US Securities and Exchange Commission
Industry: Federal agency
DescriptionThe U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Jurisdiction: United States of America Employees: 4,301 (2015) Headquarters: Washington, D.C., United States Founder: Franklin D. Roosevelt Founded: 6 June 1934
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US Securities and Exchange Commission Employees
Aristotle Capital Management, LLC March 2015 - Present
Quinn Emanuel June 2013 - March 2015
US Securities and Exchange Commission March 2013 - June 2013
Starbucks December 2009 - April 2013
Skills
Legal Research, Legal Writing, Westlaw, Bloomberg, PACER, Concordance, Microsoft Word, CaseMap, LiveNote, Microsoft Excel, Microsoft Office, Outlook, Customer Service, Clerical Skills, PowerPoint, Employee Benefits, Pleadings, Litigation, Legal Documents
Education
California State University-Los Angeles 2015 — 2017
Bachelor of Business Administration (BBA), Business Administration, Management and Operations
UCLA 2013 — 2013
Paralegal Certification, Paralegal Training Program, A with Distinction
Los Angeles Pierce College 2009 — 2013
Associate's Degree, Early Childhood Education and Teaching
William Howard Taft High School 1999 — 2003
United States Attorney's Office November 2014 - Present
US Securities and Exchange Commission March 2011 - October 2014
Digital Global Accounting October 2008 - September 2010
Consumer Legal Services February 2005 - October 2008
Los Angeles City Attorneys Office July 2004 - October 2004
Skills
Legal Research, Legal Writing, Lexis, Westlaw, Document Review, Litigation, Litigation Support, Trials, Legal Documents
Education
California State University-Los Angeles 2003 — 2004
Litigation and Corporate Paralegal Certificate
California State Polytechnic University-Pomona 1998 — 2003
Bachelor's degree, History
Baker Donelson September 2014 - Present
Nashville General Hospital September 2014 - September 2014
Vanderbilt Intellectual Property & Arts Clinic January 2014 - May 2014
US Securities and Exchange Commission May 2013 - July 2013
Callahan Witherington PLLC October 2012 - April 2013
The Hon. Jeff Hollingsworth, Hamilton County Circuit Court May 2012 - August 2012
Skills
Legal Research, Microsoft Office, Legal Writing, Microsoft Word, PowerPoint, Research, Microsoft Excel, Public Speaking, Westlaw, Litigation, Social Media, Teamwork, Trademarks, Courts, Mediation, Intellectual Property, Corporate Law
Education
Vanderbilt University Law School 2011 — 2014
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
China University of Political Science and Law 2007 — 2011
Bachelor of Laws (LLB), Law
University of Oxford, Oriel College 2009 — 2009
Common law and European law
PCAOB October 2015 - Present
Public Company Accounting Oversight Board May 2007 - October 2015
US Securities and Exchange Commission June 2005 - April 2007
ISS Institutional Shareholder Services May 2004 - August 2004
PwC January 2000 - August 2002
Skills
Financial Modeling, Financial Reporting, Financial Analysis, Public Speaking, Corporate Finance, Analysis, Internal Controls, Data Analysis, Strategic Planning, Accounting, Auditing, Forecasting, Sarbanes-Oxley Act, Finance
Education
University of Maryland College Park 2003 — 2005
MBA, Strategy and Finance
California State University-Northridge
BS, Accounting
US Securities and Exchange Commission February 2013 - Present
Fright World Haunted House September 2010 - November 2010
Seneca Niagara Casino May 2007 - July 2007
Skills
Criminal Justice, Public Speaking, Non-profits, Criminal Law, Enforcement, Crime Prevention, Customer Service, Research, Criminal Investigations, Criminology, Conflict Resolution, Public Safety, Surveillance, Investigation, Executive Protection, Corporate Security, Security, Security Operations, Physical Security
Education
Bryant and Stratton College 2008 — 2010
Associate of Science (A.S.), Criminal Justice/Police Science
Villa de Vida May 2014 - Present
The Oikos Group May 2011 - December 2014
PR Newswire 2009 - May 2011
US Securities and Exchange Commission 2008 - 2008
Everett Harris & Co 2007 - 2008
Moss Adams LLP 2004 - 2007
Skills
Financial Analysis, Valuation, Private Equity, Financial Modeling, Corporate Finance, Securities, Strategic Planning, Business Strategy, Equities, Due Diligence, Finance, Financial Reporting, Emerging Markets, Market Analysis, Strategy, Financial Services, Start-ups, Economics, Business Development, Analysis, Mergers & Acquisitions, Venture Capital
Education
Claremont Graduate University - Peter F. Drucker and Masatoshi Ito Graduate School of Management
MBA, Finance
University of Illinois at Chicago
Bachelor of Science, Finance
Tucker Ellis LLP February 2011 - Present
Baker & Hostetler LLP 2000 - 2011
Baker & Hostetler LLP 1995 - 2000
US Securities and Exchange Commission 1991 - 1995
Skills
Litigation, Commercial Litigation, Civil Litigation, Corporate Law, Appeals, Product Liability, Arbitration, Legal Research, Legal Writing, Intellectual Property, Corporate Governance, Mediation
Education
Case Western Reserve University School of Law 1988 — 1991
JD, Banking, Corporate, Finance, and Securities Law
Fairfield University 1982 — 1986
BA, American Studies
Fairfield University 1982 — 1986
Bachelor's degree
Weaver March 2013 - Present
Grant Thornton LLP May 2012 - February 2013
Deloitte May 2011 - May 2012
US Securities and Exchange Commission August 2010 - May 2011
Illinois Department of Revenue May 2010 - October 2010
Cook County Circuit Court Judge Jesse Reyes 2010 - 2010
Denso International America, Inc. December 2006 - August 2008
Ryan & Company August 2005 - March 2007
Skills
Tax, Tax Law, Accounting, Litigation, Financial Reporting, Financial Management, Corporate Finance, State Taxation, Managerial Finance, Tax Research, International Tax, US Tax, Auditing, Due Diligence, Corporate Tax, Mergers & Acquisitions, Income Tax, CPA, Hyperion Reports, Oracle, HFM, GoSystems, RIA, SAP BPC, FAS, US GAAP, Tax Advisory, Legal Research, Analysis, Transfer Pricing, State Tax, Internal Controls, Property Tax, Financial Statements, Financial Accounting, SEC filings, Sarbanes-Oxley Act, GAAP, Sales Tax, Fixed Assets, Big 4, Restructuring, Tax Preparation, Sarbanes-Oxley, Finance, Partnership Taxation, Tax Returns, Internal Audit, Sales & Use Tax, Forensic Accounting
Education
University of Michigan 2005 — 2007
BBA, Accounting
University of Michigan 2003 — 2007
BSA, Financial Accounting and Reporting
Georgetown University Law Center 2010 — 2010
LLM Taxation, Tax Law
Chicago-Kent College of Law, Illinois Institute of Technology 2008 — 2011
JD/LLM, Tax Law
University of Detroit Mercy School of Law 2008 — 2009
Juris Doctor - 1L Year, Law
Federal Reserve Bank of New York July 2013 - Present
Federal Reserve Bank of New York June 2012 - August 2012
US Treasury January 2012 - May 2012
US Securities and Exchange Commission June 2009 - June 2011
US Securities and Exchange Commission May 2007 - August 2007
Skills
Public Policy, Policy Analysis
Education
The Johns Hopkins University - Paul H. Nitze School of Advanced International Studies (SAIS) 2011 — 2013
Master's Degree, International Economics & International Relations
Colby College 2003 — 2007
Bachelor of Arts, Government, Economics
Hamilton College Academic Year in Spain 2006 — 2006
Spanish Art & Literature, EU Political Economy
Goldman Sachs June 2015 - Present
Pasternak & Fidis, PC June 2014 - August 2014
Academic Success at Keuka September 2012 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
Keuka College September 2012 - May 2013
Rubino & Company January 2013 - January 2013
Potomac Nationals June 2012 - September 2012
Keuka College Athletics September 2011 - September 2012
Skills
Microsoft Excel, Accounting, Microsoft Office, Microsoft Word, PowerPoint, TeamMate, Bloomberg Terminal, ThomsonOne, QuickBooks, Peachtree, Time Management, Financial Analysis
Education
Claremont McKenna College 2014 — 2015
Master of Arts (M.A.), Finance
Keuka College 2011 — 2014
Bachelor of Science, Accounting
Robbins Geller Rudman & Dowd LLP November 2014 - April 2015
Financial Industry Regulatory Authority (FINRA) August 2014 - October 2014
US Securities and Exchange Commission January 2014 - May 2014
Banker's Hill Law Firm, A.P.C. February 2013 - September 2013
San Diego Volunteer Lawyer Program February 2013 - July 2013
TD Ameritrade August 2006 - December 2011
Grant Thornton LLP April 2010 - April 2011
Skills
Corporate Law, Business Planning, Financial Services, Strategic Financial..., Securities Regulation, Securities License, Estate Planning, Leadership, Legal Research, Legal Writing, Civil Litigation, Motions, Wills
Education
California Western School of Law 2012 — 2014
Doctor of Law (JD), Business Law
Texas Tech University 2001 — 2004
Bachelor of Arts (B.A.)
Efficient Market Advisors, LLC February 2014 - Present
Motion Picture Industry Pension & Health Plans 2009 - 2012
San Diego City Employees' Retirement System 2006 - 2009
Messner and Smith 2005 - 2006
Northwestern Mutual 1999 - 2004
ManpowerGroup 1994 - 1999
Nicolet Instrument Corporation 1989 - 1993
Lindquist & Vennum 1985 - 1989
US Securities and Exchange Commission 1982 - 1985
Simpson Thacher & Bartlett LLP 1979 - 1982
Education
Columbia Law School 1976 — 1979
Doctor of Law (J.D.)
University of Kansas 1975 — 1976
Bachelor's degree, Classics and Classical Languages, Literatures, and Linguistics
Brown University 1972 — 1975
Classics and Classical Languages, Literatures, and Linguistics
Trinity School 1970 — 1972
Diploma
US Securities and Exchange Commission July 2010 - August 2010
Skills
Microsoft Excel
Education
Florida International University - College of Business Administration 2013 — 2015
Bs, Accounting,Marketing
Broward Community College 2011 — 2013
Associate of Arts (AA), Accounting
Tufts University August 2015 - Present
City Year July 2014 - June 2015
California State University, Long Beach July 2013 - June 2014
Federal Reserve Bank of San Francisco May 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
Los Angeles Department of Water and Power July 2009 - August 2009
Skills
Equity Research, Financial Analysis, Economic Data Analysis, Project Management, Contingency Planning, Bloomberg Terminal, Fixed Income, Human Resources, Leave Administration, Cultural Diversity, Community Colleges, Community Outreach, Bloomberg, Econometrics, Stata, Leadership, Public Speaking, Teamwork
Education
Tufts University 2015 — 2016
Master’s Degree, (M.S.) Economics
California State University-Long Beach 2012 — 2014
Bachelor of Science (B.S.), Finance, General
California State University-Long Beach 2012 — 2014
Bachelor of Arts (B.A.), Economics
East Los Angeles College 2010 — 2011
IGETC Transfer Curriculum, Business/Managerial Economics
Wells Fargo Advisors October 2012 - Present
Wells Fargo June 2009 - October 2012
Wells Fargo April 2008 - June 2009
A.G. Edwards April 2006 - April 2008
US Securities and Exchange Commission June 2004 - August 2004
TD Ameritrade January 1999 - July 2002
TD Ameritrade June 1996 - January 1999
Skills
Risk Management, Compliance, Credit Risk, Legal, Securities Regulation, Securities
Education
Washington University in St. Louis School of Law 2002 — 2005
Doctor of Law (J.D.)
Creighton University 1993 — 1995
Bachelor of Arts (B.A.)
Calvin College 1991 — 1993
The Law Office of Christopher Q. Davis July 2014 - Present
US Securities and Exchange Commission 2013 - 2013
New York City Law Department, General Litigation Division September 2011 - May 2012
The City of New York Office of Labor Relations May 2011 - August 2011
Togut Segal & Segal LLP September 2008 - July 2010
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Courts, LexisNexis, Civil Litigation, Research, Trials, Mediation
Education
Brooklyn Law School 2010 — 2013
Doctor of Law (J.D.)
Cornell University 2004 — 2008
Bachelor of Science (B.S.), Industrial Labor Relations
Ropes & Gray LLP January 2014 - October 2014
Mayer Brown June 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
Office of the General Counsel for Office of the Chief Financial Officer September 2011 - January 2012
Office of Attorney General for District of Columbia June 2011 - August 2011
Law Office of Z.Tan PLLC September 2008 - September 2009
Skills
Corporate Law, Legal Research, Legal Writing, Due Diligence, Securities Regulation, FCPA, Employment Law, Bankruptcy, Mergers, Cross-border..., IPO, Securities, Banking Law, Business Transactions, Mediation, Legal Compliance, Fraud, Securities Litigation, Corporate Finance
Education
The George Washington University Law School 2010 — 2013
JD
Fordham University School of Law 2007 — 2008
Master, Corporate, financial and banking Law
China University of Political Science and Law 2003 — 2007
Bachelor, Civil and Business Law
Nixon Peabody LLP September 2012 - Present
US Securities and Exchange Commission September 2011 - November 2011
TV One, LLC August 2011 - August 2011
Nixon Peabody LLP June 2011 - July 2011
US Securities and Exchange Commission September 2010 - November 2010
Nixon Peabody LLP June 2010 - July 2010
Financial Services Roundtable: Agents for Change January 2007 - August 2007
Skills
Legal Research, Corporate Finance, Corporate Law, Legal Writing, Westlaw, Finance, Securities Regulation, Mergers & Acquisitions
Education
Georgetown University Law Center 2009 — 2012
Doctor of Law (J.D.), Law
Case Western Reserve University 2004 — 2008
Bachelor of Arts (B.A.), Double Major in Political Science & Sociology with Honors, Minor in Public Policy
York High School 2000 — 2004
International Baccalaureate Programme
U.S. Securities and Exchange Commission July 2014 - Present
US Securities and Exchange Commission December 2011 - July 2014
US Securities and Exchange Commission October 2003 - December 2011
Green Cay Asset Management March 2003 - August 2003
UBS April 2002 - February 2003
Franklin Templeton Investments April 1985 - April 2001
Skills
Regulations, Due Diligence, Marketing, Hedge Funds, Securities, Investments, Mutual Funds, SEC, Fraud, Financial Services, Financial Analysis, Auditing, Internal Controls, Certified Fraud Examiner, Investment Advisory, Analytics, Equities, Financial Risk, Portfolio Management, Securities Regulation
Education
ACFE
CFE, Certified Fraud Examiner
Bryant University
BS, Marketing, Economics
Nova Southeastern University
MBA, Business Administration
Goodwin Procter LLP October 2014 - Present
Goodwin Procter LLP October 2014 - February 2015
Thomson Reuters January 2014 - April 2014
Christie's August 2013 - November 2013
Goodwin Procter LLP May 2013 - July 2013
US Securities and Exchange Commission January 2013 - April 2013
U.S. District Court, Southern District of New York September 2012 - December 2012
U.S. District Court, District of Puerto Rico May 2012 - August 2012
Penguin Group USA December 2008 - May 2012
Skills
Copy Editing, Editing, Publishing, Editorial, Copywriting, Research, WordPress, Digital Media, Web Content, Books, Online Publishing, Legal Writing, Legal Research, Magazines, Intellectual Property, Securities Regulation, Commercial Litigation, Lexis, Proofreading, Westlaw, Civil Litigation, Appeals, Litigation
Education
Brooklyn Law School 2011 — 2014
Doctor of Law (J.D.)
Columbia University - Graduate School of Arts and Sciences 2006 — 2008
Master's Degree, English Literature
Bard College 2000 — 2004
Bachelor's Degree, Psychology
NYC Department of Small Business Services October 2014 - Present
Municipal Credit Union November 2013 - June 2014
US Securities and Exchange Commission January 2013 - May 2013
Altronix Corporation April 2007 - March 2013
Skills
Sage ERP X3, Sage MAS200, Cash Management, Nonprofits, Finance, Budgets, Government, Account Reconciliation, Strategic Planning
Education
City University of New York-Brooklyn College 2009 — 2014
Bachelor of Science (BS), Double major in Accounting and Business Management & Finance (BMF)
Yerevan State University of Architecture and Construction 1999 — 2002
Civil Engineering
K&L Gates March 2000 - Present
DLA Piper 1990 - 2000
Sullivan & Worcester LLP 1981 - 1990
US Securities and Exchange Commission 1977 - 1981
Skills
Investment Company Act, Investment Advisers Act, Investment Management, Mutual Funds, Hedge Funds, Securities Regulation, Corporate Law
Education
Georgetown University Law Center 1978 — 1980
Master of Laws (LL.M.), Securities Regulation
Case Western Reserve University School of Law 1973 — 1976
Doctor of Law (J.D.)
Lehigh University 1969 — 1973
Bachelor of Arts (B.A.), English and Russian
Clausen Miller P.C. October 2014 - Present
Bracewell & Giuliani LLP October 2013 - November 2013
US Securities and Exchange Commission June 2013 - September 2013
Shapiro, Beilly & Aronowitz, LLP July 2012 - September 2012
Kazlow & Kazlow June 2010 - January 2012
Leschack & Grodensky September 2008 - January 2010
Cohen & Slamowitz LLP March 2005 - March 2008
Steinberg, Fineo, Berger & Fischoff May 2004 - March 2005
Skills
Litigation, Legal Research, Civil Litigation, Legal Writing, Commercial Litigation, Corporate Law, Microsoft Office, Intellectual Property, Research, Courts, Legal Advice, Contract Negotiation, Mediation, Microsoft Excel, Employment Law
Education
York College 2002 — 2004
Political Science
City University of New York City College 1999 — 2004
Bachelor of Applied Science (BASc), Political Science and Government
Paul, Weiss, Rifkind, Wharton & Garrison LLP October 2014 - Present
United States Court of Appeals for the Sixth Circuit September 2013 - August 2014
Massachusetts Appeals Court August 2012 - August 2013
Professor Robin Lenhardt June 2011 - July 2012
Lincoln Square Legal Services January 2012 - May 2012
US Securities and Exchange Commission August 2011 - December 2011
United States Attorney's Office, Washington D.C. June 2011 - August 2011
United States Attorney's Office, EDNY January 2011 - May 2011
UBS May 2010 - August 2010
Education
Fordham University School of Law 2009 — 2012
Juris Doctor, cum laude
Clark University 2004 — 2008
B.A., Philosophy, Classics
Orrick, Herrington & Sutcliffe LLP September 2014 - Present
US Securities and Exchange Commission September 2013 - December 2013
Orrick, Herrington & Sutcliffe LLP May 2013 - July 2013
Robert Morris University January 2013 - May 2013
University of Pittsburgh School of Law September 2012 - May 2013
Deloitte January 2012 - August 2012
National Fuel Gas June 2011 - August 2011
Alcoa June 2008 - June 2010
Education
Carnegie Mellon University - Tepper School of Business 2011 — 2014
MBA, Finance
University of Pittsburgh School of Law 2010 — 2014
JD, Law
University of Notre Dame 2004 — 2008
BBA, Finance
U.S. Department of Justice March 2014 - Present
U.S. Immigration and Customs Enforcement (ICE) October 2010 - March 2014
U.S. Immigration and Customs Enforcement (ICE) December 2006 - October 2010
U.S. Department of the Treasury December 1999 - July 2002
US Securities and Exchange Commission March 1997 - December 1999
Crowell & Moring LLP September 1994 - February 1997
Skills
Government, Legal Research, Legal Writing, Policy, Public Policy, Law Enforcement
Education
Stanford University Law School 1991 — 1994
Doctor of Law (J.D.)
Brown University 1985 — 1989
A.B., Linguistics
Cox Communications July 2014 - Present
IgnitionOne May 2014 - July 2014
Applerouth Tutoring Services January 2014 - July 2014
Connective Tutoring, LLC August 2013 - December 2013
US Securities and Exchange Commission May 2013 - August 2013
Beth Davis Pitt, CPA, P.C. August 2012 - May 2013
Skills
SQL, Sound Design, Digital Audio, Economics, Data Analysis, Performance Dashboards, Microsoft Excel, Risk Modeling, Calculus, Statistics, Corporate Governance, Due Diligence, Legal Research, HTML & CSS, Event Planning, DAW, Google Adwords, Digital Marketing, Synthesizers, Microsoft Office
Education
Georgia State University 2009 — 2014
Bachelor of Science (BS), Economics, Magna Cum Laude
Georgia State University 2013 — 2014
Minor, Risk Management and Insurance, Area GPA of 4.12
Università Ca' Foscari di Venezia 2011 — 2012
Economics and Mangement
Capital Group December 2006 - Present
US Securities and Exchange Commission May 2001 - December 2006
US Securities and Exchange Commission April 1999 - May 2001
Price Waterhouse Coopers September 1991 - April 1999
Skills
Investment Management, Mutual Funds, Financial Analysis, SEC filings, Fund Accounting, Internal Controls, Financial Reporting, Sarbanes-Oxley Act, Accounting, Global Custody, Auditing, GAAP, Investments, Securities, Hedge Funds, Financial Services, Asset Managment, Asset Management, SEC Filings
Education
Claremont McKenna College 1987 — 1991
BA, Economic/Accounting
United Nations 2013 - 2013
US Securities and Exchange Commission 2013 - 2013
Republic of Korea Army - Capitalized Mechanized Infantry Division August 2008 - July 2010
Korea Exchange December 2006 - January 2007
Education
The Johns Hopkins University - Paul H. Nitze School of Advanced International Studies (SAIS)
International Relations and Affairs
Carnegie Mellon University - Tepper School of Business 2012 — 2013
Master of Science (MS), Computational Finance
New York University 2006 — 2012
Bachelor of Arts (B.A.), Mathematics and Economics
State of New Jersey Office of the Attorney General October 2014 - Present
Superior Court of New Jersey August 2013 - August 2014
US Securities and Exchange Commission May 2012 - May 2013
Kings County Supreme Court, Law Department January 2012 - June 2012
American Stock Transfer & Trust Co LLC September 2011 - February 2012
Kings County District Attorneys Office June 2011 - August 2011
Kim I. McHale & Associates January 2011 - April 2011
Skills
Legal Research, Research, Westlaw, Legal Writing, Litigation, Securities Regulation, Corporate Law, Corporate Governance, Lexis, Commercial Litigation, Securities, Securities Litigation, Mediation, Criminal Law
Education
Brooklyn Law School 2010 — 2013
J.D., Law
Duke University 2006 — 2010
A.B., Psychology, Political Science, Markets and Management
Stuyvesant High School 2002 — 2006
MetLife June 2014 - Present
CW Services August 2009 - Present
BCRC Media Committee 2013 - 2013
US Securities and Exchange Commission March 2012 - September 2012
Kit Bobko for Congress 2011 March 2011 - May 2011
Meg Whitman for Governor 2010 2010 - 2010
Sony Pictures Entertainment February 2008 - May 2009
WARNER BROTHERS June 1999 - August 2007
Warner Bros. Television May 1997 - June 1999
American Film Institute October 1994 - October 1997
Skills
Legal Writing, Editing, Access, Outlook, Leadership, Microsoft Excel, Online Research, Analysis, Legal Research, Document Review, Microsoft Office, Westlaw, PowerPoint, Adobe Acrobat, Office Management, Paralegals, Public Relations, Microsoft Word, Research, Teamwork, Public Speaking, Social Networking, Litigation, PeopleSoft, Proofreading, Transcription, FileMaker, Lexis, Wordperfect, Ariba, Strategic Thinking, Individualization, Intellectual, Transcribing, concordance, Filemaker Pro, Excel, Word, Engagement, deal tracker, Outlook calendar, Ideation, ACT!, copy talk, Legal Documents, Budgets, Management, Training
Education
UCLA 2011 — 2012
Certificate, Paralegal
El Camino College 2010 — 2012
AA, Real Estate
California State University-Fullerton 1990 — 1992
B.A., Business Administration/Finance
Fullerton College
A.A., Business Management
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates September 2015 - Present
Professor Roberta Karmel, Brooklyn Law School May 2014 - December 2014
Standard Chartered Bank June 2014 - August 2014
Professor Elizabeth Fajans, Brooklyn Law School May 2014 - August 2014
US Securities and Exchange Commission January 2014 - May 2014
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2013 - July 2013
Cleary Gottlieb Steen & Hamilton LLP June 2009 - June 2012
Dewey & LeBoeuf LLP January 2009 - May 2009
Beginning with Children Charter School January 2009 - May 2009
Cornell University August 2007 - December 2008
Skills
Notary Public, Legal Research, Litigation, Westlaw, LexisNexis, CaseMap, PowerPoint, Excel, Word, Adobe Acrobat, Wikis, Project Management, Microsoft Word, Hearings, Depositions, Trials, Bankruptcy, Lexis, Commercial Litigation, Legal Writing, Microsoft Excel
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (J.D.), cum laude
Cornell University 2006 — 2009
Bachelor of Science (B.S.), Human Development, Concentration in Social & Personality Development
Stuyvesant High School 2002 — 2006
Regents Diploma with Honors
Patton Boggs LLP 2006 - Present
Georgetown University Law Center 1992 - 2002
George Washington University 1986 - 1996
Federal Energy Regulatory Commission 1980 - 1982
US Securities and Exchange Commission 1964 - 1980
Education
Georgetown University Law Center 1965 — 1967
LLM, Law
New York University School of Law 1961 — 1964
LLB, Law
City University of New York City College 1957 — 1961
Bachelor of Arts, Philosophly
Wedge Management / Housing and Community Services Inc. August 2012 - Present
Families Forward 2008 - Present
Quantum Partners November 2009 - August 2012
Allen, Haight & Monaghan LLP 2009 - 2010
McGladrey & Pullen January 2007 - January 2009
US Securities and Exchange Commission January 2003 - January 2007
The Irvine Company October 2000 - April 2002
Paz & Associates 1997 - 2000
Ernst & Young 1983 - 1997
Kenneth Leventhal & Company 1983 - 1995
Skills
Litigation Support, GAAP, Start-ups, Due Diligence, Financial Analysis, Financial Reporting, Real Estate, Accounting, Real Estate Economics, Asset Managment, Mergers, Valuation, Portfolio Management, Mergers & Acquisitions, Asset Management, Auditing, Corporate Governance, Finance, Management, CPA, Budgets, Forecasting, Cash Management, Financial Statements, Banking, Financial Audits, Negotiation, Accounts Payable, Sarbanes-Oxley Act, Internal Controls, Financial Accounting, Credit, Accounts Receivable, Cash Flow, SEC filings, Managerial Finance, Forensic Accounting, Internal Audit, SEC Filings
Education
CBC Wise Counsel Class 2012 — 2012
California State University-Long Beach - College of Business Administration 1977 — 1979
B.S. in Business Administration, Emphasis in Accounting
Berean High
CBC Men's Quest Group
Veterans Benefits Administration August 2012 - Present
AMI Consulting August 2004 - Present
Veterans Benefits Adminstration October 2014 - 2015
US Securities and Exchange Commission December 2009 - August 2012
First American Title July 1998 - March 2009
National Association of Criminal Defense Lawyers June 1997 - June 1998
Embassy of Israel August 1991 - August 1997
Department of Justice, Bureau of Prisons 1996 - 1996
Skills
Program Management, Legal Writing, Policy Analysis, Government, Leadership, Market Research, Legal Research, Legislation, Legal Compliance, Legal Documents, Strategic Communications, Internal Communications, Banking, Customer Service, Corporate Finance, Consulting, Claims Management, Claims Investigations, Investigation, Policy, Mortgage Lending, Commercial Lending, Title Insurance, Title Opinions, Real Estate Transactions, Commercial Real Estate, Finance, Multi Tasking, Multicultural, Leadership Development, Criminal Investigations, Criminal Defense, International Business, Contract Negotiation, Leases, Deeds, Deed in Lieu, Trust Deeds, Politics
Education
University of Maryland School of Law 1994 — 1997
JD
Brown University 1985 — 1989
BA, Poly Sci, Sociology, Anthropology
Holton-Arms
HS Diploma
Holton-Arms
US Securities and Exchange Commission 1999 - 2011
Office of Management and Budget January 1991 - July 1999
Skills
Talent Management, Recruitments, Strategic Planning, Process Improvement, Executive Search, Management, Human Resources, Personnel Management, Employee Engagement, Employee Relations
Education
Virginia Tech 1978 — 1980
Graduate work (2 years), Industrial and Organizational Psychology
Clemson University 1974 — 1978
Bachelor of Arts (B.A.), Psychology and Business
Hamlin Capital Management, LLC July 2015 - Present
Satovsky Asset Management February 2013 - June 2015
Satovsky Asset Management August 2012 - February 2013
US Securities and Exchange Commission January 2012 - April 2012
Robbins Geller Rudman & Dowd LLP June 2011 - July 2011
Financial Industry Regulatory Authority September 2010 - May 2011
U.S. District Court (S.D.N.Y.) June 2010 - August 2010
Skills
Legal Research, Legal Writing, Securities Regulation, Westlaw, Litigation, Corporate Law, Civil Litigation, Securities, Securities Litigation, Investment Company Act, FINRA, Investment Advisers Act, Equity Research, Portfolio Management, Capital Markets, Analysis, Asset Allocation, Correlation Analysis, Monte Carlo modeling, Asset Management, Hedge Funds, Investments, Equities, Bloomberg, Due Diligence, Corporate Governance, Private Equity, Legal Compliance
Education
Brooklyn Law School 2009 — 2012
JD cum laude, Certificate in Business Law
East Brunswick High School
Penn State University
Bachelor of Arts, Philosophy
Weil, Gotshal & Manges LLP February 2015 - Present
Berdon LLP August 2013 - August 2014
United States Attorney's Office June 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
Brooklyn Law School Consumer Counseling and Bankruptcy Clinic September 2011 - December 2011
Office of the Attorney General of New Jersey – Bureau of Securities May 2011 - August 2011
PwC August 2008 - March 2010
Skills
Certified Public..., Legal Research, Legal Writing, Accounting, Tax Law
Education
New York University School of Law 2013 — 2015
Master of Laws (LLM), Taxation
Brooklyn Law School 2010 — 2013
Doctor of Law (J.D.), Taxation, cum laude
The George Washington University 2004 — 2008
Bachelor's degree, Accounting, cum laude
Marco Polo New World April 2013 - Present
Terra Futuros / Finamex New York July 2009 - April 2013
Marco Polo Network March 2007 - June 2009
Lava Trading Inc March 2005 - March 2007
Philadelphia Stock Exchange February 2003 - March 2005
Sonic Financial Technologies / Sonic Trading August 2000 - August 2003
US Securities and Exchange Commission July 1996 - July 2000
Skills
Electronic Trading, Trading Systems, Trading, Equities, Derivatives, Series 7, Market Data, High Frequency Trading, Financial Modeling, Risk Management, Equity Derivatives, Proprietary Trading, Options, Hedge Funds, Commodity, Fixed Income, Asset Managment, Financial Markets, Investment Banking, Equity Trading, Alternative Investments, Bloomberg, Market Structure, Program Trading, Trading Strategies, Securities, Buy-side, Capital Markets, Emerging Markets, Alternative Trading..., ECN, Futures, Co-location, Market Making, Asset Management, Prime Brokerage, FX Options, Series 63, FX trading, ETFs, Low Latency, Settlement, Portfolio Management, Exchange Connectivity, Investments, Currency, Hedging, Structured Products, Order Management, Electronic Trading...
Education
NYU Stern School of Business 1996 — 1998
City University of New York-Brooklyn College 1994 — 1996
Latham & Watkins LLP May 2015 - October 2015
Blank Rome LLP September 2012 - May 2015
US Securities and Exchange Commission September 2011 - April 2012
Education
Brooklyn Law School 2009 — 2012
J.D., Magna Cum Laude
Loyola Marymount University 2005 — 2009
B.A., Cum Laude, Political Science
Financial Industry Regulatory Authority June 2014 - Present
US Securities and Exchange Commission (The Leading Niche) March 2014 - June 2014
PwC (Randstad US) November 2013 - March 2014
US Securities and Exchange Commission September 2012 - May 2013
Skills
Auditing, Financial Risk, Internal Audit, AML, Risk Assessment, Accounting, Analysis, Research, Finance, Microsoft Excel, Securities Regulation, Databases, Due Diligence, OFAC, Fraud, Financial Analysis, SEC filings, Financial Reporting, Internal Controls, Securities, Risk Management, Investments, Data Analysis, Financial Services, Financial Statements, GAAP, Bloomberg, Anti Money Laundering, Fraud Detection, SEC
Education
City University of New York-Brooklyn College 2014 — 2016
Master of Science (M.S.), Business Economics/Global Finance
City University of New York-Hunter College 2011 — 2012
Bachelor of Science (B.S.), Accounting
US Securities and Exchange Commission November 2012 - Present
US Securities and Exchange Commission 2007 - November 2012
Boston Bar Association 2008 - 2011
Foley Hoag LLP September 1999 - September 2007
Norfolk County District Attorney's Office 2004 - 2004
Legal Advocacy & Resource Center November 1998 - February 1999
Foley Hoag & Eliot LLP May 1998 - August 1998
Hon. Reginald C. Lindsay November 1997 - February 1998
United States Attorney's Office for the District of Rhode Island May 1997 - August 1997
Skills
Enforcement, Securities Litigation, Investigations, Litigation, Civil Litigation, Criminal Law, Securities, Disputes, Legal Research, Securities Law, Government, Dispute
Education
Northeastern University School of Law 1996 — 1999
JD, Law
Brown University 1992 — 1996
A.B., Public Policy and American Institutions
Valley Stream Central High School 1989 — 1992
New York State Regents Diploma
KPMG US October 2009 - Present
KPMG October 2006 - September 2009
KPMG US June 2000 - September 2006
KPMG US November 1999 - June 2000
US Securities and Exchange Commission September 1997 - September 1999
KPMG US January 1994 - September 1997
Skills
Technical Accounting, SEC reporting, US GAAP, IFRS, Internal Controls, SEC filings, Accounting, Revenue Recognition, Big 4, CPA, External Audit, GAAP, Sarbanes-Oxley Act, Corporate Finance, Assurance, Consolidation
Education
California Polytechnic State University-San Luis Obispo 1989 — 1993
BS, Accounting
Morgan Stanley Smith Barney July 2006 - Present
Lewitas & Associates, PC January 2000 - July 2006
EVEREN Securities, Inc. February 1997 - December 1999
US Securities and Exchange Commission August 1991 - February 1997
Skills
Litigation Management, Securities Litigation, Litigation, Commercial Litigation, Corporate Governance, Securities, Securities Regulation, Corporate Law, FINRA, Capital Markets, Civil Litigation, Due Diligence, Legal Research, Legal Writing
Education
University of Chicago GSB 2003 — 2006
MBA, Finance, Accounting
Chicago-Kent College of Law, Illinois Institute of Technology 1988 — 1991
JD, Law
Michigan State University 1983 — 1988
B.A., Advertising
University of Illinois system July 2015 - Present
United States Attorney's Office July 2015 - Present
United States Attorney's Office November 2014 - July 2015
US Securities and Exchange Commission August 2013 - December 2013
City Colleges of Chicago May 2013 - December 2013
United States Marine Corps April 2011 - May 2013
United States Marine Corps January 2010 - March 2011
United States Marine Corps October 2008 - December 2009
United States Marine Corps February 2005 - October 2008
Skills
Time Management, Leadership, Public Relations, Team Leadership, Windows, Social Networking, Command, Navy, Data Analysis, Logistics, Military, Analysis, Sales, Budgets, Administration, Management, Security Clearance, Leadership Development, Public Speaking, Strategic Planning, Government
Education
University of Illinois at Chicago 2013 — 2017
Bachelor's degree, Political Science, Senior
City Colleges of Chicago-Kennedy-King College 2012 — 2013
Associate's degree, Political Science and Government
Pepper Hamilton LLP May 2015 - Present
King and Spalding, LLP January 2010 - April 2015
US Securities and Exchange Commission January 2009 - April 2009
Presidio 1999 - 2006
CIT 1996 - 1999
Atlanta Committee for the Olympic Games 1996 - 1996
Skills
Credit, Banking, Excel, Microsoft Office, Commercial Lending, Asset Based Lending, Corporate Lending, Secured Lending, Leasing, Credit Analysis, Corporate Finance, Corporate Law, Public Speaking, Contract Negotiations, Contract Negotiation, Document Drafting, Secured Transactions, Transactional Law, Contract Writing, Due Diligence, Legal Writing, Finance, Microsoft Excel, Legal Research, Loans, Management, Secured Financing, Mergers & Acquisitions, Leadership, Real Estate
Education
Emory University School of Law 2006 — 2009
JD, Order of the Coif, with Honors
Temple University 1991 — 1995
MA, Art History, Tyler School of Art
Colgate University 1987 — 1991
BA, Art History
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Financial Industry Regulatory Authority (FINRA) October 2013 - August 2015
US Securities and Exchange Commission January 2013 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
The Spencer Law Firm July 2011 - December 2011
Kaplan Test Prep September 2009 - August 2010
C.K. Cooper & Company May 2007 - September 2008
Oyster Capital Management May 2006 - December 2006
Skills
Legal Research, Legal Writing, PowerPoint, Corporate Finance, Litigation, Corporate Law, Securities Regulation, LexisNexis, Corporate Governance, Westlaw
Education
University of San Diego School of Law 2010 — 2013
Doctor of Law (J.D.), Law
University of Notre Dame - Mendoza College of Business 2005 — 2007
Master of Business Administration (M.B.A.), Banking, Corporate, Finance, and Securities Law
The University of Hong Kong 2004 — 2005
Master's degree, Linguistics
Carleton College 1999 — 2003
Bachelor of Arts (B.A.), History
United States District Court - Southern District of Indiana May 2014 - August 2014
PwC September 2009 - August 2013
US Securities and Exchange Commission June 2008 - August 2008
GrafTech International 2006 - 2006
GrafTech International 2006 - 2006
Skills
Assurance, Internal Controls, External Audit, US GAAP, Auditing, IFRS, GAAP, SEC filings, Financial Reporting, CPA, Big 4, Sarbanes-Oxley Act, Financial Accounting, Accounting, Financial Analysis
Education
Indiana University Maurer School of Law 2013 — 2016
Case Western Reserve University - Weatherhead School of Management 2008 — 2009
Master's degree, Accountancy
Case Western Reserve University 2004 — 2008
Bachelor of Science (BS), Accounting
TroyGould PC 1987 - Present
US Securities and Exchange Commission 1983 - 1987
Skills
Bankruptcy, Litigation, Corporate Law, Due Diligence, Financial Services
Education
USC Gould School of Law
J.D.
California State University-Long Beach
B.S.
SEC November 2013 - Present
US Securities and Exchange Commission November 2013 - Present
Skills
Team Leadership, Project Management, Program Management, Process Improvement, Microsoft Office, Change Management, Business Analysis, Access, Analysis, Windows
Education
Capella University 2013 — 2016
Master's degree, Management Information Systems, General
ITT Technical Institute-Atlanta 2009 — 2013
Bachelor's degree, Criminal Justice
Fisher & Kong LLP January 2012 - Present
Kilpatrick Townsend & Stockton LLP October 2010 - May 2011
Bell, Rosenberg & Hughes LLP February 2002 - September 2010
US Securities and Exchange Commission June 2001 - August 2001
UC Hastings College of the Law 2000 - 2001
Hawaii State Judiciary: Office of Disciplinary Counsel June 1999 - August 1999
Hawaii State Judiciary: Office of Disciplinary Counsel June 1998 - August 1998
Skills
Trial Experience, Alternative Dispute..., Legal Writing, Construction Law, Arbitration, Commercial Litigation, Civil Litigation, Dispute Resolution, Litigation, Mediation, Appeals, Product Liability, Legal Research, Dispute, Motions, Torts, Corporate Law, Employment Law, Insurance Law, Intellectual Property, Courts, Personal Injury, Trials
Education
University of California, Hastings College of the Law 1999 — 2002
J.D., Law
Brown University 1995 — 1999
B.A., Political Science, Philosophy
Kamehameha Schools 1991 — 1995
High School
Orrick, Herrington & Sutcliffe LLP October 2004 - Present
US Securities and Exchange Commission September 2000 - September 2004
Skills
Securities Regulation, Securities Litigation, Litigation, Commercial Litigation, Class Actions, Civil Litigation, Legal Writing, Corporate Governance, Corporate Law, Trials, Trade Secrets, Appeals, Intellectual Property, Legal Research, Privacy Law, Arbitration, Licensing, Competition Law, Patent Litigation, White Collar Criminal...
Education
Harvard Law School 1978 — 1981
J.D.
Brown University 1974 — 1978
A.B., History
US Securities and Exchange Commission January 2014 - May 2014
Wood, Smith, Henning & Berman June 2007 - August 2011
Kunz Plitt Hyland & Demlong May 2005 - April 2007
Meyers McConnell Reisz & Siderman August 2002 - September 2004
Quisenberry & Kabateck 1999 - 2002
Motorola Solutions 1998 - 1999
Skills
Litigation, Commercial Litigation, Civil Litigation, Legal Research, Arbitration, Legal Writing, Mediation, Torts, Securities Regulation, Intellectual Property, Construction Law, Defense, General Liability, Insurance, Disputes, Securities Litigation, Equity Derivatives, Derivatives Trading, Futures Trading, Alternative Dispute..., Corporate Law, Dispute, Depositions, Legal Issues, Legal Liability, Licensing, Trials
Education
The George Washington University Law School 2013 — 2014
Master of Laws (LL.M.), Business and Finance Law
Georgetown University Law Center 2013 — 2013
California Western School of Law 1994 — 1997
J.D., Law
University of Illinois at Urbana-Champaign 1990 — 1994
B.S., Psychology, English
William Fremd High School 1985 — 1989
High School Diploma
Georgetown University Law Center
US Securities and Exchange Commission August 2012 - Present
Thomson Reuters June 2011 - September 2011
Cisco Systems June 2007 - September 2009
Qualcomm June 2006 - June 2007
Intel May 2003 - April 2006
ARM November 1998 - November 2000
Mentor Graphics April 1996 - November 1998
Skills
FPGA, Quantitative Finance, Semiconductors, ASIC, Computer Architecture, Data Science, Computer Networking, Market Structure, Business Strategy, Trading, Python, Equities, Derivatives, Fixed Income, Management, Data Analysis, Finance, Analysis, Financial Modeling
Education
University of California, Los Angeles - The Anderson School of Management 2011 — 2011
Master of Financial Engineering
Carnegie Mellon University - Tepper School of Business 2007 — 2010
MBA With Distinction (Finance, Marketing & Strategy)
Indian Institute of Technology, Roorkee 1991 — 1995
Bachelor of Engineering (BEng), Electronics & Communications
Hans Raj Model School, New Delhi 1985 — 1991
High School
Bressler, Amery & Ross, P.C. August 2013 - Present
Morgan, Lewis & Bockius LLP May 2007 - August 2013
Fowler White Burnett September 2004 - May 2007
Epstein Becker & Green, P.C. September 1996 - January 1998
US Securities and Exchange Commission September 1995 - July 1996
Education
Brooklyn Law School 1992 — 1995
JD
Case Western Reserve University - Weatherhead School of Management 1990 — 1992
MBA, Finance
US Securities and Exchange Commission July 2012 - Present
Department of Health and Human Services/ Office of Inspector General October 2003 - July 2012
United States Marine Corps June 1999 - July 2003
Skills
Active Directory, Windows Server, Troubleshooting, Computer Hardware, Software Installation, TCP/IP, Security+, Microsoft Exchange, Blackberry Enterprise..., Windows 7, Security, Disaster Recovery, Customer Service, Servers, Microsoft Office, Citrix, SharePoint, XP, CISSP, System Administration, Microsoft Certified..., VMware, Network Administration, VMware ESX, DNS, Computer Security
Education
Capella University 2013 — 2015
Master of Science (MS), Information Technology
University of Massachusetts Boston 2006 — 2009
MSIS, Information Technology
Rainbow Apparel Co June 2015 - Present
Rainbow Apparel Co March 2014 - Present
New York City Department of Parks, Special Counsel Office January 2014 - March 2014
Horwitz, Horwitz & Paradis, Attorneys at Law August 2013 - December 2013
Horwitz, Horwitz & Paradis, Attorneys at Law September 2012 - August 2013
Horwitz, Horwitz & Paradis, Attorneys at Law May 2012 - September 2012
US Securities and Exchange Commission September 2011 - May 2012
NYS Supreme Court, New York County, Civil Term June 2011 - August 2011
Office of New York State Assemblymember Brian Kavanagh January 2011 - May 2011
The Law Office of William McCulloh June 2009 - September 2009
Education
Brooklyn Law School 2010 — 2013
Juris Doctor, cum laude, Certificate in Business Law (With Distinction)
State University of New York at Stony Brook 2007 — 2010
Bachelor of Science, Business Management: Finance
PwC September 2013 - Present
PwC June 2012 - May 2013
US Securities and Exchange Commission January 2012 - April 2012
Americans for Financial Reform September 2011 - November 2011
City of Chicago, Department of Buildings May 2011 - July 2011
Skills
Financial Regulation, Banking Law, Dodd-Frank, Resolution Planning, Bankruptcy, Derivatives Regulation, Corporate Finance, Corporate Law, Data Analysis, Legal Research, Policy Analysis, Legal Compliance, Finance, Capital Markets, Financial Services, Financial Risk, Securities Regulation, Due Diligence
Education
The George Washington University Law School 2011 — 2013
Doctor of Law (JD)
Carnegie Mellon University 2001 — 2006
Bachelor of Architecture
pricewaterhouseCoopers, LLP September 2010 - Present
Doheny Asset Management January 2008 - July 2010
Doheny Asset Management December 2002 - July 2010
Doheny Asset Management August 2002 - July 2010
PwC January 1998 - August 2000
US Securities and Exchange Commission November 1992 - December 1997
Skills
Financial Analysis, Equity Valuation, Equity Research, Portfolio Management, Due Diligence, SEC filings, Fixed Income Analysis, Securities Regulation, Asset Managment, Asset Allocation, Project Management, Alternative Investments, Equities, Asset Management, Hedge Funds, Investments, Financial Services, Financial Modeling, Private Equity, Management, Valuation, Mutual Funds, Capital Markets, Accounting
Education
University of Southern California 2000 — 2002
Master of Business Administration (M.B.A.), Business Administration and Management, General
California State University-Fresno 1987 — 1992
Bachelor of Science (BS), Finance, General
Astral Legal Solutions June 2013 - Present
CENZA October 2006 - June 2013
Capitol LLC February 2006 - August 2006
Bowne April 2005 - January 2006
US Securities and Exchange Commission November 2004 - April 2005
IKON 1997 - 2003
Skills
Analysis, Management, IPRO, Document Review, Litigation Support, Project Management, Software Documentation, Document Management, Litigation, Access, Records Management, Legal Assistance
Education
Center for Advanced Legal Studies 2011 — 2012
Associate of Arts and Sciences (AAS), Legal Assistant/Paralegal
Bates Group LLC May 2013 - Present
Independent Law Practitioner June 2011 - Present
Schulte Roth & Zabel LLP October 2009 - June 2011
Mayer Brown LLP July 2005 - October 2009
Crowell & Moring LLP October 2003 - July 2005
Kirkpatrick & Lockhart September 2002 - October 2003
Crowell & Moring LLP September 2001 - September 2002
Painewebber, Inc. September 1996 - September 1998
US Securities and Exchange Commission 1990 - 1996
Stroock December 1985 - September 1990
Skills
Securities Regulation, Securities, Litigation, Hedge Funds, FCPA, Internal Investigations, FINRA, Financial Services, Civil Litigation, Securities Litigation, Corporate Governance, SEC, Broker-Dealer, Legal Research, White Collar Criminal..., Corporate Law, Fraud, AML, Trading, Capital Markets, Arbitration, Investment Banking, Commercial Litigation, Prime Brokerage, Financial Regulation, Intellectual Property, Legal Advice, Banking Law
Education
Brooklyn Law School 1982 — 1985
Juris Doctor
New York University 1978 — 1982
BA, Economics, Classical Civilization
U.S. Securities and Exchange Commission March 2015 - Present
US Securities and Exchange Commission August 2011 - February 2015
US Securities and Exchange Commission October 2009 - July 2011
L-3 Communications February 2009 - October 2009
Fannie Mae January 2005 - January 2009
Westinghouse/Curtiss-Wright March 2000 - July 2004
Step3 Consulting September 1998 - February 2000
United States Navy August 1988 - August 1994
Skills
Program Management, Business Process..., Project Management, Management, Information Technology, Business Development, Information Security, Risk Management, Business Analysis, Process Improvement, SDLC, Requirements Analysis, Data Analysis, ITIL, Leadership, IT Strategy, Six Sigma, Change Management, Strategic Planning, Analysis, PMP, Integration, Vendor Management, Security, Governance, Business Intelligence, Consulting, Project Portfolio..., PMO, Management Consulting, Software Project..., Business Process, Enterprise Architecture, Business Process..., Strategy, Cross-functional Team..., Requirements Gathering, IT Management, SharePoint, CRM, MS Project, Analytics, Business Transformation, Disaster Recovery
Education
Carnegie Mellon University 2001 — 2002
MS, Information Technology Management
University of South Carolina - Darla Moore School of Business 1997 — 1998
International MBA, Finance
WU (Vienna University of Economics and Business) 1997 — 1998
MBA, Finance
State University of New York at New Paltz 1994 — 1997
BS, International Business and Economics
Tessera Intellectual Property Corp. July 2011 - January 2013
Unity Semiconductor November 2009 - July 2011
SanDisk Corporation May 2003 - November 2009
Brobeck Phleger & Harrison LLP September 1999 - January 2003
Skadden, Arps, Slate, Meagher & Flom June 1995 - September 1999
US Securities and Exchange Commission May 1993 - May 1995
Ernst & Young May 1987 - September 1990
Skills
Mergers, Intellectual Property, Strategic Partnerships, IPO, Joint Ventures
Education
Saint John's University 1990 — 1993
JD
California State University-Northridge 1983 — 1988
BS
Korn Ferry December 2014 - Present
CTPartners April 2013 - November 2014
Heidrick & Struggles February 2011 - April 2013
Goldman Sachs & Co. May 2005 - February 2011
Davis Polk & Wardwell June 2002 - April 2005
United States Senate 2001 - 2001
US Securities and Exchange Commission 2001 - 2001
ACI Capital Group 2001 - 2001
Alliance Capital Management 2000 - 2000
Skills
Private Equity, Mergers & Acquisitions, Investment Banking, Hedge Funds, Strategy, Capital Markets, Finance, Asset Management
Education
Colgate University
Horace Greeley High School
DCM Ventures July 2007 - Present
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP August 1999 - June 2007
US Securities and Exchange Commission June 1997 - August 1997
Ernst & Young, LLP September 1991 - June 1996
Skills
Venture Capital, Private Equity, Mergers & Acquisitions, Start-ups, Entrepreneurship, Corporate Development, Corporate Finance, Business Strategy, M&A experience, IPO, Strategic Planning, Contract Negotiation, Investments
Education
Georgetown University Law Center 1996 — 1999
JD
California Polytechnic State University-San Luis Obispo 1988 — 1991
BS, Business Administration
Aksia June 2015 - Present
DLA Piper March 2015 - June 2015
Georgetown University Law Center November 2014 - December 2014
US Securities and Exchange Commission January 2014 - April 2014
Santander Asset Management August 2010 - July 2012
Santander Asset Management November 2007 - April 2009
Clifford Chance July 2007 - August 2007
Linklaters January 2007 - May 2007
Fragomen, Del Rey, Bernsen & Loewy March 2005 - August 2006
Skills
Investments, Securities, Hedge Funds, Corporate Law, Due Diligence, Asset Management, Risk Management, Equities, Real Estate, Financial Institutions, Contract Negotiation, Compliance, Litigation, Derivatives, Financial Regulation
Education
Georgetown University Law Center 2013 — 2014
Master of Laws (LL.M.), Securities and Financial Regulation
California Western School of Law 1998 — 2001
Doctor of Law (J.D.)
San Diego State University-California State University 1995 — 1998
BA, Public Administration
Design Institute of San Diego 1991 — 1993
Bachelor of Fine Arts (B.F.A.), Interior Design
Skullcandy Inc. July 2013 - Present
Tilly's, Inc. March 2008 - October 2012
ECC Capital Corp. May 2007 - March 2008
Private Mortgage Lender November 2005 - May 2007
Aames Investment Corporation November 2001 - November 2005
Latham & Watkins February 2000 - November 2001
US Securities and Exchange Commission August 1997 - February 2000
Skills
Corporate Governance, SEC filings, Mergers, Securities Offerings, Sarbanes-Oxley Act, Securities Regulation, Corporate Development, Corporate Law, Direct to Consumer, Real Estate, Real Estate Transactions, Online Retail, Retail, Retail Marketing
Education
University of Maryland 1998 — 1999
Accounting
Pepperdine University School of Law 1994 — 1997
Juris Doctor, Law, Cum Laude
California State Polytechnic University-Pomona 1990 — 1994
Bachelor of Science (B.S.), Economics
Abbott Capital Management, LLC December 2014 - Present
Permal Group September 2003 - November 2014
Dominick and Dominick Advisors LLC March 2000 - September 2003
US Securities and Exchange Commission January 1994 - March 2000
Skills
Fund Of Funds, Hedge Funds, Alternative Investments, Investment Advisory, Securities, Asset Management, Private Equity, Due Diligence
Education
City University of New York-Brooklyn College 1990 — 1993
BS, Accounting, Summa Cum Laude
High School
High School
LDR Associates, LLC November 2011 - Present
Harris Corporation May 2011 - August 2013
Hanger Orthopedic Group April 2007 - July 2010
Hanger Orthopedic Group May 2003 - April 2007
Mobile Satellite Ventures (now SkyTerra) January 2001 - May 2003
US Securities and Exchange Commission 1999 - 2000
PricewaterhouseCoopers 1996 - 1999
Skills
Financial Modeling, Management, Corporate Finance, Financial Reporting, Financial Analysis, Analysis, Strategy, Budgets, Internal Controls, Accounting, Business Analysis, Sarbanes-Oxley Act
Education
California State University-Sacramento 1991 — 1996
BS, Business Admin - Accounting
Royal Bank of Canada May 2011 - Present
New York City Environmental Control Board March 2012 - Present
Goldman Sachs August 2009 - June 2011
Barclays Capital September 2008 - August 2009
Lehman Brothers August 2002 - September 2008
Bloomberg Tradebook 2001 - 2002
Securities and Exchange Commission 2000 - 2001
US Securities and Exchange Commission 1998 - 2001
Skills
Capital Markets, Derivatives, Electronic Trading, Due Diligence, Equities, Financial Regulation, Fixed Income, Securities, Securities Regulation, Structured Finance, Structured Products, Trading Systems
Education
Brooklyn Law School 1994 — 1998
JD, Law
Cornell University 1986 — 1990
Bachelor of Science, Industrial and Labor Relations
Cascades Ventures, Inc. 2005 - Present
TechSearch LLC and Global Patent Holdings LLC 1998 - 2005
Jenner & Block 1979 - 1996
Kellogg School of Management 1980 - 1983
Barnett, Alagia & Carey 1975 - 1979
US Securities and Exchange Commission 1973 - 1975
Skills
Licensing, Intellectual Property, Venture Capital, Patents, Patent Litigation, Trade Secrets, Patent Prosecution, Entrepreneurship, Securities Regulation, Commercial Litigation
Education
Georgetown University Law Center 1973 — 1975
Masters in Law, Taxation
Case Western Reserve University School of Law 1970 — 1973
JD
Oberlin College 1965 — 1969
BA, Liberal Arts
Public Company Accounting Oversight Board (PCAOB) January 2013 - Present
US Securities and Exchange Commission June 2008 - December 2012
Chadbourne & Parke LLP September 2002 - June 2008
New York City Bar Association 2004 - 2008
Davis Polk & Wardwell September 1996 - September 2002
Hon. Emilio M. Garza, U.S. Court of Appeals, 5th Circuit August 1995 - August 1996
Skills
Securities Litigation, Commercial Litigation, Appeals, Securities Law, Civil Litigation, Internal Investigations, Securities Regulation, Litigation, Arbitration, Private Investigations, Enforcement, White Collar Criminal..., Class Actions
Education
University of Michigan Law School 1992 — 1994
JD, Law
Brown University 1985 — 1990
BA, American History
Happy Dog at the Euclid Tavern October 2014 - Present
The Happy Dog August 2008 - Present
Bank of America January 2009 - August 2010
Merrill Lynch August 2007 - December 2008
Citigroup 2005 - 2007
US Securities and Exchange Commission September 2001 - October 2005
SG Cowen August 1994 - May 2000
Baker Company, Incorporated October 1991 - May 1994
Skills
Policy, Public Speaking, Securities, Contract Negotiation, Legal Research, Risk Management, Management, Strategic Planning, Leadership, Marketing, Fundraising, Event Planning, Team Building, Sales, Social Media, Legal Writing
Education
Case Western Reserve University School of Law 1998 — 2001
JD, International Law and Legal Studies
Williams College 1987 — 1991
Bachelor of Arts (B.A.), American Studies
University School 1984 — 1987
Kopon Airdo, LLC June 2013 - September 2014
Chicago Kent College of Law January 2013 - May 2013
US Securities and Exchange Commission August 2012 - December 2012
Commodity Futures Trading Commission May 2012 - August 2012
Cook County State's Attorney's Office - Civil Division January 2012 - May 2012
Ballast Group August 2010 - December 2011
Circuit Court of Cook County May 2011 - August 2011
Ernst and Young March 2007 - August 2010
Ernst & Young May 2003 - March 2007
Skills
Due Diligence, Accounting, Financial Modeling, Financial Accounting, Budgets, Strategy, SEC filings, Valuation, Legal Writing, Management, Auditing, Tax, Legal Research, Real Estate, Microsoft Excel, Financial Statements, Spanish, legal, Legal Advice, Document Drafting, Negotiation, Banking
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2010 — 2013
Doctor of Law (JD), Cum Laude
University of Virginia 2003 — 2004
Masters of Accountancy
Indiana University - Kelley School of Business 1999 — 2003
Bachelor of Science, Finance
Lawrence Central High School 1996 — 1999
New Trier High School 1995 — 1996
US Securities and Exchange Commission April 2008 - Present
Sutherland Asbill & Brennan LLP July 1999 - February 2008
Arnold & Porter 1992 - 1998
Securities & Exchange Commission February 1995 - April 1996
Judge Hugh Bownes, U.S. Court of Appeals for the First Circuit September 1991 - August 1992
Skills
Securities Litigation, Securities Regulation, Litigation, Civil Litigation, Internal Investigations, Commercial Litigation, FCPA, White Collar Criminal..., Legal Research, Appeals, Class Actions, Securities, Corporate Governance
Education
Cornell Law School 1988 — 1991
Doctor of Law (JD), Litigation, Magna Cum Laude
Harvard University 1984 — 1988
Bachelor of Arts (B.A.), Political Science and Government, Cum Laude
Choate Rosemary Hall 1982 — 1984
Ramaz Upper School 1980 — 1982
North Shore Hebrew Academy 1979 — 1980
Bloomberg July 2013 - Present
Bloomberg LP August 2010 - Present
Citigroup July 2004 - August 2010
US Securities and Exchange Commission January 1998 - May 2004
Skills
Securities Regulation, Financial Services, Capital Markets, OTC Derivatives, Swaps, Equities, Securities, Securities Lending, AML, Hedge Funds, Asset Management, Bloomberg, Mutual Funds, FINRA, Series 7, Financial Regulation, Fixed Income, Series 24, KYC, Alternative Investments, Electronic Trading, Equity Trading, Investment Banking, Due Diligence, Derivatives, Trading, Anti Money Laundering
Education
Western New England University School of Law 1989 — 1992
J.D., Law
Colby College 1982 — 1987
B.A., Government/History
US Securities and Exchange Commission November 2007 - Present
U.S. Securities and Exchange Commission November 2007 - November 2008
Wilmer Cutler Pickering Hale and Dorr LLP 2001 - 2007
United States Department of Justice 1998 - 2001
Education
University of Michigan Law School 1994 — 1997
Brown University 1987 — 1991
A.B., History
U.S. Securities and Exchange Commission June 2015 - Present
US Securities and Exchange Commission April 2013 - June 2015
US Securities and Exchange Commission February 2010 - April 2013
US Securities and Exchange Commission November 2008 - November 2009
Duval & Stachenfeld LLP September 2007 - October 2008
Skills
Legal Research, Administrative Law, Securities Regulation, Securities, Litigation, Civil Litigation, Courts, Corporate Governance, Westlaw
Education
St. John's University 2004 — 2007
Juris Doctor (J.D.)
Bucknell University 1999 — 2003
Bachelor's Degree
Law Offices of Katya Sverdlov December 2014 - Present
N.C. Caller P.C. February 2013 - Present
Shapiro & Associates, PLLC December 2012 - February 2013
New York County District Attorney's Office September 2011 - December 2011
US Securities and Exchange Commission January 2011 - July 2011
Children's Law Center of New York September 2010 - April 2011
Honorable Nina Gershon, Senior Judge, U.S. District Court, E.D.N.Y. May 2010 - July 2010
Financial Guaranty Insurance Company April 2005 - July 2009
Bear Stearns 2004 - 2005
Ambac 1999 - 2004
Skills
Estate Planning, Legal Advice, Preparation of Wills, Advance Directives, Elder Law, Legal Research, Legal Documents, Legal Assistance, Asset Protection, Charitable Trusts, Probate Law, Special Needs Trusts, Structured Finance, Risk Management, Capital Markets, Asset Management, Investment Banking, Securities, Securitization, Portfolio Management, Securities Regulation, ABS, Credit, Valuation, Due Diligence
Education
Brooklyn Law School 2009 — 2012
Juris Doctor, Banking, Corporate, Finance, and Securities Law
Cornell University 1995 — 1996
Bachelor of Arts, Economics
Northern Trust Global Investments July 2011 - Present
ABN AMRO Bank N.V. November 2010 - July 2011
ABN AMRO Clearing Chicago LLC April 2009 - July 2011
Bank of America October 2007 - December 2008
LaSalle Bank/ ABN AMRO 1997 - 2007
US Securities and Exchange Commission May 1995 - October 1997
Skills
Securities, AML, Financial Services, Performance Management, Banking, Capital Markets, Asset Management, Compliance, Risk Management, Investments, Operational Risk, Insurance, Financial Risk, Derivatives, Management, Hedge Funds, Anti Money Laundering
Education
DePaul University College of Law 1991 — 1994
JD, with honors, Law
Bryant University
BSBA, magna cum laude, Computer Information Systems
Kraft Foods Global, Inc. 1999 - 2008
Kraft Foods 1993 - 2008
US Securities and Exchange Commission 1991 - 1995
Education
UCLA Anderson School of Management 1995 — 1997
MBA
California State University, Fresno 1983 — 1988
BS, Business
LA City Board of Education October 2005 - Present
LAUSD March 2003 - October 2005
LAUSD April 2000 - March 2003
US Securities and Exchange Commission February 1995 - March 2000
Metropolitan Transportation Authority (MTA) 1992 - 1995
AMTRAK, Office of the Inspector General 1990 - 1992
Defense Contract Audit Agency 1989 - 1990
Cotton & Company, CPAs 1987 - 1989
Skills
Risk Assessment, Compliance, Budgeting, Internal Controls, Internal Audit, Government Contracting, Financial Analysis, Enterprise Risk..., Budgets, Auditing, GAAP, Program Management, Financial Reporting, Accounting, Government, Analysis, Policy, IT Audit, Risk Management, Fraud, CISA, Contract Management, Strategic Planning, Managerial Finance, Investigation, Assurance, Governance, External Audit, Leadership, Management, Finance, Financial Statements, Sarbanes-Oxley Act, Proposal Writing, Financial Risk, Business Process..., Contract Negotiation, Quality Auditing, US GAAP, Process Improvement, Procurement
Education
California State University-Los Angeles 1992 — 1994
MBA, Finance
University of Maryland University College 1984 — 1987
B.S., Accounting
US Securities and Exchange Commission March 2000 - Present
US Army Reserves January 1999 - November 2009
Investor's Business Daily 1997 - 1999
Skills
Certified Fraud Examiner, Financial Investigation, Securities, Compliance, Auditing, Interviewing Skills, Finance, Sales, Investments, Due Diligence, Risk Management, Internal Controls, Financial Analysis, Asset Managment, Litigation Preparation, Data Analysis, Training, Public Speaking, Planning, AML, Real Estate, Enforcement, Microsoft Excel, Mutual Funds, Valuation, Securities Regulation, Fraud, Litigation Support, Negotiation, SEC filings, Analysis, Accounting, SEC, Corporate Governance, FINRA, Fixed Income, Portfolio Management, Investment Advisory, GAAP, Outlook, Financial Accounting, Microsoft Word, Microsoft Access, Leadership, Strategic Planning
Education
California State University-Northridge 1991 — 1994
Bachelors, Finance (Cum Laude)
Ropes & Gray LLP October 2013 - Present
Massachusetts Supreme Judicial Court August 2012 - August 2013
Suffolk County District Attorney's Office November 2011 - March 2012
Ropes & Gray LLP May 2011 - July 2011
US Securities and Exchange Commission February 2011 - May 2011
U.S. District Court September 2010 - November 2010
Brody, Hardoon, Perkins & Kesten June 2009 - September 2009
The Monitor October 2006 - June 2009
The Virginian-Pilot 2006 - 2006
Brown Daily Herald November 2004 - November 2005
Education
Northeastern University School of Law 2009 — 2012
J.D.
Brown University 2002 — 2006
BA, Public Policy and American Institutions
US Securities and Exchange Commission August 2009 - Present
MF Global January 2005 - July 2009
US Securities and Exchange Commission June 2008 - August 2008
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2005 — 2009
Law, Law
Michigan State University 1995 — 1998
Finance
Michigan State University - The Eli Broad College of Business 1995 — 1998
Finance
Holland & Knight LLP October 2013 - Present
Holland & Knight LLP May 2012 - July 2012
UCLA School of Law September 2011 - May 2012
US Securities and Exchange Commission June 2011 - August 2011
Cornerstone Research 2007 - 2010
Claremont McKenna College January 2005 - May 2007
Claremont McKenna College January 2005 - December 2006
Deloitte & Touche June 2006 - August 2006
Claremont McKenna College February 2005 - May 2006
Hang Seng Bank June 2005 - August 2005
Skills
Analysis, Legal Research, Mergers & Acquisitions, Finance, Economics, Financial Modeling, Research, Data Analysis, Financial Analysis, Corporate Finance, Legal Writing, Valuation, Microsoft Excel, Private Equity
Education
UCLA School of Law 2010 — 2013
Doctor of Law (J.D.), Business Law
Claremont McKenna College 2003 — 2007
BA, Economics - Accounting
Groupe Ecole supérieure de Commerce de Dijon-Bourgogne 2005 — 2005
Study Abroad
Kalorama Partners, LLC April 2003 - Present
U.S. Securities & Exchange Commission 2001 - 2003
Fried, Frank, Harris, Shriver & Jacobson 1978 - 2001
Fried Frank 1978 - 2001
Fried Frank 1978 - 2001
Fried Frank 1978 - 2001
US Securities and Exchange Commission 1975 - 1978
U.S. Securities and Exchange Commission 1973 - 1975
U.S. Securities and Exchange Commission 1972 - 1973
Skills
Corporate Governance, Securities, Corporate Law, Mergers & Acquisitions, Litigation, Internal Investigations, Private Equity, Due Diligence, Commercial Litigation, Legal Research, Hedge Funds, Capital Markets, Securities Regulation, Arbitration, Private Placements, International Law, Joint Ventures, Corporate Finance, Civil Litigation, Legal Writing, Fraud, Privacy Law, Mergers, Private Investigations, IPO, Investments, Forensic Accounting, FCPA, Risk Management, Securities Litigation, Venture Capital
Education
St. John's University School of Law
LL.D (Hon.) (2002)
St. John's University School of Law 1965 — 1968
Juris Doctor (J.D.)
City University of New York-Brooklyn College 1961 — 1965
BA, Political Science, Urbanism
Grant Thornton LLP June 2005 - January 2015
US Securities and Exchange Commission August 2001 - January 2005
Education
Chicago-Kent College of Law, Illinois Institute of Technology 1998 — 2001
Doctor of Law (J.D.)
Univesity of Illinois Urbana-Champaign 1994 — 1998
Bachelor of Arts (B.A.), Economics
St. Ignatius College Prep
Financial Industry Regulatory Authority January 2011 - Present
US Securities and Exchange Commission 2011 - Present
Morrison & Foerster LLP August 2012 - September 2015
Law Offices of Norman Siegel June 2010 - December 2010
Storch, Amini and Munves August 2008 - August 2009
Dorsey & Whitney LLP 2007 - 2007
Education
Columbia University in the City of New York 2004 — 2008
B.A., Political Science
Brooklyn Law School
J.D., Legal Studies
Sullivan & Cromwell LLP April 2012 - Present
U.S. District Court, Eastern District of New York January 2011 - February 2012
Sullivan & Cromwell LLP November 2009 - January 2011
United States Attorney's Office August 2008 - November 2008
Sullivan & Cromwell LLP May 2008 - August 2008
US Securities and Exchange Commission January 2008 - April 2008
Lawyers For Children August 2007 - November 2007
Cravath, Swaine & Moore LLP September 2004 - August 2006
Education
Brooklyn Law School 2006 — 2009
University of Pennsylvania 2000 — 2004
B.A., Philosophy, Politics & Economics
Ascendant Compliance Management May 2007 - Present
National Regulatory Services May 1999 - May 2007
US Securities and Exchange Commission 1986 - 1999
Skills
Hedge Funds, Investment Advisory, FINRA, Due Diligence, Private Equity, Broker-Dealer, Securities Regulation, SEC, Securities, AML
Education
Fordham University 1984 — 1986
MBA, Finance
Central Connecticut State University 1979 — 1984
Bachelor of Science (BS), Finance
US Securities and Exchange Commission August 2013 - Present
Fried Frank May 2011 - June 2013
Linklaters September 2009 - April 2011
Commodity Futures Trading Commission June 2007 - August 2007
Nova Group Japan April 2004 - April 2006
Education
The George Washington University Law School 2006 — 2009
JD, With Honors, Law
Colby College 1999 — 2003
BA, Mathematics, Philosophy
Windward School 1993 — 1999
US Securities and Exchange Commission 2013 - Present
Winston & Strawn LLP 2008 - 2013
U.S. Court of Appeals for the Fifth Circuit 2007 - 2008
K12, Inc. 2003 - 2004
Skills
Litigation, Appeals, Intellectual Property, Class Actions, Trials, Competition Law, Legal Research, Legal Writing, Commercial Litigation, Civil Litigation, Patent Litigation, Securities Regulation, Securities Litigation, Motions, White Collar Criminal...
Education
Yale Law School 2004 — 2007
JD
Claremont McKenna College 1999 — 2003
BA, Philosophy, Politics, Economics
Department of Veterans Affairs, Center for Verification and Evaluations August 2015 - Present
Robert Half Legal (Venable LLP) July 2015 - August 2015
Winston & Strawn LLP May 2015 - June 2015
Lexolution placed to Sidley Austin January 2015 - March 2015
Lexis Nexis October 2014 - December 2014
Goodwin Procter LLP May 2014 - September 2014
Associated Renewable, Inc. October 2013 - March 2014
Anslow & Jaclin, LLP July 2013 - October 2013
US Securities and Exchange Commission December 2008 - June 2013
Chadbourne & Parke LLP June 2007 - July 2008
Skills
Corporate Finance, Mergers & Acquisitions, Corporate Governance, Corporate Law, Securities, Securities Regulation, Finance, Risk Management
Education
University of Michigan Law School 2000 — 2003
JD, Law
City University of New York City College 1995 — 1999
BA, Legal Studies, Political Science
Debbie Hechinger Consulting President and CEOBoardSourceOctober 2003 - May 2007
World Wildlife Fund 1994 - 2003
Office of the Comptroller of the Currency 1983 - 1987
US Securities and Exchange Commission 1974 - 1983
Education
Georgetown University Law Center 1972 — 1974
JD
Brown University 1968 — 1971
BA
Ballard Spahr LLP September 2014 - Present
Debevoise & Plimpton October 2011 - August 2014
University of Chicago Law School September 2008 - June 2011
Debevoise & Plimpton June 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Utah Federal Defender June 2008 - August 2008
Cravath, Swaine & Moore LLP 2006 - 2008
Skills
Legal Research, Securities Regulation
Education
University of Chicago 2008 — 2011
JD
Claremont McKenna College 2002 — 2006
BA, Psychology and Legal Studies
RHSM 1998 — 2002
US Securities and Exchange Commission 1998 - Present
US Securities and Exchange Commission 1997 - 1998
Teamor & Litchko 1992 - 1997
Skills
Securities Regulation, Litigation, Fraud, Securities, SEC, Securities Litigation, Financial Regulation
Education
Case Western Reserve University School of Law 1989 — 1992
JD
St. Mary's College of Maryland 1985 — 1989
BA
PwC September 2015 - Present
PwC December 2014 - April 2015
Brooklyn Law School Clinics August 2014 - December 2014
PwC June 2014 - August 2014
The United States District Court for the Eastern District of New York January 2014 - May 2014
US Securities and Exchange Commission September 2013 - November 2013
Malaysian Centre for Constitutionalism and Human Rights/ Chooi and Company June 2013 - September 2013
Mizuho Corporate Bank March 2010 - June 2013
Bank of Tokyo-Mitsubishi June 2008 - May 2010
Asian American Legal Defense and Education Fund January 2008 - June 2008
Skills
Research, Trade Finance, KYC, Voting Rights, compliance regulation, Marketing Strategy, Marketing Research, Equality Impact..., Financial Regulation, Economics, Banking, Legal Writing, Social Media, Microsoft Office, Dodd-Frank, Investment Advisers Act, Bloomberg Terminal, Legal Research, Nonprofits, Data Analysis, Microsoft Excel, PowerPoint, Due Diligence, Public Speaking
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (J.D.)
Macaulay Honors College at The City University of New York 2004 — 2008
B.A., Economics and Japanese studies (at Lehman College), Summa Cum Laude
Temple University Japan 2007 — 2007
Study Abroad
Flushing High School 2000 — 2004
Valedictorian
RBS Global Banking & Markets September 2004 - Present
UBS Investment Bank November 2000 - September 2004
PaineWebber May 1997 - November 2000
US Securities and Exchange Commission September 1992 - May 1997
Drexel Burnham Lambert August 1985 - June 1988
Skills
Securities, Securities Regulation, Hedge Funds, SEC, Dodd-Frank, Securities Litigation, Fraud, Financial Regulation, Securities Lending, Banking Law
Education
Brooklyn Law School 1989 — 1992
JD, Law
Union College 1981 — 1985
BA, History
Panda Mountain January 2011 - Present
EcoEZ April 2007 - March 2013
Counterpart International June 2011 - August 2011
US Securities and Exchange Commission 2006 - 2006
Marine Aquarium Council August 2000 - April 2004
Fauna & Flora International (FFI) April 1998 - November 1999
Counterpart International (CPI) December 1995 - January 1998
Verizon Internet Technology Solutions Division June 1997 - 1998
Australian Foundation for the Peoples of Asia and the Pacific (AFAP) January 1994 - November 1995
Foundation of the Peoples of the South Pacific, PNG (FSP/PNG), June 1989 - December 1993
Skills
Environmental Awareness, Proposal Writing, Sustainability, Community Development, Agriculture, Caring, EcoEnterprise..., Branding/Marketing, Technical and Best..., Fisheries Management, Community Outreach, Water, Program Management, Water Quality, Environmental Science, Ecology, Management, Capacity Building, Environmental Education, Conservation Issues, Biodiversity, Wildlife, Natural Resource..., Program Development, Nonprofits, Environmental..., GIS, Environmental Consulting, International..., Policy Analysis, NGOs, Sustainable Development, Grants, Sampling, Rural Development, Environmental Policy, Climate Change..., Environmental Impact..., Policy, Sustainable Agriculture, Corporate Social..., Environmental Issues, Forestry, Natural Resources, Waste Management, Africa, Social Entrepreneurship, Food Security, Government, Economic Development
Education
Cal Poly San Luis Obispo 1982 — 1982
Master of Science (MSc), International Agriculture, 3.84
California State University, Fresno
Bachelor of Science (BSc), Agriculture Science
Personal Capital July 2015 - Present
TD Ameritrade May 2014 - June 2015
US Securities and Exchange Commission December 2012 - May 2014
Morgan Stanley January 2005 - December 2012
Schiff Hardin LLP January 2003 - November 2004
Pillsbury Winthrop Shaw Pittman September 2001 - December 2002
Skills
Securities, Securities Regulation, Litigation, Corporate Law, Commercial Litigation, Legal Writing, Arbitration, Mediation, Trials, FINRA, Legal Research, Securities Litigation, Debate, Public Speaking, Investments, Courts, Licensing, Private Equity, Civil Litigation, Legal Compliance, Securities Exchange Act..., Legal Advice
Education
Columbia Law School 1998 — 2001
Doctor of Law (J.D.)
City University of New York City College 1994 — 1998
Bachelor's degree, Liberal Arts and Sciences/Liberal Studies
APDA
APDA
WE Family Offices March 2013 - Present
US Securities and Exchange Commission 2009 - March 2013
US Securities and Exchange Commission 2003 - 2009
New York County District Attorney's Office 1998 - 2002
Debevoise & Plimpton 1991 - 1992
Skills
Securities Regulation, Securities Litigation, Compliance, Corporate Governance
Education
Cornell Law School 1995 — 1998
J.D., Law
Brown University 1987 — 1991
B.A., English & American Literature
Northfield-Mount Hermon 1985 — 1987
Tweedy, Browne Company June 2001 - February 2014
Neuberger Berman May 1987 - May 2001
American Stock Exchange November 1984 - May 1987
US Securities and Exchange Commission September 1983 - November 1984
Skills
Investment Advisers Act, Securities Regulation, Securities, Broker-Dealer, FINRA, Hedge Funds, AML, Series 7, Series 24, OFAC, SEC, Mutual Funds, KYC, Investment Management
Education
Brooklyn Law School 1980 — 1983
Doctor of Law (JD)
Fordham University 1976 — 1980
BS, Political Science and Government
US Securities and Exchange Commission December 2003 - Present
Skills
Accounting, Financial Analysis, Financial Reporting, Internal Controls, Management, Microsoft Excel, SEC filings
Education
California State University-Long Beach - College of Business Administration 2001 — 2003
MBA
Eastern Illinois University 1993 — 1997
BA, Sociology / Speech Communications
Mayer Brown October 2015 - Present
State of New Jersey Office of the Attorney General September 2014 - August 2015
Cole-Frieman & Mallon LLP January 2014 - April 2014
US Securities and Exchange Commission August 2013 - November 2013
Bingham McCutchen May 2013 - July 2013
Thelton E. Henderson Center for Social Justice August 2012 - December 2012
New York City Bar May 2012 - August 2012
AXA Equitable June 2011 - August 2011
Center for Court Innovation June 2010 - August 2010
Office of the New York State Attorney General February 2010 - May 2010
Skills
Corporate Law, Leadership, Securities Regulation, Hedge Funds, Management, Public Policy, Social Media, Transactional Finance, Courts, Legal Scholarship, Diversity & Inclusion, Derivatives, Structured Finance, Regulatory Compliance, Mergers & Acquisitions, Due Diligence, Policy Analysis
Education
University of California, Berkeley - School of Law 2011 — 2014
Juris Doctorate, Law
John Jay College of Criminal Justice 2007 — 2011
Bachelor of Arts, Humanities and Justice Studies, Honor Minors in English and Philosophy, Magna Cum Laude
Brooklyn Technical High School 2003 — 2007
Civil Engineering
Katten Muchin Rosenman LLP February 2006 - Present
Katten Muchin Rosenman LLP July 2000 - February 2006
US Securities and Exchange Commission July 1999 - July 2000
US Securities and Exchange Commission September 1996 - July 1999
Skills
Litigation, Securities Regulation, Corporate Law, Securities, Securities Offerings, White Collar Criminal..., Securities Litigation
Education
Lewis & Clark Law School 1993 — 1996
JD, Law
Bucknell University 1987 — 1991
BA, Economics/English
Fenwick Hight School 1983 — 1987
Amazon May 2015 - Present
KPMG US July 2008 - May 2015
US Securities and Exchange Commission July 2006 - July 2008
KPMG US August 1996 - July 2006
Skills
Auditing, Assurance, External Audit, Accounting, International Tax, Internal Controls, SEC filings, Financial Reporting, Business Advisory, Big 4, Tax Accounting, GAAP, Revenue Recognition, CPA, Sarbanes-Oxley Act, US GAAP, SEC Filings
Education
California State University, Fresno 1994 — 1996
Bachelor's Degree, Accounting
Babson Capital Management December 2007 - Present
MassMutual Financial Group December 2007 - Present
Dechert LLP January 2006 - December 2007
Eli Lilly and Company 2002 - 2005
Eli Lilly and Company 1995 - 1999
US Securities and Exchange Commission 1993 - 1995
Dechert LLP 1989 - 1993
Skills
Compliance, Corporate Governance, Securities Law, Mutual Funds, Securities Regulation, Investments, Hedge Funds, Alternative Investments, Investment Management, Asset Management, Securities
Education
Duke University School of Law 1986 — 1989
J.D.
Brown University 1982 — 1986
A.B., International Relations
TIAA-CREF June 2014 - Present
Spoons Across America April 2012 - Present
Marakon September 2011 - February 2014
Debevoise & Plimpton October 2009 - September 2011
Debevoise & Plimpton June 2008 - August 2008
US Securities and Exchange Commission June 2007 - August 2007
Providence Consulting Group March 2005 - May 2006
Skills
Business Strategy, Business Model..., Corporate Law, Private Equity, Management Consulting, Management, Business Development, Joint Ventures, Partnerships, Non-profits, Start-ups, Corporate Governance, Strategic Planning
Education
Yale Law School 2006 — 2009
JD
Brown University 2002 — 2006
BA
US Securities and Exchange Commission Associate Professor Securities Fraud and Insider TradingColumbia UniversityJanuary 1998 - January 2001
Education
Harvard Law School 1993 — 1998
PhD, Insider Trading and Securities Fraud
New York University School of Law 1991 — 1992
LLM, Securities law
Brooklyn Law School 1987 — 1990
J.D., Law
Columbia University - Columbia Business School 1984 — 1987
Bsc, Marketing Strategies
Baron Capital February 2008 - Present
State Farm Mutual Funds December 2006 - Present
Illinois Institute of Technology September 2005 - Present
Illinois Humanites Council 2004 - Present
Harris Alternatives July 2003 - January 2006
Harris Associates November 1993 - July 2003
US Securities and Exchange Commission September 1980 - July 1993
Education
Chicago-Kent College of Law, Illinois Institute of Technology 1977 — 1980
JD, Law
University of Illinois at Urbana-Champaign 1974 — 1977
US Securities and Exchange Commission July 2008 - August 2013
US Securities and Exchange Commission December 2012 - April 2013
FINRA (formerly NASD) 1996 - 2008
US Commodity Futures Trading Commission 1994 - 1996
US Securities and Exchange Commission 1977 - 1994
Arent Fox 1974 - 1977
Skills
Securities Regulation, Corporate Governance
Education
Harvard Law School 1971 — 1974
Juris Doctor (J.D.)
Yale University 1969 — 1971
Bachelor's Degree, Mathematics
Brown University 1967 — 1969
Applied Mathematics
Herricks Senior High School 1963 — 1967
High School
U.S. Bankruptcy Court, E.D.N.Y. September 2012 - November 2012
New York County District Attorney's Office May 2012 - August 2012
Kings County District Attorney's Office January 2012 - April 2012
US Securities and Exchange Commission May 2011 - December 2011
Education
Brooklyn Law School 2010 — 2013
JD, Certificate in Business Law, cum laude
Villanova University 2006 — 2010
BA, Economics, Political Science, magna cum laude
John Cabot University 2008 — 2008
International Business Practicum (Rome, Italy)
St. Joseph Hill Academy 2002 — 2006
Regents Diploma Advanced Designation with Honors
New York University 2005 — 2005
US Securities and Exchange Commission 2005 - Present
Driveway Experts, LLC June 2010 - Present
Government Accountability Office 1997 - 2005
Skills
Managerial Finance, Financial Reporting, Auditing, Accounting, Financial Analysis, CPA, Financial Accounting, Certified Fraud Examiner, Customer Service, GAAP, Internal Controls, Internal Audit, Government, Analysis, Sarbanes-Oxley Act, Microsoft Excel, US GAAP, Management
Education
California State University-Northridge 1986 — 1992
Bachelor's degree, Accounting and Business/Management
California State University-Northridge 1986 — 1991
BS, Business Administration - Accounting
Szaferman Lakind May 2014 - August 2014
US Securities and Exchange Commission January 2014 - May 2014
US Bankruptcy Court June 2013 - August 2013
Financial Industry Regulatory Authority January 2013 - May 2013
Excel Sports Management June 2012 - August 2012
Epstein's Restaurant and Bar August 2009 - August 2012
La Cantina Aspen January 2004 - October 2008
Skills
Business and Finance Law, Legal Research, Legal Writing, Microsoft Excel, Microsoft Word, Spanish, Financial Analysis, Financial Accounting, Contract Negotiation, Legal Contract Review, Research, Program Management, Finance, Analysis, Legal Issues, Bankruptcy, Civil Litigation, Data Analysis, Litigation, Management, Microsoft Office
Education
Rutgers Business School 2012 — 2015
Master of Business Administration (M.B.A.), Banking, Corporate, Finance, and Securities Law
Rutgers University School of Law - Newark 2011 — 2015
Juris Doctor
City University of New York 2009 — 2010
Bachelor of Science (BS), International Relations
UNC Chapel Hill 2000 — 2004
N/A, History
US Securities and Exchange Commission August 2013 - Present
NYS Office of the State Comptroller December 2010 - November 2013
USMC Reserves March 1998 - March 2008
Skills
Organizational..., Government, Policy, Analysis, Human Resources, Performance Management, Training, Leadership, Leadership Development, Change Management, Microsoft Excel, PeopleSoft, Microsoft Office, Access, Policy Analysis, Public Speaking
Education
City University of New York-Brooklyn College 2011 — 2013
Master of Science (M.S.), Business Economics: Global Business and Finance, 3.65 GPA
City University of New York-Brooklyn College 2007 — 2010
Bachelors, Business, Management, & Finance
Kingsborough Community College
Associate's degree, Business Administration
US Securities and Exchange Commission September 2012 - Present
US Securities and Exchange Commission January 2012 - April 2012
Disability Rights California May 2011 - August 2011
Legal Aid Society of San Diego, Inc. September 2010 - April 2011
Legal Aid Society of San Diego, Inc. May 2010 - August 2010
PA Department of Public Welfare-Office of Income Maintenance March 2006 - June 2008
Skills
Litigation, Administrative Law, Legal Research, Legal Writing, Westlaw, Civil Litigation, Lexis, Courts, Mediation, Corporate Law, Legal Issues
Education
California Western School of Law 2009 — 2012
Doctor of Law (J.D.)
University of Pittsburgh 2002 — 2008
B.A., cum laude, Sociology, Economics
Davidson Kempner Capital Management April 2009 - Present
DiMaio Ahmad Capital April 2007 - April 2009
WilmerHale January 2005 - April 2007
US Securities and Exchange Commission 1999 - 2004
Education
Brooklyn Law School 1996 — 1999
JD, law
Willkie Farr & Gallagher LLP October 2014 - Present
Boston Red Sox January 2014 - January 2014
Willkie Farr & Gallagher LLP May 2013 - August 2013
Boston Celtics November 2012 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
BNY ConvergEx March 2009 - July 2011
Eze Castle Software January 2008 - February 2009
Eze Castle Software August 2005 - December 2007
United Way of Rhode Island February 2005 - June 2005
Skills
Legal Research, Electronic Trading, Legal Writing, Management, Public Speaking, Intellectual Property, Public Policy, Data Analysis, Product Management, Financial Services
Education
Harvard Law School 2011 — 2014
JD
Brown University 2001 — 2005
BA, Public Policy and American Institutions
Università di Bologna 2003 — 2003
Study Abroad
The White House Council of Economic Advisers June 2015 - Present
Morgan Stanley June 2014 - August 2014
Innosight Venture Capital March 2014 - April 2014
Hong Kong Multi-Strategy Hedge Fund August 2013 - October 2013
The White House May 2013 - August 2013
Brown University September 2012 - May 2013
U.S. Department of Justice June 2012 - August 2012
The White House January 2012 - April 2012
The White House August 2011 - January 2012
US Securities and Exchange Commission May 2011 - August 2011
Skills
Economics, Public Policy, Research, International Finance, Data Analysis, Policy, Legal Writing, Financial Modeling, Equities, Venture Capital
Education
Brown University 2010 — 2015
Bachelor’s Degree, Economics, Magna Cum Laude
University of Oxford 2013 — 2014
Philosophy, Politics and Economics
Central Bucks High School West 2007 — 2010
Germantown Academy
Wells Fargo May 2010 - Present
US Securities and Exchange Commission December 2003 - May 2010
Latham & Watkins October 1997 - December 2003
Education
Columbia Law School 1994 — 1997
J.D.
Carleton College 1988 — 1992
B.A.
O'Melveny & Myers LLP September 2013 - Present
The George Washington Law Review February 2012 - April 2013
The George Washington University Law School December 2012 - January 2013
G.W. SMALL BUSINESS AND COMMUNITY ECONOMIC DEVELOPMENT CLINIC September 2012 - December 2012
O'Melveny & Myers LLP May 2012 - July 2012
US Securities and Exchange Commission September 2011 - April 2012
Kramer & Amado, P.C. May 2011 - August 2011
The George Washington University Law School May 2011 - August 2011
University of Glasgow June 2009 - August 2009
Education
The George Washington University Law School 2010 — 2013
Juris Doctor, Law, With Highest Honors
City University of Hong Kong 2006 — 2010
Bachelor of Engineering, Electronic and Communication Engineering, First Class Honors
US Securities and Exchange Commission October 2013 - Present
Skills
Risk Management, Financial Analysis, Policy, Corporate Governance, Analysis, Corporate Finance, Internal Audit, Finance, Economics, Managerial Finance, Microsoft Office, Accounting, Research, Financial Reporting, Banking
Education
University of Maryland College Park 2000 — 2002
Bachelor of Arts (BA), Criminology
Cabrini College 1997 — 1999
Stroock & Stroock & Lavan LLP March 2013 - Present
Law Offices of Jason J. Lee & Associates, A Law Corporation October 2011 - October 2012
US Securities and Exchange Commission January 2012 - September 2012
Wells Fargo January 2006 - July 2011
Skills
Westlaw, Lexis, Legal Research, Legal Writing, Document Review, Litigation Support, Legal Documents, Litigation, Outlook, Microsoft Word
Education
UCLA 2011 — 2012
Certificate, Paralegal
California State University-Los Angeles 2009 — 2010
Bachelor of Arts, Sociology, Option: Law & Society
US Securities and Exchange Commission April 1998 - Present
Financial Industry Regulatory Authority September 2007 - March 2008
Education
Cal Poly Pomona 1990 — 1994
BA, Behavioral Science
Hill Strategy LLC June 2014 - Present
Financial Services Committee, Subcommittee on Oversight and Investigations March 2013 - May 2014
Committee on Oversight and Government Reform 2011 - February 2013
Brickfield Burchette Ritts & Stone 2008 - 2010
Goldman Sachs & Co. 2005 - 2007
US Securities and Exchange Commission 2003 - 2005
Federal Energy Regulatory Commission 2001 - 2003
National Economic Research Associates 1996 - 1997
Skills
Securities Regulation, Capital Markets, Securities, Corporate Governance, NY Bar, DC Bar, Hedge Funds, Private Equity, Project Finance, Corporate Law, Due Diligence, Alternative Investments, Energy Policy, Public Policy
Education
The George Washington University Law School 1997 — 2000
Doctor of Law (J.D.)
Carnegie Mellon University 1991 — 1995
Bachelor of Science (B.S.), Managerial Economics
US Securities and Exchange Commission September 2010 - December 2010
Carlton Fields, P.A. May 2009 - July 2009
Carlton Fields, P.A. May 2008 - July 2008
Skills
Litigation, Legal Research, International Law, Commercial Litigation, Corporate Law, Civil Litigation, Legal Writing, Intellectual Property, Securities Regulation, Appeals, Securities, Securities Litigation, Mergers, FCPA, White Collar Criminal..., Arbitration, Class Actions, Westlaw, Mergers & Acquisitions
Education
Georgetown University Law Center 2010 — 2011
Master of Laws (LL.M.), Securities and Financial Regulations
Georgetown University Law Center 2007 — 2010
Juris Doctorate, Law
Brown University 2002 — 2006
B.A., Sociology
Blue Cross Blue Shield Association May 2015 - Present
CohnReznick LLP September 2012 - Present
US Securities and Exchange Commission August 2011 - August 2012
US Securities and Exchange Commission June 2006 - August 2011
US Securities and Exchange Commission May 2001 - June 2006
US Census Bureau February 1999 - May 2001
Skills
Security+, Internal Audit, Information Security, Auditing, Computer Security, Cisco IOS, CISA, IT Audit, Program Management, Policy, COBIT, Vulnerability Assessment, SAS70, Information Technology, Network Security, Vulnerability Management, Internal Controls, Nessus, Cisco Firewall Security, Cisco Routers, Linux, Data Analysis, Government, SSAE 16, Sarbanes-Oxley, Sarbanes-Oxley Act, SOX 404, Linux OS, Cisco Routing &..., Proposal Writing, Access Control, Financial Controls, Risk Assessment
Education
George Mason University 2011 — 2016
Master of Science (MS), Volgenau School of Engineering, Telecommunications
Carnegie Mellon University 1996 — 1998
Master of Science (MS), Heinz College, Public Policy and Management
Wake Forest University 1992 — 1996
Bachelor of Arts (BA), Economics
EE Smith HS 1991 — 1992
JPMorgan Chase November 2013 - Present
US Securities and Exchange Commission February 2013 - November 2013
US Securities and Exchange Commission February 2010 - February 2013
Sullivan & Cromwell LLP October 2001 - January 2010
Education
Brown University
AB
Yale Law School
JD
King & Spalding June 2015 - Present
Gorby Peters Law May 2013 - June 2015
The Coca-Cola Company August 2013 - November 2013
US Securities and Exchange Commission January 2013 - August 2013
The Urban Institute September 2003 - August 2011
Government Institutes July 2001 - September 2003
JMS Worldwide, Inc. June 2000 - May 2001
Education
Emory University School of Law 2011 — 2014
Doctor of Law (J.D.)
University of Maryland College Park 1996 — 2000
Bachelor of Arts (B.A.), English Language and Literature, General
The University of Sheffield 1997 — 1998
One-year study abroad program
California Institute of Technology 1995 — 1996
Chemical Engineering
-- No longer operating -- 1992 - 1995
St Luke Institute 1982 - 1983
US Securities and Exchange Commission 1971 - 1978
Education
Carroll Community College 1995 — 1996
General Studies, 4.0 average throughout
Howard Community College 1992 — 1995
General Studies, Nursing, 4.0 average throughout
University of Maryland University College 1991 — 1992
General Studies, 4.0 average