US Securities and Exchange Commission

Industry: Federal agency

Description

The U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Jurisdiction: United States of America Employees: 4,301 (2015) Headquarters: Washington, D.C., United States Founder: Franklin D. Roosevelt Founded: 6 June 1934

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US Securities and Exchange Commission Employees

Employee
Years
Job
Industry
Karen Sacks Karen Sacks Greater Los Angeles Area Details
Karen Sacks's US Securities and Exchange Commission Experience March 2013 - June 2013
Job Benefits/Admin Specialist
Industry Legal Services
Experience
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

Susan Cavallone Susan Cavallone Greater Los Angeles Area Details
Susan Cavallone's US Securities and Exchange Commission Experience March 2011 - October 2014
Job Paralegal Specialist
Industry Legal Services
Experience
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

Linda Yang Linda Yang Chattanooga, Tennessee Details
Linda Yang's US Securities and Exchange Commission Experience May 2013 - July 2013
Job FDA Specialist at Baker Donelson, Attorney at law
Industry Law Practice
Experience
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

Yoss Missaghian Yoss Missaghian Washington, District Of Columbia Details
Yoss Missaghian's US Securities and Exchange Commission Experience June 2005 - April 2007
Job Associate Director at PCAOB
Industry Financial Services
Experience
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

Heather DiRosa Heather DiRosa Buffalo/Niagara, New York Area Details
Heather DiRosa's US Securities and Exchange Commission Experience February 2013 - Present
Job Facility Security Officer at US Securities and Exchange Commission
Industry Security and Investigations
Experience
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

Ashley Kim Ashley Kim Greater Los Angeles Area Details
Ashley Kim's US Securities and Exchange Commission Experience 2008 - 2008
Job Social Entrepreneur, CoFounder at Villa de Vida
Industry Nonprofit Organization Management
Experience
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

Robert Loesch Robert Loesch Cleveland/Akron, Ohio Area Details
Robert Loesch's US Securities and Exchange Commission Experience 1991 - 1995
Job Partner at Tucker Ellis LLP
Industry Law Practice
Experience
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

Michael Regan, JD CPA Michael Regan, JD CPA Houston, Texas Details
Michael Regan, JD CPA's US Securities and Exchange Commission Experience August 2010 - May 2011
Job Manager State and Local Tax Services at Weaver L.L.P.
Industry Accounting
Experience
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

Christopher Appel Christopher Appel Greater New York City Area Details
Christopher Appel's US Securities and Exchange Commission Experience June 2009 - June 2011
Job Associate at Federal Reserve Bank of New York
Industry Government Administration
Experience
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

Dylan Campbell Dylan Campbell Salt Lake City, Utah Details
Dylan Campbell's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Equity Research Analyst at Goldman Sachs
Industry Investment Management
Experience
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

Dharmi Mehta Dharmi Mehta San Diego, California Details
Dharmi Mehta's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Attorney
Industry Law Practice
Experience
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.)

David Wescoe David Wescoe Greater San Diego Area Details
David Wescoe's US Securities and Exchange Commission Experience 1982 - 1985
Job President at Efficient Market Advisors, LLC
Industry Financial Services
Experience
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

Mark Early Jr Mark Early Jr Miami/Fort Lauderdale Area Details
Mark Early Jr's US Securities and Exchange Commission Experience July 2010 - August 2010
Job Entry
Industry Accounting
Experience
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

Humberto Merino Humberto Merino Greater Boston Area Details
Humberto Merino's US Securities and Exchange Commission Experience May 2012 - August 2012
Job M.S. Economics Candidate | Tufts University 20152016
Industry Financial Services
Experience
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

Karl Pollack Karl Pollack Saint Louis, Missouri Details
Karl Pollack's US Securities and Exchange Commission Experience June 2004 - August 2004
Job Risk Management Manager at Wells Fargo Advisors
Industry Financial Services
Experience
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

Megan Dubatowka Megan Dubatowka Brooklyn, New York Details
Megan Dubatowka's US Securities and Exchange Commission Experience 2013 - 2013
Job Associate Pending Admission at The Law Office of Christopher Q. Davis
Industry Law Practice
Experience
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

NAN WANG NAN WANG Washington D.C. Metro Area Details
NAN WANG's US Securities and Exchange Commission Experience January 2012 - April 2012
Job Legal Consultant at Ropes & Gray LLP
Industry Law Practice
Experience
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

Pierce Haesung Han Pierce Haesung Han Washington, District Of Columbia Details
Pierce Haesung Han's US Securities and Exchange Commission Experience September 2011 - November 2011
Job M&A and Corporate Transactions Associate at Nixon Peabody LLP
Industry Law Practice
Experience
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

Jeannie Cabot, CFE Jeannie Cabot, CFE Miami/Fort Lauderdale Area Details
Jeannie Cabot, CFE's US Securities and Exchange Commission Experience July 2014 - Present
Job Assistant Regional Director, U.S. Securities and Exchange Commission
Industry Government Administration
Experience
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

Jared Killeen Jared Killeen New York, New York Details
Jared Killeen's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Associate at Goodwin Procter LLP
Industry Law Practice
Experience
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

Armen Hayrapetyan Armen Hayrapetyan New York, New York Details
Armen Hayrapetyan's US Securities and Exchange Commission Experience January 2013 - May 2013
Job Budget Analyst at NYC Department of Small Business Services
Industry Government Administration
Experience
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

Alan C. Porter Alan C. Porter Washington, District Of Columbia Details
Alan C. Porter's US Securities and Exchange Commission Experience 1977 - 1981
Job Partner at K&L Gates
Industry Law Practice
Experience
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

Joenald Pierre Joenald Pierre Brooklyn, New York Details
Joenald Pierre's US Securities and Exchange Commission Experience June 2013 - September 2013
Job Litigation Paralegal
Industry Law Practice
Experience
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

Angelo Guisado Angelo Guisado New York, New York Details
Angelo Guisado's US Securities and Exchange Commission Experience August 2011 - December 2011
Job Associate at Paul, Weiss, Rifkind, Wharton & Garrison LLP
Industry Law Practice
Experience
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

Katie Hopkins Katie Hopkins Pittsburgh, Pennsylvania Details
Katie Hopkins's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Attorney at Orrick, Herrington & Sutcliffe LLP
Industry Law Practice
Experience
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

Sarah B. Dorsey Sarah B. Dorsey Washington, District Of Columbia Details
Sarah B. Dorsey's US Securities and Exchange Commission Experience March 1997 - December 1999
Job Attorney at U.S. Department of Justice
Industry Law Enforcement
Experience
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

Aaron Pitt Aaron Pitt Greater Atlanta Area Details
Aaron Pitt's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Pricing Analyst at Cox Communications
Industry Telecommunications
Experience
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

Brian Bullard Brian Bullard Orange County, California Area Details
Brian Bullard's US Securities and Exchange Commission Experience May 2001 - December 2006
Job Senior Vice President, Fund Business Management Group at Capital Group
Industry Investment Management
Experience
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

Seong-Min Park Seong-Min Park New York, New York Details
Seong-Min Park's US Securities and Exchange Commission Experience 2013 - 2013
Job Student at CMUTepper MSCF
Industry Financial Services
Experience
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

Julia Zukina Julia Zukina Whippany, New Jersey Details
Julia Zukina's US Securities and Exchange Commission Experience May 2012 - May 2013
Job Deputy Attorney General, State of New Jersey Office of the Attorney General
Industry Law Enforcement
Experience
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

Cynthia Walker Cynthia Walker Springfield, Missouri Area Details
Cynthia Walker's US Securities and Exchange Commission Experience March 2012 - September 2012
Job at CW Services
Industry Legal Services
Experience
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

Liana-Marie Lien Liana-Marie Lien Brooklyn, New York Details
Liana-Marie Lien's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Law Clerk at Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates
Industry Law Practice
Experience
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

Ted Sonde Ted Sonde Washington D.C. Metro Area Details
Ted Sonde's US Securities and Exchange Commission Experience 1964 - 1980
Job Partner at Patton Boggs LLP
Industry Law Practice
Experience
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

Carl Merkle, CPA Carl Merkle, CPA San Antonio, Texas Details
Carl Merkle, CPA's US Securities and Exchange Commission Experience January 2003 - January 2007
Job Assistant Controller at Wedge Management / Housing and Community Services Inc.
Industry Accounting
Experience
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

Cheryl Aviva Amitay, Esq. Cheryl Aviva Amitay, Esq. Washington D.C. Metro Area Details
Cheryl Aviva Amitay, Esq.'s US Securities and Exchange Commission Experience December 2009 - August 2012
Job Loan Specialist, Veterans Benefits Administration Loan Guaranty Service
Industry Legal Services
Experience
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

Teri Ellison Teri Ellison Washington D.C. Metro Area Details
Teri Ellison's US Securities and Exchange Commission Experience 1999 - 2011
Job Human Resources Leader
Industry Human Resources
Experience
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

Jeremi Roux, JD, CFA Jeremi Roux, JD, CFA Greater New York City Area Details
Jeremi Roux, JD, CFA's US Securities and Exchange Commission Experience January 2012 - April 2012
Job General Counsel & Chief Compliance Officer at Hamlin Capital Management
Industry Investment Management
Experience
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

Scott Fryman Scott Fryman New York, New York Details
Scott Fryman's US Securities and Exchange Commission Experience January 2012 - April 2012
Job Associate at Weil, Gotshal & Manges LLP
Industry Legal Services
Experience
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

Anthony Orantes Anthony Orantes Greater New York City Area Details
Anthony Orantes's US Securities and Exchange Commission Experience July 1996 - July 2000
Job Management & Managing Director
Industry Financial Services
Experience
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

Nikolaus Caro Nikolaus Caro Greater New York City Area Details
Nikolaus Caro's US Securities and Exchange Commission Experience September 2011 - April 2012
Job Attorney (Banking & Finance)
Industry Law Practice
Experience
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

Michelle Man Michelle Man Greater New York City Area Details
Michelle Man's US Securities and Exchange Commission Experience September 2012 - May 2013
Job Examiner at Financial Industry Regulatory Authority
Industry Financial Services
Experience
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

Kevin B. Currid Kevin B. Currid Greater Boston Area Details
Kevin B. Currid's US Securities and Exchange Commission Experience November 2012 - Present
Job Assistant Regional Director at US Securities and Exchange Commission
Industry Law Enforcement
Experience
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

Charles Lynch Charles Lynch San Francisco Bay Area Details
Charles Lynch's US Securities and Exchange Commission Experience September 1997 - September 1999
Job Partner, Audit at KPMG
Industry Accounting
Experience
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

Bruce Lewitas Bruce Lewitas Chicago, Illinois Details
Bruce Lewitas's US Securities and Exchange Commission Experience August 1991 - February 1997
Job Litigation UnitHead Financial Services
Industry Legal Services
Experience
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

Jauwan Hall Jauwan Hall Greater Chicago Area Details
Jauwan Hall's US Securities and Exchange Commission Experience August 2013 - December 2013
Job Student Intern Civil Division at United States Attorney's Office
Industry Legal Services
Experience
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

Deborah J. Enea Deborah J. Enea Philadelphia, Pennsylvania Details
Deborah J. Enea's US Securities and Exchange Commission Experience January 2009 - April 2009
Job Finance Associate, Focused on Leveraged Finance Transactions for Financial Institutions and Corporate Borrowers
Industry Law Practice
Experience
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

Erik Keto Erik Keto New York, New York Details
Erik Keto's US Securities and Exchange Commission Experience January 2013 - May 2013
Job Senior Examiner at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
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

Marc Walters Marc Walters Strongsville, Ohio Details
Marc Walters's US Securities and Exchange Commission Experience June 2008 - August 2008
Job IU Maurer School of Law
Industry Law Practice
Experience
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

Russ Fukano Russ Fukano Greater Los Angeles Area Details
Russ Fukano's US Securities and Exchange Commission Experience 1983 - 1987
Job Member at TroyGould PC
Industry Law Practice
Experience
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.

Jason Snow Jason Snow Jonesboro, Georgia Details
Jason Snow's US Securities and Exchange Commission Experience November 2013 - Present
Job IT Intern at US Securities and Exchange Commission
Industry Information Technology and Services
Experience
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

Raymond Kong Raymond Kong Oakland, California Details
Raymond Kong's US Securities and Exchange Commission Experience June 2001 - August 2001
Job Partner at Fisher & Kong LLP
Industry Law Practice
Experience
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

James Meyers James Meyers Washington D.C. Metro Area Details
James Meyers's US Securities and Exchange Commission Experience September 2000 - September 2004
Job Partner at Orrick, Herrington & Sutcliffe LLP
Industry Law Practice
Experience
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

Christopher Ippoliti Christopher Ippoliti Washington D.C. Metro Area Details
Christopher Ippoliti's US Securities and Exchange Commission Experience January 2014 - May 2014
Job LL.M. Candidate in Business and Finance Law at George Washington University Law School
Industry Law Practice
Experience
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

Kapil Gogia, FRM, CAIA Kapil Gogia, FRM, CAIA Washington D.C. Metro Area Details
Kapil Gogia, FRM, CAIA's US Securities and Exchange Commission Experience August 2012 - Present
Job Quantitative Analyst at US Securities and Exchange Commission
Industry Capital Markets
Experience
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

Rebecca Leon Rebecca Leon Miami, Florida Details
Rebecca Leon's US Securities and Exchange Commission Experience September 1995 - July 1996
Job Partner, Bressler, Amery & Ross
Industry Law Practice
Experience
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

Ismael Serrano Ismael Serrano Washington, District Of Columbia Details
Ismael Serrano's US Securities and Exchange Commission Experience July 2012 - Present
Job IT Specialist at SEC
Industry Information Technology and Services
Experience
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

Peter Demato Peter Demato Greater New York City Area Details
Peter Demato's US Securities and Exchange Commission Experience September 2011 - May 2012
Job Assistant General Counsel at Rainbow Apparel Co
Industry Law Practice
Experience
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

Seth Hunter Seth Hunter New York, New York Details
Seth Hunter's US Securities and Exchange Commission Experience January 2012 - April 2012
Job Senior Associate at PwC FS Advisory
Industry Legal Services
Experience
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

Todd Humphrey, CFA, CAIA Todd Humphrey, CFA, CAIA Greater Los Angeles Area Details
Todd Humphrey, CFA, CAIA's US Securities and Exchange Commission Experience November 1992 - December 1997
Job Director at PricewaterhouseCoopers, LLP
Industry Financial Services
Experience
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

Eryka Johnson Eryka Johnson Greater Atlanta Area Details
Eryka Johnson's US Securities and Exchange Commission Experience November 2004 - April 2005
Job Legal Data Management / Project Management and Consulting
Industry Legal Services
Experience
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

Pat S. Conti Pat S. Conti Washington, District Of Columbia Details
Pat S. Conti's US Securities and Exchange Commission Experience 1990 - 1996
Job Financial Services Industry Consultant and Securities Enforcement Defense Attorney
Industry Law Practice
Experience
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

Harrison Lou, CISA, CISSP, PMP, COR Harrison Lou, CISA, CISSP, PMP, COR Washington D.C. Metro Area Details
Harrison Lou, CISA, CISSP, PMP, COR's US Securities and Exchange Commission Experience March 2015 - Present
Job Senior Information Security Specialist, Cyber Security Operations at U.S. Securities and Exchange Commission
Industry Information Technology and Services
Experience
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

Richard Chernicoff Richard Chernicoff Greater Seattle Area Details
Richard Chernicoff's US Securities and Exchange Commission Experience May 1993 - May 1995
Job
Industry Semiconductors
Experience
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

Noah Schwarz Noah Schwarz Greater New York City Area Details
Noah Schwarz's US Securities and Exchange Commission Experience 2001 - 2001
Job Senior Client Partner at Korn Ferry
Industry Investment Banking
Experience
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

Matt Bonner Matt Bonner San Francisco Bay Area Details
Matt Bonner's US Securities and Exchange Commission Experience June 1997 - August 1997
Job Legal and Operations Partner at DCM Ventures
Industry Venture Capital & Private Equity
Experience
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

Kearstin Meadows Kearstin Meadows Washington D.C. Metro Area Details
Kearstin Meadows's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Attorney at Aksia
Industry Investment Management
Experience
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

Patrick Grosso Patrick Grosso Park City, Utah Details
Patrick Grosso's US Securities and Exchange Commission Experience August 1997 - February 2000
Job Vice President, Strategic Initiatives and Corporate Affairs, Chief Legal Officer and Secretary at Skullcandy Inc.
Industry Consumer Electronics
Experience
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

Karen Hager Karen Hager Greater New York City Area Details
Karen Hager's US Securities and Exchange Commission Experience January 1994 - March 2000
Job Chief Compliance Officer at Abbott Capital Management, LLC
Industry Financial Services
Experience
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

Lori Rogers, CPA Lori Rogers, CPA Washington D.C. Metro Area Details
Lori Rogers, CPA's US Securities and Exchange Commission Experience 1999 - 2000
Job Principal at LDR Associates, LLC
Industry Accounting
Experience
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

Tom Shpetner Tom Shpetner Greater New York City Area Details
Tom Shpetner's US Securities and Exchange Commission Experience 1998 - 2001
Job Head of Bank Regulatory Compliance, Capital Markets Surveillance, and Regulatory Inquiries, RBC Capital Markets, LLC
Industry Financial Services
Experience
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

Anthony O. Brown Anthony O. Brown Greater Chicago Area Details
Anthony O. Brown's US Securities and Exchange Commission Experience 1973 - 1975
Job President of Cascades Ventures, Inc.
Industry Venture Capital & Private Equity
Experience
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

C. Ian Anderson C. Ian Anderson New York, New York Details
C. Ian Anderson's US Securities and Exchange Commission Experience June 2008 - December 2012
Job Regional Associate Director New York at PCAOB
Industry Law Practice
Experience
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

Sean Watterson Sean Watterson Cleveland/Akron, Ohio Area Details
Sean Watterson's US Securities and Exchange Commission Experience September 2001 - October 2005
Job President & CoOwner at Happy Dog at the Euclid Tavern
Industry Restaurants
Experience
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

Jaclyn Bacallao JD, M.S., CPA Jaclyn Bacallao JD, M.S., CPA Chicago, Illinois Details
Jaclyn Bacallao JD, M.S., CPA's US Securities and Exchange Commission Experience August 2012 - December 2012
Job Corporate Banking & Finance Attorney
Industry Law Practice
Experience
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

Deena Bernstein Deena Bernstein Greater Boston Area Details
Deena Bernstein's US Securities and Exchange Commission Experience April 2008 - Present
Job Senior Trial Counsel at Securities Commission
Industry Law Enforcement
Experience
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

Gregory Dumark Gregory Dumark Greater New York City Area Details
Gregory Dumark's US Securities and Exchange Commission Experience January 1998 - May 2004
Job Chief Compliance Officer for Bloomberg Swap Execution Facility and Senior Regulatory Officer at Bloomberg LP
Industry Financial Services
Experience
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

David Mendel David Mendel Washington D.C. Metro Area Details
David Mendel's US Securities and Exchange Commission Experience November 2007 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
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

Matthew Spitzer Matthew Spitzer Washington D.C. Metro Area Details
Matthew Spitzer's US Securities and Exchange Commission Experience June 2015 - Present
Job Senior Counsel, U.S. Securities and Exchange Commission
Industry Law Practice
Experience
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

Katya Sverdlov, CFA, Esq. Katya Sverdlov, CFA, Esq. Brooklyn, New York Details
Katya Sverdlov, CFA, Esq.'s US Securities and Exchange Commission Experience January 2011 - July 2011
Job Principal at Law Offices of Katya Sverdlov
Industry Legal Services
Experience
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

Tony Pecora Tony Pecora Greater Chicago Area Details
Tony Pecora's US Securities and Exchange Commission Experience May 1995 - October 1997
Job Head of Compliance at Northern Trust Global Investments
Industry Financial Services
Experience
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

Suzann De La Pena Suzann De La Pena Greater New York City Area Details
Suzann De La Pena's US Securities and Exchange Commission Experience 1991 - 1995
Job Accounting Professional
Industry Accounting
Experience
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

Austin Onwualu, CPA, CGMA, CCA, CIG Austin Onwualu, CPA, CGMA, CCA, CIG Greater Los Angeles Area Details
Austin Onwualu, CPA, CGMA, CCA, CIG's US Securities and Exchange Commission Experience February 1995 - March 2000
Job Deputy Inspector General at LA City Board of Education
Industry Education Management
Experience
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

Ed Brady CFE, CRCP Ed Brady CFE, CRCP Greater Los Angeles Area Details
Ed Brady CFE, CRCP's US Securities and Exchange Commission Experience March 2000 - Present
Job Accountant at SEC
Industry Financial Services
Experience
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)

Sara Perkins Jones Sara Perkins Jones Greater Boston Area Details
Sara Perkins Jones's US Securities and Exchange Commission Experience February 2011 - May 2011
Job Associate at Ropes & Gray LLP
Industry Legal Services
Experience
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

Granke, Owen Granke, Owen Washington D.C. Metro Area Details
Granke, Owen's US Securities and Exchange Commission Experience August 2009 - Present
Job Attorney at US Securities and Exchange Commission
Industry Legal Services
Experience
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

Joyce Qi Joyce Qi San Francisco Bay Area Details
Joyce Qi's US Securities and Exchange Commission Experience June 2011 - August 2011
Job Associate at Holland & Knight LLP
Industry Legal Services
Experience
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

Harvey Pitt Harvey Pitt Washington D.C. Metro Area Details
Harvey Pitt's US Securities and Exchange Commission Experience 1975 - 1978
Job Chief Executive Officer at Kalorama Partners, LLC
Industry Legal Services
Experience
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

Faye Hizon Nybo Faye Hizon Nybo Greater Chicago Area Details
Faye Hizon Nybo's US Securities and Exchange Commission Experience August 2001 - January 2005
Job Attorney
Industry Law Practice
Experience
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

Justin Kamen Justin Kamen Greater New York City Area Details
Justin Kamen's US Securities and Exchange Commission Experience 2011 - Present
Job Associate at Morrison & Foerster LLP
Industry Law Practice
Experience
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

Maya Krugman Maya Krugman Greater New York City Area Details
Maya Krugman's US Securities and Exchange Commission Experience January 2008 - April 2008
Job Associate, Sullivan & Cromwell LLP
Industry Law Practice
Experience
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

John Gentile John Gentile Hartford, Connecticut Area Details
John Gentile's US Securities and Exchange Commission Experience 1986 - 1999
Job Partner at Ascendant Compliance
Industry Financial Services
Experience
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

Justin Nasatir Justin Nasatir Los Angeles, California Details
Justin Nasatir's US Securities and Exchange Commission Experience August 2013 - Present
Job AttorneyAdviser at US Securities and Exchange Commission
Industry Investment Management
Experience
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

Jacob Loshin Jacob Loshin Washington D.C. Metro Area Details
Jacob Loshin's US Securities and Exchange Commission Experience 2013 - Present
Job Senior Counsel, Appellate Litigation, Office of General Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
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

Ryan Houseal Ryan Houseal Greater New York City Area Details
Ryan Houseal's US Securities and Exchange Commission Experience December 2008 - June 2013
Job Senior Legal Analyst at Department of Veterans Affairs, Center for Verification and Evaluation
Industry Law Practice
Experience
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 Debbie Hechinger Washington D.C. Metro Area Details
Debbie Hechinger's US Securities and Exchange Commission Experience 1974 - 1983
Job Principal at Debbie Hechinger Consulting
Industry Nonprofit Organization Management
Experience
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

Maribeth LeHoux Maribeth LeHoux Salt Lake City, Utah Details
Maribeth LeHoux's US Securities and Exchange Commission Experience June 2009 - August 2009
Job Associate at Ballard Spahr LLP
Industry Law Practice
Experience
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

Charlotte Buford Charlotte Buford Washington D.C. Metro Area Details
Charlotte Buford's US Securities and Exchange Commission Experience 1998 - Present
Job Assistant Chief Counsel at US Securities and Exchange Commission
Industry Financial Services
Experience
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

Ricky Sim Ricky Sim Greater New York City Area Details
Ricky Sim's US Securities and Exchange Commission Experience September 2013 - November 2013
Job
Industry Financial Services
Experience
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

Jonathan Gottlieb Jonathan Gottlieb Greater New York City Area Details
Jonathan Gottlieb's US Securities and Exchange Commission Experience September 1992 - May 1997
Job Managing Director/Associate General Counsel at RBS Global Banking and Markets
Industry Financial Services
Experience
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

David Vosseler David Vosseler Alexandria, Virginia Details
David Vosseler's US Securities and Exchange Commission Experience 2006 - 2006
Job Sustained Development Consultant, Writer
Industry Environmental Services
Experience
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

John Castelly John Castelly San Francisco Bay Area Details
John Castelly's US Securities and Exchange Commission Experience December 2012 - May 2014
Job Chief Compliance Officer at Personal Capital
Industry Financial Services
Experience
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

Ted McCutcheon Ted McCutcheon Miami/Fort Lauderdale Area Details
Ted McCutcheon's US Securities and Exchange Commission Experience 2009 - March 2013
Job General Counsel & Chief Compliance Officer at WE Family Offices
Industry Law Practice
Experience
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

Kenneth Leopold Kenneth Leopold Greater New York City Area Details
Kenneth Leopold's US Securities and Exchange Commission Experience September 1983 - November 1984
Job General Counsel, Chief Compliance Officer/ Investment Advisory Broker Dealer Expert
Industry Financial Services
Experience
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

John Ekdale John Ekdale Greater Chicago Area Details
John Ekdale's US Securities and Exchange Commission Experience December 2003 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Financial Services
Experience
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

Tyler Garvey Tyler Garvey Greater New York City Area Details
Tyler Garvey's US Securities and Exchange Commission Experience August 2013 - November 2013
Job Associate at Mayer Brown
Industry Law Practice
Experience
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

Michael Diver Michael Diver Greater Chicago Area Details
Michael Diver's US Securities and Exchange Commission Experience July 1999 - July 2000
Job Partner at Katten Muchin Rosenman LLP
Industry Law Practice
Experience
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

Mark Barrysmith Mark Barrysmith Greater Seattle Area Details
Mark Barrysmith's US Securities and Exchange Commission Experience July 2006 - July 2008
Job Director of Corporate Accounting at Amazon
Industry Accounting
Experience
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

Janice Bishop Janice Bishop Greater Boston Area Details
Janice Bishop's US Securities and Exchange Commission Experience 1993 - 1995
Job Assistant Vice President and Counsel at MassMutual Financial Group
Industry Investment Management
Experience
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

Kate Magaram Kate Magaram Greater New York City Area Details
Kate Magaram's US Securities and Exchange Commission Experience June 2007 - August 2007
Job
Industry Investment Management
Experience
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

Joseph Mcmiller Joseph Mcmiller Washington D.C. Metro Area Details
Joseph Mcmiller's US Securities and Exchange Commission Experience Associate Professor Securities Fraud and Insider TradingColumbia UniversityJanuary 1998 - January 2001
Job Senior OTC Derivatives Supervision officer at US Securities and Exchange Commission
Industry Law Enforcement
Experience
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

Anita Nagler Anita Nagler Greater Chicago Area Details
Anita Nagler's US Securities and Exchange Commission Experience September 1980 - July 1993
Job Trustee at Illinois Institute of Technology
Industry Investment Management
Experience
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

Elisse Walter Elisse Walter Washington D.C. Metro Area Details
Elisse Walter's US Securities and Exchange Commission Experience July 2008 - August 2013
Job Retired; ex Chairman & Commissioner at Securities and Exchange Commission
Industry Financial Services
Experience
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

Sarah A. Walsh Sarah A. Walsh Greater New York City Area Details
Sarah A. Walsh's US Securities and Exchange Commission Experience May 2011 - December 2011
Job Assistant District Attorney at New York County District Attorney's Office
Industry Law Practice
Experience
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

Bonnie McEwan Bonnie McEwan Washington D.C. Metro Area Details
Bonnie McEwan's US Securities and Exchange Commission Experience 2005 - Present
Job Accountant at US Securities and Exchange Commission
Industry Government Administration
Experience
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

Alexis Elder Alexis Elder Greater New York City Area Details
Alexis Elder's US Securities and Exchange Commission Experience January 2014 - May 2014
Job JD/MBA
Industry Law Practice
Experience
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

Rodriguez Carlitos Rodriguez Carlitos Greater New York City Area Details
Rodriguez Carlitos's US Securities and Exchange Commission Experience August 2013 - Present
Job Human Resources Specialist
Industry Financial Services
Experience
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

Lisa Skrzycki Lisa Skrzycki Washington, District Of Columbia Details
Lisa Skrzycki's US Securities and Exchange Commission Experience September 2012 - Present
Job AttorneyAdviser at U.S. Securities and Exchange Commission
Industry Government Administration
Experience
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

James C Gange James C Gange Greater New York City Area Details
James C Gange's US Securities and Exchange Commission Experience 1999 - 2004
Job Chief Compliance Officer at Davidson Kempner Capital Management
Industry Investment Management
Experience
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

Kelly Donnelly Kelly Donnelly Washington, District Of Columbia Details
Kelly Donnelly's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at Willkie Farr & Gallagher LLP
Industry Law Practice
Experience
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

Bill Weber Bill Weber Washington, District Of Columbia Details
Bill Weber's US Securities and Exchange Commission Experience May 2011 - August 2011
Job Research Assistant at The White House Council of Economic Advisers
Industry Public Policy
Experience
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

Jennifer Scafe Jennifer Scafe San Francisco Bay Area Details
Jennifer Scafe's US Securities and Exchange Commission Experience December 2003 - May 2010
Job Vice President and Senior Counsel
Industry Financial Services
Experience
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.

Zhao Liu Zhao Liu Washington D.C. Metro Area Details
Zhao Liu's US Securities and Exchange Commission Experience September 2011 - April 2012
Job Associate at O'Melveny & Myers LLP
Industry Law Practice
Experience
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

Raftovich, Roberta Raftovich, Roberta Washington D.C. Metro Area Details
Raftovich, Roberta's US Securities and Exchange Commission Experience October 2013 - Present
Job Investigative Analyst at the U.S. Securities and Exchange Commission
Industry Capital Markets
Experience
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

Andrew Aquino Andrew Aquino Greater Los Angeles Area Details
Andrew Aquino's US Securities and Exchange Commission Experience January 2012 - September 2012
Job
Industry Legal Services
Experience
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

Lia Marcelo Lia Marcelo Greater Los Angeles Area Details
Lia Marcelo's US Securities and Exchange Commission Experience April 1998 - Present
Job Paralegal at US Securities and Exchange Commission
Industry Law Enforcement
Experience
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

Peter Haller Peter Haller Washington D.C. Metro Area Details
Peter Haller's US Securities and Exchange Commission Experience 2003 - 2005
Job Managing Member at Hill Strategy LLC
Industry Capital Markets
Experience
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

Rashad Collins Rashad Collins Miami, Florida Details
Rashad Collins's US Securities and Exchange Commission Experience September 2010 - December 2010
Job Attorney
Industry Law Practice
Experience
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

Oscar Alfonso Martinez-Cruz Oscar Alfonso Martinez-Cruz Washington D.C. Metro Area Details
Oscar Alfonso Martinez-Cruz's US Securities and Exchange Commission Experience August 2011 - August 2012
Job Manager, IT Risk and Assurance at Blue Cross Blue Shield Association
Industry Information Technology and Services
Experience
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

Christina Padden Christina Padden Greater New York City Area Details
Christina Padden's US Securities and Exchange Commission Experience February 2013 - November 2013
Job VP Assistant General Counsel, Capital Markets at JPMorgan Chase
Industry Financial Services
Experience
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

Will Bradbury Will Bradbury Atlanta, Georgia Details
Will Bradbury's US Securities and Exchange Commission Experience January 2013 - August 2013
Job Associate at King & Spalding
Industry Law Practice
Experience
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

Teresa Sturm Teresa Sturm Baltimore, Maryland Area Details
Teresa Sturm's US Securities and Exchange Commission Experience 1971 - 1978
Job Health, Wellness & Fitness Professional
Industry Health, Wellness and Fitness
Experience
-- 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

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