Massachusetts January 2012 - May 2012
Northeastern University September 2011 - May 2012
Suffolk University September 2009 - December 2011
Department of Revenue at Massachusetts Government, Office of Tax and Policy Analysis May 2009 - September 2009
Skills
Economics, Econometrics, Statistics, Risk Management, Quantitative Analytics, SAS, Policy Analysis, R, Time Series Analysis, Eviews, Qualitative Research, Statistical Modeling, Public Policy, Quantitative Research, Matlab, Economic Research, Microeconomics, Risk Assessment, EViews
Education
Suffolk University 2008 — 2012
Doctor of Philosophy (Ph.D.), Economics
Boston University 2006 — 2008
Master of Arts (M.A.), Economic Policy
Jessica Schneider's US Securities and Exchange Commission Experience August 2009 - December 2009
Job Reporter at WCBS Channel 2 and Attorney
Industry Broadcast Media
Experience
WCBS Channel 2 December 2011 - Present
Haworth Coleman & Gerstman, LLC January 2011 - January 2012
Sedgwick, Detert, Moran and Arnold September 2010 - January 2011
WFSB Channel 3 March 2005 - July 2010
US Securities and Exchange Commission August 2009 - December 2009
Sedgwick, Detert, Moran and Arnold May 2009 - August 2009
U.S. District Court - District of Connecticut May 2008 - August 2008
Capital News 9 August 2002 - March 2005
Skills
Litigation, Legal Writing, Entertainment Law, Civil Litigation, Legal Research, Courts, Appeals, Trials, Product Liability, Legal Issues, Class Actions, Employment Law, Mediation, Breaking News, Public Speaking, Trade Secrets, Storytelling, Privacy Law, Defense, Commercial Litigation, Medical Malpractice, Editing, Journalism, Trademarks, Torts, Arbitration, Criminal Law, Dispute Resolution, Corporate Law, Insurance Law, Legal Advice, Television, Intellectual Property, Alternative Dispute..., Hearings, Broadcast, Depositions, Corporate Governance, Legal Assistance
Education
The University of Connecticut School of Law 2006 — 2010
Juris Doctor, Law, Graduated with Honors; 4th in class (First Quintile)
Boston University 1998 — 2002
Bachelor of Arts (B.A.) / Bachelor of Science (B.S.), Political Science/Journalism, Magna Cum Laude
WCBS Channel 2 December 2011 - Present
Haworth Coleman & Gerstman, LLC January 2011 - January 2012
Sedgwick, Detert, Moran and Arnold September 2010 - January 2011
WFSB Channel 3 March 2005 - July 2010
US Securities and Exchange Commission August 2009 - December 2009
Sedgwick, Detert, Moran and Arnold May 2009 - August 2009
U.S. District Court - District of Connecticut May 2008 - August 2008
Capital News 9 August 2002 - March 2005
Skills
Litigation, Legal Writing, Entertainment Law, Civil Litigation, Legal Research, Courts, Appeals, Trials, Product Liability, Legal Issues, Class Actions, Employment Law, Mediation, Breaking News, Public Speaking, Trade Secrets, Storytelling, Privacy Law, Defense, Commercial Litigation, Medical Malpractice, Editing, Journalism, Trademarks, Torts, Arbitration, Criminal Law, Dispute Resolution, Corporate Law, Insurance Law, Legal Advice, Television, Intellectual Property, Alternative Dispute..., Hearings, Broadcast, Depositions, Corporate Governance, Legal Assistance
Education
The University of Connecticut School of Law 2006 — 2010
Juris Doctor, Law, Graduated with Honors; 4th in class (First Quintile)
Boston University 1998 — 2002
Bachelor of Arts (B.A.) / Bachelor of Science (B.S.), Political Science/Journalism, Magna Cum Laude
Alyssa Kolber Alyssa Kolber's US Securities and Exchange Commission Experience June 2004 - August 2004
Job Senior Compliance Associate at MetLife
Industry Legal Services
Experience
MetLife October 2012 - Present
MarketCounsel August 2005 - October 2012
Hamburger Law Firm August 2005 - October 2012
US Securities and Exchange Commission June 2004 - August 2004
Skills
Securities Regulation, Securities, Investment Advisers Act, Legal Advice, SEC, Corporate Governance, Investments, Corporate Law
Education
The George Washington University Law School 2002 — 2005
J.D., Law
Brandeis University 1998 — 2002
BA, Economics, Political Science
MetLife October 2012 - Present
MarketCounsel August 2005 - October 2012
Hamburger Law Firm August 2005 - October 2012
US Securities and Exchange Commission June 2004 - August 2004
Skills
Securities Regulation, Securities, Investment Advisers Act, Legal Advice, SEC, Corporate Governance, Investments, Corporate Law
Education
The George Washington University Law School 2002 — 2005
J.D., Law
Brandeis University 1998 — 2002
BA, Economics, Political Science
Patrick Byrnes's US Securities and Exchange Commission Experience January 2012 - May 2012
Job Attorney at Williams Kastner
Industry Law Practice
Experience
Williams Kastner April 2015 - Present
Young deNormandie, P.C. September 2012 - March 2015
US Securities and Exchange Commission January 2012 - May 2012
Taylor & Company Law Offices LLP January 2012 - May 2012
East Bay Community Law Center August 2011 - December 2011
Washington State Office of the Attorney General May 2011 - July 2011
United States District Court for the Southern District of New York May 2010 - July 2010
Philadelphia District Attorney's Office May 2009 - July 2009
Skills
Legal Research, Commercial Litigation, Legal Writing, Litigation, Civil Litigation, Westlaw
Education
University of California, Berkeley - School of Law 2010 — 2012
Brooklyn Law School 2009 — 2010
Boston College 2005 — 2009
B.A., Political Science
Williams Kastner April 2015 - Present
Young deNormandie, P.C. September 2012 - March 2015
US Securities and Exchange Commission January 2012 - May 2012
Taylor & Company Law Offices LLP January 2012 - May 2012
East Bay Community Law Center August 2011 - December 2011
Washington State Office of the Attorney General May 2011 - July 2011
United States District Court for the Southern District of New York May 2010 - July 2010
Philadelphia District Attorney's Office May 2009 - July 2009
Skills
Legal Research, Commercial Litigation, Legal Writing, Litigation, Civil Litigation, Westlaw
Education
University of California, Berkeley - School of Law 2010 — 2012
Brooklyn Law School 2009 — 2010
Boston College 2005 — 2009
B.A., Political Science
Thomas (T.J.) Ferrante Thomas (T.J.) Ferrante's US Securities and Exchange Commission Experience August 2010 - April 2011
Job Attorney at Carlton Fields Jorden Burt, P.A.
Industry Law Practice
Experience
Carlton Fields Jorden Burt January 2012 - Present
US Securities and Exchange Commission August 2010 - April 2011
Carlton Fields, P.A. May 2010 - August 2010
Carlton Fields, P.A. May 2009 - August 2009
Modular Mailing Systems May 2007 - August 2008
Modular Mailing Systems May 2006 - August 2008
Skills
Legal Research, Litigation, Legal Writing, Real Estate, Mergers & Acquisitions, Securities Regulation, Joint Ventures, Corporate Law, Intellectual Property, Westlaw, Legal Assistance, Appeals, Research, Employment Law, Corporate Governance, Licensing, Legal Issues
Education
Boston University School of Law 2010 — 2011
LLM, Taxation
Boston University School of Law 2008 — 2011
JD, Law
University of Tampa 2007 — 2009
MBA, Finance
College of the Holy Cross 2003 — 2007
BA, Philosophy, Spanish
Jesuit High School 1999 — 2003
Carlton Fields Jorden Burt January 2012 - Present
US Securities and Exchange Commission August 2010 - April 2011
Carlton Fields, P.A. May 2010 - August 2010
Carlton Fields, P.A. May 2009 - August 2009
Modular Mailing Systems May 2007 - August 2008
Modular Mailing Systems May 2006 - August 2008
Skills
Legal Research, Litigation, Legal Writing, Real Estate, Mergers & Acquisitions, Securities Regulation, Joint Ventures, Corporate Law, Intellectual Property, Westlaw, Legal Assistance, Appeals, Research, Employment Law, Corporate Governance, Licensing, Legal Issues
Education
Boston University School of Law 2010 — 2011
LLM, Taxation
Boston University School of Law 2008 — 2011
JD, Law
University of Tampa 2007 — 2009
MBA, Finance
College of the Holy Cross 2003 — 2007
BA, Philosophy, Spanish
Jesuit High School 1999 — 2003
Walter Van Dorn Walter Van Dorn's US Securities and Exchange Commission Experience 1990 - 1997
Job Partner at Dentons US LLP
Industry Law Practice
Experience
Dentons January 2009 - Present
Thacher Proffitt & Wood LLP November 2000 - December 2008
Clifford Chance April 1997 - November 2000
US Securities and Exchange Commission 1990 - 1997
Skills
Securities Regulation, Cross-border..., Mergers, Securities, Securities Offerings, Securities Litigation, Private Placements, Securitization, Private Equity, Mergers & Acquisitions, Licensing, Legal Advice, Structured Finance, Capital Markets, Corporate Law, Corporate Governance
Education
Boston University School of Law 1984 — 1987
JD, cum laude
University of Michigan 1980 — 1984
AB
BB+N
Dentons January 2009 - Present
Thacher Proffitt & Wood LLP November 2000 - December 2008
Clifford Chance April 1997 - November 2000
US Securities and Exchange Commission 1990 - 1997
Skills
Securities Regulation, Cross-border..., Mergers, Securities, Securities Offerings, Securities Litigation, Private Placements, Securitization, Private Equity, Mergers & Acquisitions, Licensing, Legal Advice, Structured Finance, Capital Markets, Corporate Law, Corporate Governance
Education
Boston University School of Law 1984 — 1987
JD, cum laude
University of Michigan 1980 — 1984
AB
BB+N
David Marcinkus David Marcinkus's US Securities and Exchange Commission Experience July 2012 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission July 2012 - Present
Lazard Asset Management September 2010 - July 2012
Ropes & Gray LLP September 2007 - September 2010
Skills
Securities Regulation, Securities, Corporate Law, Corporate Governance, Due Diligence, Legal Research, Legal Writing, Hedge Funds, Alternative Investments, Mutual Funds, Capital Markets, Investment Management, Cross-border..., Intellectual Property, Corporate Finance, Investments, Investment Advisory
Education
The George Washington University Law School 2004 — 2007
J.D.
Boston University 1999 — 2003
B.A., Philosophy
Bronx High School of Science 1995 — 1999
US Securities and Exchange Commission July 2012 - Present
Lazard Asset Management September 2010 - July 2012
Ropes & Gray LLP September 2007 - September 2010
Skills
Securities Regulation, Securities, Corporate Law, Corporate Governance, Due Diligence, Legal Research, Legal Writing, Hedge Funds, Alternative Investments, Mutual Funds, Capital Markets, Investment Management, Cross-border..., Intellectual Property, Corporate Finance, Investments, Investment Advisory
Education
The George Washington University Law School 2004 — 2007
J.D.
Boston University 1999 — 2003
B.A., Philosophy
Bronx High School of Science 1995 — 1999
Chih-Pin Lu Chih-Pin Lu's US Securities and Exchange Commission Experience 1997 - 2005
Job Chief Counsel, Asset Management Group at Raymond James Financial, Inc.
Industry Financial Services
Experience
Raymond James Financial, Inc. November 2008 - Present
Raymond James Financial November 2007 - Present
ACC 2008 - 2014
Johnson, Pope, Bokor, Ruppel & Burns, LLP 2005 - 2007
US Securities and Exchange Commission 1997 - 2005
Securities and Exchange Commission 1997 - 2005
Federal Public Defender 1992 - 1997
Skills
Asset Managment, Securities Regulation, Securities, Compliance, SEC, Corporate Law, Management, Enforcement, Fraud, Litigation, FINRA, Asset Management, Due Diligence, Securities Litigation, AML, Arbitration, Corporate Governance, Hedge Funds, Private Equity, Capital Markets, Financial Services, Investment Advisory, Private Placements, Mutual Funds, Investments, Mergers & Acquisitions, Finance, Legal Research, Legal Writing, Commercial Litigation, Alternative Investments, Civil Litigation
Education
Boston College Law School 1987 — 1990
JD
Columbia University - School of International and Public Affairs 1986 — 1987
Tufts University 1982 — 1986
BA, International Relations/German language
East China Normal University 1982 — 1982
Chinese Language
Raymond James Financial, Inc. November 2008 - Present
Raymond James Financial November 2007 - Present
ACC 2008 - 2014
Johnson, Pope, Bokor, Ruppel & Burns, LLP 2005 - 2007
US Securities and Exchange Commission 1997 - 2005
Securities and Exchange Commission 1997 - 2005
Federal Public Defender 1992 - 1997
Skills
Asset Managment, Securities Regulation, Securities, Compliance, SEC, Corporate Law, Management, Enforcement, Fraud, Litigation, FINRA, Asset Management, Due Diligence, Securities Litigation, AML, Arbitration, Corporate Governance, Hedge Funds, Private Equity, Capital Markets, Financial Services, Investment Advisory, Private Placements, Mutual Funds, Investments, Mergers & Acquisitions, Finance, Legal Research, Legal Writing, Commercial Litigation, Alternative Investments, Civil Litigation
Education
Boston College Law School 1987 — 1990
JD
Columbia University - School of International and Public Affairs 1986 — 1987
Tufts University 1982 — 1986
BA, International Relations/German language
East China Normal University 1982 — 1982
Chinese Language
Sara Mills von Althann Sara Mills von Althann's US Securities and Exchange Commission Experience October 2014 - Present
Job AttorneyAdvisor at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission October 2014 - Present
Hogan Lovells August 2011 - October 2014
Hunton & Williams LLP September 2008 - July 2011
US Securities and Exchange Commission June 2006 - August 2006
Education
Boston University School of Law 2005 — 2008
J.D., Law
Georgetown University 2001 — 2005
A.B., History
Deerfield Academy 1997 — 2001
U.S. Securities and Exchange Commission October 2014 - Present
Hogan Lovells August 2011 - October 2014
Hunton & Williams LLP September 2008 - July 2011
US Securities and Exchange Commission June 2006 - August 2006
Education
Boston University School of Law 2005 — 2008
J.D., Law
Georgetown University 2001 — 2005
A.B., History
Deerfield Academy 1997 — 2001
Trevor Rozier-Byrd's US Securities and Exchange Commission Experience September 2009 - December 2009
Job Vice President and Counsel at State Street Bank
Industry Financial Services
Experience
State Street August 2015 - Present
WilmerHale January 2013 - June 2015
Sidley Austin LLP October 2010 - January 2013
US Securities and Exchange Commission September 2009 - December 2009
Skills
Securities Regulation, Corporate Law, Mergers & Acquisitions, Corporate Governance, Securities Offerings
Education
Boston University School of Law 2007 — 2010
Juris Doctor, Law
Boston College 2001 — 2005
Bachelor of Arts (BA), Political Science, Theology
State Street August 2015 - Present
WilmerHale January 2013 - June 2015
Sidley Austin LLP October 2010 - January 2013
US Securities and Exchange Commission September 2009 - December 2009
Skills
Securities Regulation, Corporate Law, Mergers & Acquisitions, Corporate Governance, Securities Offerings
Education
Boston University School of Law 2007 — 2010
Juris Doctor, Law
Boston College 2001 — 2005
Bachelor of Arts (BA), Political Science, Theology
Brittany Baumann Brittany Baumann's US Securities and Exchange Commission Experience July 2011 - August 2011
Job Economist at Crédit Agricole CIB
Industry Research
Experience
Crédit Agricole CIB June 2014 - Present
The Clearing House 2013 - 2014
Boston University, Department of Economics August 2008 - May 2013
Boston University, Department of International Relations October 2011 - April 2013
US Securities and Exchange Commission July 2011 - August 2011
ISI Group May 2011 - July 2011
Boston University, School of Social Work October 2009 - July 2010
Americans for Tax Reform September 2007 - December 2007
Citi June 2007 - August 2007
Skills
Financial Economics, Behavioral Finance, International Economics, Macroeconomics, Stata, Finance, Data Analysis, Econometrics
Education
Boston University 2008 — 2013
PhD, Economics
Boston University 2008 — 2011
MA, Political Economy
Georgetown University 2004 — 2008
BA, Economics, Mathematics, French
Université Paris Dauphine 2007 — 2007
Crédit Agricole CIB June 2014 - Present
The Clearing House 2013 - 2014
Boston University, Department of Economics August 2008 - May 2013
Boston University, Department of International Relations October 2011 - April 2013
US Securities and Exchange Commission July 2011 - August 2011
ISI Group May 2011 - July 2011
Boston University, School of Social Work October 2009 - July 2010
Americans for Tax Reform September 2007 - December 2007
Citi June 2007 - August 2007
Skills
Financial Economics, Behavioral Finance, International Economics, Macroeconomics, Stata, Finance, Data Analysis, Econometrics
Education
Boston University 2008 — 2013
PhD, Economics
Boston University 2008 — 2011
MA, Political Economy
Georgetown University 2004 — 2008
BA, Economics, Mathematics, French
Université Paris Dauphine 2007 — 2007
Cynthia Golding Cynthia Golding's US Securities and Exchange Commission Experience June 1970 - October 1977
Job Shop Drawings Consultant, LLC
Industry Information Services
Experience
Shop Drawings Consultant August 1996 - Present
Kent Island Federation of the Arts January 2013 - December 2014
Kent Island Defense League March 2014 - June 2014
ArtEast 2010 - 2014
Anne Arundel Community College September 2007 - December 2012
Prince George's Community College September 1998 - December 2011
Montgomery College September 2002 - May 2004
Maryland Drafting Institute June 1997 - March 2000
Schnabel Foundation Company October 1977 - May 1995
US Securities and Exchange Commission June 1970 - October 1977
Skills
Drawing, Higher Education, Teaching, Lecturing, Adobe Creative Suite, Shop Drawings, As-Built Drawings, Working Drawings, ESL, College Teaching, Teaching Adults, Sketching, Staff Development, University Teaching, Curriculum Design, 3D, Research Design, Career Counseling, Tutoring, Adult Education, Graphics, Courses, Instructional Technology, Student Development, Academic Writing, Educational Technology, Art, Space-planning, Classroom, Modeling, CAD, Student Affairs, Statistics
Education
University of Maryland University College
B.S., Mathematics, Engineering
University of Maryland College Park 1987 — 1989
Engineering
Montgomery College 1978 — 1987
Engineering/Mathematics
Prince George's Community College 1972 — 1974
Accounting
Bowie State University 1970 — 1972
Accounting
Potomac Senior High School 1967 — 1970
Shop Drawings Consultant August 1996 - Present
Kent Island Federation of the Arts January 2013 - December 2014
Kent Island Defense League March 2014 - June 2014
ArtEast 2010 - 2014
Anne Arundel Community College September 2007 - December 2012
Prince George's Community College September 1998 - December 2011
Montgomery College September 2002 - May 2004
Maryland Drafting Institute June 1997 - March 2000
Schnabel Foundation Company October 1977 - May 1995
US Securities and Exchange Commission June 1970 - October 1977
Skills
Drawing, Higher Education, Teaching, Lecturing, Adobe Creative Suite, Shop Drawings, As-Built Drawings, Working Drawings, ESL, College Teaching, Teaching Adults, Sketching, Staff Development, University Teaching, Curriculum Design, 3D, Research Design, Career Counseling, Tutoring, Adult Education, Graphics, Courses, Instructional Technology, Student Development, Academic Writing, Educational Technology, Art, Space-planning, Classroom, Modeling, CAD, Student Affairs, Statistics
Education
University of Maryland University College
B.S., Mathematics, Engineering
University of Maryland College Park 1987 — 1989
Engineering
Montgomery College 1978 — 1987
Engineering/Mathematics
Prince George's Community College 1972 — 1974
Accounting
Bowie State University 1970 — 1972
Accounting
Potomac Senior High School 1967 — 1970
Chao Huang Chao Huang's US Securities and Exchange Commission Experience May 2011 - August 2011
Job Associate at Cadwalader, Wickersham & Taft LLP
Industry Law Practice
Experience
Cadwalader, Wickersham & Taft LLP September 2013 - Present
Cadwalader, Wickersham & Taft LLP May 2012 - August 2012
US Securities and Exchange Commission May 2011 - August 2011
Self-Employed May 2010 - July 2010
United Nations Radio May 2008 - July 2008
Skills
Legal Research, Legal Writing, Westlaw, International Relations, Research, Lexis, Public Speaking, Legal Advice, Litigation, Civil Litigation, LexisNexis
Education
Columbia University School of Law 2010 — 2013
J.D.
Brandeis University 2006 — 2010
Bachelor of Arts, Economics, International and Global Studies
London School of Economics and Political Science 2008 — 2009
General Course Programme, International Relations
Cadwalader, Wickersham & Taft LLP September 2013 - Present
Cadwalader, Wickersham & Taft LLP May 2012 - August 2012
US Securities and Exchange Commission May 2011 - August 2011
Self-Employed May 2010 - July 2010
United Nations Radio May 2008 - July 2008
Skills
Legal Research, Legal Writing, Westlaw, International Relations, Research, Lexis, Public Speaking, Legal Advice, Litigation, Civil Litigation, LexisNexis
Education
Columbia University School of Law 2010 — 2013
J.D.
Brandeis University 2006 — 2010
Bachelor of Arts, Economics, International and Global Studies
London School of Economics and Political Science 2008 — 2009
General Course Programme, International Relations
Luke Kosakowski's US Securities and Exchange Commission Experience May 2007 - September 2007
Job Senior Associate at Ernst & Young
Industry Accounting
Experience
Ernst & Young September 2009 - Present
US Securities and Exchange Commission May 2007 - September 2007
Education
Boston College - Wallace E. Carroll Graduate School of Management 2009 — 2010
Masters, Accounting
Boston College 2005 — 2009
Accounting, English
Braintree High School
Ernst & Young September 2009 - Present
US Securities and Exchange Commission May 2007 - September 2007
Education
Boston College - Wallace E. Carroll Graduate School of Management 2009 — 2010
Masters, Accounting
Boston College 2005 — 2009
Accounting, English
Braintree High School
Nick Brady's US Securities and Exchange Commission Experience April 2008 - Present
Job Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission April 2008 - Present
Baker Botts 2000 - March 2008
US District Court, Eastern District of Texas August 1999 - August 2000
Skills
Civil Litigation, Securities Litigation, White Collar Criminal..., Trial Practice, Commercial Litigation, FCPA, Securities Regulation, Trials, Fraud, Courts, Securities, Personal Injury, Private Investigations
Education
The University of Texas at Austin 1996 — 1999
JD
Boston College 1992 — 1996
Bachelor of Arts (B.A.), Political Science and Government
Strake Jesuit 1988 — 1992
US Securities and Exchange Commission April 2008 - Present
Baker Botts 2000 - March 2008
US District Court, Eastern District of Texas August 1999 - August 2000
Skills
Civil Litigation, Securities Litigation, White Collar Criminal..., Trial Practice, Commercial Litigation, FCPA, Securities Regulation, Trials, Fraud, Courts, Securities, Personal Injury, Private Investigations
Education
The University of Texas at Austin 1996 — 1999
JD
Boston College 1992 — 1996
Bachelor of Arts (B.A.), Political Science and Government
Strake Jesuit 1988 — 1992
Erin Loomis's US Securities and Exchange Commission Experience April 2015 - Present
Job Senior Counsel Office of Chief Counsel, Division of Investment Management at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission April 2015 - Present
US Securities and Exchange Commission October 2013 - April 2015
K&L Gates LLP July 2011 - October 2013
Seward & Kissel LLP September 2007 - June 2011
Skills
Securities Regulation, Investment Management, Securities, Corporate Law, Financial Services, Private Equity, Mutual Funds, Investment Company Act
Education
Boston University School of Law 2004 — 2007
J.D., Law
University of Maryland - Robert H. Smith School of Business 2000 — 2004
BS, BA, Finance, Economics
U.S. Securities and Exchange Commission April 2015 - Present
US Securities and Exchange Commission October 2013 - April 2015
K&L Gates LLP July 2011 - October 2013
Seward & Kissel LLP September 2007 - June 2011
Skills
Securities Regulation, Investment Management, Securities, Corporate Law, Financial Services, Private Equity, Mutual Funds, Investment Company Act
Education
Boston University School of Law 2004 — 2007
J.D., Law
University of Maryland - Robert H. Smith School of Business 2000 — 2004
BS, BA, Finance, Economics
Tricia Armelin's US Securities and Exchange Commission Experience September 2004 - Present
Job Associate Chief Accountant at the Securities and Exchange Commission
Industry Accounting
Experience
US Securities and Exchange Commission September 2004 - Present
Education
Boston College
US Securities and Exchange Commission September 2004 - Present
Education
Boston College
David D. Whipple's US Securities and Exchange Commission Experience November 2013 - Present
Job JD, CPA
Industry Law Enforcement
Experience
US Securities and Exchange Commission November 2013 - Present
Fried Frank January 2011 - October 2013
The George Washington University Law School August 2007 - May 2010
Fried Frank May 2009 - July 2009
BYU School of Accountancy November 2006 - June 2007
CNResource May 2006 - August 2006
Questar Corporation May 2005 - August 2005
Education
The George Washington University Law School 2007 — 2010
J.D., Law
Brigham Young University 2001 — 2007
MAcc, Professional Accountancy
Brigham Young University 2001 — 2007
BS, Accounting
US Securities and Exchange Commission November 2013 - Present
Fried Frank January 2011 - October 2013
The George Washington University Law School August 2007 - May 2010
Fried Frank May 2009 - July 2009
BYU School of Accountancy November 2006 - June 2007
CNResource May 2006 - August 2006
Questar Corporation May 2005 - August 2005
Education
The George Washington University Law School 2007 — 2010
J.D., Law
Brigham Young University 2001 — 2007
MAcc, Professional Accountancy
Brigham Young University 2001 — 2007
BS, Accounting
Kate (Long) Salley's US Securities and Exchange Commission Experience June 2004 - August 2004
Job Securities and M&A Lawyer
Industry Law Practice
Experience
Ameresco May 2015 - Present
Sullivan & Worcester LLP October 2012 - May 2015
Pepper Hamilton LLP September 2009 - October 2012
Lawyers’ Committee for Civil Rights Under Law of the Boston Bar Association March 2009 - June 2009
Goodwin Procter LLP September 2005 - February 2009
Boston University August 2002 - August 2005
US Securities and Exchange Commission June 2004 - August 2004
Boston University School of Law June 2003 - December 2003
Wilmer Cutler Pickering Hale & Dorr LLP June 2000 - August 2002
Skills
Corporate Governance, Securities Regulation, Mergers & Acquisitions, Securities, M&A experience, Joint Ventures, Corporate Law, Shareholder Activism, Capital Markets, Sarbanes-Oxley
Education
Boston University School of Law
Bryn Mawr College
AB, Sociology, Math
Ameresco May 2015 - Present
Sullivan & Worcester LLP October 2012 - May 2015
Pepper Hamilton LLP September 2009 - October 2012
Lawyers’ Committee for Civil Rights Under Law of the Boston Bar Association March 2009 - June 2009
Goodwin Procter LLP September 2005 - February 2009
Boston University August 2002 - August 2005
US Securities and Exchange Commission June 2004 - August 2004
Boston University School of Law June 2003 - December 2003
Wilmer Cutler Pickering Hale & Dorr LLP June 2000 - August 2002
Skills
Corporate Governance, Securities Regulation, Mergers & Acquisitions, Securities, M&A experience, Joint Ventures, Corporate Law, Shareholder Activism, Capital Markets, Sarbanes-Oxley
Education
Boston University School of Law
Bryn Mawr College
AB, Sociology, Math
Scott Kursman's US Securities and Exchange Commission Experience 1992 - 1995
Job Managing Director, Head of Policy and Regulatory ICG Compliance at Citigroup Global Markets
Industry Financial Services
Experience
Citigroup Global Markets August 2009 - Present
Barclays Capital (formerly Lehman Brothers) September 2008 - August 2009
Lehman Brothers 2005 - 2008
Securities Industry Association 1998 - 2005
Prudential Securities 1995 - 1998
US Securities and Exchange Commission 1992 - 1995
Education
Boston University School of Law 1989 — 1992
JD, Securities Law, Corporate Law
Tufts University 1982 — 1986
BA, Political Science, Economics
Citigroup Global Markets August 2009 - Present
Barclays Capital (formerly Lehman Brothers) September 2008 - August 2009
Lehman Brothers 2005 - 2008
Securities Industry Association 1998 - 2005
Prudential Securities 1995 - 1998
US Securities and Exchange Commission 1992 - 1995
Education
Boston University School of Law 1989 — 1992
JD, Securities Law, Corporate Law
Tufts University 1982 — 1986
BA, Political Science, Economics
Amy Francella's US Securities and Exchange Commission Experience 1995 - 1995
Job
Industry Financial Services
Experience
MetLife July 2005 - Present
Fidelity Investments October 2003 - July 2005
Fidelity Investments August 1996 - December 2002
Boston University School of Law 1994 - 1996
US Securities and Exchange Commission 1995 - 1995
The DAIS Group February 1990 - August 1993
Drexel Burnham Lambert September 1988 - February 1990
Education
Boston University School of Law 1993 — 1996
J.D., cum laude
Syracuse University - Martin J. Whitman School of Management 1984 — 1988
BS, magna cum laude
MetLife July 2005 - Present
Fidelity Investments October 2003 - July 2005
Fidelity Investments August 1996 - December 2002
Boston University School of Law 1994 - 1996
US Securities and Exchange Commission 1995 - 1995
The DAIS Group February 1990 - August 1993
Drexel Burnham Lambert September 1988 - February 1990
Education
Boston University School of Law 1993 — 1996
J.D., cum laude
Syracuse University - Martin J. Whitman School of Management 1984 — 1988
BS, magna cum laude
Brian Crewe's US Securities and Exchange Commission Experience March 2008 - March 2009
Job Leadership, Team & Organizational Performance Improvement Expert at The Change Agency
Industry Human Resources
Experience
The Change Agency July 2014 - Present
US Department of Transportation (DOT) July 2009 - Present
US Securities and Exchange Commission March 2008 - March 2009
US Patent and Trademark Office February 2006 - March 2008
Fairfax County Government February 2005 - February 2006
Skills
Leadership Development, Executive Coaching
Education
Bowling Green State University 1994 — 2003
Christopher Newport University 1991 — 1992
Georgetown University
James Madison University
Psychology
The Change Agency July 2014 - Present
US Department of Transportation (DOT) July 2009 - Present
US Securities and Exchange Commission March 2008 - March 2009
US Patent and Trademark Office February 2006 - March 2008
Fairfax County Government February 2005 - February 2006
Skills
Leadership Development, Executive Coaching
Education
Bowling Green State University 1994 — 2003
Christopher Newport University 1991 — 1992
Georgetown University
James Madison University
Psychology
Peter Goldstein's US Securities and Exchange Commission Experience 1992 - 1997
Job Chief Compliance Officer and General Counsel at Buckingham Capital Management, Inc.
Industry Investment Management
Experience
Buckingham Capital Management, Inc. December 2011 - Present
GAMCO Investors, Inc. February 2004 - November 2011
Goldman Sachs Asset Management 2000 - 2004
US Securities and Exchange Commission 1992 - 1997
Dorsey & Whitney LLP May 1984 - September 1992
Skills
Compliance Officer, Attorney, Due Diligence, Securities Regulation, Asset Managment, Hedge Funds, FINRA, Mutual Funds, Litigation, Securities, Alternative Investments
Education
Boston College Law School 1977 — 1980
J.D., magna cum laude
Harvard University 1975 — 1977
MS
Brandeis University 1971 — 1974
B.A., cum laude
Buckingham Capital Management, Inc. December 2011 - Present
GAMCO Investors, Inc. February 2004 - November 2011
Goldman Sachs Asset Management 2000 - 2004
US Securities and Exchange Commission 1992 - 1997
Dorsey & Whitney LLP May 1984 - September 1992
Skills
Compliance Officer, Attorney, Due Diligence, Securities Regulation, Asset Managment, Hedge Funds, FINRA, Mutual Funds, Litigation, Securities, Alternative Investments
Education
Boston College Law School 1977 — 1980
J.D., magna cum laude
Harvard University 1975 — 1977
MS
Brandeis University 1971 — 1974
B.A., cum laude
Karen Hanson Wellman's US Securities and Exchange Commission Experience 1994 - 2001
Job Publishing Representative for Law Schools at LexisNexis
Industry Publishing
Experience
UC Berkeley School of Law August 2015 - Present
LexisNexis February 2008 - Present
Pacific Exchange 2002 - 2003
US Securities and Exchange Commission 1994 - 2001
Shearman & Sterling LLP 1991 - 1993
Shearman & Sterling LLP June 1990 - August 1990
Shearman & Sterling LLP June 1989 - August 1989
Arnold & Porter 1985 - 1988
Skills
Legal Research, Marketing, Management, Negotiation, Publishing, Academic Publishing, Strategic Partnerships, Legal Writing, Public Speaking, Sales Presentations, Content Management, Leadership, Editing, Strategic Planning, Lead Generation, Sales, Marketing Communications, Product Management, Research, Customer Service, Salesforce.com, Social Media, Email Marketing, Sales Management
Education
UC Berkeley
JD
Brandeis University
BA, Politics
Pinkerton Academy
High School Diploma
UC Berkeley School of Law August 2015 - Present
LexisNexis February 2008 - Present
Pacific Exchange 2002 - 2003
US Securities and Exchange Commission 1994 - 2001
Shearman & Sterling LLP 1991 - 1993
Shearman & Sterling LLP June 1990 - August 1990
Shearman & Sterling LLP June 1989 - August 1989
Arnold & Porter 1985 - 1988
Skills
Legal Research, Marketing, Management, Negotiation, Publishing, Academic Publishing, Strategic Partnerships, Legal Writing, Public Speaking, Sales Presentations, Content Management, Leadership, Editing, Strategic Planning, Lead Generation, Sales, Marketing Communications, Product Management, Research, Customer Service, Salesforce.com, Social Media, Email Marketing, Sales Management
Education
UC Berkeley
JD
Brandeis University
BA, Politics
Pinkerton Academy
High School Diploma
Michelle Jaconski's US Securities and Exchange Commission Experience 2002 - 2004
Job Associate Director, Division of Enforcement and Investigations at Public Company Accounting Oversight Board
Industry Accounting
Experience
Public Company Accounting Oversight Board May 2009 - Present
PricewaterhouseCoopers August 1985 - April 2009
US Securities and Exchange Commission 2002 - 2004
Skills
Private Investigations, Fraud, Enforcement, Due Diligence
Education
Boston College 1981 — 1985
Henry P. Becton Regional High School
Public Company Accounting Oversight Board May 2009 - Present
PricewaterhouseCoopers August 1985 - April 2009
US Securities and Exchange Commission 2002 - 2004
Skills
Private Investigations, Fraud, Enforcement, Due Diligence
Education
Boston College 1981 — 1985
Henry P. Becton Regional High School
Rebecca Shklovsky's US Securities and Exchange Commission Experience October 2007 - January 2008
Job Senior Legal Counsel at eSecLending
Industry Financial Services
Experience
eSecLending April 2014 - Present
eSecLending January 2010 - April 2014
eSecLending February 2008 - January 2010
US Securities and Exchange Commission October 2007 - January 2008
Columbia Management August 2007 - October 2007
Skills
Securities Lending, Collateral Management, Contract Negotiation, Corporate Governance, Repos, Fixed Income
Education
Northeastern University - Graduate School of Business Administration 2004 — 2007
MBA
Northeastern University School of Law 2003 — 2007
JD
Boston College 1999 — 2003
B.A., Economics
eSecLending April 2014 - Present
eSecLending January 2010 - April 2014
eSecLending February 2008 - January 2010
US Securities and Exchange Commission October 2007 - January 2008
Columbia Management August 2007 - October 2007
Skills
Securities Lending, Collateral Management, Contract Negotiation, Corporate Governance, Repos, Fixed Income
Education
Northeastern University - Graduate School of Business Administration 2004 — 2007
MBA
Northeastern University School of Law 2003 — 2007
JD
Boston College 1999 — 2003
B.A., Economics
David Marder's US Securities and Exchange Commission Experience January 1997 - July 2001
Job Experienced Trial Lawyer in the Fields of Securities, Intellectual Property, and Complex Business Litigation
Industry Law Practice
Experience
Robins Kaplan LLP July 2001 - Present
US Securities and Exchange Commission January 1997 - July 2001
Hale and Dorr LLP September 1988 - December 1996
Skills
Securities Regulation, Litigation, Arbitration, Business Litigation, Securities, Intellectual Property, Patents, Trials, Appeals, Private Investigations, Civil Litigation, Legal Research, Commercial Litigation, Securities Litigation, Trade Secrets, Mergers & Acquisitions, Patent Litigation, SEC, Class Actions, Corporate Governance, Licensing, Trademarks
Education
Boston University School of Law 1986 — 1988
Doctor of Law (J.D.)
Dartmouth College 1981 — 1985
BA, Government
Phillips Exeter Academy 1980 — 1981
American Community School 1971 — 1980
Robins Kaplan LLP July 2001 - Present
US Securities and Exchange Commission January 1997 - July 2001
Hale and Dorr LLP September 1988 - December 1996
Skills
Securities Regulation, Litigation, Arbitration, Business Litigation, Securities, Intellectual Property, Patents, Trials, Appeals, Private Investigations, Civil Litigation, Legal Research, Commercial Litigation, Securities Litigation, Trade Secrets, Mergers & Acquisitions, Patent Litigation, SEC, Class Actions, Corporate Governance, Licensing, Trademarks
Education
Boston University School of Law 1986 — 1988
Doctor of Law (J.D.)
Dartmouth College 1981 — 1985
BA, Government
Phillips Exeter Academy 1980 — 1981
American Community School 1971 — 1980
Jim Moloney's US Securities and Exchange Commission Experience September 1994 - April 2000
Job Partner at Gibson, Dunn & Crutcher LLP
Industry Legal Services
Experience
Gibson, Dunn & Crutcher LLP April 2000 - Present
US Securities and Exchange Commission September 1994 - April 2000
California Supreme Court May 1992 - August 1992
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates 1986 - 1991
Skills
Securities Regulation, Corporate Governance, Corporate Law, Securities Offerings, Securities, Mergers, Securities Litigation, SEC, Joint Ventures, SEC filings, Internal Investigations, Mergers & Acquisitions, Public Companies, Employment Law, IPO, Trade Secrets, Legal Compliance, Legal Assistance, Appeals, Venture Capital, Class Actions, Cross-border..., Licensing, Private Placements, Bankruptcy, Business Transactions, Business Litigation, Privacy Law
Education
Georgetown University Law Center 1995 — 1998
LL.M., Securities Regulation
Pepperdine University School of Law 1991 — 1994
Doctor of Law (J.D.)
Boston University Questrom School of Business 1985 — 1989
B.S., Accounting
School of Hard Knocks
Gibson, Dunn & Crutcher LLP April 2000 - Present
US Securities and Exchange Commission September 1994 - April 2000
California Supreme Court May 1992 - August 1992
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates 1986 - 1991
Skills
Securities Regulation, Corporate Governance, Corporate Law, Securities Offerings, Securities, Mergers, Securities Litigation, SEC, Joint Ventures, SEC filings, Internal Investigations, Mergers & Acquisitions, Public Companies, Employment Law, IPO, Trade Secrets, Legal Compliance, Legal Assistance, Appeals, Venture Capital, Class Actions, Cross-border..., Licensing, Private Placements, Bankruptcy, Business Transactions, Business Litigation, Privacy Law
Education
Georgetown University Law Center 1995 — 1998
LL.M., Securities Regulation
Pepperdine University School of Law 1991 — 1994
Doctor of Law (J.D.)
Boston University Questrom School of Business 1985 — 1989
B.S., Accounting
School of Hard Knocks
Ethan Corey's US Securities and Exchange Commission Experience May 1993 - April 1999
Job Associate General Counsel at MFS Investment Management
Industry Investment Management
Experience
MFS Investment Management December 2004 - Present
The Catholic University of America - Columbus School of Law September 2003 - December 2004
Dechert LLP April 1999 - November 2004
US Securities and Exchange Commission May 1993 - April 1999
Skills
Securities Law, Asset Management, Securities, Mutual Funds, Investment Advisory, FINRA, Legal Research, Alternative Investments, Licensing, Investment Management, Securities Regulation, Investments, Financial Services, Portfolio Management, SEC, Trading
Education
Boston University School of Law 1985 — 1988
J.D. (magna cum laude)
McGill University 1981 — 1985
B.A., Economics
Maimonides School
MFS Investment Management December 2004 - Present
The Catholic University of America - Columbus School of Law September 2003 - December 2004
Dechert LLP April 1999 - November 2004
US Securities and Exchange Commission May 1993 - April 1999
Skills
Securities Law, Asset Management, Securities, Mutual Funds, Investment Advisory, FINRA, Legal Research, Alternative Investments, Licensing, Investment Management, Securities Regulation, Investments, Financial Services, Portfolio Management, SEC, Trading
Education
Boston University School of Law 1985 — 1988
J.D. (magna cum laude)
McGill University 1981 — 1985
B.A., Economics
Maimonides School
Nathan Phelps's US Securities and Exchange Commission Experience May 2008 - June 2008
Job Law Clerk at Utah Attorney General's Office
Industry Law Practice
Experience
Law Office of Nathan Phelps July 2014 - Present
Utah State Courts January 2014 - July 2014
Utah Attorney General's Office - Criminal Appeals Division January 2009 - May 2010
U.S. District Court - Utah September 2008 - December 2008
U.S. Department of Justice July 2008 - August 2008
US Securities and Exchange Commission May 2008 - June 2008
Skills
Appeals, Litigation, Legal Research, Mediation, Criminal Law, Civil Litigation, Legal Writing
Education
Brigham Young University—J. Reuben Clark Law School 2007 — 2010
Doctor of Law (J.D.)
University of Utah 2004 — 2007
B.A., Political Science
University of Utah 2004 — 2007
B.A., Middle East Studies
Law Office of Nathan Phelps July 2014 - Present
Utah State Courts January 2014 - July 2014
Utah Attorney General's Office - Criminal Appeals Division January 2009 - May 2010
U.S. District Court - Utah September 2008 - December 2008
U.S. Department of Justice July 2008 - August 2008
US Securities and Exchange Commission May 2008 - June 2008
Skills
Appeals, Litigation, Legal Research, Mediation, Criminal Law, Civil Litigation, Legal Writing
Education
Brigham Young University—J. Reuben Clark Law School 2007 — 2010
Doctor of Law (J.D.)
University of Utah 2004 — 2007
B.A., Political Science
University of Utah 2004 — 2007
B.A., Middle East Studies
Joe Zambuto's US Securities and Exchange Commission Experience January 2012 - Present
Job Attorney US Securities and Exchange Commission Division of Enforcement
Industry Law Practice
Experience
US Securities and Exchange Commission January 2012 - Present
Education
Boston University School of Law 1999 — 2002
US Securities and Exchange Commission January 2012 - Present
Education
Boston University School of Law 1999 — 2002
David A. Cohen's US Securities and Exchange Commission Experience March 2013 - Present
Job AttorneyAdvisor at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission March 2013 - Present
Financial Planning Association April 2008 - November 2012
Wisconsin Department of Financial Institutions, Division of Securities January 1990 - March 2008
McBurney, Wyngaard, Wilson, Raymond & Soglin January 1989 - December 1989
Skills
Securities, Policy, Public Policy, Enforcement, Government Relations, Lobbying, Government Advocacy, Non-profits, Financial Services, Finance, Policy Analysis, Management, Nonprofits, Corporate Governance, FINRA, Analysis, Securities Regulation, Legal Research, Litigation, Legal Writing
Education
Boston University School of Law
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
University of Pennsylvania - The Wharton School
Bachelor's degree, Economics, Political Science
US Securities and Exchange Commission March 2013 - Present
Financial Planning Association April 2008 - November 2012
Wisconsin Department of Financial Institutions, Division of Securities January 1990 - March 2008
McBurney, Wyngaard, Wilson, Raymond & Soglin January 1989 - December 1989
Skills
Securities, Policy, Public Policy, Enforcement, Government Relations, Lobbying, Government Advocacy, Non-profits, Financial Services, Finance, Policy Analysis, Management, Nonprofits, Corporate Governance, FINRA, Analysis, Securities Regulation, Legal Research, Litigation, Legal Writing
Education
Boston University School of Law
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
University of Pennsylvania - The Wharton School
Bachelor's degree, Economics, Political Science
Robert Duane Hatch's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Regulatory Attorney at The Financial Services Roundtable
Industry Law Practice
Experience
The Financial Services Roundtable September 2010 - Present
George Washington University May 2010 - January 2011
George Washington University May 2009 - October 2009
US Securities and Exchange Commission June 2009 - August 2009
Office of the Attorney General--District of Columbia May 2008 - August 2008
Utah State Legislature December 2006 - March 2007
Constitutional Sources Project February 2005 - March 2007
Bartholomew, Silva & Associates September 2006 - December 2006
Skills
Legal Research, Policy Analysis, Government, Commercial Litigation, Corporate Law, Research, Legislative Relations, Editing, Corporate Governance, Public Policy, Legal Writing, Legislation, Politics, Legislative Research, Westlaw
Education
The George Washington Law Review 2008 — 2010
Doctor of Law (JD)
The George Washington University Law School 2007 — 2010
J.D., Law
The George Washington University Law School 2007 — 2010
Juris Doctor
Brigham Young University 2004 — 2007
B.A., Political Science
Brigham Young University 2004 — 2007
Bachelor of Arts, Political Science
Northridge High School 1998 — 2001
The Financial Services Roundtable September 2010 - Present
George Washington University May 2010 - January 2011
George Washington University May 2009 - October 2009
US Securities and Exchange Commission June 2009 - August 2009
Office of the Attorney General--District of Columbia May 2008 - August 2008
Utah State Legislature December 2006 - March 2007
Constitutional Sources Project February 2005 - March 2007
Bartholomew, Silva & Associates September 2006 - December 2006
Skills
Legal Research, Policy Analysis, Government, Commercial Litigation, Corporate Law, Research, Legislative Relations, Editing, Corporate Governance, Public Policy, Legal Writing, Legislation, Politics, Legislative Research, Westlaw
Education
The George Washington Law Review 2008 — 2010
Doctor of Law (JD)
The George Washington University Law School 2007 — 2010
J.D., Law
The George Washington University Law School 2007 — 2010
Juris Doctor
Brigham Young University 2004 — 2007
B.A., Political Science
Brigham Young University 2004 — 2007
Bachelor of Arts, Political Science
Northridge High School 1998 — 2001
Matthew Klepacz's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Economics Graduate Student at Boston University
Industry Financial Services
Experience
Boston University August 2011 - Present
US Securities and Exchange Commission June 2010 - August 2010
Management Science Associates May 2008 - September 2009
Skills
SAS, Microsoft Excel, Statistics, Data Analysis, Economics, Microsoft Office, Data Mining
Education
Boston University 2011 — 2016
Doctor of Philosophy (PhD), Economics
University of Pittsburgh 2010 — 2011
MA, Statistics
University of Pittsburgh 2006 — 2010
BS, Economics, Statistics
Boston University August 2011 - Present
US Securities and Exchange Commission June 2010 - August 2010
Management Science Associates May 2008 - September 2009
Skills
SAS, Microsoft Excel, Statistics, Data Analysis, Economics, Microsoft Office, Data Mining
Education
Boston University 2011 — 2016
Doctor of Philosophy (PhD), Economics
University of Pittsburgh 2010 — 2011
MA, Statistics
University of Pittsburgh 2006 — 2010
BS, Economics, Statistics
Michael Wheatley's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Associate at Cahill Gordon & Reindel LLP
Industry Law Practice
Experience
Cahill Gordon & Reindel LLP October 2015 - Present
Towers Watson August 2013 - October 2015
United States District Court for the Eastern District of Texas August 2011 - July 2013
United States District Court for the Middle District of Alabama March 2010 - August 2011
Towers Watson August 2009 - January 2010
US Securities and Exchange Commission June 2009 - August 2009
Watson Wyatt May 2008 - June 2009
United States Attorney's Office for the District of Utah May 2007 - July 2007
Executive Settlement Services 2004 - 2006
Skills
Legal research, Legal writing, Legal Research, Trials, Corporate Law, Securities Litigation, Civil Litigation, Legal Writing, Litigation, Criminal Law
Education
George Mason University School of Law 2006 — 2009
J.D., Corporate and Securities Track
Brigham Young University 2000 — 2006
B.A., Economics
Oakton
Oakton
Cahill Gordon & Reindel LLP October 2015 - Present
Towers Watson August 2013 - October 2015
United States District Court for the Eastern District of Texas August 2011 - July 2013
United States District Court for the Middle District of Alabama March 2010 - August 2011
Towers Watson August 2009 - January 2010
US Securities and Exchange Commission June 2009 - August 2009
Watson Wyatt May 2008 - June 2009
United States Attorney's Office for the District of Utah May 2007 - July 2007
Executive Settlement Services 2004 - 2006
Skills
Legal research, Legal writing, Legal Research, Trials, Corporate Law, Securities Litigation, Civil Litigation, Legal Writing, Litigation, Criminal Law
Education
George Mason University School of Law 2006 — 2009
J.D., Corporate and Securities Track
Brigham Young University 2000 — 2006
B.A., Economics
Oakton
Oakton
Jane Harper's US Securities and Exchange Commission Experience June 2005 - August 2005
Job Vice President and Counsel at State Street
Industry Law Practice
Experience
State Street September 2012 - Present
Skadden Arps September 2007 - August 2012
US Securities and Exchange Commission June 2005 - August 2005
Education
Boston College Law School 2004 — 2007
Juris Doctor, Law
Davidson College
Bachelor of Arts (B.A.), English
State Street September 2012 - Present
Skadden Arps September 2007 - August 2012
US Securities and Exchange Commission June 2005 - August 2005
Education
Boston College Law School 2004 — 2007
Juris Doctor, Law
Davidson College
Bachelor of Arts (B.A.), English
Asaro Michael's US Securities and Exchange Commission Experience 1998 - 2002
Job Partner at Akin Gump Strauss Hauer & Feld LLP
Industry Law Practice
Experience
Akin Gump Strauss Hauer & Feld LLP July 2007 - Present
U.S. Attorney's Office, Eastern District of New York 2002 - 2007
US Securities and Exchange Commission 1998 - 2002
Skills
White Collar Criminal..., Internal Investigations, Securities Litigation, Securities Regulation, FCPA, Litigation, Criminal Defense, Corporate Governance, Criminal Law, Appeals, Legal Research, SEC, Class Actions, Commercial Litigation, Trials, Corporate Internal..., Arbitration, Federal Court Practice
Education
Brooklyn Law School 1995 — 1998
JD
Boston University
BS
Akin Gump Strauss Hauer & Feld LLP July 2007 - Present
U.S. Attorney's Office, Eastern District of New York 2002 - 2007
US Securities and Exchange Commission 1998 - 2002
Skills
White Collar Criminal..., Internal Investigations, Securities Litigation, Securities Regulation, FCPA, Litigation, Criminal Defense, Corporate Governance, Criminal Law, Appeals, Legal Research, SEC, Class Actions, Commercial Litigation, Trials, Corporate Internal..., Arbitration, Federal Court Practice
Education
Brooklyn Law School 1995 — 1998
JD
Boston University
BS
Arthur Laby's US Securities and Exchange Commission Experience 1996 - 2005
Job Professor at Rutgers University School of Law Camden
Industry Financial Services
Experience
Rutgers University July 2011 - Present
Rutgers University School of Law - Camden January 2006 - June 2011
Office of the General Counsel, Securities and Exchange Commission 2001 - 2005
US Securities and Exchange Commission 1996 - 2005
Education
Boston University School of Law 1986 — 1989
JD, Law
Rutgers University July 2011 - Present
Rutgers University School of Law - Camden January 2006 - June 2011
Office of the General Counsel, Securities and Exchange Commission 2001 - 2005
US Securities and Exchange Commission 1996 - 2005
Education
Boston University School of Law 1986 — 1989
JD, Law
Meredith Hinz's US Securities and Exchange Commission Experience January 2010 - August 2010
Job Senior Analyst, National Grid
Industry Accounting
Experience
National Grid December 2013 - Present
EY September 2011 - November 2013
US Securities and Exchange Commission January 2010 - August 2010
Estee Lauder Companies June 2008 - August 2008
Skills
Analysis
Education
Boston University Questrom School of Business
Bachelor of Science, Business Administration; Accounting
National Grid December 2013 - Present
EY September 2011 - November 2013
US Securities and Exchange Commission January 2010 - August 2010
Estee Lauder Companies June 2008 - August 2008
Skills
Analysis
Education
Boston University Questrom School of Business
Bachelor of Science, Business Administration; Accounting
Richard Jacobson's US Securities and Exchange Commission Experience May 1989 - December 2000
Job Regulatory Compliance Professional
Industry Financial Services
Experience
Fidelity Investments February 2011 - December 2014
Counsel on Call April 2010 - January 2011
State Street Corporation January 2001 - December 2008
US Securities and Exchange Commission May 1989 - December 2000
Ruberto, Israel & Weiner, P.C. 1981 - 1989
Skills
Securities Regulation, Corporate Governance, Litigation, FINRA, Securities, FCPA, Commercial Litigation, Mutual Funds, Civil Litigation, Corporate Law, Legal Research, Internal Investigations
Education
Boston College Law School
J.D., Law
Brandeis University
B.A., Political Science
Fidelity Investments February 2011 - December 2014
Counsel on Call April 2010 - January 2011
State Street Corporation January 2001 - December 2008
US Securities and Exchange Commission May 1989 - December 2000
Ruberto, Israel & Weiner, P.C. 1981 - 1989
Skills
Securities Regulation, Corporate Governance, Litigation, FINRA, Securities, FCPA, Commercial Litigation, Mutual Funds, Civil Litigation, Corporate Law, Legal Research, Internal Investigations
Education
Boston College Law School
J.D., Law
Brandeis University
B.A., Political Science
Alexander Csordas's US Securities and Exchange Commission Experience January 2012 - April 2012
Job Associate at Sidley Austin LLP
Industry Law Practice
Experience
Sidley Austin LLP September 2013 - Present
Davidson Kempner Capital Management May 2012 - April 2013
US Securities and Exchange Commission January 2012 - April 2012
Central Park Group, LLC June 2011 - November 2011
Sidley Austin LLP June 2008 - July 2010
Skills
Corporate Finance, Debt & Equity Financing, Structured Products, Securities, Securities Regulation, Corporate Law, SEC filings, Due Diligence, Capital Markets, Bonds, Preferred Stock, Corporate Governance
Education
Brooklyn Law School 2010 — 2013
JD, Certificate in Business Law
Washington and Lee University 2004 — 2008
BA, Politics, Anthropology
Sidley Austin LLP September 2013 - Present
Davidson Kempner Capital Management May 2012 - April 2013
US Securities and Exchange Commission January 2012 - April 2012
Central Park Group, LLC June 2011 - November 2011
Sidley Austin LLP June 2008 - July 2010
Skills
Corporate Finance, Debt & Equity Financing, Structured Products, Securities, Securities Regulation, Corporate Law, SEC filings, Due Diligence, Capital Markets, Bonds, Preferred Stock, Corporate Governance
Education
Brooklyn Law School 2010 — 2013
JD, Certificate in Business Law
Washington and Lee University 2004 — 2008
BA, Politics, Anthropology
Josh Mallett's US Securities and Exchange Commission Experience December 2010 - March 2014
Job Senior Financial Economist at Securities Litigation and Consulting Group
Industry Legal Services
Experience
Securities Litigation and Consulting Group March 2014 - Present
US Securities and Exchange Commission December 2010 - March 2014
Securities Litigation and Consulting Group August 2009 - December 2010
US Securities and Exchange Commission June 2009 - August 2009
University of Michigan Business School January 2009 - April 2009
University of Michigan Business School September 2006 - April 2009
Brigham Young University July 2005 - April 2006
Brigham Young University January 2005 - April 2006
International Business Machines May 2004 - January 2005
Skills
Financial Accounting, Securities Law, Accounting, Microsoft Office, Economics, Corporate Governance, Research, Analysis, Financial Modeling, Securities Regulation, Leadership, Strategy, Risk Management, Finance, Financial Analysis, Process Improvement, Data Analysis
Education
University of Michigan - Stephen M. Ross School of Business 2006 — 2009
M.A., Business Administration
Brigham Young University 1999 — 2006
Masters, Accounting
Brigham Young University 1999 — 2006
B.S., Accounting
Securities Litigation and Consulting Group March 2014 - Present
US Securities and Exchange Commission December 2010 - March 2014
Securities Litigation and Consulting Group August 2009 - December 2010
US Securities and Exchange Commission June 2009 - August 2009
University of Michigan Business School January 2009 - April 2009
University of Michigan Business School September 2006 - April 2009
Brigham Young University July 2005 - April 2006
Brigham Young University January 2005 - April 2006
International Business Machines May 2004 - January 2005
Skills
Financial Accounting, Securities Law, Accounting, Microsoft Office, Economics, Corporate Governance, Research, Analysis, Financial Modeling, Securities Regulation, Leadership, Strategy, Risk Management, Finance, Financial Analysis, Process Improvement, Data Analysis
Education
University of Michigan - Stephen M. Ross School of Business 2006 — 2009
M.A., Business Administration
Brigham Young University 1999 — 2006
Masters, Accounting
Brigham Young University 1999 — 2006
B.S., Accounting
Kenneth Marcuse's US Securities and Exchange Commission Experience 1994 - 1996
Job EVP, U.S. Chief Compliance Officer & Deputy Global Chief Compliance Officer | TD Bank, N.A.
Industry Financial Services
Experience
TD July 2012 - Present
ING April 2011 - June 2012
Deutsche Bank August 2002 - March 2011
NASD Regulation (FINRA) 2001 - 2002
Gruntal & Co., LLC 1996 - 2000
US Securities and Exchange Commission 1994 - 1996
Davis Polk & Wardwell 1990 - 1994
Skills
Investments, Wealth Management, Asset Managment, Mutual Funds, Securities, AML, Financial Services, Capital Markets, Strategic Financial..., Asset Management, Hedge Funds, FINRA, Fixed Income, Securities Regulation, Equities, Portfolio Management, Risk Management, Wealth Management..., Trading, Investment Management, Banking, Financial Advisory, Derivatives, Insurance
Education
Boston University School of Law 1987 — 1990
J.D., magna cum laude
Ohio Wesleyan University
B.A.
TD July 2012 - Present
ING April 2011 - June 2012
Deutsche Bank August 2002 - March 2011
NASD Regulation (FINRA) 2001 - 2002
Gruntal & Co., LLC 1996 - 2000
US Securities and Exchange Commission 1994 - 1996
Davis Polk & Wardwell 1990 - 1994
Skills
Investments, Wealth Management, Asset Managment, Mutual Funds, Securities, AML, Financial Services, Capital Markets, Strategic Financial..., Asset Management, Hedge Funds, FINRA, Fixed Income, Securities Regulation, Equities, Portfolio Management, Risk Management, Wealth Management..., Trading, Investment Management, Banking, Financial Advisory, Derivatives, Insurance
Education
Boston University School of Law 1987 — 1990
J.D., magna cum laude
Ohio Wesleyan University
B.A.
Harry Weiss's US Securities and Exchange Commission Experience 1982 - 1993
Job Partner at WilmerHale
Industry Law Practice
Experience
WilmerHale 1995 - Present
Wilmer Cutler Pickering Hale and Dorr 1995 - Present
Paine Webber 1993 - 1995
US Securities and Exchange Commission 1982 - 1993
Skills
Securities Regulation, Securities, Corporate Governance, Securities Litigation, Corporate Law, Litigation, Civil Litigation, Federal Law Enforcement
Education
Boston University School of Law
JD
The Johns Hopkins University
AB
WilmerHale 1995 - Present
Wilmer Cutler Pickering Hale and Dorr 1995 - Present
Paine Webber 1993 - 1995
US Securities and Exchange Commission 1982 - 1993
Skills
Securities Regulation, Securities, Corporate Governance, Securities Litigation, Corporate Law, Litigation, Civil Litigation, Federal Law Enforcement
Education
Boston University School of Law
JD
The Johns Hopkins University
AB
Kevinraj Bhatia's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Regulatory Reporting
Industry Law Practice
Experience
AQR Capital Management September 2014 - Present
Morgan Stanley September 2011 - August 2014
Central Park Group January 2011 - April 2011
BLS Legal Services September 2010 - April 2011
US Securities and Exchange Commission June 2010 - August 2010
Calypso Capital September 2009 - May 2010
FINRA May 2009 - July 2009
Federal district court EDNY February 2009 - May 2009
Education
Brooklyn Law School 2008 — 2011
J.D.
Boston University 2003 — 2007
BSBA, Finance
AQR Capital Management September 2014 - Present
Morgan Stanley September 2011 - August 2014
Central Park Group January 2011 - April 2011
BLS Legal Services September 2010 - April 2011
US Securities and Exchange Commission June 2010 - August 2010
Calypso Capital September 2009 - May 2010
FINRA May 2009 - July 2009
Federal district court EDNY February 2009 - May 2009
Education
Brooklyn Law School 2008 — 2011
J.D.
Boston University 2003 — 2007
BSBA, Finance
Kevin Moynihan's US Securities and Exchange Commission Experience August 1974 - September 1977
Job Retired Financial Services Industry Attorney
Industry Investment Banking
Experience
Not employed August 2009 - Present
Bank of America - Merrill Lynch 1991 - August 2009
Merrill Lynch 2005 - 2009
Merrill Lynch, Pierce, Fenner & Smith 1991 - 2009
Paribas North America, Inc. September 1988 - June 1991
The Moseley Holding Corporation February 1982 - August 1988
AG Becker/Warburg Paribas Becker Inc. October 1977 - January 1982
US Securities and Exchange Commission August 1974 - September 1977
Skills
Securities, Capital Markets, Corporate Finance, Investment Banking, Financial Services, Finance, Securities Regulation, Investment Management, Management, Series 7, Hedge Funds, Equities, Fixed Income, Alternative Investments, Private Equity, Asset Management, Investments, FINRA, Series 63, Wealth Management
Education
Boston College Law School 1971 — 1974
JD
Georgetown University 1967 — 1971
AB, Government
Not employed August 2009 - Present
Bank of America - Merrill Lynch 1991 - August 2009
Merrill Lynch 2005 - 2009
Merrill Lynch, Pierce, Fenner & Smith 1991 - 2009
Paribas North America, Inc. September 1988 - June 1991
The Moseley Holding Corporation February 1982 - August 1988
AG Becker/Warburg Paribas Becker Inc. October 1977 - January 1982
US Securities and Exchange Commission August 1974 - September 1977
Skills
Securities, Capital Markets, Corporate Finance, Investment Banking, Financial Services, Finance, Securities Regulation, Investment Management, Management, Series 7, Hedge Funds, Equities, Fixed Income, Alternative Investments, Private Equity, Asset Management, Investments, FINRA, Series 63, Wealth Management
Education
Boston College Law School 1971 — 1974
JD
Georgetown University 1967 — 1971
AB, Government
Elliott Dobin's US Securities and Exchange Commission Experience January 1988 - June 1997
Job Legal/Compliance:Financial Services
Industry Law Practice
Experience
Pioneer Investments July 2010 - Present
Foreside Financial Group, LLC August 2007 - October 2008
BISYS February 2005 - July 2007
Fidelity Investments August 2003 - February 2005
Davidson Manchel & Brennan April 2002 - May 2003
Fidelity Investments June 1997 - November 2001
US Securities and Exchange Commission January 1988 - June 1997
Shereff Friedman Hoffman & Goodman April 1986 - December 1987
Schulte Roth & Zabel LLP October 1983 - April 1986
Skills
Mutual Funds, Compliance, FINRA, SEC reporting, Contract Negotiation, SEC, Securities, Litigation, SEC filings, Legal Writing, Investments, Securities Regulation, Financial Risk, Financial Services, Due Diligence, Broker-Dealer, Finance, Policy, AML, Corporate Law, Corporate Governance, Hedge Funds, Asset Management, Alternative Investments, Investment Management, Capital Markets
Education
Brooklyn Law School 1980 — 1983
Juris Doctor, Law
Vassar College 1974 — 1978
B.A., Urban Studies
Pioneer Investments July 2010 - Present
Foreside Financial Group, LLC August 2007 - October 2008
BISYS February 2005 - July 2007
Fidelity Investments August 2003 - February 2005
Davidson Manchel & Brennan April 2002 - May 2003
Fidelity Investments June 1997 - November 2001
US Securities and Exchange Commission January 1988 - June 1997
Shereff Friedman Hoffman & Goodman April 1986 - December 1987
Schulte Roth & Zabel LLP October 1983 - April 1986
Skills
Mutual Funds, Compliance, FINRA, SEC reporting, Contract Negotiation, SEC, Securities, Litigation, SEC filings, Legal Writing, Investments, Securities Regulation, Financial Risk, Financial Services, Due Diligence, Broker-Dealer, Finance, Policy, AML, Corporate Law, Corporate Governance, Hedge Funds, Asset Management, Alternative Investments, Investment Management, Capital Markets
Education
Brooklyn Law School 1980 — 1983
Juris Doctor, Law
Vassar College 1974 — 1978
B.A., Urban Studies
Luba Jabsky's US Securities and Exchange Commission Experience October 2006 - May 2007
Job Compliance Analyst at Barclays Capital
Industry Financial Services
Experience
Barclays Capital April 2009 - Present
Boston University School of Law February 2008 - September 2009
US Securities and Exchange Commission October 2006 - May 2007
Bear Stearns 2006 - 2006
Bear Stearns 2005 - 2005
Education
Boston University School of Law 2004 — 2007
J.D., Business and Finance
Boston University 2001 — 2003
B.A., Economics
New York University 2000 — 2001
Brooklyn Technical High School
Barclays Capital April 2009 - Present
Boston University School of Law February 2008 - September 2009
US Securities and Exchange Commission October 2006 - May 2007
Bear Stearns 2006 - 2006
Bear Stearns 2005 - 2005
Education
Boston University School of Law 2004 — 2007
J.D., Business and Finance
Boston University 2001 — 2003
B.A., Economics
New York University 2000 — 2001
Brooklyn Technical High School
Bill Tasch's US Securities and Exchange Commission Experience May 2009 - August 2009
Job Senior Associate at Illinois Advocates, LLC
Industry Law Practice
Experience
Illinois Advocates, LLC December 2012 - Present
Malecki, Tasch & Burns, LLC November 2010 - November 2012
Lebow, Malecki & Tasch December 2009 - November 2010
US Securities and Exchange Commission May 2009 - August 2009
U.S. District Court for the Northern District of Illinois, Hon. Magistrate Judge Morton Denlow January 2009 - May 2009
Illinois Attorney General August 2008 - January 2009
Federal Trade Commission May 2008 - August 2008
Lebow, Malecki & Tasch, LLC May 2007 - January 2008
Schierer & Ritchie, LLC January 2007 - May 2007
Skills
Legal Research, Legal Writing, Real Estate Transactions, Commercial Real Estate, Short Sales, Foreclosures, Deed in Lieu, Civil Litigation, Commercial Litigation, Corporate Law, Bankruptcy, HAMP, Mortgage Modification, Refinancings, Creditor Representation, Debtor/creditor Law, Debtor Representation, Small Claims, Garnishments, Citations, Appellate Practice, Collections, Litigation, Courts, Motions
Education
Loyola University Chicago School of Law 2007 — 2010
J.D., Law
Bradley University 2003 — 2006
B.S., Political Science, Economics
Illinois Advocates, LLC December 2012 - Present
Malecki, Tasch & Burns, LLC November 2010 - November 2012
Lebow, Malecki & Tasch December 2009 - November 2010
US Securities and Exchange Commission May 2009 - August 2009
U.S. District Court for the Northern District of Illinois, Hon. Magistrate Judge Morton Denlow January 2009 - May 2009
Illinois Attorney General August 2008 - January 2009
Federal Trade Commission May 2008 - August 2008
Lebow, Malecki & Tasch, LLC May 2007 - January 2008
Schierer & Ritchie, LLC January 2007 - May 2007
Skills
Legal Research, Legal Writing, Real Estate Transactions, Commercial Real Estate, Short Sales, Foreclosures, Deed in Lieu, Civil Litigation, Commercial Litigation, Corporate Law, Bankruptcy, HAMP, Mortgage Modification, Refinancings, Creditor Representation, Debtor/creditor Law, Debtor Representation, Small Claims, Garnishments, Citations, Appellate Practice, Collections, Litigation, Courts, Motions
Education
Loyola University Chicago School of Law 2007 — 2010
J.D., Law
Bradley University 2003 — 2006
B.S., Political Science, Economics
Elad Roisman's US Securities and Exchange Commission Experience December 2012 - June 2014
Job Securities Counsel, U.S. Senate Committee on Banking, Housing and Urban Affairs
Industry Law Practice
Experience
Committee on Banking, Housing, and Urban Affairs, United States Senate June 2014 - Present
US Securities and Exchange Commission December 2012 - June 2014
NYSE Euronext August 2010 - November 2012
Milbank, Tweed, Hadley & McCloy LLP October 2006 - July 2010
Skills
Mergers, Securities, Corporate Law, Corporate Governance, Derivatives, Securities Regulation, Litigation, Joint Ventures, Mergers & Acquisitions, Cross-border..., Private Equity, Due Diligence
Education
Boston University School of Law 2003 — 2006
Juris Doctor
Cornell University 1999 — 2003
BA
WHS
Committee on Banking, Housing, and Urban Affairs, United States Senate June 2014 - Present
US Securities and Exchange Commission December 2012 - June 2014
NYSE Euronext August 2010 - November 2012
Milbank, Tweed, Hadley & McCloy LLP October 2006 - July 2010
Skills
Mergers, Securities, Corporate Law, Corporate Governance, Derivatives, Securities Regulation, Litigation, Joint Ventures, Mergers & Acquisitions, Cross-border..., Private Equity, Due Diligence
Education
Boston University School of Law 2003 — 2006
Juris Doctor
Cornell University 1999 — 2003
BA
WHS
Sarah Rayfield's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Senior Financial Accounting Advisory Services at EY
Industry Accounting
Experience
EY August 2014 - Present
EY September 2013 - August 2014
FASB July 2012 - June 2013
KPMG June 2011 - August 2011
FINRA May 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Education
University of Virginia 2011 — 2012
Master of Science, Accounting
Bradley University 2007 — 2011
BS, Accounting
EY August 2014 - Present
EY September 2013 - August 2014
FASB July 2012 - June 2013
KPMG June 2011 - August 2011
FINRA May 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Education
University of Virginia 2011 — 2012
Master of Science, Accounting
Bradley University 2007 — 2011
BS, Accounting
Edward Bertrand's US Securities and Exchange Commission Experience November 2009 - June 2010
Job Associate at Pierce, Davis & Perritano
Industry Law Practice
Experience
Pierce, Davis & Perritano December 2011 - Present
Northeastern University September 2011 - January 2012
Adkins, Kelston, and Zavez, P.C. November 2010 - May 2011
Prince, Lobel, Glovsky & Tye LLP June 2010 - February 2011
US Securities and Exchange Commission November 2009 - June 2010
Suffolk Superior Courthouse, Boston, MA June 2009 - November 2009
Pierce, Davis & Perritano January 2006 - August 2008
Education
Northeastern University School of Law 2008 — 2011
Bowdoin College 2001 — 2005
Bachelor of Arts, Government and Legal Studies
Pierce, Davis & Perritano December 2011 - Present
Northeastern University September 2011 - January 2012
Adkins, Kelston, and Zavez, P.C. November 2010 - May 2011
Prince, Lobel, Glovsky & Tye LLP June 2010 - February 2011
US Securities and Exchange Commission November 2009 - June 2010
Suffolk Superior Courthouse, Boston, MA June 2009 - November 2009
Pierce, Davis & Perritano January 2006 - August 2008
Education
Northeastern University School of Law 2008 — 2011
Bowdoin College 2001 — 2005
Bachelor of Arts, Government and Legal Studies
Joseph Furey's US Securities and Exchange Commission Experience April 1984 - January 1994
Job at Legg Mason
Industry Legal Services
Experience
Legg Mason August 2001 - Present
Hughes Hubbard & Reed LLP September 1999 - August 2001
FINRA September 1996 - September 1999
Debevoise & Plimpton January 1994 - August 1996
US Securities and Exchange Commission April 1984 - January 1994
Education
Georgetown University Law Center 1987 — 1990
LLM, Securities Regulation
University of Baltimore School of Law 1980 — 1983
JD
Boston College 1975 — 1977
AB, Ppolitical Science, Slavic Studies
Legg Mason August 2001 - Present
Hughes Hubbard & Reed LLP September 1999 - August 2001
FINRA September 1996 - September 1999
Debevoise & Plimpton January 1994 - August 1996
US Securities and Exchange Commission April 1984 - January 1994
Education
Georgetown University Law Center 1987 — 1990
LLM, Securities Regulation
University of Baltimore School of Law 1980 — 1983
JD
Boston College 1975 — 1977
AB, Ppolitical Science, Slavic Studies
Valerie Carter's US Securities and Exchange Commission Experience 1985 - 1990
Job Partner at Carter & Doyle
Industry Law Practice
Experience
Carter & Doyle LLP September 1996 - Present
Fleet Bank/RECOLL 1991 - 1996
US Securities and Exchange Commission 1985 - 1990
Skills
Commercial Litigation, Litigation, Civil Litigation, represent clients..., Corporate Law, Client, Criminal Defense, Bankruptcy, Regulatory Agencies, Appeals
Education
Northeastern University School of Law 1981 — 1984
Doctor of Law (J.D.)
Brandeis University 1972 — 1976
Bachelor of Arts (B.A.), Spanish and Comparative Literature
Carter & Doyle LLP September 1996 - Present
Fleet Bank/RECOLL 1991 - 1996
US Securities and Exchange Commission 1985 - 1990
Skills
Commercial Litigation, Litigation, Civil Litigation, represent clients..., Corporate Law, Client, Criminal Defense, Bankruptcy, Regulatory Agencies, Appeals
Education
Northeastern University School of Law 1981 — 1984
Doctor of Law (J.D.)
Brandeis University 1972 — 1976
Bachelor of Arts (B.A.), Spanish and Comparative Literature
William Royer's US Securities and Exchange Commission Experience July 2013 - Present
Job Assistant Director at U.S. Securities and Exchange Commission
Industry Investment Management
Experience
US Securities and Exchange Commission July 2013 - Present
Arrowstreet Capital August 2011 - May 2012
Foreside Financial Group, LLC November 2009 - August 2011
Baring Asset Management December 2007 - May 2008
GMO February 1995 - March 2005
Ropes & Gray LLP September 1992 - January 1995
Seragen September 1987 - June 1989
Skills
Securities, Securities Regulation, Hedge Funds, Alternative Investments, Corporate Governance, Due Diligence, Mutual Funds, Asset Management, Investment Management, Investments, Risk Management, Mergers & Acquisitions
Education
Boston University School of Law 1989 — 1992
J.D., Law
University of New Hampshire 1983 — 1987
B.S., Chemistry
University of New Hampshire 1983 — 1987
Bachelor of Science, Chemistry
US Securities and Exchange Commission July 2013 - Present
Arrowstreet Capital August 2011 - May 2012
Foreside Financial Group, LLC November 2009 - August 2011
Baring Asset Management December 2007 - May 2008
GMO February 1995 - March 2005
Ropes & Gray LLP September 1992 - January 1995
Seragen September 1987 - June 1989
Skills
Securities, Securities Regulation, Hedge Funds, Alternative Investments, Corporate Governance, Due Diligence, Mutual Funds, Asset Management, Investment Management, Investments, Risk Management, Mergers & Acquisitions
Education
Boston University School of Law 1989 — 1992
J.D., Law
University of New Hampshire 1983 — 1987
B.S., Chemistry
University of New Hampshire 1983 — 1987
Bachelor of Science, Chemistry
Ann Myers's US Securities and Exchange Commission Experience September 1988 - September 1992
Job Director at BNP Paribas
Industry Banking
Experience
BNP Paribas November 2008 - Present
Barclays Capital July 2006 - November 2008
Credit Suisse October 1996 - July 2006
Baring Securities, Inc. - ING Securities October 1992 - October 1996
US Securities and Exchange Commission September 1988 - September 1992
Skills
Equity Derivatives, Derivatives, Structured Products, Investment Banking, Capital Markets, Fixed Income, Equities, Structured Finance, Securities, Financial Markets, Hedge Funds, Options, Financial Services
Education
Brooklyn Law School 1986 — 1988
JD, Law
University of Maine School of Law 1985 — 1986
none, Law
Smith College 1978 — 1982
AB, Art History
BNP Paribas November 2008 - Present
Barclays Capital July 2006 - November 2008
Credit Suisse October 1996 - July 2006
Baring Securities, Inc. - ING Securities October 1992 - October 1996
US Securities and Exchange Commission September 1988 - September 1992
Skills
Equity Derivatives, Derivatives, Structured Products, Investment Banking, Capital Markets, Fixed Income, Equities, Structured Finance, Securities, Financial Markets, Hedge Funds, Options, Financial Services
Education
Brooklyn Law School 1986 — 1988
JD, Law
University of Maine School of Law 1985 — 1986
none, Law
Smith College 1978 — 1982
AB, Art History
Susan Boudrot's US Securities and Exchange Commission Experience 1989 - 1994
Job Chief Compliance Officer Retail Brokerage at TD Ameritrade
Industry Financial Services
Experience
TD Ameritrade October 2011 - Present
Susan M. Boudrot Consulting January 2011 - October 2011
Fidelity Investments 2008 - 2010
Fidelity Investments 2004 - 2008
Fidelity Investments 2003 - 2004
Charles Schwab 1998 - 2003
Brown & Company Securities Corp. 1994 - 1998
US Securities and Exchange Commission 1989 - 1994
Weiss Angoff Coltin Koski & Wolf 1987 - 1989
Skills
Series 7, Securities, Mutual Funds, Investment Advisory, Compliance, Options, Investments, Risk, Pensions, FINRA, Series 24, AML, Fixed Income, Series 63, Equities, Risk Management, Alternative Investments, Asset Management, OFAC, Brokerage, ERISA, Securities Law, Back Office, Wealth Management, Executive Management, Bonds, Series 3, Commodities and Futures
Education
Boston University Questrom School of Business 1987 — 1989
MBA, Management
Boston University School of Law 1984 — 1987
Juris Doctorate, Law
Regis College 1980 — 1984
Bachelor of Arts, Political Science
TD Ameritrade October 2011 - Present
Susan M. Boudrot Consulting January 2011 - October 2011
Fidelity Investments 2008 - 2010
Fidelity Investments 2004 - 2008
Fidelity Investments 2003 - 2004
Charles Schwab 1998 - 2003
Brown & Company Securities Corp. 1994 - 1998
US Securities and Exchange Commission 1989 - 1994
Weiss Angoff Coltin Koski & Wolf 1987 - 1989
Skills
Series 7, Securities, Mutual Funds, Investment Advisory, Compliance, Options, Investments, Risk, Pensions, FINRA, Series 24, AML, Fixed Income, Series 63, Equities, Risk Management, Alternative Investments, Asset Management, OFAC, Brokerage, ERISA, Securities Law, Back Office, Wealth Management, Executive Management, Bonds, Series 3, Commodities and Futures
Education
Boston University Questrom School of Business 1987 — 1989
MBA, Management
Boston University School of Law 1984 — 1987
Juris Doctorate, Law
Regis College 1980 — 1984
Bachelor of Arts, Political Science
Rebeccah Judd's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Tax Consulting Associate at McGladrey
Industry Law Practice
Experience
Massachusetts Appellate Tax Board January 2013 - May 2013
US Securities and Exchange Commission September 2012 - December 2012
Supreme Court of Delaware May 2012 - July 2012
Boston University School of Law May 2011 - September 2011
Choate, Hall & Stewart July 2011 - August 2011
Bank of America May 2011 - June 2011
Balber Pickard Maldonado & Van Der Tuin, PC June 2008 - June 2010
Rape Crisis and Crime Victims Assistance Program October 2007 - May 2008
Vassar College October 2006 - May 2008
Sky Management Corporation June 2007 - August 2007
Skills
Legal Writing, Legal Research, Editing, Research, Westlaw, Lexis, Securities Regulation, Transactional Law, Community Outreach
Education
Boston University School of Law 2010 — 2013
JD
Vassar College 2004 — 2008
BA
Thacher School 2000 — 2004
Massachusetts Appellate Tax Board January 2013 - May 2013
US Securities and Exchange Commission September 2012 - December 2012
Supreme Court of Delaware May 2012 - July 2012
Boston University School of Law May 2011 - September 2011
Choate, Hall & Stewart July 2011 - August 2011
Bank of America May 2011 - June 2011
Balber Pickard Maldonado & Van Der Tuin, PC June 2008 - June 2010
Rape Crisis and Crime Victims Assistance Program October 2007 - May 2008
Vassar College October 2006 - May 2008
Sky Management Corporation June 2007 - August 2007
Skills
Legal Writing, Legal Research, Editing, Research, Westlaw, Lexis, Securities Regulation, Transactional Law, Community Outreach
Education
Boston University School of Law 2010 — 2013
JD
Vassar College 2004 — 2008
BA
Thacher School 2000 — 2004
Travis Robertson's US Securities and Exchange Commission Experience June 2013 - August 2013
Job Associate at Fenwick & West
Industry Legal Services
Experience
Fenwick & West October 2015 - Present
Stanford Law School 2012 - Present
Cure Inc. March 2014 - October 2015
Fenwick & West June 2014 - August 2014
Mills Legal Clinic: Organizations and Transactions September 2013 - December 2013
US Securities and Exchange Commission June 2013 - August 2013
Adobe January 2012 - September 2012
Adobe August 2010 - January 2012
Skills
Licensing, Japanese, Intellectual Property, Public Speaking, Microsoft Office, Legal Research, Legal Writing, Corporate Law, Privacy Law, Securities, Start-ups, Editing
Education
Stanford Law School 2012 — 2015
J.D. Class of 2015
Brigham Young University 2005 — 2009
Bachelor of Arts (B.A.), International Relations and Japanese, Magna Cum Laude
Fenwick & West October 2015 - Present
Stanford Law School 2012 - Present
Cure Inc. March 2014 - October 2015
Fenwick & West June 2014 - August 2014
Mills Legal Clinic: Organizations and Transactions September 2013 - December 2013
US Securities and Exchange Commission June 2013 - August 2013
Adobe January 2012 - September 2012
Adobe August 2010 - January 2012
Skills
Licensing, Japanese, Intellectual Property, Public Speaking, Microsoft Office, Legal Research, Legal Writing, Corporate Law, Privacy Law, Securities, Start-ups, Editing
Education
Stanford Law School 2012 — 2015
J.D. Class of 2015
Brigham Young University 2005 — 2009
Bachelor of Arts (B.A.), International Relations and Japanese, Magna Cum Laude
Jonathan Cayne's US Securities and Exchange Commission Experience March 1995 - March 1998
Job Senior Associate General Counsel at NASDAQ OMX
Industry Financial Services
Experience
NASDAQ OMX August 2004 - Present
Morrison & Foerster LLP April 1998 - July 2004
US Securities and Exchange Commission March 1995 - March 1998
Seward & Kissel LLP 1987 - 1991
Skills
Securities, Securities Regulation, Corporate Law, Compliance
Education
Boston University School of Law 1984 — 1987
Juris Doctor
Cornell University 1980 — 1984
BS
NASDAQ OMX August 2004 - Present
Morrison & Foerster LLP April 1998 - July 2004
US Securities and Exchange Commission March 1995 - March 1998
Seward & Kissel LLP 1987 - 1991
Skills
Securities, Securities Regulation, Corporate Law, Compliance
Education
Boston University School of Law 1984 — 1987
Juris Doctor
Cornell University 1980 — 1984
BS
susan yashar's US Securities and Exchange Commission Experience 2004 - 2007
Job
Industry
Experience
Deloitte Touche Tohmatsu Ltd October 2014 - Present
Deloitte Touche Tohmatsu Ltd 2008 - October 2014
PCAOB 2007 - 2008
US Securities and Exchange Commission 2004 - 2007
US Securities and Exchange Commission 2000 - 2004
US Securities and Exchange Commission 1998 - 1999
US Securities and Exchange Commission 1992 - 1997
US Securities and Exchange Commission 1991 - 1992
Education
Boston University School of Law
JD
Georgetown University
BA
Deloitte Touche Tohmatsu Ltd October 2014 - Present
Deloitte Touche Tohmatsu Ltd 2008 - October 2014
PCAOB 2007 - 2008
US Securities and Exchange Commission 2004 - 2007
US Securities and Exchange Commission 2000 - 2004
US Securities and Exchange Commission 1998 - 1999
US Securities and Exchange Commission 1992 - 1997
US Securities and Exchange Commission 1991 - 1992
Education
Boston University School of Law
JD
Georgetown University
BA
John Offenbacher's US Securities and Exchange Commission Experience August 2010 - December 2011
Job Partner at Ernst & Young
Industry Accounting
Experience
Ernst & Young January 2012 - Present
US Securities and Exchange Commission August 2010 - December 2011
US Securities and Exchange Commission June 2009 - August 2010
Ernst & Young 1999 - 2009
Education
Bowling Green State University 1995 — 1999
BSBA, Accounting
Ernst & Young January 2012 - Present
US Securities and Exchange Commission August 2010 - December 2011
US Securities and Exchange Commission June 2009 - August 2010
Ernst & Young 1999 - 2009
Education
Bowling Green State University 1995 — 1999
BSBA, Accounting
Joseph Zlatnik's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Associate Attorney at Andrew M. Hochberg, P.C.
Industry Law Practice
Experience
Andrew M. Hochberg, P.C. December 2013 - Present
Kachroo Legal Services P.C. September 2013 - December 2013
Berkshire District Attorney September 2011 - December 2012
US Securities and Exchange Commission June 2010 - August 2010
Massachusetts Attorney General's Office June 2009 - August 2009
Kirkland & Ellis LLP May 2006 - June 2008
New York District Attorney July 2005 - October 2005
Xylas & Associates LLP July 2003 - October 2004
Skills
Litigation, Legal Research, Criminal Law, Legal Writing, Research, Westlaw, Trial Preparation, Courts, Writing, Securities, Government, Trial Practice, Civil Litigation, Trials, Commercial Litigation, Appeals
Education
Boston University School of Law 2008 — 2011
Juris Doctor, Litigation and Dispute Resolution
Andrew M. Hochberg, P.C. December 2013 - Present
Kachroo Legal Services P.C. September 2013 - December 2013
Berkshire District Attorney September 2011 - December 2012
US Securities and Exchange Commission June 2010 - August 2010
Massachusetts Attorney General's Office June 2009 - August 2009
Kirkland & Ellis LLP May 2006 - June 2008
New York District Attorney July 2005 - October 2005
Xylas & Associates LLP July 2003 - October 2004
Skills
Litigation, Legal Research, Criminal Law, Legal Writing, Research, Westlaw, Trial Preparation, Courts, Writing, Securities, Government, Trial Practice, Civil Litigation, Trials, Commercial Litigation, Appeals
Education
Boston University School of Law 2008 — 2011
Juris Doctor, Litigation and Dispute Resolution
Sharon Lindsey's US Securities and Exchange Commission Experience August 1992 - January 1993
Job National Executive Recruiter at the Lindsey Group
Industry Building Materials
Experience
The Lindsey Group Inc. June 2013 - Present
Jewish Federation of Palm Beach County July 1999 - June 2013
Sharon Cooper Company September 1997 - July 1999
Prudential Preferred Financial Services November 1994 - September 1997
US Securities and Exchange Commission August 1992 - January 1993
New York Stock Exchange Enforcement Division May 1992 - August 1992
Drexel Burnham Lambert May 1988 - August 1988
Skills
Planned Giving, Philanthropy, Fundraising, Annual Giving, Stewardship, Charitable Trusts, Board Development, Estate Planning, Nonprofits, Endowments, Building Materials, Recruiting, Sales, Management, Tax Law, Non-profits, Charities, Life Insurance, Securities Regulation, Executive Search, High Net Worth...
Education
Shephard Broad Law School Nova Southeastern University 1990 — 1993
Doctor of Law (J.D.), Law
Boston University 1986 — 1990
Bachelor's degree, Accounting and Finance
The Lindsey Group Inc. June 2013 - Present
Jewish Federation of Palm Beach County July 1999 - June 2013
Sharon Cooper Company September 1997 - July 1999
Prudential Preferred Financial Services November 1994 - September 1997
US Securities and Exchange Commission August 1992 - January 1993
New York Stock Exchange Enforcement Division May 1992 - August 1992
Drexel Burnham Lambert May 1988 - August 1988
Skills
Planned Giving, Philanthropy, Fundraising, Annual Giving, Stewardship, Charitable Trusts, Board Development, Estate Planning, Nonprofits, Endowments, Building Materials, Recruiting, Sales, Management, Tax Law, Non-profits, Charities, Life Insurance, Securities Regulation, Executive Search, High Net Worth...
Education
Shephard Broad Law School Nova Southeastern University 1990 — 1993
Doctor of Law (J.D.), Law
Boston University 1986 — 1990
Bachelor's degree, Accounting and Finance
Martin Siegel's US Securities and Exchange Commission Experience October 1971 - March 1974
Job Litigation Partner at Golenbock Eiseman Assor Bell & Peskoe LLP
Industry Law Practice
Experience
Golenbock Eiseman Assor Bell & Peskoe LLP July 2013 - Present
Brown Rudnick April 1982 - June 2013
Graubard Moskowitz March 1974 - March 1982
US Securities and Exchange Commission October 1971 - March 1974
Skills
Litigation, Commercial Litigation, Bankruptcy, Civil Litigation, Appeals, Corporate Law, Arbitration, Intellectual Property, Legal Research, Corporate Governance, Securities Litigation, Securities Regulation, Mediation, Trade Secrets, Legal Writing, Mergers, Private Equity, Chapter 11, Dispute Resolution, Licensing, Non-profits, Class Actions, Creditors' Rights, Business Litigation, Securities, Cross-border..., Joint Ventures, White Collar Criminal..., LinkedIn, Alternative Dispute..., Trials, Competition Law, International..., Legal Advice, Litigation Support, FCPA, Privacy Law, Trademarks, Mergers & Acquisitions, Unfair Competition, Dispute, Courts, Due Diligence, Breach Of Contract, Restructuring, Trial Practice
Education
Brookly Law School 1966 — 1968
Juris Doctor (J.D.), Law, Cum Laude
Brooklyn Law School 1966 — 1968
Juris Doctor (J.D.), Law, Cum Laude
Broolyn Law School 1966 — 1968
Juris Doctor, Cum Laude
Golenbock Eiseman Assor Bell & Peskoe LLP July 2013 - Present
Brown Rudnick April 1982 - June 2013
Graubard Moskowitz March 1974 - March 1982
US Securities and Exchange Commission October 1971 - March 1974
Skills
Litigation, Commercial Litigation, Bankruptcy, Civil Litigation, Appeals, Corporate Law, Arbitration, Intellectual Property, Legal Research, Corporate Governance, Securities Litigation, Securities Regulation, Mediation, Trade Secrets, Legal Writing, Mergers, Private Equity, Chapter 11, Dispute Resolution, Licensing, Non-profits, Class Actions, Creditors' Rights, Business Litigation, Securities, Cross-border..., Joint Ventures, White Collar Criminal..., LinkedIn, Alternative Dispute..., Trials, Competition Law, International..., Legal Advice, Litigation Support, FCPA, Privacy Law, Trademarks, Mergers & Acquisitions, Unfair Competition, Dispute, Courts, Due Diligence, Breach Of Contract, Restructuring, Trial Practice
Education
Brookly Law School 1966 — 1968
Juris Doctor (J.D.), Law, Cum Laude
Brooklyn Law School 1966 — 1968
Juris Doctor (J.D.), Law, Cum Laude
Broolyn Law School 1966 — 1968
Juris Doctor, Cum Laude
Cristina Jaramillo's US Securities and Exchange Commission Experience August 2012 - June 2014
Job J.D. Candidate, Boston University School of Law
Industry Law Practice
Experience
United States Attorney's Office, Southern District of New York May 2015 - July 2015
US Securities and Exchange Commission August 2012 - June 2014
The Brattle Group July 2010 - July 2012
Education
Boston University School of Law 2014 — 2017
Doctor of Law (J.D.)
Boston University 2008 — 2010
MA, Economics
Boston University 2006 — 2010
BA, Economics
United States Attorney's Office, Southern District of New York May 2015 - July 2015
US Securities and Exchange Commission August 2012 - June 2014
The Brattle Group July 2010 - July 2012
Education
Boston University School of Law 2014 — 2017
Doctor of Law (J.D.)
Boston University 2008 — 2010
MA, Economics
Boston University 2006 — 2010
BA, Economics
James A Chan's US Securities and Exchange Commission Experience 2000 - Present
Job Deputy Assistant Director Market Oversight at Securities & Exchange Commission
Industry Law Enforcement
Experience
Securities & Exchange Commission 2000 - Present
US Securities and Exchange Commission 2000 - Present
Education
Amercan Unuversity College of Law
Doctor of Law (J.D.)
Boston University
Securities & Exchange Commission 2000 - Present
US Securities and Exchange Commission 2000 - Present
Education
Amercan Unuversity College of Law
Doctor of Law (J.D.)
Boston University
Alejandra de Urioste's US Securities and Exchange Commission Experience May 2005 - August 2005
Job Associate at Clifford Chance US LLP
Industry Law Practice
Experience
Clifford Chance US LLP October 2007 - Present
US Securities and Exchange Commission May 2005 - August 2005
WilmerHale September 2002 - July 2004
Skills
Corporate Law, Litigation, Commercial Litigation, Legal Research, Securities Regulation, Legal Advice, International Law, Legal Writing, Cross-border..., Civil Litigation, Corporate Governance
Education
Tulane University Law School 2004 — 2007
J.D.
Boston University 1998 — 2002
B.S., Business Administration
Clifford Chance US LLP October 2007 - Present
US Securities and Exchange Commission May 2005 - August 2005
WilmerHale September 2002 - July 2004
Skills
Corporate Law, Litigation, Commercial Litigation, Legal Research, Securities Regulation, Legal Advice, International Law, Legal Writing, Cross-border..., Civil Litigation, Corporate Governance
Education
Tulane University Law School 2004 — 2007
J.D.
Boston University 1998 — 2002
B.S., Business Administration
Larry Bergmann's US Securities and Exchange Commission Experience 1975 - 2006
Job Experienced Securities Lawyer
Industry Law Practice
Experience
Murphy & McGonigle PC 2011 - Present
Direct Edge Exchange April 2010 - February 2014
Willkie Farr & Gallagher LLP 2006 - 2009
US Securities and Exchange Commission 1975 - 2006
Education
Boston College Law School 1972 — 1975
J.D.
Massachusetts Institute of Technology 1967 — 1971
Bachelor of Science, Humanities and Science
Murphy & McGonigle PC 2011 - Present
Direct Edge Exchange April 2010 - February 2014
Willkie Farr & Gallagher LLP 2006 - 2009
US Securities and Exchange Commission 1975 - 2006
Education
Boston College Law School 1972 — 1975
J.D.
Massachusetts Institute of Technology 1967 — 1971
Bachelor of Science, Humanities and Science
Melissa Gainor's US Securities and Exchange Commission Experience July 2015 - Present
Job Senior Special Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission July 2015 - Present
US Securities and Exchange Commission January 2012 - Present
Ropes & Gray LLP September 2004 - January 2012
Education
Boston University School of Law 2001 — 2004
J.D.
Boston College 1995 — 1999
B.A., Political Science
The Prout School 1991 — 1995
US Securities and Exchange Commission July 2015 - Present
US Securities and Exchange Commission January 2012 - Present
Ropes & Gray LLP September 2004 - January 2012
Education
Boston University School of Law 2001 — 2004
J.D.
Boston College 1995 — 1999
B.A., Political Science
The Prout School 1991 — 1995
Alana Heumann's US Securities and Exchange Commission Experience January 2012 - March 2012
Job Associate at Weil, Gotshal & Manges LLP
Industry Law Practice
Experience
Weil, Gotshal & Manges LLP September 2014 - Present
United States Bankruptcy Court, E.D.N.Y. August 2013 - August 2014
United States Bankruptcy Court SDNY August 2012 - November 2012
Day Pitney LLP May 2012 - August 2012
US Securities and Exchange Commission January 2012 - March 2012
United States District Court SDNY August 2011 - December 2011
Supreme Court, Kings County May 2011 - August 2011
Brandeis University January 2009 - May 2010
UJA-Federation May 2009 - August 2009
Skills
Legal Writing, Legal Research
Education
Brooklyn Law School 2010 — 2013
Juris Doctor, Magna Cum Laude
Brandeis University 2006 — 2010
Bachelor of Arts, Economics, Business, Magna Cum Laude
Weil, Gotshal & Manges LLP September 2014 - Present
United States Bankruptcy Court, E.D.N.Y. August 2013 - August 2014
United States Bankruptcy Court SDNY August 2012 - November 2012
Day Pitney LLP May 2012 - August 2012
US Securities and Exchange Commission January 2012 - March 2012
United States District Court SDNY August 2011 - December 2011
Supreme Court, Kings County May 2011 - August 2011
Brandeis University January 2009 - May 2010
UJA-Federation May 2009 - August 2009
Skills
Legal Writing, Legal Research
Education
Brooklyn Law School 2010 — 2013
Juris Doctor, Magna Cum Laude
Brandeis University 2006 — 2010
Bachelor of Arts, Economics, Business, Magna Cum Laude
Hardin Rowley's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Graduate of Washington and Lee University School of Law
Industry Law Practice
Experience
United States Attorney's Office May 2011 - August 2011
US Securities and Exchange Commission June 2010 - August 2010
Skills
Legal Research, Legal Writing, Corporate Law, Litigation, International Law, Secured Transactions, Bankruptcy Law, Tax Law, Westlaw, Concordance, Conversant in Spanish, Architectural...
Education
Washington and Lee University School of Law 2009 — 2012
Juris Doctor, Law
Bowdoin College 2000 — 2004
B.A., Government & Legal Studies
London School of Economics and Political Science 2002 — 2003
General Course, Political Science
United States Attorney's Office May 2011 - August 2011
US Securities and Exchange Commission June 2010 - August 2010
Skills
Legal Research, Legal Writing, Corporate Law, Litigation, International Law, Secured Transactions, Bankruptcy Law, Tax Law, Westlaw, Concordance, Conversant in Spanish, Architectural...
Education
Washington and Lee University School of Law 2009 — 2012
Juris Doctor, Law
Bowdoin College 2000 — 2004
B.A., Government & Legal Studies
London School of Economics and Political Science 2002 — 2003
General Course, Political Science
Michael Vann's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Real Estate Associate at Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates
Industry Law Practice
Experience
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates September 2014 - Present
US Securities and Exchange Commission September 2013 - December 2013
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2013 - July 2013
20th Century Fox Television May 2012 - August 2012
Wasserman Media Group May 2009 - August 2011
Tennis Coaching 2007 - 2009
Creative Artists Agency May 2008 - August 2008
Skills
Contract Negotiation
Education
University of Michigan Law School 2011 — 2014
Boston College 2007 — 2011
Bachelor of Arts (B.A.), magna cum laude, Major: History; Minor: Economics
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates September 2014 - Present
US Securities and Exchange Commission September 2013 - December 2013
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2013 - July 2013
20th Century Fox Television May 2012 - August 2012
Wasserman Media Group May 2009 - August 2011
Tennis Coaching 2007 - 2009
Creative Artists Agency May 2008 - August 2008
Skills
Contract Negotiation
Education
University of Michigan Law School 2011 — 2014
Boston College 2007 — 2011
Bachelor of Arts (B.A.), magna cum laude, Major: History; Minor: Economics
Keith Prive's US Securities and Exchange Commission Experience September 2005 - Present
Job Senior Counsel at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission September 2005 - Present
Skills
Securities Regulation, FCPA, Securities, Legal Research, Legal Writing, Internal Investigations, Financial Regulation, SEC
Education
Boston University School of Law
Master of Laws (LL.M.), Banking and Financial Law
Suffolk University Law School 2001 — 2005
Doctor of Law (J.D.)
Saint Michael's College 1998 — 2001
Bachelor of Science (B.S.), Business Administration, Management and Operations
Saint Michael's College 1998 — 2001
Bachelor of Arts (B.A.), Political Science and Government
University of Notre Dame 1997 — 1998
Business Administration, Management, and Operations
St. Paul's School, Advanced Studies Program
Law and Government Section
US Securities and Exchange Commission September 2005 - Present
Skills
Securities Regulation, FCPA, Securities, Legal Research, Legal Writing, Internal Investigations, Financial Regulation, SEC
Education
Boston University School of Law
Master of Laws (LL.M.), Banking and Financial Law
Suffolk University Law School 2001 — 2005
Doctor of Law (J.D.)
Saint Michael's College 1998 — 2001
Bachelor of Science (B.S.), Business Administration, Management and Operations
Saint Michael's College 1998 — 2001
Bachelor of Arts (B.A.), Political Science and Government
University of Notre Dame 1997 — 1998
Business Administration, Management, and Operations
St. Paul's School, Advanced Studies Program
Law and Government Section
Stephen Helfrich's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Analyst at Newmark Grubb Knight Frank
Industry Real Estate
Experience
Newmark Grubb Knight Frank October 2014 - Present
MetLife May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Skills
Data Analysis, PowerPoint, Economics, Legal Research, Financial Modeling, Legal Writing, Microsoft Excel, Bloomberg Terminal, Enforcement, Financial Analysis, Finance
Education
Boston College 2010 — 2014
Bachelor of Arts (BA), Economics & History
Newmark Grubb Knight Frank October 2014 - Present
MetLife May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Skills
Data Analysis, PowerPoint, Economics, Legal Research, Financial Modeling, Legal Writing, Microsoft Excel, Bloomberg Terminal, Enforcement, Financial Analysis, Finance
Education
Boston College 2010 — 2014
Bachelor of Arts (BA), Economics & History
Carol Schultze's US Securities and Exchange Commission Experience Assistant Chief Litigation CounselU.S. Securities and Exchange CommissionJanuary 2008 - Present
Job Assistant Chief Litigation Counsel at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission Assistant Chief Litigation CounselU.S. Securities and Exchange CommissionJanuary 2008 - Present
Internal Revenue Service February 2002 - January 2008
Internal Revenue Service 1998 - 2002
U.S. Department of Justice 1994 - 1998
Skills
Securities Regulation, Legal Research, Legal Writing, Corporate Governance, Corporate Law, Litigation, Appeals, Courts
Education
Boston College Law School 1984 — 1987
JD
US Securities and Exchange Commission Assistant Chief Litigation CounselU.S. Securities and Exchange CommissionJanuary 2008 - Present
Internal Revenue Service February 2002 - January 2008
Internal Revenue Service 1998 - 2002
U.S. Department of Justice 1994 - 1998
Skills
Securities Regulation, Legal Research, Legal Writing, Corporate Governance, Corporate Law, Litigation, Appeals, Courts
Education
Boston College Law School 1984 — 1987
JD
Lawrence Renbaum's US Securities and Exchange Commission Experience 2010 - Present
Job Senior Investigations Counsel at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission 2010 - Present
US Securities and Exchange Commission October 2003 - Present
Skills
Securities Regulation, Securities, Private Investigations, Enforcement, Securities Litigation
Education
Georgetown University Law Center 1990 — 1993
Doctor of Law (JD), Law
Brandeis University 1986 — 1990
Bachelor of Arts (BA), Political Science and Government
US Securities and Exchange Commission 2010 - Present
US Securities and Exchange Commission October 2003 - Present
Skills
Securities Regulation, Securities, Private Investigations, Enforcement, Securities Litigation
Education
Georgetown University Law Center 1990 — 1993
Doctor of Law (JD), Law
Brandeis University 1986 — 1990
Bachelor of Arts (BA), Political Science and Government
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency