US Securities and Exchange Commission
Industry: Federal agency
DescriptionThe U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Jurisdiction: United States of America Employees: 4,301 (2015) Headquarters: Washington, D.C., United States Founder: Franklin D. Roosevelt Founded: 6 June 1934
US Securities and Exchange Commission List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at US Securities and Exchange Commission. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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US Securities and Exchange Commission Employees
Employee
Years
Job
Industry
Monika Wlodarczyk Monika Wlodarczyk's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Jr. Global Relocation Specialist at New World Van Lines
Industry
Experience
New World Van Lines 2015 - Present
Colegio Altaduna- Attendis September 2014 - January 2015
Brunch/ Loft 644 October 2013 - May 2014
US Securities and Exchange Commission September 2013 - December 2013
North Community Bank November 2012 - August 2013
Chili's November 2010 - December 2012
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Teamwork, Photoshop, Social Media, Public Speaking, English, Windows, Time Management, Training, Leadership
Education
DePaul University 2010 — 2014
Bachelor of Arts (BA), International Studies, Business Administration
McHenry County College 2010 — 2012
Associate of Arts (AA), Associate of Science (AS)
New World Van Lines 2015 - Present
Colegio Altaduna- Attendis September 2014 - January 2015
Brunch/ Loft 644 October 2013 - May 2014
US Securities and Exchange Commission September 2013 - December 2013
North Community Bank November 2012 - August 2013
Chili's November 2010 - December 2012
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Teamwork, Photoshop, Social Media, Public Speaking, English, Windows, Time Management, Training, Leadership
Education
DePaul University 2010 — 2014
Bachelor of Arts (BA), International Studies, Business Administration
McHenry County College 2010 — 2012
Associate of Arts (AA), Associate of Science (AS)
Doug Davison Doug Davison's US Securities and Exchange Commission Experience 1996 - 2001
Job Partner at WilmerHale focusing on government investigations
Industry Law Practice
Experience
WilmerHale April 2001 - Present
US Securities and Exchange Commission 1996 - 2001
Eckert Seamans 1993 - 1996
Education
Dickinson Law 1990 — 1993
Penn State University 1986 — 1990
BS, Business Logistics
WilmerHale April 2001 - Present
US Securities and Exchange Commission 1996 - 2001
Eckert Seamans 1993 - 1996
Education
Dickinson Law 1990 — 1993
Penn State University 1986 — 1990
BS, Business Logistics
D. Andrew Quigley's US Securities and Exchange Commission Experience May 2010 - July 2010
Job Attorney
Industry Law Practice
Experience
Hunton & Williams LLP September 2015 - Present
Lewis Brisbois Bisgaard & Smith LLP August 2013 - September 2015
Solomon Saltsman Jamieson November 2011 - August 2013
US Securities and Exchange Commission May 2010 - July 2010
Skills
Legal Research, Litigation, Civil Litigation, Legal Writing, Commercial Litigation, Courts, Appeals, Trials, Arbitration
Education
University of Southern California Law School 2008 — 2011
Doctor of Law (JD)
Dartmouth College 2004 — 2008
B.A., Economics
Hunton & Williams LLP September 2015 - Present
Lewis Brisbois Bisgaard & Smith LLP August 2013 - September 2015
Solomon Saltsman Jamieson November 2011 - August 2013
US Securities and Exchange Commission May 2010 - July 2010
Skills
Legal Research, Litigation, Civil Litigation, Legal Writing, Commercial Litigation, Courts, Appeals, Trials, Arbitration
Education
University of Southern California Law School 2008 — 2011
Doctor of Law (JD)
Dartmouth College 2004 — 2008
B.A., Economics
Daniel Stoller's US Securities and Exchange Commission Experience August 2012 - December 2012
Job Legal Research Specialist at Bloomberg BNA
Industry Legal Services
Experience
Bloomberg BNA June 2014 - Present
Bloomberg BNA March 2014 - June 2014
Law Office of Daniel R. Stoller, Esq. November 2013 - March 2014
US Securities and Exchange Commission August 2012 - December 2012
Mix & Goldman, LLC May 2012 - August 2012
Mix & Goldman, LLC June 2011 - August 2011
Robert S. Stoller CPA May 2007 - August 2010
Skills
Legal Research, Bloomberg Law, PACER, EDGAR, Salesforce.com, Legal Writing, Bloomberg Terminal, Litigation, Microsoft Office, Securities Regulation, Dodd-Frank, Enforcement, Real Estate, EDGAR filings, Courts, Civil Litigation, Research, Corporate Law, PowerPoint, Mediation
Education
Pennsylvania State University, The Dickinson School of Law 2010 — 2013
J.D., Law
University of Wisconsin-Madison 2006 — 2010
B.A., Economics & Political Science
Bloomberg BNA June 2014 - Present
Bloomberg BNA March 2014 - June 2014
Law Office of Daniel R. Stoller, Esq. November 2013 - March 2014
US Securities and Exchange Commission August 2012 - December 2012
Mix & Goldman, LLC May 2012 - August 2012
Mix & Goldman, LLC June 2011 - August 2011
Robert S. Stoller CPA May 2007 - August 2010
Skills
Legal Research, Bloomberg Law, PACER, EDGAR, Salesforce.com, Legal Writing, Bloomberg Terminal, Litigation, Microsoft Office, Securities Regulation, Dodd-Frank, Enforcement, Real Estate, EDGAR filings, Courts, Civil Litigation, Research, Corporate Law, PowerPoint, Mediation
Education
Pennsylvania State University, The Dickinson School of Law 2010 — 2013
J.D., Law
University of Wisconsin-Madison 2006 — 2010
B.A., Economics & Political Science
Brandon D. Merritt's US Securities and Exchange Commission Experience June 2013 - August 2013
Job Associate at JD Law, P.C.
Industry Law Practice
Experience
JD Law, P.C. October 2014 - Present
Penn State Indigent Criminal Justice Clinic August 2013 - May 2014
US Securities and Exchange Commission June 2013 - August 2013
The Penn State University, The Dickinson School of Law May 2012 - May 2013
Fried Frank September 2009 - July 2011
LeadAmerica September 2008 - June 2009
Scottish Parliament August 2007 - December 2007
Skills
Legal Research, Legal Writing, Litigation, Courts, Research, Trials, Public Speaking, Westlaw, Hearings, Motions
Education
Pennsylvania State University, The Dickinson School of Law 2011 — 2014
Juris Doctor, Law
University of Minnesota-Twin Cities 2005 — 2008
B.A., cum laude, Political Science, Global Studies
The University of Edinburgh 2007 — 2007
Study Abroad
Dubuque Senior High School 2001 — 2005
High School Diploma
JD Law, P.C. October 2014 - Present
Penn State Indigent Criminal Justice Clinic August 2013 - May 2014
US Securities and Exchange Commission June 2013 - August 2013
The Penn State University, The Dickinson School of Law May 2012 - May 2013
Fried Frank September 2009 - July 2011
LeadAmerica September 2008 - June 2009
Scottish Parliament August 2007 - December 2007
Skills
Legal Research, Legal Writing, Litigation, Courts, Research, Trials, Public Speaking, Westlaw, Hearings, Motions
Education
Pennsylvania State University, The Dickinson School of Law 2011 — 2014
Juris Doctor, Law
University of Minnesota-Twin Cities 2005 — 2008
B.A., cum laude, Political Science, Global Studies
The University of Edinburgh 2007 — 2007
Study Abroad
Dubuque Senior High School 2001 — 2005
High School Diploma
Holly Little Holly Little's US Securities and Exchange Commission Experience 1995 - 1996
Job General Counsel and COO at Houston Heart & Vascular Associates
Industry Law Practice
Experience
Houston Heart & Vascular Associates 2007 - Present
Hand & Little 1999 - Present
Black Entertainment Television 1998 - 1999
Morrison & Foerster LLP 1996 - 1998
US Securities and Exchange Commission 1995 - 1996
Skills
Budgets, Appeals, Business Planning, Business Strategy, Corporate Governance, Legal Advice, Legal Writing, Litigation, Negotiation, Strategic Planning, Commercial Litigation, Corporate Law, Public Speaking
Education
Northeastern University - Graduate School of Business Administration 1993 — 1994
Georgetown University Law Center
LLM
Northeastern University School of Law
JD
Houston Heart & Vascular Associates 2007 - Present
Hand & Little 1999 - Present
Black Entertainment Television 1998 - 1999
Morrison & Foerster LLP 1996 - 1998
US Securities and Exchange Commission 1995 - 1996
Skills
Budgets, Appeals, Business Planning, Business Strategy, Corporate Governance, Legal Advice, Legal Writing, Litigation, Negotiation, Strategic Planning, Commercial Litigation, Corporate Law, Public Speaking
Education
Northeastern University - Graduate School of Business Administration 1993 — 1994
Georgetown University Law Center
LLM
Northeastern University School of Law
JD
Caitlin Jo Ramsey Caitlin Jo Ramsey's US Securities and Exchange Commission Experience October 2012 - June 2013
Job Field Service Engineer at Digital Reasoning Systems, Inc.
Industry Information Technology and Services
Experience
Digital Reasoning Systems, Inc. June 2015 - Present
Ramsey Informatics LLC September 2013 - June 2015
US Securities and Exchange Commission October 2012 - June 2013
ICF International July 2011 - April 2012
Duke University Pratt School of Engineering, Master of Engineering Management Program August 2009 - October 2011
Skills
Data Analysis, Mathematica, Data Science, Enterprise Architecture, Project Management, Logical Data Modeling, Mathematical Programming, Data Visualization, Relational Data Modeling, Enterprise Risk..., Integration, Consulting, Business Intelligence, SQL, Database Design
Education
Duke University 2009 — 2011
Master, Engineering Management, Finance Concentration
University of Illinois at Urbana-Champaign 2003 — 2007
BS, Physics, Specialized Curriculum
Illinois Math and Science Academy 2000 — 2003
High School Diploma, Mathematics and Science
Digital Reasoning Systems, Inc. June 2015 - Present
Ramsey Informatics LLC September 2013 - June 2015
US Securities and Exchange Commission October 2012 - June 2013
ICF International July 2011 - April 2012
Duke University Pratt School of Engineering, Master of Engineering Management Program August 2009 - October 2011
Skills
Data Analysis, Mathematica, Data Science, Enterprise Architecture, Project Management, Logical Data Modeling, Mathematical Programming, Data Visualization, Relational Data Modeling, Enterprise Risk..., Integration, Consulting, Business Intelligence, SQL, Database Design
Education
Duke University 2009 — 2011
Master, Engineering Management, Finance Concentration
University of Illinois at Urbana-Champaign 2003 — 2007
BS, Physics, Specialized Curriculum
Illinois Math and Science Academy 2000 — 2003
High School Diploma, Mathematics and Science
Blaise Brennan Blaise Brennan's US Securities and Exchange Commission Experience October 2011 - December 2011
Job Assistant Secretary, Program Director Corporate, Securities and Corporate Governance at WGL Holdings, Inc.
Industry Law Practice
Experience
WGL Holdings, Inc. December 2014 - Present
Gibson, Dunn & Crutcher LLP January 2012 - November 2014
US Securities and Exchange Commission October 2011 - December 2011
US Securities and Exchange Commission August 2011 - October 2011
US Securities and Exchange Commission February 2009 - July 2011
Latham & Watkins July 2001 - January 2009
Skills
M&A experience, Capital Markets, Securities Regulation, Corporate Governance, Securities, Corporate Law
Education
Georgetown University Law Center 1997 — 2001
Doctor of Law (J.D.)
Davidson College 1987 — 1991
Bachelor of Arts (B.A.), Economics
WGL Holdings, Inc. December 2014 - Present
Gibson, Dunn & Crutcher LLP January 2012 - November 2014
US Securities and Exchange Commission October 2011 - December 2011
US Securities and Exchange Commission August 2011 - October 2011
US Securities and Exchange Commission February 2009 - July 2011
Latham & Watkins July 2001 - January 2009
Skills
M&A experience, Capital Markets, Securities Regulation, Corporate Governance, Securities, Corporate Law
Education
Georgetown University Law Center 1997 — 2001
Doctor of Law (J.D.)
Davidson College 1987 — 1991
Bachelor of Arts (B.A.), Economics
Greg Little Greg Little's US Securities and Exchange Commission Experience 1992 - 1994
Job Trial Lawyer, Partner at White & Case
Industry Law Practice
Experience
White & Case 2009 - Present
Altria 1995 - 2001
US Securities and Exchange Commission 1992 - 1994
Skills
Commercial Litigation, SEC Enforcement, Product Liability, Antitrust Law
Education
University of Tennessee College of Law 1979 — 1982
Doctor of Law (JD)
Drew University 1975 — 1977
Bachelor of Arts (BA)
White & Case 2009 - Present
Altria 1995 - 2001
US Securities and Exchange Commission 1992 - 1994
Skills
Commercial Litigation, SEC Enforcement, Product Liability, Antitrust Law
Education
University of Tennessee College of Law 1979 — 1982
Doctor of Law (JD)
Drew University 1975 — 1977
Bachelor of Arts (BA)
Catherine Siemer Catherine Siemer's US Securities and Exchange Commission Experience October 2007 - May 2008
Job Senior Analyst Real Estate & Treasury
Industry Food & Beverages
Experience
Reyes Holdings March 2014 - Present
Reyes Holdings February 2012 - February 2014
Deloitte September 2009 - January 2012
US Securities and Exchange Commission October 2007 - May 2008
Skills
Financial Reporting, Internal Controls, Accounting, Auditing, Sarbanes-Oxley Act, Internal Audit, External Audit
Education
DePaul University 2004 — 2009
Bachelor of Science (BS), Accounting and Finance
Reyes Holdings March 2014 - Present
Reyes Holdings February 2012 - February 2014
Deloitte September 2009 - January 2012
US Securities and Exchange Commission October 2007 - May 2008
Skills
Financial Reporting, Internal Controls, Accounting, Auditing, Sarbanes-Oxley Act, Internal Audit, External Audit
Education
DePaul University 2004 — 2009
Bachelor of Science (BS), Accounting and Finance
John Philip Noonan's US Securities and Exchange Commission Experience January 2013 - April 2013
Job Assistant State Attorney at Second Judicial Circuit State Attorney's Office
Industry Law Practice
Experience
Florida Department of Children and Families October 2013 - January 2015
US Securities and Exchange Commission January 2013 - April 2013
Stetson University College of Law August 2012 - December 2012
U.S. District Court for the Middle District of Florida May 2012 - July 2012
Anderson, Roberts, Porth & Wallace July 2011 - August 2011
UBS Investment Bank August 2009 - August 2010
Iowa Legislature January 2009 - April 2009
Skills
Public Speaking, Civil Litigation, Courts, Criminal Law, Trials, Research, Legal Research, Legal Writing, Hearings, Insurance, Securities, Fraud, Public Policy, Policy Analysis, Microsoft Office, Nonprofits, PowerPoint, Microsoft Excel, Government, Editing, Community Outreach
Education
Stetson University College of Law 2010 — 2013
J.D.
St. Mary’s University, Twickenham 2009 — 2010
Post Graduate Certificate
Creighton University 2004 — 2008
B.A.
Burlington Community High School 2000 — 2004
High School Diploma
Florida Department of Children and Families October 2013 - January 2015
US Securities and Exchange Commission January 2013 - April 2013
Stetson University College of Law August 2012 - December 2012
U.S. District Court for the Middle District of Florida May 2012 - July 2012
Anderson, Roberts, Porth & Wallace July 2011 - August 2011
UBS Investment Bank August 2009 - August 2010
Iowa Legislature January 2009 - April 2009
Skills
Public Speaking, Civil Litigation, Courts, Criminal Law, Trials, Research, Legal Research, Legal Writing, Hearings, Insurance, Securities, Fraud, Public Policy, Policy Analysis, Microsoft Office, Nonprofits, PowerPoint, Microsoft Excel, Government, Editing, Community Outreach
Education
Stetson University College of Law 2010 — 2013
J.D.
St. Mary’s University, Twickenham 2009 — 2010
Post Graduate Certificate
Creighton University 2004 — 2008
B.A.
Burlington Community High School 2000 — 2004
High School Diploma
Lannas Jason Barfield Lannas Jason Barfield's US Securities and Exchange Commission Experience June 2000 - July 2000
Job Attorney and Economist
Industry Renewables & Environment
Experience
AAD Pediatric Therapy, PLLC October 2009 - Present
Lannas Barfield, PC 2010 - 2011
Haynes and Boone, LLP 2006 - 2009
Gardere Wynne Sewell LLP 2005 - 2006
Andrews Kurth LLP 2001 - 2005
US Securities and Exchange Commission June 2000 - July 2000
Attorney General of the State of Virginia June 1999 - August 1999
Skills
Public Policy, Corporate Law, Commercial Litigation, Policy, International...
Education
Duke University 2011 — 2013
Master's Degree, Economics and Environmental Policy
Washington and Lee University School of Law 1998 — 2001
J.D.
The University of Texas at Austin 1993 — 1997
B.B.A., Finance
AAD Pediatric Therapy, PLLC October 2009 - Present
Lannas Barfield, PC 2010 - 2011
Haynes and Boone, LLP 2006 - 2009
Gardere Wynne Sewell LLP 2005 - 2006
Andrews Kurth LLP 2001 - 2005
US Securities and Exchange Commission June 2000 - July 2000
Attorney General of the State of Virginia June 1999 - August 1999
Skills
Public Policy, Corporate Law, Commercial Litigation, Policy, International...
Education
Duke University 2011 — 2013
Master's Degree, Economics and Environmental Policy
Washington and Lee University School of Law 1998 — 2001
J.D.
The University of Texas at Austin 1993 — 1997
B.B.A., Finance
Joseph Brenner Joseph Brenner's US Securities and Exchange Commission Experience January 2011 - Present
Job Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission January 2011 - Present
Wilmer Cutler Pickering Hale and Dorr January 1990 - December 2010
Education
Georgetown University Law Center 1979 — 1982
JD
Cornell University 1975 — 1979
AB
US Securities and Exchange Commission January 2011 - Present
Wilmer Cutler Pickering Hale and Dorr January 1990 - December 2010
Education
Georgetown University Law Center 1979 — 1982
JD
Cornell University 1975 — 1979
AB
Christopher Montagano Christopher Montagano's US Securities and Exchange Commission Experience August 2011 - December 2011
Job Associate at Taft Stettinius & Hollister LLP
Industry Legal Services
Experience
Taft Stettinius & Hollister LLP August 2012 - Present
US Securities and Exchange Commission August 2011 - December 2011
Freeborn & Peters LLP July 2010 - August 2010
Akin Gump Strauss Hauer & Feld LLP May 2010 - July 2010
Montagano for Congress May 2008 - December 2008
Skills
Mergers & Acquisitions, Private Equity, Corporate Law, Securities Regulation, Due Diligence, Venture Capital, Corporate Governance, Finance, Legal Writing, Legal Research, International Law, Appeals, Securities, Joint Ventures
Education
Indiana University School of Law—Bloomington 2009 — 2012
J.D., magna cum laude
DePauw University 2004 — 2008
B.A., cum laude
University of Oxford 2006 — 2007
Taft Stettinius & Hollister LLP August 2012 - Present
US Securities and Exchange Commission August 2011 - December 2011
Freeborn & Peters LLP July 2010 - August 2010
Akin Gump Strauss Hauer & Feld LLP May 2010 - July 2010
Montagano for Congress May 2008 - December 2008
Skills
Mergers & Acquisitions, Private Equity, Corporate Law, Securities Regulation, Due Diligence, Venture Capital, Corporate Governance, Finance, Legal Writing, Legal Research, International Law, Appeals, Securities, Joint Ventures
Education
Indiana University School of Law—Bloomington 2009 — 2012
J.D., magna cum laude
DePauw University 2004 — 2008
B.A., cum laude
University of Oxford 2006 — 2007
Rachel Hurnyak Rachel Hurnyak's US Securities and Exchange Commission Experience September 2011 - June 2013
Job MBA interdisciplinarian who helps organizations take courageous, calculated risks
Industry Program Development
Experience
NYU Stern School of Business July 2013 - Present
Nasdaq June 2014 - August 2014
US Securities and Exchange Commission September 2011 - June 2013
US Securities and Exchange Commission June 2009 - August 2011
Ford Motor Company December 2007 - June 2009
Office of Pennsylvania Governor Edward Rendell May 2006 - August 2006
The Sentinel May 2006 - August 2006
The Dickinsonian May 2005 - December 2005
Education
New York University - Leonard N. Stern School of Business 2013 — 2015
Master of Business Administration (M.B.A.), Finance, Economics
Dickinson College 2003 — 2007
Bachelor of Arts, American Studies
NYU Stern School of Business July 2013 - Present
Nasdaq June 2014 - August 2014
US Securities and Exchange Commission September 2011 - June 2013
US Securities and Exchange Commission June 2009 - August 2011
Ford Motor Company December 2007 - June 2009
Office of Pennsylvania Governor Edward Rendell May 2006 - August 2006
The Sentinel May 2006 - August 2006
The Dickinsonian May 2005 - December 2005
Education
New York University - Leonard N. Stern School of Business 2013 — 2015
Master of Business Administration (M.B.A.), Finance, Economics
Dickinson College 2003 — 2007
Bachelor of Arts, American Studies
Eric Ng Eric Ng's US Securities and Exchange Commission Experience September 2012 - November 2012
Job Assistant General Counsel at Apple Bank for Savings
Industry Law Practice
Experience
Apple Bank for Savings November 2014 - Present
Superior Court of New Jersey August 2013 - August 2014
Rutgers Law Review July 2011 - April 2013
US Securities and Exchange Commission September 2012 - November 2012
US Securities and Exchange Commission May 2012 - August 2012
U.S. District Court of New Jersey January 2012 - April 2012
Prudential Financial May 2011 - August 2011
Skills
Legal Research, Legal Writing, Westlaw, LexisNexis, Translation, Cantonese, Mandarin, Securities Regulation, Mutual Funds, 1940 Act, Research, Securities, Corporate Governance, Editing, Lexis, Courts, Corporate Law, Mediation, Public Policy, Intellectual Property, International Law, Trials, Legal Issues, Appeals, Criminal Law, Legal Assistance
Education
Rutgers University School of Law - Newark 2010 — 2013
J.D., Law
Cornell University 2005 — 2009
B.A, History, Government, Asian American Studies, 3.67
Murry Bergtraum High School 2001 — 2005
HS Diploma, Computer Science
Apple Bank for Savings November 2014 - Present
Superior Court of New Jersey August 2013 - August 2014
Rutgers Law Review July 2011 - April 2013
US Securities and Exchange Commission September 2012 - November 2012
US Securities and Exchange Commission May 2012 - August 2012
U.S. District Court of New Jersey January 2012 - April 2012
Prudential Financial May 2011 - August 2011
Skills
Legal Research, Legal Writing, Westlaw, LexisNexis, Translation, Cantonese, Mandarin, Securities Regulation, Mutual Funds, 1940 Act, Research, Securities, Corporate Governance, Editing, Lexis, Courts, Corporate Law, Mediation, Public Policy, Intellectual Property, International Law, Trials, Legal Issues, Appeals, Criminal Law, Legal Assistance
Education
Rutgers University School of Law - Newark 2010 — 2013
J.D., Law
Cornell University 2005 — 2009
B.A, History, Government, Asian American Studies, 3.67
Murry Bergtraum High School 2001 — 2005
HS Diploma, Computer Science
Jay Velasco's US Securities and Exchange Commission Experience May 2008 - July 2008
Job Business Operations & Strategy
Industry Consumer Goods
Experience
Corr Jensen August 2014 - Present
Corr Jensen July 2012 - August 2014
Deloitte Consulting August 2010 - June 2012
Deloitte Consulting June 2009 - August 2009
US Securities and Exchange Commission May 2008 - July 2008
Skills
Policy Analysis, Management Consulting, Entrepreneurship, Data Analysis, Start-ups, Business Strategy, Market Research
Education
Cornell University
Bachelor of Science (BS), Policy Analysis & Management
Corr Jensen August 2014 - Present
Corr Jensen July 2012 - August 2014
Deloitte Consulting August 2010 - June 2012
Deloitte Consulting June 2009 - August 2009
US Securities and Exchange Commission May 2008 - July 2008
Skills
Policy Analysis, Management Consulting, Entrepreneurship, Data Analysis, Start-ups, Business Strategy, Market Research
Education
Cornell University
Bachelor of Science (BS), Policy Analysis & Management
Rebecca Carr Rebecca Carr's US Securities and Exchange Commission Experience October 2011 - May 2012
Job Assistant Vice President at JPMorgan Chase
Industry Financial Services
Experience
JPMorgan Chase October 2012 - Present
US Securities and Exchange Commission October 2011 - May 2012
Drew University 2009 - 2012
United States Senate June 2011 - August 2011
U.S. House of Representatives January 2011 - January 2011
Suffolk County Department of Economic Development and Workforce Housing June 2010 - August 2010
Geraldine R. Dodge Foundation March 2010 - May 2010
Windwood Meadow, Inc. January 2010 - January 2010
Skills
Policy Analysis, Political Science, Talking Points, Politics, Legal Research, Community Outreach, Research, Financial Analysis, Auditing, Regulatory Examinations
Education
Dowling College 2012 — 2013
Master of Business Administration (M.B.A.), Corporate Finance
Drew University 2008 — 2012
Bachelor of Arts (B.A.), Economics, Spanish
Westhampton Beach High School 2004 — 2008
JPMorgan Chase October 2012 - Present
US Securities and Exchange Commission October 2011 - May 2012
Drew University 2009 - 2012
United States Senate June 2011 - August 2011
U.S. House of Representatives January 2011 - January 2011
Suffolk County Department of Economic Development and Workforce Housing June 2010 - August 2010
Geraldine R. Dodge Foundation March 2010 - May 2010
Windwood Meadow, Inc. January 2010 - January 2010
Skills
Policy Analysis, Political Science, Talking Points, Politics, Legal Research, Community Outreach, Research, Financial Analysis, Auditing, Regulatory Examinations
Education
Dowling College 2012 — 2013
Master of Business Administration (M.B.A.), Corporate Finance
Drew University 2008 — 2012
Bachelor of Arts (B.A.), Economics, Spanish
Westhampton Beach High School 2004 — 2008
Edward Goldstein, CFP Edward Goldstein, CFP's US Securities and Exchange Commission Experience September 1986 - January 1987
Job FeeBased Comprehensive Financial Planning Specialist | 6x "FIVE STAR Wealth Manager" recipient | Client Fiduciary
Industry Financial Services
Experience
Financial Life Planning, LLC June 2008 - Present
Lincoln Financial Group December 2002 - January 2007
Metris Companies 2000 - 2001
Chase Manhattan Mortgage April 2000 - October 2000
Advanta Business Services 1996 - 2000
Penn Mutual 1991 - 1996
US Securities and Exchange Commission September 1986 - January 1987
Skills
Asset Allocation, Retirement Planning, Life Insurance, Estate Planning, Investment Advisory, Financial Advisory, Small Business, Fixed Annuities, Investments, IRAs, Financial Planning, Retirement, Asset Management, Disability Insurance, Wealth Accumulation, Wealth Management, Mutual Funds, 401k, Long Term Care Insurance, Certified Financial..., Universal Life, Term Life Insurance, Personal Tax Planning, Permanent Life Insurance, Financial Planners, Strategic Financial..., Securities
Education
Drexel University 1988 — 1990
MBA, Finance (Portfolio Management)
Richard Stockton College of New Jersey 1983 — 1987
BA, Finance
Financial Life Planning, LLC June 2008 - Present
Lincoln Financial Group December 2002 - January 2007
Metris Companies 2000 - 2001
Chase Manhattan Mortgage April 2000 - October 2000
Advanta Business Services 1996 - 2000
Penn Mutual 1991 - 1996
US Securities and Exchange Commission September 1986 - January 1987
Skills
Asset Allocation, Retirement Planning, Life Insurance, Estate Planning, Investment Advisory, Financial Advisory, Small Business, Fixed Annuities, Investments, IRAs, Financial Planning, Retirement, Asset Management, Disability Insurance, Wealth Accumulation, Wealth Management, Mutual Funds, 401k, Long Term Care Insurance, Certified Financial..., Universal Life, Term Life Insurance, Personal Tax Planning, Permanent Life Insurance, Financial Planners, Strategic Financial..., Securities
Education
Drexel University 1988 — 1990
MBA, Finance (Portfolio Management)
Richard Stockton College of New Jersey 1983 — 1987
BA, Finance
Jesse Goins Jesse Goins's US Securities and Exchange Commission Experience September 2013 - December 2013
Job J.D., Washington University School of Law
Industry
Experience
US Securities and Exchange Commission September 2013 - December 2013
BJC HealthCare May 2013 - July 2013
BJC HealthCare May 2012 - August 2012
Cafe Atlantic July 2010 - August 2011
Wake Endoscopy Center August 2008 - October 2009
CCHC Imaging Center February 2006 - May 2008
Skills
Legal Issues
Education
Washington University School of Law 2011 — 2014
J.D
Duke University
B.A, Political Science
US Securities and Exchange Commission September 2013 - December 2013
BJC HealthCare May 2013 - July 2013
BJC HealthCare May 2012 - August 2012
Cafe Atlantic July 2010 - August 2011
Wake Endoscopy Center August 2008 - October 2009
CCHC Imaging Center February 2006 - May 2008
Skills
Legal Issues
Education
Washington University School of Law 2011 — 2014
J.D
Duke University
B.A, Political Science
Jennifer Karlin Jennifer Karlin's US Securities and Exchange Commission Experience July 2008 - August 2008
Job
Industry Law Practice
Experience
Extreme Music May 2014 - June 2015
Katten Muchin Rosenman LLP February 2010 - March 2013
Georgetown University Law Center January 2009 - February 2010
US Securities and Exchange Commission July 2008 - August 2008
Katten Muchin Rosenman LLP May 2008 - July 2008
The US Securities and Exchange Commission January 2008 - April 2008
Ober, Kaler, Grimes & Shriver May 2007 - August 2007
Brower Kriz & Stynchcomb, LLC January 2000 - May 2006
Education
New York University 2013 — 2015
Master of Laws (LL.M.), Tax Law/Taxation
Georgetown University Law Center 2006 — 2009
Doctor of Law (JD)
Dartmouth College
University of Maryland College Park
Extreme Music May 2014 - June 2015
Katten Muchin Rosenman LLP February 2010 - March 2013
Georgetown University Law Center January 2009 - February 2010
US Securities and Exchange Commission July 2008 - August 2008
Katten Muchin Rosenman LLP May 2008 - July 2008
The US Securities and Exchange Commission January 2008 - April 2008
Ober, Kaler, Grimes & Shriver May 2007 - August 2007
Brower Kriz & Stynchcomb, LLC January 2000 - May 2006
Education
New York University 2013 — 2015
Master of Laws (LL.M.), Tax Law/Taxation
Georgetown University Law Center 2006 — 2009
Doctor of Law (JD)
Dartmouth College
University of Maryland College Park
Beckie (Ament) Marquigny Beckie (Ament) Marquigny's US Securities and Exchange Commission Experience July 2013 - Present
Job Senior Counsel at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission November 1999 - July 2013
U.S. Securities and Exchange Commission November 1994 - November 1999
Verner, Liipfert, Bernhard, McPherson & Hand 1992 - 1994
Chadbourne & Parke 1990 - 1992
Skills
Public Policy, Legal Writing, Securities Regulation, Securities Compliance, Securities Market, Investment Advisers Act, Securities Litigation, Corporate Law, Investment Company Act, Corporate Governance, Legal Research, Internal Investigations, Administrative Law, Litigation Management, Intellectual Property, Privacy Law, Mediation, Criminal Law, Class Actions, Securities Offerings, SEC, Investment Companies, Legal Compliance, Licensing, Broker-Dealer, FCPA, Trade Secrets, Appeals, Competition Law
Education
Duke University School of Law 1987 — 1990
Doctor of Law (JD)
Duke University 1983 — 1987
BA awarded Magna Cum Laude, History
Holton-Arms 1974 — 1983
high school
U.S. Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission November 1999 - July 2013
U.S. Securities and Exchange Commission November 1994 - November 1999
Verner, Liipfert, Bernhard, McPherson & Hand 1992 - 1994
Chadbourne & Parke 1990 - 1992
Skills
Public Policy, Legal Writing, Securities Regulation, Securities Compliance, Securities Market, Investment Advisers Act, Securities Litigation, Corporate Law, Investment Company Act, Corporate Governance, Legal Research, Internal Investigations, Administrative Law, Litigation Management, Intellectual Property, Privacy Law, Mediation, Criminal Law, Class Actions, Securities Offerings, SEC, Investment Companies, Legal Compliance, Licensing, Broker-Dealer, FCPA, Trade Secrets, Appeals, Competition Law
Education
Duke University School of Law 1987 — 1990
Doctor of Law (JD)
Duke University 1983 — 1987
BA awarded Magna Cum Laude, History
Holton-Arms 1974 — 1983
high school
Samuel Meller Samuel Meller's US Securities and Exchange Commission Experience January 2011 - May 2011
Job Attorney
Industry Law Practice
Experience
Feldman Kronfeld & Beatty November 2014 - Present
Parker Waichman LLP May 2013 - July 2014
Kings County District Attorney September 2012 - April 2013
Gwinnett County District Attorney's Office August 2011 - April 2012
Parker Waichman Alonso LLP June 2011 - July 2011
US Securities and Exchange Commission January 2011 - May 2011
Nova Scotia Legal Aid Commission May 2010 - August 2010
U.S. Department of Justice June 2008 - August 2008
Skills
Litigation, Personal Injury, Civil Litigation, Advocacy, Torts, Criminal Law, Class Actions, Hearings, Legal Research, Legal Writing, Motions, Appeals, Courts, Criminal Defense, Westlaw, Document Drafting, International Law, Trial Practice, Mediation, Lexis, Legal Advice, Prosecution
Education
University of Georgia School of Law 2009 — 2012
J.D., Law
Dickinson College 2005 — 2009
B.A., Political Science
Johns Hopkins Paul H. Nitze School of Advanced International Studies, Bologna 2008 — 2008
N/A, Political Science
Feldman Kronfeld & Beatty November 2014 - Present
Parker Waichman LLP May 2013 - July 2014
Kings County District Attorney September 2012 - April 2013
Gwinnett County District Attorney's Office August 2011 - April 2012
Parker Waichman Alonso LLP June 2011 - July 2011
US Securities and Exchange Commission January 2011 - May 2011
Nova Scotia Legal Aid Commission May 2010 - August 2010
U.S. Department of Justice June 2008 - August 2008
Skills
Litigation, Personal Injury, Civil Litigation, Advocacy, Torts, Criminal Law, Class Actions, Hearings, Legal Research, Legal Writing, Motions, Appeals, Courts, Criminal Defense, Westlaw, Document Drafting, International Law, Trial Practice, Mediation, Lexis, Legal Advice, Prosecution
Education
University of Georgia School of Law 2009 — 2012
J.D., Law
Dickinson College 2005 — 2009
B.A., Political Science
Johns Hopkins Paul H. Nitze School of Advanced International Studies, Bologna 2008 — 2008
N/A, Political Science
Russell Stevenson Russell Stevenson's US Securities and Exchange Commission Experience 1981 - 1984
Job Visiting Professor at Georgetown University Law Center
Industry Legal Services
Experience
Georgetown University Law Center August 2009 - Present
Chesapeake Legal Alliance 2009 - Present
Ciena 2001 - 2008
CyberCash 1996 - 2000
Ballard Spahr Andrews & Ingersoll, LLP 1993 - 1996
Pepper Hamilton LLP 1991 - 1993
Hale and Dorr LLP 1984 - 1991
US Securities and Exchange Commission 1981 - 1984
George Washington University 1971 - 1981
Skills
Contract Negotiation, Public Speaking, Corporate Law, Non-profits, Teaching, Writing, Government, Nonprofits, Management, Securities Regulation, Legal Writing, Policy, Legal Assistance, Public Policy, Policy Analysis, Legal Research, Corporate Governance, Litigation
Education
Harvard Law School 1966 — 1969
JD, Law
Cornell University 1959 — 1964
BME, Mechanical Engineering
Georgetown University Law Center August 2009 - Present
Chesapeake Legal Alliance 2009 - Present
Ciena 2001 - 2008
CyberCash 1996 - 2000
Ballard Spahr Andrews & Ingersoll, LLP 1993 - 1996
Pepper Hamilton LLP 1991 - 1993
Hale and Dorr LLP 1984 - 1991
US Securities and Exchange Commission 1981 - 1984
George Washington University 1971 - 1981
Skills
Contract Negotiation, Public Speaking, Corporate Law, Non-profits, Teaching, Writing, Government, Nonprofits, Management, Securities Regulation, Legal Writing, Policy, Legal Assistance, Public Policy, Policy Analysis, Legal Research, Corporate Governance, Litigation
Education
Harvard Law School 1966 — 1969
JD, Law
Cornell University 1959 — 1964
BME, Mechanical Engineering
Lauren Hokamp Lauren Hokamp's US Securities and Exchange Commission Experience January 2012 - April 2012
Job Associate Attorney at Bybel Rutledge LLP
Industry Law Practice
Experience
Bybel Rutledge LLP July 2014 - Present
Daley Zucker Meilton & Miner, LLC October 2013 - July 2014
Abom & Kutulakis, L.L.P. August 2012 - October 2013
US Securities and Exchange Commission January 2012 - April 2012
Abom and Kutulakis, L.L.P. May 2011 - December 2011
Pennsylvania Department of Transportation (PennDOT) August 2010 - December 2010
Pennsylvania State Treasury May 2007 - August 2007
Skills
Securities Regulation, Legal Research, Civil Litigation, Litigation, Legal Writing, Commercial Litigation, Mediation, Family Law, Appeals, Courts, Hearings, Westlaw, Construction Law
Education
Pennsylvania State University, The Dickinson School of Law 2009 — 2012
Doctor of Law (JD)
Penn State University 2005 — 2009
Bachelor of Science (B.S.), Finance, Minor, Business Law
Boiling Springs High School 2001 — 2005
Bybel Rutledge LLP July 2014 - Present
Daley Zucker Meilton & Miner, LLC October 2013 - July 2014
Abom & Kutulakis, L.L.P. August 2012 - October 2013
US Securities and Exchange Commission January 2012 - April 2012
Abom and Kutulakis, L.L.P. May 2011 - December 2011
Pennsylvania Department of Transportation (PennDOT) August 2010 - December 2010
Pennsylvania State Treasury May 2007 - August 2007
Skills
Securities Regulation, Legal Research, Civil Litigation, Litigation, Legal Writing, Commercial Litigation, Mediation, Family Law, Appeals, Courts, Hearings, Westlaw, Construction Law
Education
Pennsylvania State University, The Dickinson School of Law 2009 — 2012
Doctor of Law (JD)
Penn State University 2005 — 2009
Bachelor of Science (B.S.), Finance, Minor, Business Law
Boiling Springs High School 2001 — 2005
Nick Bhargava Nick Bhargava's US Securities and Exchange Commission Experience 2010 - 2010
Job CoFounder at GROUNDFLOOR Finance
Industry Financial Services
Experience
GROUNDFLOOR Finance 2013 - Present
Motaavi, LLC September 2011 - 2013
SciQuest January 2012 - May 2012
The Financial Services Roundtable 2011 - 2011
US Securities and Exchange Commission 2010 - 2010
Financial Industry Regulatory Authority 2009 - 2009
TD 2006 - 2008
RBC 2004 - 2006
Skills
Financial Regulation, Securities Law, Trading Systems, Venture Capital, Private Equity, Capital Markets, Hedge Funds, Financial Modeling, Investments, Securities, Investment Banking, Emerging Markets, Equities, Valuation, Entrepreneurship, Due Diligence, Corporate Finance, Mergers, Start-ups, Mergers & Acquisitions, Corporate Development, Economics, Securities Regulation, Alternative Investments, Joint Ventures, Investor Relations, Private Placements, IPO, Angel Investing, Structured Finance, Financial Structuring, M&A experience, Executive Management, Business Valuation, Investment Strategies
Education
Duke University
University of Alberta
GROUNDFLOOR Finance 2013 - Present
Motaavi, LLC September 2011 - 2013
SciQuest January 2012 - May 2012
The Financial Services Roundtable 2011 - 2011
US Securities and Exchange Commission 2010 - 2010
Financial Industry Regulatory Authority 2009 - 2009
TD 2006 - 2008
RBC 2004 - 2006
Skills
Financial Regulation, Securities Law, Trading Systems, Venture Capital, Private Equity, Capital Markets, Hedge Funds, Financial Modeling, Investments, Securities, Investment Banking, Emerging Markets, Equities, Valuation, Entrepreneurship, Due Diligence, Corporate Finance, Mergers, Start-ups, Mergers & Acquisitions, Corporate Development, Economics, Securities Regulation, Alternative Investments, Joint Ventures, Investor Relations, Private Placements, IPO, Angel Investing, Structured Finance, Financial Structuring, M&A experience, Executive Management, Business Valuation, Investment Strategies
Education
Duke University
University of Alberta
Mark O'Horo Mark O'Horo's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Attorney at Office of the Comptroller of the Currency
Industry Law Practice
Experience
Office of the Comptroller of the Currency September 2014 - Present
US Securities and Exchange Commission May 2013 - August 2013
United States Attorney's Office May 2012 - August 2012
Boumatic June 2010 - August 2010
Skills
Research, Public Speaking, Civil Litigation, Criminal Law, Litigation, Social Media, Microsoft Office, Legal Research, Microsoft Excel, Legal Issues, Legal Writing, PowerPoint, Data Analysis, Microsoft Word, Securities Regulation
Education
Washington University in St. Louis 2011 — 2014
Doctor of Law (J.D.), Magna Cum Laude
Dartmouth College 2007 — 2011
B.A., Economics & Government
Office of the Comptroller of the Currency September 2014 - Present
US Securities and Exchange Commission May 2013 - August 2013
United States Attorney's Office May 2012 - August 2012
Boumatic June 2010 - August 2010
Skills
Research, Public Speaking, Civil Litigation, Criminal Law, Litigation, Social Media, Microsoft Office, Legal Research, Microsoft Excel, Legal Issues, Legal Writing, PowerPoint, Data Analysis, Microsoft Word, Securities Regulation
Education
Washington University in St. Louis 2011 — 2014
Doctor of Law (J.D.), Magna Cum Laude
Dartmouth College 2007 — 2011
B.A., Economics & Government
Brian Rubin Brian Rubin's US Securities and Exchange Commission Experience August 1992 - August 1996
Job Securities enforcement, litigation and regulatory counseling partner at Sutherland Asbill & Brennan LLP
Industry Law Practice
Experience
Sutherland Asbill & Brennan LLP September 2003 - Present
FINRA (formerly NASD) August 1996 - August 2003
US Securities and Exchange Commission August 1992 - August 1996
Melrod, Redman & Gartlan 1991 - 1992
Sidley Austin August 1987 - August 1991
Skills
Securities, Enforcement, Compliance, Securities Law, Securities Regulation, Litigation, Investment Advisory, FINRA, Arbitration, Internal Investigations, Securities Litigation, Broker-Dealer, Corporate Governance, SEC, Licensing, White Collar Criminal..., Due Diligence, Civil Litigation, Privacy Law
Education
Duke University 1984 — 1987
MA, Economics
Duke University School of Law 1984 — 1987
JD
University of Pennsylvania - The Wharton School 1980 — 1984
BS, Economics, cum laude
Sutherland Asbill & Brennan LLP September 2003 - Present
FINRA (formerly NASD) August 1996 - August 2003
US Securities and Exchange Commission August 1992 - August 1996
Melrod, Redman & Gartlan 1991 - 1992
Sidley Austin August 1987 - August 1991
Skills
Securities, Enforcement, Compliance, Securities Law, Securities Regulation, Litigation, Investment Advisory, FINRA, Arbitration, Internal Investigations, Securities Litigation, Broker-Dealer, Corporate Governance, SEC, Licensing, White Collar Criminal..., Due Diligence, Civil Litigation, Privacy Law
Education
Duke University 1984 — 1987
MA, Economics
Duke University School of Law 1984 — 1987
JD
University of Pennsylvania - The Wharton School 1980 — 1984
BS, Economics, cum laude
Vicki Hulick Vicki Hulick's US Securities and Exchange Commission Experience July 1993 - February 2000
Job Senior Principal Consultant at ACA Compliance Group
Industry Financial Services
Experience
ACA Compliance Group August 2008 - Present
PricewaterhouseCoopers LLP January 2003 - February 2008
Nicholas-Applegate Capital Management February 2000 - October 2002
US Securities and Exchange Commission July 1993 - February 2000
Richard Fontaine Associates, Inc. April 1989 - July 1993
T. Rowe Price March 1987 - April 1989
Skills
Securities, Hedge Funds, Private Equity, Mutual Funds, Compliance, Compliance Monitoring, Securities Regulation, Regulatory Requirements, Regulatory Documentation, Regulatory Filings, Due Diligence, Investment Advisory, Alternative Investments, Investment Management, Financial Policies &..., Code of Ethics, Document Review, Gap Analysis, AML, Portfolio Management, Auditing, Internal Controls, SEC, Venture Capital
Education
University of Southern California 1982 — 1987
MS, Systems Management - Logistics Option
Cornell University 1974 — 1978
BA, Economics
ACA Compliance Group August 2008 - Present
PricewaterhouseCoopers LLP January 2003 - February 2008
Nicholas-Applegate Capital Management February 2000 - October 2002
US Securities and Exchange Commission July 1993 - February 2000
Richard Fontaine Associates, Inc. April 1989 - July 1993
T. Rowe Price March 1987 - April 1989
Skills
Securities, Hedge Funds, Private Equity, Mutual Funds, Compliance, Compliance Monitoring, Securities Regulation, Regulatory Requirements, Regulatory Documentation, Regulatory Filings, Due Diligence, Investment Advisory, Alternative Investments, Investment Management, Financial Policies &..., Code of Ethics, Document Review, Gap Analysis, AML, Portfolio Management, Auditing, Internal Controls, SEC, Venture Capital
Education
University of Southern California 1982 — 1987
MS, Systems Management - Logistics Option
Cornell University 1974 — 1978
BA, Economics
Pei Yuan Chung Pei Yuan Chung's US Securities and Exchange Commission Experience December 2013 - Present
Job Attorney, Division of Enforcement at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission December 2013 - Present
Grippo & Elden March 2008 - November 2013
Winston & Strawn LLP October 2005 - February 2008
United States District Court for the Northern District of Illinois September 2004 - September 2005
Sidley Austin LLP June 2003 - September 2003
Sperling & Slater, P.C. June 2002 - May 2003
U.S. Department of Justice August 1999 - July 2001
Self-Help 1997 - 1999
Skills
Litigation, Civil Litigation, Courts, Commercial Litigation, Insurance Law, Trial Practice, Appellate Practice, Antitrust Law, Class Actions, Intellectual Property, Legal Discovery, Federal Court Practice, Legal Research, Trials, Legal Writing, Securities Fraud, Securities Litigation, Securities Regulation, Insider Trading
Education
University of Chicago Law School 2001 — 2004
Doctor of Law (J.D.), Law
Duke University 1995 — 1999
Bachelor of Arts (B.A.), cum laude, Economics
University of London 1998 — 1998
US Securities and Exchange Commission December 2013 - Present
Grippo & Elden March 2008 - November 2013
Winston & Strawn LLP October 2005 - February 2008
United States District Court for the Northern District of Illinois September 2004 - September 2005
Sidley Austin LLP June 2003 - September 2003
Sperling & Slater, P.C. June 2002 - May 2003
U.S. Department of Justice August 1999 - July 2001
Self-Help 1997 - 1999
Skills
Litigation, Civil Litigation, Courts, Commercial Litigation, Insurance Law, Trial Practice, Appellate Practice, Antitrust Law, Class Actions, Intellectual Property, Legal Discovery, Federal Court Practice, Legal Research, Trials, Legal Writing, Securities Fraud, Securities Litigation, Securities Regulation, Insider Trading
Education
University of Chicago Law School 2001 — 2004
Doctor of Law (J.D.), Law
Duke University 1995 — 1999
Bachelor of Arts (B.A.), cum laude, Economics
University of London 1998 — 1998
Michelle Sawyer Michelle Sawyer's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Attorney
Industry Law Practice
Experience
US Securities and Exchange Commission September 2013 - December 2013
New York State Department of Financial Services June 2013 - August 2013
Direct Brands, Inc. June 2012 - August 2012
Save Darfur Coalition June 2011 - August 2011
Education
University of North Carolina at Chapel Hill 2011 — 2014
Doctor of Law (JD)
Duke University 2007 — 2011
Bachelor of Arts (B.A.), International Comparative Studies
US Securities and Exchange Commission September 2013 - December 2013
New York State Department of Financial Services June 2013 - August 2013
Direct Brands, Inc. June 2012 - August 2012
Save Darfur Coalition June 2011 - August 2011
Education
University of North Carolina at Chapel Hill 2011 — 2014
Doctor of Law (JD)
Duke University 2007 — 2011
Bachelor of Arts (B.A.), International Comparative Studies
Dean Brazier, Jr., J.D., CPA Dean Brazier, Jr., J.D., CPA's US Securities and Exchange Commission Experience September 2012 - December 2012
Job Attorney and CPA specializing in securities regulation and financial accounting
Industry Law Practice
Experience
Duke University School of Law September 2012 - April 2013
Duke University School of Law January 2013 - March 2013
US Securities and Exchange Commission September 2012 - December 2012
United Guaranty Corporation June 2012 - August 2012
Duke University School of Law May 2011 - August 2011
Ernst & Young July 2007 - August 2010
Citigroup May 2006 - August 2006
JPMorgan Chase May 2005 - August 2005
Skills
Financial Analysis, Financial Modeling, Accounting, Broker-Dealer, Legal Research, Auditing, US GAAP, Securities, Securities Lending, Tax, Corporate Finance, Compliance, Tax Law, Corporate Tax, Financial Accounting, Financial Reporting, Financial Statements, Investment Banking, Mortgage Insurance, CPA, Due Diligence, Equities, External Audit, GAAP, Internal Controls, Mortgage Banking, Mortgage Lending, Sarbanes-Oxley, SEC filings, Valuation, Big 4, Investments, Corporate Law, Financial Services, Internal Audit, Capital Markets, Legal Writing, Securities Regulation
Education
Duke University School of Law 2010 — 2013
Juris Doctor
University of Notre Dame - Mendoza College of Business 2007 — 2008
Master of Science, Accountancy
Morehouse College 2003 — 2007
Bachelor of Arts, Business Administration
Duke University School of Law September 2012 - April 2013
Duke University School of Law January 2013 - March 2013
US Securities and Exchange Commission September 2012 - December 2012
United Guaranty Corporation June 2012 - August 2012
Duke University School of Law May 2011 - August 2011
Ernst & Young July 2007 - August 2010
Citigroup May 2006 - August 2006
JPMorgan Chase May 2005 - August 2005
Skills
Financial Analysis, Financial Modeling, Accounting, Broker-Dealer, Legal Research, Auditing, US GAAP, Securities, Securities Lending, Tax, Corporate Finance, Compliance, Tax Law, Corporate Tax, Financial Accounting, Financial Reporting, Financial Statements, Investment Banking, Mortgage Insurance, CPA, Due Diligence, Equities, External Audit, GAAP, Internal Controls, Mortgage Banking, Mortgage Lending, Sarbanes-Oxley, SEC filings, Valuation, Big 4, Investments, Corporate Law, Financial Services, Internal Audit, Capital Markets, Legal Writing, Securities Regulation
Education
Duke University School of Law 2010 — 2013
Juris Doctor
University of Notre Dame - Mendoza College of Business 2007 — 2008
Master of Science, Accountancy
Morehouse College 2003 — 2007
Bachelor of Arts, Business Administration
Lea Thies Lea Thies's US Securities and Exchange Commission Experience 2006 - 2007
Job Associate at Grosvenor Capital Management
Industry Investment Management
Experience
Grosvenor Capital Management January 2012 - Present
BigFin Properties, Inc. January 2008 - January 2012
Forest Park National Bank and Trust Company May 2002 - July 2007
US Securities and Exchange Commission 2006 - 2007
Education
DePaul University 2003 — 2007
Bachelor, Finance
Grosvenor Capital Management January 2012 - Present
BigFin Properties, Inc. January 2008 - January 2012
Forest Park National Bank and Trust Company May 2002 - July 2007
US Securities and Exchange Commission 2006 - 2007
Education
DePaul University 2003 — 2007
Bachelor, Finance
Martin Wilczynski's US Securities and Exchange Commission Experience June 1992 - September 1998
Job Senior Managing Director at FTI Consulting
Industry Accounting
Experience
FTI Consulting September 2003 - Present
Ten Eyck Associates September 1998 - September 2003
US Securities and Exchange Commission June 1992 - September 1998
Education
Duke University - The Fuqua School of Business 1981 — 1982
MBA, Finance
Rochester Institute of Technology 1976 — 1980
BS - Accounting, Accounting
FTI Consulting September 2003 - Present
Ten Eyck Associates September 1998 - September 2003
US Securities and Exchange Commission June 1992 - September 1998
Education
Duke University - The Fuqua School of Business 1981 — 1982
MBA, Finance
Rochester Institute of Technology 1976 — 1980
BS - Accounting, Accounting
Douglas Perry Douglas Perry's US Securities and Exchange Commission Experience 1977 - 1982
Job Energy & Technology Executive
Industry Program Development
Experience
Guilford Advisors, LLC 2013 - Present
Davenport Newberry / Davenport Power 2005 - 2012
Start-up companies and a venture investor 2003 - 2005
Constellation Energy Group and subsidiaries 1982 - 2002
US Securities and Exchange Commission 1977 - 1982
Skills
Renewable Energy, Cleantech, Alternative Energy, Energy, Biomass, Wind, Management, Technology Leadership, Power Project..., Development Projects, Strategic Planning, Organizational..., Build Strong Teams, Business Transactions, Mergers, Acquisitions, Management of Change, Mergers & Acquisitions, Contract Negotiation, Executive Management, Due Diligence, Business Planning, Leadership, Power Plants, Finance, Management Consulting, Power Generation, Project Management, Corporate Finance, Corporate Governance, Dispute Resolution, Investments, Corporate Development, Project Finance
Education
Georgetown University Law Center
LL.M., Corporate and Transactions
Emory University School of Law 1974 — 1976
J.D., Law
Duke University School of Business 1971 — 1973
M.B.A.
Duke University 1967 — 1971
B.S.E., Engineering
Guilford Advisors, LLC 2013 - Present
Davenport Newberry / Davenport Power 2005 - 2012
Start-up companies and a venture investor 2003 - 2005
Constellation Energy Group and subsidiaries 1982 - 2002
US Securities and Exchange Commission 1977 - 1982
Skills
Renewable Energy, Cleantech, Alternative Energy, Energy, Biomass, Wind, Management, Technology Leadership, Power Project..., Development Projects, Strategic Planning, Organizational..., Build Strong Teams, Business Transactions, Mergers, Acquisitions, Management of Change, Mergers & Acquisitions, Contract Negotiation, Executive Management, Due Diligence, Business Planning, Leadership, Power Plants, Finance, Management Consulting, Power Generation, Project Management, Corporate Finance, Corporate Governance, Dispute Resolution, Investments, Corporate Development, Project Finance
Education
Georgetown University Law Center
LL.M., Corporate and Transactions
Emory University School of Law 1974 — 1976
J.D., Law
Duke University School of Business 1971 — 1973
M.B.A.
Duke University 1967 — 1971
B.S.E., Engineering
Bob Petry's US Securities and Exchange Commission Experience 2009 - October 2014
Job CFA, CAIA, Alternative Investment Risk Professional
Industry Investment Management
Experience
Twin Focus Capital Partners LLC October 2014 - Present
US Securities and Exchange Commission 2009 - October 2014
Freeman Associates Investment Management February 2005 - July 2008
646 Advisors January 2003 - October 2004
Wellington Management July 2000 - December 2002
Wellington Management June 1999 - September 1999
Innovative Systems Techniques, Inc. (Insyte) June 1995 - August 1998
J.P. Morgan June 1994 - September 1994
Skills
Risk Management, Applied Behavior..., Portfolio Management, Statistics, Hedge Funds, Product Development, Securities Regulation, SEC compliance, Alternative Investments, Quantitative Modeling, Equities, Financial Modeling, Private Equity, Investments
Education
Yale University - Yale School of Management 1998 — 2000
MBA, Finance Concentration
Dartmouth College 1990 — 1995
BA & BE
University of Oxford 1992 — 1992
Loomis Chaffee
Twin Focus Capital Partners LLC October 2014 - Present
US Securities and Exchange Commission 2009 - October 2014
Freeman Associates Investment Management February 2005 - July 2008
646 Advisors January 2003 - October 2004
Wellington Management July 2000 - December 2002
Wellington Management June 1999 - September 1999
Innovative Systems Techniques, Inc. (Insyte) June 1995 - August 1998
J.P. Morgan June 1994 - September 1994
Skills
Risk Management, Applied Behavior..., Portfolio Management, Statistics, Hedge Funds, Product Development, Securities Regulation, SEC compliance, Alternative Investments, Quantitative Modeling, Equities, Financial Modeling, Private Equity, Investments
Education
Yale University - Yale School of Management 1998 — 2000
MBA, Finance Concentration
Dartmouth College 1990 — 1995
BA & BE
University of Oxford 1992 — 1992
Loomis Chaffee
Teresa Verges Teresa Verges's US Securities and Exchange Commission Experience 2003 - 2011
Job Director, Investor Rights Clinic at University of Miami School of Law
Industry Legal Services
Experience
University of Miami School of Law August 2011 - Present
Securities & Exchange Commission 1999 - August 2011
US Securities and Exchange Commission 2003 - 2011
Jenner & Block 1989 - 1993
Skills
Arbitration, Securities Regulation, Securities, Legal Research, Mediation, Equities, FINRA, Litigation, Corporate Governance, Corporate Law, Civil Litigation, Fraud, Legal Writing, Due Diligence, Commercial Litigation
Education
DePaul University College of Law 1986 — 1989
JD, Law
University of Miami School of Law August 2011 - Present
Securities & Exchange Commission 1999 - August 2011
US Securities and Exchange Commission 2003 - 2011
Jenner & Block 1989 - 1993
Skills
Arbitration, Securities Regulation, Securities, Legal Research, Mediation, Equities, FINRA, Litigation, Corporate Governance, Corporate Law, Civil Litigation, Fraud, Legal Writing, Due Diligence, Commercial Litigation
Education
DePaul University College of Law 1986 — 1989
JD, Law
Susan Wyderko Susan Wyderko's US Securities and Exchange Commission Experience December 2005 - May 2006
Job President, CEO at Mutual Fund Directors Forum
Industry Financial Services
Experience
Mutual Fund Directors Forum January 2012 - Present
Mutual Fund Directors' Forum 2006 - 2011
US Securities and Exchange Commission December 2005 - May 2006
US Securities and Exchange Commission 2000 - 2006
Skills
Securities Regulation, Private Equity, Hedge Funds, SEC filings, Due Diligence, Securities, Investment Management, Corporate Governance, Mergers & Acquisitions, FINRA, Asset Management, Financial Reporting, Investor Relations, Accounting, Capital Markets, Financial Services, SEC, Mutual Funds, Internal Controls, Investments, Alternative Investments, Corporate Finance, Financial Regulation, Risk Management, Financial Modeling, Venture Capital, Equities, Fixed Income, Series 7, Valuation, Derivatives, Investment Advisory, Portfolio Management, AML, IPO, Asset Allocation, Investment Strategies, Financial Markets, Series 63, Structured Finance, Wealth Management, Options, Trading, Bloomberg, Financial Risk, Emerging Markets, Economics
Education
Cornell University 1980 — 1983
JD
Wellesley
Mutual Fund Directors Forum January 2012 - Present
Mutual Fund Directors' Forum 2006 - 2011
US Securities and Exchange Commission December 2005 - May 2006
US Securities and Exchange Commission 2000 - 2006
Skills
Securities Regulation, Private Equity, Hedge Funds, SEC filings, Due Diligence, Securities, Investment Management, Corporate Governance, Mergers & Acquisitions, FINRA, Asset Management, Financial Reporting, Investor Relations, Accounting, Capital Markets, Financial Services, SEC, Mutual Funds, Internal Controls, Investments, Alternative Investments, Corporate Finance, Financial Regulation, Risk Management, Financial Modeling, Venture Capital, Equities, Fixed Income, Series 7, Valuation, Derivatives, Investment Advisory, Portfolio Management, AML, IPO, Asset Allocation, Investment Strategies, Financial Markets, Series 63, Structured Finance, Wealth Management, Options, Trading, Bloomberg, Financial Risk, Emerging Markets, Economics
Education
Cornell University 1980 — 1983
JD
Wellesley
Matthew T. Christiansen, CFA Matthew T. Christiansen, CFA's US Securities and Exchange Commission Experience August 2010 - Present
Job Investment Management Professional
Industry Financial Services
Experience
US Securities and Exchange Commission August 2010 - Present
Metropolitan Life Insurance Company May 2008 - August 2008
JPMorgan May 2005 - August 2007
Deutsche Bank August 2002 - May 2005
Deutsche Bank May 2001 - August 2001
Skills
Financial Modeling, Investments, Finance, Equities, Private Equity, Portfolio Management, Due Diligence, Valuation, Hedge Funds, Analysis, Venture Capital, Equity Research, Alternative Investments, Capital Markets, Investment Banking, Financial Risk, Investment Management, Corporate Finance, Fixed Income, Credit, Securities, Emerging Markets, Asset Management, Equity Valuation, Derivatives, Capital IQ, Structured Finance, Options, Bloomberg, Creative Writing, Writing, event promotion
Education
Cornell University - S.C. Johnson Graduate School of Management
MBA, Finance
Rutgers, The State University of New Jersey-New Brunswick
BS, Biology with a minor in Economics, Graduated with High Honors
West Milford High School
High School Diploma
US Securities and Exchange Commission August 2010 - Present
Metropolitan Life Insurance Company May 2008 - August 2008
JPMorgan May 2005 - August 2007
Deutsche Bank August 2002 - May 2005
Deutsche Bank May 2001 - August 2001
Skills
Financial Modeling, Investments, Finance, Equities, Private Equity, Portfolio Management, Due Diligence, Valuation, Hedge Funds, Analysis, Venture Capital, Equity Research, Alternative Investments, Capital Markets, Investment Banking, Financial Risk, Investment Management, Corporate Finance, Fixed Income, Credit, Securities, Emerging Markets, Asset Management, Equity Valuation, Derivatives, Capital IQ, Structured Finance, Options, Bloomberg, Creative Writing, Writing, event promotion
Education
Cornell University - S.C. Johnson Graduate School of Management
MBA, Finance
Rutgers, The State University of New Jersey-New Brunswick
BS, Biology with a minor in Economics, Graduated with High Honors
West Milford High School
High School Diploma
Andrew Weinstein's US Securities and Exchange Commission Experience September 2008 - January 2009
Job CEO, Ridgeback Communications
Industry Public Relations and Communications
Experience
Ridgeback Communications November 2007 - Present
The Humane Society of the United States September 2006 - Present
Washington Humane Society July 2003 - Present
LivingSocial June 2011 - July 2013
US Securities and Exchange Commission September 2008 - January 2009
AOL January 1999 - November 2007
Office of the Speaker, US House of Representatives March 1997 - January 1999
Dole for President campaign July 1995 - November 1996
Widmeyer Communications August 1991 - July 1995
Skills
Crisis Communications, Strategic Communications, Media Relations, Public Affairs, Social Media, Public Relations, Corporate Communications, Politics, Public Policy, Strategic Partnerships, Public Speaking, Editing, Non-profits, New Media, Internal Communications, Policy, Nonprofits, Journalism, Newsletters, Strategy, Blogging, Marketing Communications, Press Releases, Spokesperson, Start-ups, Program Management, Management, Editorial, Fundraising, Advertising, Digital Media, Social Networking, Publicity, Social Media Marketing, Digital Strategy, Magazines, Content Strategy, Facebook, Online Advertising
Education
Duke University 1987 — 1991
BA, History, Political Science
St. Albans High School 1981 — 1987
Ridgeback Communications November 2007 - Present
The Humane Society of the United States September 2006 - Present
Washington Humane Society July 2003 - Present
LivingSocial June 2011 - July 2013
US Securities and Exchange Commission September 2008 - January 2009
AOL January 1999 - November 2007
Office of the Speaker, US House of Representatives March 1997 - January 1999
Dole for President campaign July 1995 - November 1996
Widmeyer Communications August 1991 - July 1995
Skills
Crisis Communications, Strategic Communications, Media Relations, Public Affairs, Social Media, Public Relations, Corporate Communications, Politics, Public Policy, Strategic Partnerships, Public Speaking, Editing, Non-profits, New Media, Internal Communications, Policy, Nonprofits, Journalism, Newsletters, Strategy, Blogging, Marketing Communications, Press Releases, Spokesperson, Start-ups, Program Management, Management, Editorial, Fundraising, Advertising, Digital Media, Social Networking, Publicity, Social Media Marketing, Digital Strategy, Magazines, Content Strategy, Facebook, Online Advertising
Education
Duke University 1987 — 1991
BA, History, Political Science
St. Albans High School 1981 — 1987
Jana Steenholdt Jana Steenholdt's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Summer Associate at Allen & Overy
Industry Government Administration
Experience
Allen & Overy May 2014 - August 2014
U.S. Senate Banking, Housing & Urban Affairs Committee August 2013 - April 2014
US Securities and Exchange Commission May 2013 - August 2013
U.S. Senate Banking, Housing & Urban Affairs Committee April 2011 - June 2012
US Senate July 2010 - April 2011
Skills
Policy Analysis, Public Policy, Legislative Research, Political Science, Politics, Legislative Relations, Legislation, Political Campaigns, Research, Community Outreach, Political Communication, Qualitative Research, Legislative Affairs, Government, Legal Writing, Policy, Legal Research, Public Speaking, Microsoft Office
Education
The George Washington University Law School 2013 — 2015
J.D. Candidate
University of Notre Dame Law School 2012 — 2013
J.D. Candidate
Creighton University's Heider College of Business 2005 — 2009
BSBA, Finance, Marketing, and Management
Allen & Overy May 2014 - August 2014
U.S. Senate Banking, Housing & Urban Affairs Committee August 2013 - April 2014
US Securities and Exchange Commission May 2013 - August 2013
U.S. Senate Banking, Housing & Urban Affairs Committee April 2011 - June 2012
US Senate July 2010 - April 2011
Skills
Policy Analysis, Public Policy, Legislative Research, Political Science, Politics, Legislative Relations, Legislation, Political Campaigns, Research, Community Outreach, Political Communication, Qualitative Research, Legislative Affairs, Government, Legal Writing, Policy, Legal Research, Public Speaking, Microsoft Office
Education
The George Washington University Law School 2013 — 2015
J.D. Candidate
University of Notre Dame Law School 2012 — 2013
J.D. Candidate
Creighton University's Heider College of Business 2005 — 2009
BSBA, Finance, Marketing, and Management
Megan Schulz, CPA Megan Schulz, CPA's US Securities and Exchange Commission Experience 2007 - 2008
Job Area Director of Finance at US Foods
Industry Food & Beverages
Experience
US Foods September 2015 - Present
US Foods December 2012 - Present
US Foods January 2012 - December 2012
US Foods January 2011 - December 2011
Deloitte & Touche August 2008 - January 2011
US Securities and Exchange Commission 2007 - 2008
Skills
Financial Accounting, IFRS, Internal Controls, Financial Reporting, Auditing, Accounting, Analysis, Budgets, Finance, Forecasting, Strategy, Variance Analysis, Leadership, Sarbanes-Oxley
Education
DePaul University
BBA, Accounting and Finance (3.96 GPA)
US Foods September 2015 - Present
US Foods December 2012 - Present
US Foods January 2012 - December 2012
US Foods January 2011 - December 2011
Deloitte & Touche August 2008 - January 2011
US Securities and Exchange Commission 2007 - 2008
Skills
Financial Accounting, IFRS, Internal Controls, Financial Reporting, Auditing, Accounting, Analysis, Budgets, Finance, Forecasting, Strategy, Variance Analysis, Leadership, Sarbanes-Oxley
Education
DePaul University
BBA, Accounting and Finance (3.96 GPA)
Karen Ubell Karen Ubell's US Securities and Exchange Commission Experience June 2013 - Present
Job Special Counsel, Office of Capital Markets Trends at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission June 2013 - Present
U.S. Securities and Exchange Commission March 2010 - May 2013
Georgia State University August 2009 - March 2010
Alston & Bird LLP September 2006 - January 2009
Moore & Van Allen, PLLC June 2005 - August 2005
North Carolina League of Municipalities May 2004 - August 2004
Skills
Corporate Law, Legal Writing, Mergers & Acquisitions, Public Policy, Corporate Governance, Legal Research, Securities Regulation, Securities, Biotechnology, Insurance, Pharmaceutical Industry, Structured Notes
Education
University of North Carolina School of Law 2003 — 2006
J.D. with Honors
Duke University 1999 — 2003
BA
US Securities and Exchange Commission June 2013 - Present
U.S. Securities and Exchange Commission March 2010 - May 2013
Georgia State University August 2009 - March 2010
Alston & Bird LLP September 2006 - January 2009
Moore & Van Allen, PLLC June 2005 - August 2005
North Carolina League of Municipalities May 2004 - August 2004
Skills
Corporate Law, Legal Writing, Mergers & Acquisitions, Public Policy, Corporate Governance, Legal Research, Securities Regulation, Securities, Biotechnology, Insurance, Pharmaceutical Industry, Structured Notes
Education
University of North Carolina School of Law 2003 — 2006
J.D. with Honors
Duke University 1999 — 2003
BA
Lauren Isaacson Lauren Isaacson's US Securities and Exchange Commission Experience May 2011 - August 2011
Job Associate at Debevoise & Plimpton LLP
Industry Law Practice
Experience
Debevoise & Plimpton September 2013 - Present
Debevoise & Plimpton May 2012 - August 2012
US Securities and Exchange Commission May 2011 - August 2011
Defense Contract Management Agency June 2010 - August 2010
Defense Contract Management Agency May 2009 - August 2009
The American Bar Association, Governmental Affairs Office January 2009 - April 2009
Defense Contract Management Agency May 2008 - August 2008
Education
New York University School of Law 2010 — 2013
J.D.
Cornell University 2006 — 2010
B.S., Policy Analysis and Management
Debevoise & Plimpton September 2013 - Present
Debevoise & Plimpton May 2012 - August 2012
US Securities and Exchange Commission May 2011 - August 2011
Defense Contract Management Agency June 2010 - August 2010
Defense Contract Management Agency May 2009 - August 2009
The American Bar Association, Governmental Affairs Office January 2009 - April 2009
Defense Contract Management Agency May 2008 - August 2008
Education
New York University School of Law 2010 — 2013
J.D.
Cornell University 2006 — 2010
B.S., Policy Analysis and Management
Alex Hardy Alex Hardy's US Securities and Exchange Commission Experience January 2013 - May 2013
Job Program Associate at Techstars
Industry Financial Services
Experience
Credit Suisse July 2013 - February 2015
US Securities and Exchange Commission January 2013 - May 2013
Goldman Sachs May 2012 - August 2012
Jones Lang LaSalle June 2011 - August 2011
First Southern Mortgage Corporation November 2010 - June 2011
United States District Court for the District of Nevada May 2010 - August 2010
New York City Department of Small Business Services May 2008 - August 2008
Skills
Investment Banking, Entrepreneurship, Microsoft Excel, Financial Technology, Due Diligence, Mergers & Acquisitions, Real Estate, Early-stage Startups, Private Equity, Loans, Legal Issues, Research, Corporate Governance, Securities Regulation, Bankruptcy, Corporate Law, Legal Research, Legal Writing, FinTech, Financial Analysis
Education
Vanderbilt University - Owen Graduate School of Management 2010 — 2013
MBA, Real Estate, Finance
Vanderbilt University Law School 2009 — 2013
JD, Law
Duke University 2005 — 2009
Bachelor's degree, Public Policy Studies, Economics
Lower Merion HIgh School 2001 — 2005
Credit Suisse July 2013 - February 2015
US Securities and Exchange Commission January 2013 - May 2013
Goldman Sachs May 2012 - August 2012
Jones Lang LaSalle June 2011 - August 2011
First Southern Mortgage Corporation November 2010 - June 2011
United States District Court for the District of Nevada May 2010 - August 2010
New York City Department of Small Business Services May 2008 - August 2008
Skills
Investment Banking, Entrepreneurship, Microsoft Excel, Financial Technology, Due Diligence, Mergers & Acquisitions, Real Estate, Early-stage Startups, Private Equity, Loans, Legal Issues, Research, Corporate Governance, Securities Regulation, Bankruptcy, Corporate Law, Legal Research, Legal Writing, FinTech, Financial Analysis
Education
Vanderbilt University - Owen Graduate School of Management 2010 — 2013
MBA, Real Estate, Finance
Vanderbilt University Law School 2009 — 2013
JD, Law
Duke University 2005 — 2009
Bachelor's degree, Public Policy Studies, Economics
Lower Merion HIgh School 2001 — 2005
Daniel Barth's US Securities and Exchange Commission Experience May 2011 - August 2011
Job Associate at ROTH Capital Partners
Industry Venture Capital & Private Equity
Experience
ROTH Capital Partners February 2013 - Present
Aon Hewitt June 2012 - January 2013
Sheridan Road Financial December 2011 - January 2012
US Securities and Exchange Commission May 2011 - August 2011
Forester Capital Management May 2009 - June 2009
Skills
Microsoft Excel, Financial Analysis, Venture Capital, Bloomberg, Accounting, Microsoft Office, Economics, Financial Modeling, Valuation, Excel, Golf, Financial Reporting, Financial Accounting, Market Research, Series 7, Series 63, Relationship Management, Sailing, Leadership, Finance
Education
DePauw University 2008 — 2012
Bachelor of Arts, Economics
ROTH Capital Partners February 2013 - Present
Aon Hewitt June 2012 - January 2013
Sheridan Road Financial December 2011 - January 2012
US Securities and Exchange Commission May 2011 - August 2011
Forester Capital Management May 2009 - June 2009
Skills
Microsoft Excel, Financial Analysis, Venture Capital, Bloomberg, Accounting, Microsoft Office, Economics, Financial Modeling, Valuation, Excel, Golf, Financial Reporting, Financial Accounting, Market Research, Series 7, Series 63, Relationship Management, Sailing, Leadership, Finance
Education
DePauw University 2008 — 2012
Bachelor of Arts, Economics
Lisa Gaffney Lisa Gaffney's US Securities and Exchange Commission Experience May 2013 - July 2013
Job Consultant; creating financial and operating agility for social sector clients; based in DC and NYC
Industry Management Consulting
Experience
MarketMatters Group LLC January 2015 - Present
Taproot Foundation 2009 - 2015
FINCA International January 2013 - December 2014
US Securities and Exchange Commission May 2013 - July 2013
Credit Suisse 2010 - 2011
Lehman Brothers Asset Management/Neuberger Berman 2004 - 2008
JPMorgan Investment Management 2002 - 2004
Deutsche Bank Securities 1999 - 2002
CIBC World Markets 1997 - 1999
Bear Stearns 1996 - 1997
Skills
Financial Analysis, Business Analysis, Credit Analysis, Financial Statement..., Financial Forecasting, Investment Management, Research, Nonprofit Consulting, Grants, Program Management, Project Management, Non-profit Boards, Building Relationships, Consultative Selling, Oral & Written..., Teamwork, Client Relationship..., High Yield, Corporate Bonds, Interpersonal..., Sell Side, Valuation, Non-profits, CRM, Fixed Income, Nonprofits, Management Consulting, Investments, Portfolio Management, Mergers & Acquisitions, Capital Markets, Finance, Due Diligence, Corporates, Strategy, Strategic Planning, Financial Services, Selling, Investment Banking, Business Strategy, Business Development
Education
University of Pennsylvania - The Wharton School 1986 — 1988
MBA, Finance
Duke University 1977 — 1981
BA, Economics
Walter Johnson High School
MarketMatters Group LLC January 2015 - Present
Taproot Foundation 2009 - 2015
FINCA International January 2013 - December 2014
US Securities and Exchange Commission May 2013 - July 2013
Credit Suisse 2010 - 2011
Lehman Brothers Asset Management/Neuberger Berman 2004 - 2008
JPMorgan Investment Management 2002 - 2004
Deutsche Bank Securities 1999 - 2002
CIBC World Markets 1997 - 1999
Bear Stearns 1996 - 1997
Skills
Financial Analysis, Business Analysis, Credit Analysis, Financial Statement..., Financial Forecasting, Investment Management, Research, Nonprofit Consulting, Grants, Program Management, Project Management, Non-profit Boards, Building Relationships, Consultative Selling, Oral & Written..., Teamwork, Client Relationship..., High Yield, Corporate Bonds, Interpersonal..., Sell Side, Valuation, Non-profits, CRM, Fixed Income, Nonprofits, Management Consulting, Investments, Portfolio Management, Mergers & Acquisitions, Capital Markets, Finance, Due Diligence, Corporates, Strategy, Strategic Planning, Financial Services, Selling, Investment Banking, Business Strategy, Business Development
Education
University of Pennsylvania - The Wharton School 1986 — 1988
MBA, Finance
Duke University 1977 — 1981
BA, Economics
Walter Johnson High School
Daniel Whipple Daniel Whipple's US Securities and Exchange Commission Experience September 2013 - April 2014
Job J.D. Candidate at The George Washington University
Industry Legal Services
Experience
Investment Company Institute August 2014 - April 2015
Opus Bank May 2014 - August 2014
US Securities and Exchange Commission September 2013 - April 2014
White & Case June 2013 - June 2013
NMS Properties, Inc May 2013 - June 2013
Downs Pest Control May 2010 - August 2012
Iowa Council for International Understanding January 2010 - May 2010
Skills
Legal Writing, Corporate Law, Public Speaking, Legal Research, Corporate Governance, Financial Analysis, Derivatives, Real Estate Transactions, International Relations, Capital Markets, Research, Westlaw, Policy, Repos, Compliance, Analysis
Education
The George Washington University Law School 2012 — 2015
Doctor of Law (JD)
Drake University 2009 — 2011
Bachelor of Science (B.S.), Finance
Snow College 2005 — 2007
Associate of Arts
Investment Company Institute August 2014 - April 2015
Opus Bank May 2014 - August 2014
US Securities and Exchange Commission September 2013 - April 2014
White & Case June 2013 - June 2013
NMS Properties, Inc May 2013 - June 2013
Downs Pest Control May 2010 - August 2012
Iowa Council for International Understanding January 2010 - May 2010
Skills
Legal Writing, Corporate Law, Public Speaking, Legal Research, Corporate Governance, Financial Analysis, Derivatives, Real Estate Transactions, International Relations, Capital Markets, Research, Westlaw, Policy, Repos, Compliance, Analysis
Education
The George Washington University Law School 2012 — 2015
Doctor of Law (JD)
Drake University 2009 — 2011
Bachelor of Science (B.S.), Finance
Snow College 2005 — 2007
Associate of Arts
Blake Brockway Blake Brockway's US Securities and Exchange Commission Experience January 2009 - April 2009
Job Assistant General Counsel & VP at Bank of America
Industry Law Practice
Experience
Bank of America March 2015 - Present
Katten Muchin Rosenman LLP March 2012 - March 2015
Spot Trading LLC July 2010 - February 2012
Amcon Distributing Inc August 2009 - July 2010
US Securities and Exchange Commission January 2009 - April 2009
Chicago Board of Trade July 2006 - July 2007
Education
DePaul University College of Law 2006 — 2009
Juris Doctor
Iowa State University 2001 — 2005
Economics
Bank of America March 2015 - Present
Katten Muchin Rosenman LLP March 2012 - March 2015
Spot Trading LLC July 2010 - February 2012
Amcon Distributing Inc August 2009 - July 2010
US Securities and Exchange Commission January 2009 - April 2009
Chicago Board of Trade July 2006 - July 2007
Education
DePaul University College of Law 2006 — 2009
Juris Doctor
Iowa State University 2001 — 2005
Economics
Aaron Keating Aaron Keating's US Securities and Exchange Commission Experience January 2014 - June 2014
Job Experienced Associate at PwC
Industry Management Consulting
Experience
PwC January 2015 - Present
Army National Guard January 2007 - Present
US Securities and Exchange Commission January 2014 - June 2014
Financial Industry Regulatory Authority August 2013 - December 2013
Internal Revenue Service (Office of Chief Counsel) June 2013 - August 2013
U.S. Department of Justice (Office of the U.S Trustee) January 2013 - May 2013
Philadelphia District Attorney's Office August 2011 - November 2012
Education
Rutgers University School of Law - Camden
J.D
Rutgers, The State University of New Jersey - Rutgers Business School
Master of Business Administration (M.B.A.)
Drexel University 2006 — 2010
Bachelor of Science (B.S.), Biology, General
PwC January 2015 - Present
Army National Guard January 2007 - Present
US Securities and Exchange Commission January 2014 - June 2014
Financial Industry Regulatory Authority August 2013 - December 2013
Internal Revenue Service (Office of Chief Counsel) June 2013 - August 2013
U.S. Department of Justice (Office of the U.S Trustee) January 2013 - May 2013
Philadelphia District Attorney's Office August 2011 - November 2012
Education
Rutgers University School of Law - Camden
J.D
Rutgers, The State University of New Jersey - Rutgers Business School
Master of Business Administration (M.B.A.)
Drexel University 2006 — 2010
Bachelor of Science (B.S.), Biology, General
Andrea Walton Andrea Walton's US Securities and Exchange Commission Experience June 2010 - September 2010
Job Equal Employment Specialist at United States Department of Defense
Industry Higher Education
Experience
United States Department of Defense June 2011 - Present
Department of Defense June 2011 - October 2011
DePaul University September 2007 - June 2011
US Securities and Exchange Commission June 2010 - September 2010
Skills
Teamwork, Training, Human Resources, Public Speaking, Recruiting, Military, Research, Microsoft Office, Policy Analysis, PowerPoint, Community Outreach, Event Planning, Microsoft Excel, Analysis, Microsoft Word, Nonprofits, Event Management, Government, Leadership, Leadership Development, Program Management, Higher Education, Equal Employment..., Disability Rights, Japanese
Education
DePaul University 2007 — 2011
Bachelor of Arts, International Studies, Japanese Studies
DePaul University 2007 — 2011
Bachelors of Arts, International Studies and Japanese Studies
United States Department of Defense June 2011 - Present
Department of Defense June 2011 - October 2011
DePaul University September 2007 - June 2011
US Securities and Exchange Commission June 2010 - September 2010
Skills
Teamwork, Training, Human Resources, Public Speaking, Recruiting, Military, Research, Microsoft Office, Policy Analysis, PowerPoint, Community Outreach, Event Planning, Microsoft Excel, Analysis, Microsoft Word, Nonprofits, Event Management, Government, Leadership, Leadership Development, Program Management, Higher Education, Equal Employment..., Disability Rights, Japanese
Education
DePaul University 2007 — 2011
Bachelor of Arts, International Studies, Japanese Studies
DePaul University 2007 — 2011
Bachelors of Arts, International Studies and Japanese Studies
Eric Kline Eric Kline's US Securities and Exchange Commission Experience 1989 - 1992
Job Partner at Pepper Hamilton LLP
Industry Law Practice
Experience
Pepper Hamilton LLP November 2011 - Present
Morgan, Lewis & Bockius LLP 1996 - 2011
Buchanan Ingersoll & Rooney PC 1993 - 1996
US Securities and Exchange Commission 1989 - 1992
Skills
Corporate Finance, Emerging Business, Venture Capital, Mergers and Acquisitions, Private Equity, Oil and Gas, Technology, Life Sciences, Finance, Real Estate, Strategy, Investments, Strategic Partnerships, Corporate Governance, Start-ups, mergers and acquisitions, Due Diligence, Lifesciences, Mergers & Acquisitions, Corporate Law, Business
Education
University of Cambridge 1992 — 1993
Master of Laws (LLM), International Law and Legal Studies
The Dickinson School of Law 1988 — 1989
Master of Laws (LL.M.), Taxation and Commerce
The Dickinson School of Law 1985 — 1988
Doctor of Law (J.D.)
Penn State University
Bachelor of Science (B.S.), Finance and Economics
Pepper Hamilton LLP November 2011 - Present
Morgan, Lewis & Bockius LLP 1996 - 2011
Buchanan Ingersoll & Rooney PC 1993 - 1996
US Securities and Exchange Commission 1989 - 1992
Skills
Corporate Finance, Emerging Business, Venture Capital, Mergers and Acquisitions, Private Equity, Oil and Gas, Technology, Life Sciences, Finance, Real Estate, Strategy, Investments, Strategic Partnerships, Corporate Governance, Start-ups, mergers and acquisitions, Due Diligence, Lifesciences, Mergers & Acquisitions, Corporate Law, Business
Education
University of Cambridge 1992 — 1993
Master of Laws (LLM), International Law and Legal Studies
The Dickinson School of Law 1988 — 1989
Master of Laws (LL.M.), Taxation and Commerce
The Dickinson School of Law 1985 — 1988
Doctor of Law (J.D.)
Penn State University
Bachelor of Science (B.S.), Finance and Economics
Tina Ashcraft Tina Ashcraft's US Securities and Exchange Commission Experience May 2005 - July 2005
Job Senior Corporate Counsel at NVIDIA Corporation
Industry Law Practice
Experience
NVIDIA Corporation May 2012 - Present
Cooley LLP September 2007 - April 2012
US Securities and Exchange Commission May 2005 - July 2005
Merrill Lynch 2001 - 2003
Education
Duke University 2004 — 2007
Master of Arts (M.A.), Psychology
Duke University School of Law 2004 — 2007
Doctor of Law (J.D.), Law
Stanford University 1997 — 2001
Bachelor of Arts (B.A.), Economics and Psychology
NVIDIA Corporation May 2012 - Present
Cooley LLP September 2007 - April 2012
US Securities and Exchange Commission May 2005 - July 2005
Merrill Lynch 2001 - 2003
Education
Duke University 2004 — 2007
Master of Arts (M.A.), Psychology
Duke University School of Law 2004 — 2007
Doctor of Law (J.D.), Law
Stanford University 1997 — 2001
Bachelor of Arts (B.A.), Economics and Psychology
Robert Devine Robert Devine's US Securities and Exchange Commission Experience August 2009 - December 2009
Job _
Industry Writing and Editing
Experience
Cleary Gottlieb Steen & Hamilton LLP August 2012 - April 2014
Cleary Gottlieb Steen & Hamilton LLP November 2011 - July 2012
Duke University April 2011 - June 2011
US Securities and Exchange Commission August 2009 - December 2009
Cleary Gottlieb Steen & Hamilton LLP June 2009 - August 2009
Credit Suisse July 2009 - July 2009
Gogyufuku, Co. Ltd. January 2009 - June 2009
Durham Community Land Trustees September 2008 - June 2009
White & Case LLP May 2008 - June 2008
United States Naval Academy January 2005 - January 2007
Education
Duke University - The Fuqua School of Business 2008 — 2011
JD/MBA
Duke University School of Law 2007 — 2011
JD/MBA
St. John's College 2005 — 2006
MA
Georgetown University 2000 — 2000
MA
United States Naval Academy 1996 — 2000
BS
Cleary Gottlieb Steen & Hamilton LLP August 2012 - April 2014
Cleary Gottlieb Steen & Hamilton LLP November 2011 - July 2012
Duke University April 2011 - June 2011
US Securities and Exchange Commission August 2009 - December 2009
Cleary Gottlieb Steen & Hamilton LLP June 2009 - August 2009
Credit Suisse July 2009 - July 2009
Gogyufuku, Co. Ltd. January 2009 - June 2009
Durham Community Land Trustees September 2008 - June 2009
White & Case LLP May 2008 - June 2008
United States Naval Academy January 2005 - January 2007
Education
Duke University - The Fuqua School of Business 2008 — 2011
JD/MBA
Duke University School of Law 2007 — 2011
JD/MBA
St. John's College 2005 — 2006
MA
Georgetown University 2000 — 2000
MA
United States Naval Academy 1996 — 2000
BS
John Zecca John Zecca's US Securities and Exchange Commission Experience September 1997 - May 2000
Job Senior Vice President at The NASDAQ OMX Group, Inc.
Industry Financial Services
Experience
The NASDAQ OMX Group, Inc. October 2001 - Present
Hogan & Hartson (now Hogan Lovells) July 2000 - October 2001
US Securities and Exchange Commission September 1997 - May 2000
Kaye Scholer LLP November 1995 - July 1997
US District Court for District of Columbia September 1993 - November 1995
Skills
Corporate Law, Derivatives, Equities, Mergers & Acquisitions, Public Companies, Corporate Governance, Corporate Finance, Securities Regulation, Capital Markets, Trading, Investor Relations, Financial Markets, M&A experience, Securities, FINRA, IPO, Financial Analysis, SEC
Education
University of California, Hastings College of the Law 1990 — 1993
JD
Cornell University 1985 — 1989
BS
The NASDAQ OMX Group, Inc. October 2001 - Present
Hogan & Hartson (now Hogan Lovells) July 2000 - October 2001
US Securities and Exchange Commission September 1997 - May 2000
Kaye Scholer LLP November 1995 - July 1997
US District Court for District of Columbia September 1993 - November 1995
Skills
Corporate Law, Derivatives, Equities, Mergers & Acquisitions, Public Companies, Corporate Governance, Corporate Finance, Securities Regulation, Capital Markets, Trading, Investor Relations, Financial Markets, M&A experience, Securities, FINRA, IPO, Financial Analysis, SEC
Education
University of California, Hastings College of the Law 1990 — 1993
JD
Cornell University 1985 — 1989
BS
Joan Lim Joan Lim's US Securities and Exchange Commission Experience July 2013 - September 2013
Job Senior Analyst, Corporate M&A at Sysco
Industry Food & Beverages
Experience
Sysco March 2014 - June 2015
US Securities and Exchange Commission July 2013 - September 2013
Dallas County Probate Court No. 2 May 2013 - July 2013
Goldman Sachs June 2012 - August 2012
14th Civil District Court May 2011 - June 2011
Wharton MBA Program for Executives October 2009 - July 2010
J.P. Morgan August 2007 - June 2008
Skills
Data Analysis, Financial Analysis, Research, Forecasting, Business Strategy, Real Estate Financing, Business Analysis, Strategic Planning, Project Management
Education
Southern Methodist University - Cox School of Business 2011 — 2013
MBA
Southern Methodist University Dedman School of Law 2010 — 2013
JD
University College, Oxford University - Study Abroad 2011 — 2011
Law
Duke University 2003 — 2007
BA, Public Policy Studies
Sysco March 2014 - June 2015
US Securities and Exchange Commission July 2013 - September 2013
Dallas County Probate Court No. 2 May 2013 - July 2013
Goldman Sachs June 2012 - August 2012
14th Civil District Court May 2011 - June 2011
Wharton MBA Program for Executives October 2009 - July 2010
J.P. Morgan August 2007 - June 2008
Skills
Data Analysis, Financial Analysis, Research, Forecasting, Business Strategy, Real Estate Financing, Business Analysis, Strategic Planning, Project Management
Education
Southern Methodist University - Cox School of Business 2011 — 2013
MBA
Southern Methodist University Dedman School of Law 2010 — 2013
JD
University College, Oxford University - Study Abroad 2011 — 2011
Law
Duke University 2003 — 2007
BA, Public Policy Studies
William Miles Harter, Jr.'s US Securities and Exchange Commission Experience 1984 - 1988
Job Associate Director at Navigant
Industry Legal Services
Experience
Navigant July 2013 - Present
Axiom 2008 - 2013
FINRA, Inc. 2005 - 2008
FINRA, Inc. 2001 - 2005
FINRA, Inc. 1991 - 2001
Jordan, Coyne & Savits 1988 - 1991
US Securities and Exchange Commission 1984 - 1988
Doherty, Sheridan & Grimaldi 1982 - 1984
Skills
Corporate Governance, Securities Regulation, Legal Research, Litigation, Legal Advice, Securities, FINRA, Finance, Appeals, Compliance, Financial Risk, Corporate Law, Capital Markets, Financial Services, Legal Assistance, Financial Regulation, Banking, Internal Audit, AML, SEC, Investment Banking, Policy, Auditing, Mutual Funds, Legal Issues, Legal Compliance, Legal Writing, Fraud, Due Diligence
Education
Duke University 1978 — 1981
Doctor of Law (J.D.)
Duke University 1974 — 1978
Bachelor of Arts (B.A.), Management Sciences
Navigant July 2013 - Present
Axiom 2008 - 2013
FINRA, Inc. 2005 - 2008
FINRA, Inc. 2001 - 2005
FINRA, Inc. 1991 - 2001
Jordan, Coyne & Savits 1988 - 1991
US Securities and Exchange Commission 1984 - 1988
Doherty, Sheridan & Grimaldi 1982 - 1984
Skills
Corporate Governance, Securities Regulation, Legal Research, Litigation, Legal Advice, Securities, FINRA, Finance, Appeals, Compliance, Financial Risk, Corporate Law, Capital Markets, Financial Services, Legal Assistance, Financial Regulation, Banking, Internal Audit, AML, SEC, Investment Banking, Policy, Auditing, Mutual Funds, Legal Issues, Legal Compliance, Legal Writing, Fraud, Due Diligence
Education
Duke University 1978 — 1981
Doctor of Law (J.D.)
Duke University 1974 — 1978
Bachelor of Arts (B.A.), Management Sciences
Lauren Raisl Lauren Raisl's US Securities and Exchange Commission Experience 2000 - 2001
Job Brand Strategy
Industry Financial Services
Experience
Capital One January 2015 - Present
Purple Ocean Strategy 2012 - Present
Recyclebank 2011 - 2012
VEVO January 2010 - May 2011
Millward Brown July 2004 - January 2010
JWT May 2003 - June 2004
US Securities and Exchange Commission 2000 - 2001
Skills
Customer Insight, Cross-functional Team..., Advertising, Integrated Marketing, Segmentation, Market Research, Digital Strategy, Digital Marketing, Marketing Research, Strategic Partnerships, Analytics, Marketing Strategy, Account Management, Digital Media, Competitive Analysis, Media Planning, Digital Platform..., Media, Marketing, Strategy, Digital, ROI, Commercialization, Sales, Sales Operations, Business Development, Project Management, Corporate Marketing &..., Early-stage Startups, Online Media Management, Strategic Consulting, Process Consulting, Mobile Marketing, Web Analytics, Business Strategy, Consulting, Online Marketing, Online Advertising
Education
Cornell University 2013 — 2014
Marketing Strategy Executive Certificate
Penn State University 1999 — 2003
Bachelor of Arts with Distinction, Advertising & Public Relations Business Minor
The University of Manchester 2002 — 2002
European Mass Media & Communications
Capital One January 2015 - Present
Purple Ocean Strategy 2012 - Present
Recyclebank 2011 - 2012
VEVO January 2010 - May 2011
Millward Brown July 2004 - January 2010
JWT May 2003 - June 2004
US Securities and Exchange Commission 2000 - 2001
Skills
Customer Insight, Cross-functional Team..., Advertising, Integrated Marketing, Segmentation, Market Research, Digital Strategy, Digital Marketing, Marketing Research, Strategic Partnerships, Analytics, Marketing Strategy, Account Management, Digital Media, Competitive Analysis, Media Planning, Digital Platform..., Media, Marketing, Strategy, Digital, ROI, Commercialization, Sales, Sales Operations, Business Development, Project Management, Corporate Marketing &..., Early-stage Startups, Online Media Management, Strategic Consulting, Process Consulting, Mobile Marketing, Web Analytics, Business Strategy, Consulting, Online Marketing, Online Advertising
Education
Cornell University 2013 — 2014
Marketing Strategy Executive Certificate
Penn State University 1999 — 2003
Bachelor of Arts with Distinction, Advertising & Public Relations Business Minor
The University of Manchester 2002 — 2002
European Mass Media & Communications
Erica L. Zong Evenson Erica L. Zong Evenson's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Associate at Morgan, Lewis & Bockius LLP
Industry Law Practice
Experience
Morgan, Lewis & Bockius LLP November 2014 - Present
Bingham McCutchen July 2012 - November 2014
Morgan, Lewis & Bockius LLP October 2011 - July 2012
US Securities and Exchange Commission June 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Morgan, Lewis & Bockius LLP January 2006 - July 2008
Skills
Investments, Legal Research, Investment Management, Securities, Securities Regulation, Hedge Funds, Capital Markets, Financial Services, Corporate Law, Legal Writing, Corporate Governance, SEC
Education
Pennsylvania State University, The Dickinson School of Law 2008 — 2011
JD
Indiana University of Pennsylvania 2001 — 2004
BA
Morgan, Lewis & Bockius LLP November 2014 - Present
Bingham McCutchen July 2012 - November 2014
Morgan, Lewis & Bockius LLP October 2011 - July 2012
US Securities and Exchange Commission June 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Morgan, Lewis & Bockius LLP January 2006 - July 2008
Skills
Investments, Legal Research, Investment Management, Securities, Securities Regulation, Hedge Funds, Capital Markets, Financial Services, Corporate Law, Legal Writing, Corporate Governance, SEC
Education
Pennsylvania State University, The Dickinson School of Law 2008 — 2011
JD
Indiana University of Pennsylvania 2001 — 2004
BA
Howard Kaplan's US Securities and Exchange Commission Experience July 2013 - Present
Job Data Analyst at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission 2008 - June 2013
CCH Australia, a Wolters Kluwer Business 2005 - September 2008
eMag Australia 2001 - 2005
McKinsey 1992 - 2001
Skills
Data Management, Data Conversion, Quantitative Analytics, Data Recovery, Governance, Risk Management, Securities, Fraud, Government, Corporate Governance, Analysis, Due Diligence, Strategic Planning, Financial Analysis, Data Forensics, Auditing
Education
Cornell University - Johnson Graduate School of Management 1988 — 1990
MBA, Marketing, Information Systems
University at Albany, SUNY 1982 — 1986
BS, Accounting
US Securities and Exchange Commission July 2013 - Present
US Securities and Exchange Commission 2008 - June 2013
CCH Australia, a Wolters Kluwer Business 2005 - September 2008
eMag Australia 2001 - 2005
McKinsey 1992 - 2001
Skills
Data Management, Data Conversion, Quantitative Analytics, Data Recovery, Governance, Risk Management, Securities, Fraud, Government, Corporate Governance, Analysis, Due Diligence, Strategic Planning, Financial Analysis, Data Forensics, Auditing
Education
Cornell University - Johnson Graduate School of Management 1988 — 1990
MBA, Marketing, Information Systems
University at Albany, SUNY 1982 — 1986
BS, Accounting
Milan Wozniak's US Securities and Exchange Commission Experience June 2011 - August 2011
Job
Industry Law Practice
Experience
Sidley Austin LLP September 2012 - Present
Georgetown University Law Center 2010 - May 2012
US Securities and Exchange Commission June 2011 - August 2011
Illinois Attorney General's Office June 2010 - August 2010
Morningstar September 2006 - August 2009
The Weiland Financial Group July 2004 - September 2006
Education
Georgetown University Law Center 2010 — 2012
JD, Law
DePaul University - Charles H. Kellstadt Graduate School of Business 2008 — 2012
MBA, Management
University of Iowa 1999 — 2003
BBA, Finance
Sidley Austin LLP September 2012 - Present
Georgetown University Law Center 2010 - May 2012
US Securities and Exchange Commission June 2011 - August 2011
Illinois Attorney General's Office June 2010 - August 2010
Morningstar September 2006 - August 2009
The Weiland Financial Group July 2004 - September 2006
Education
Georgetown University Law Center 2010 — 2012
JD, Law
DePaul University - Charles H. Kellstadt Graduate School of Business 2008 — 2012
MBA, Management
University of Iowa 1999 — 2003
BBA, Finance
Everardo de Armas's US Securities and Exchange Commission Experience February 2012 - Present
Job Branch Chief, U.S. Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission February 2012 - Present
US Securities and Exchange Commission June 2005 - January 2012
Independent Consultant 1999 - 2005
Bank of America 1991 - 1999
NASD 1986 - 1989
Skills
Securities Regulation, Securities, Corporate Governance, Capital Markets, SEC, Derivatives, Financial Modeling, Fixed Income, Financial Risk, Due Diligence, Corporate Finance
Education
The Johns Hopkins University 2008 — 2009
MA, Applied Economics
New York University 1989 — 1991
Economics
Drew University 1984 — 1986
BA, Mathematics, Economics
Georgetown University 1980 — 1984
US Securities and Exchange Commission February 2012 - Present
US Securities and Exchange Commission June 2005 - January 2012
Independent Consultant 1999 - 2005
Bank of America 1991 - 1999
NASD 1986 - 1989
Skills
Securities Regulation, Securities, Corporate Governance, Capital Markets, SEC, Derivatives, Financial Modeling, Fixed Income, Financial Risk, Due Diligence, Corporate Finance
Education
The Johns Hopkins University 2008 — 2009
MA, Applied Economics
New York University 1989 — 1991
Economics
Drew University 1984 — 1986
BA, Mathematics, Economics
Georgetown University 1980 — 1984
Tyler Gellasch's US Securities and Exchange Commission Experience September 2013 - August 2014
Job Advisor, lawyer, and strategist
Industry Financial Services
Experience
Healthy Markets Association May 2015 - Present
Myrtle Makena, LLC January 2015 - Present
WRHambrecht + Co. February 2015 - August 2015
U.S. Senate, Permanent Subcommittee on Investigations (Chairman Levin staff) August 2014 - February 2015
US Securities and Exchange Commission September 2013 - August 2014
U.S. Senate, Office of Senator Carl Levin March 2009 - August 2013
Mayer Brown, LLP September 2005 - March 2009
Morgan, Lewis & Bockius LLP October 2003 - August 2005
Skills
Politics, Legislative Relations, Public Policy, Legislation, Securities Regulation, Economic Development, Securities Litigation, Administrative Law, Legal Writing, Financial Regulation, Government, Political Campaigns
Education
Duke University 2000 — 2003
AM, Economics
Duke University School of Law 2000 — 2003
JD, Law
Case Western Reserve University 1996 — 2000
Bachelor of Arts (B.A.)
Healthy Markets Association May 2015 - Present
Myrtle Makena, LLC January 2015 - Present
WRHambrecht + Co. February 2015 - August 2015
U.S. Senate, Permanent Subcommittee on Investigations (Chairman Levin staff) August 2014 - February 2015
US Securities and Exchange Commission September 2013 - August 2014
U.S. Senate, Office of Senator Carl Levin March 2009 - August 2013
Mayer Brown, LLP September 2005 - March 2009
Morgan, Lewis & Bockius LLP October 2003 - August 2005
Skills
Politics, Legislative Relations, Public Policy, Legislation, Securities Regulation, Economic Development, Securities Litigation, Administrative Law, Legal Writing, Financial Regulation, Government, Political Campaigns
Education
Duke University 2000 — 2003
AM, Economics
Duke University School of Law 2000 — 2003
JD, Law
Case Western Reserve University 1996 — 2000
Bachelor of Arts (B.A.)
Christopher Reiff's US Securities and Exchange Commission Experience August 2012 - Present
Job Securities Compliance Examiner at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission August 2012 - Present
National Futures Association June 2005 - August 2012
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2004 — 2007
Hope College 1994 — 1998
BS, Biology and Mathematics
US Securities and Exchange Commission August 2012 - Present
National Futures Association June 2005 - August 2012
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2004 — 2007
Hope College 1994 — 1998
BS, Biology and Mathematics
Ryan Szakacs's US Securities and Exchange Commission Experience 2003 - 2007
Job iShares Capital Markets at BlackRock
Industry Investment Management
Experience
BlackRock 2012 - Present
BlackRock 2008 - 2012
US Securities and Exchange Commission 2003 - 2007
Worldco Financial Services 2000 - 2003
Goldman Sachs 1998 - 2000
Skills
ETFs, Index Funds, Portfolio Management, Trading, Securities Regulation, Capital Markets
Education
Duke University - The Fuqua School of Business 2006 — 2008
MBA
Rider University 1993 — 1997
BS, Finance
BlackRock 2012 - Present
BlackRock 2008 - 2012
US Securities and Exchange Commission 2003 - 2007
Worldco Financial Services 2000 - 2003
Goldman Sachs 1998 - 2000
Skills
ETFs, Index Funds, Portfolio Management, Trading, Securities Regulation, Capital Markets
Education
Duke University - The Fuqua School of Business 2006 — 2008
MBA
Rider University 1993 — 1997
BS, Finance
Jonathan Abraham's US Securities and Exchange Commission Experience July 2015 - Present
Job Financial Analyst at U.S. Securities and Exchange Commission
Industry Government Administration
Experience
U.S. Securities and Exchange Commission July 2015 - Present
US Securities and Exchange Commission September 2013 - Present
Consumer Financial Protection Bureau November 2014 - May 2015
Congressman Mark Takano May 2012 - August 2012
Esri November 2006 - June 2010
US Army May 2002 - June 2006
Education
Cornell University 2011 — 2013
MPA, Government, Politics and Policy
University of Redlands 1999 — 2001
BS, Mathematics and Computer Science
U.S. Securities and Exchange Commission July 2015 - Present
US Securities and Exchange Commission September 2013 - Present
Consumer Financial Protection Bureau November 2014 - May 2015
Congressman Mark Takano May 2012 - August 2012
Esri November 2006 - June 2010
US Army May 2002 - June 2006
Education
Cornell University 2011 — 2013
MPA, Government, Politics and Policy
University of Redlands 1999 — 2001
BS, Mathematics and Computer Science
Steve Royster's US Securities and Exchange Commission Experience 1997 - 1998
Job Immigration and Diplomacy, Grounded in Law
Industry International Affairs
Experience
US Department of State August 2015 - Present
U.S. Department of State May 1998 - Present
U.S. Embassy Nicosia August 2012 - July 2015
U.S. Embassy Yaounde July 2009 - June 2012
US Dept of State June 2006 - October 2008
US Securities and Exchange Commission 1997 - 1998
U.S. Department of Justice September 1991 - June 1996
Arent/Fox 1989 - 1991
Skills
Foreign Policy, Media Relations, Spanish, Public Affairs, French, Strategic Communications, Diplomacy
Education
Duke University School of Law 1986 — 1989
JD, Law
Duke University 1982 — 1986
Bachelor of Science (BS), Mechancial Engineering
West Springfield High School
US Department of State August 2015 - Present
U.S. Department of State May 1998 - Present
U.S. Embassy Nicosia August 2012 - July 2015
U.S. Embassy Yaounde July 2009 - June 2012
US Dept of State June 2006 - October 2008
US Securities and Exchange Commission 1997 - 1998
U.S. Department of Justice September 1991 - June 1996
Arent/Fox 1989 - 1991
Skills
Foreign Policy, Media Relations, Spanish, Public Affairs, French, Strategic Communications, Diplomacy
Education
Duke University School of Law 1986 — 1989
JD, Law
Duke University 1982 — 1986
Bachelor of Science (BS), Mechancial Engineering
West Springfield High School
Jim Yong's US Securities and Exchange Commission Experience 1984 - 1987
Job Partner at Baugh, Dalton, Carlson & Ryan, LLC
Industry Financial Services
Experience
Baugh, Dalton, Carlson & Ryan, LLC August 2012 - Present
Yong Law, p.c. January 2012 - August 2012
National Stock Exchange 2004 - December 2011
NSX Securities LLC 2004 - December 2011
National Stock Exchange 2004 - 2005
Duane Morris LLP 2003 - 2004
Wildman Harrold 2000 - 2003
The Options Clearing Corporation 1987 - 2000
US Securities and Exchange Commission 1984 - 1987
US Court of Appeals for the Seventh Circuit 1983 - 1984
Skills
Securities, Corporate Governance, Securities Regulation, Corporate Law, Capital Markets, AML, FINRA, Equities, SEC, Market Data, Series 7, Financial Markets, Series 24, Derivatives, Due Diligence, Broker-Dealer, Financial Services, Hedge Funds, Mutual Funds, Financial Regulation, Options, Investment Advisers Act, Fixed Income, Equity Trading, Electronic Trading, Trading, Private Equity, Trading Systems, Alternative Investments, Series 63, Private Placements, ETFs, Investment Company Act, Investment Management, Securities Litigation, Investment Banking, Prime Brokerage
Education
Stanford University Graduate School of Business 2012 — 2012
Stanford Executive Program
DePaul University College of Law 1981 — 1984
Juris Doctor
University of Illinois at Urbana-Champaign 1974 — 1978
Bachelor of Arts (B.A.)
Baugh, Dalton, Carlson & Ryan, LLC August 2012 - Present
Yong Law, p.c. January 2012 - August 2012
National Stock Exchange 2004 - December 2011
NSX Securities LLC 2004 - December 2011
National Stock Exchange 2004 - 2005
Duane Morris LLP 2003 - 2004
Wildman Harrold 2000 - 2003
The Options Clearing Corporation 1987 - 2000
US Securities and Exchange Commission 1984 - 1987
US Court of Appeals for the Seventh Circuit 1983 - 1984
Skills
Securities, Corporate Governance, Securities Regulation, Corporate Law, Capital Markets, AML, FINRA, Equities, SEC, Market Data, Series 7, Financial Markets, Series 24, Derivatives, Due Diligence, Broker-Dealer, Financial Services, Hedge Funds, Mutual Funds, Financial Regulation, Options, Investment Advisers Act, Fixed Income, Equity Trading, Electronic Trading, Trading, Private Equity, Trading Systems, Alternative Investments, Series 63, Private Placements, ETFs, Investment Company Act, Investment Management, Securities Litigation, Investment Banking, Prime Brokerage
Education
Stanford University Graduate School of Business 2012 — 2012
Stanford Executive Program
DePaul University College of Law 1981 — 1984
Juris Doctor
University of Illinois at Urbana-Champaign 1974 — 1978
Bachelor of Arts (B.A.)
Spencer Barasch's US Securities and Exchange Commission Experience 1987 - 2005
Job Attorney
Industry Law Practice
Experience
Andrews Kurth LLP 2005 - 2015
US Securities and Exchange Commission 1987 - 2005
Skills
Internal Investigations, Commercial Litigation, Securities Regulation, Fraud, Securities Litigation, Civil Litigation, Litigation Support, Licensing, Securities, Litigation, Class Actions, Arbitration, Mergers & Acquisitions, Trade Secrets, Corporate Law, Corporate Governance, Trials, Appeals
Education
Duke University 1976 — 1980
A.B., Philosophy and Religion
Andrews Kurth LLP 2005 - 2015
US Securities and Exchange Commission 1987 - 2005
Skills
Internal Investigations, Commercial Litigation, Securities Regulation, Fraud, Securities Litigation, Civil Litigation, Litigation Support, Licensing, Securities, Litigation, Class Actions, Arbitration, Mergers & Acquisitions, Trade Secrets, Corporate Law, Corporate Governance, Trials, Appeals
Education
Duke University 1976 — 1980
A.B., Philosophy and Religion
David Ignall's US Securities and Exchange Commission Experience August 1996 - May 2002
Job Assistant United States Attorney at United States Department of Justice
Industry Law Practice
Experience
United States Department of Justice March 2007 - Present
United States Department of Justice--Tax Division May 2002 - March 2007
US Securities and Exchange Commission August 1996 - May 2002
Wiley Rein LLP September 1993 - August 1996
Education
The College of William and Mary - Marshall Wythe Law School 1988 — 1991
Doctor of Law (J.D.)
Cornell University 1983 — 1987
B.A., Government
United States Department of Justice March 2007 - Present
United States Department of Justice--Tax Division May 2002 - March 2007
US Securities and Exchange Commission August 1996 - May 2002
Wiley Rein LLP September 1993 - August 1996
Education
The College of William and Mary - Marshall Wythe Law School 1988 — 1991
Doctor of Law (J.D.)
Cornell University 1983 — 1987
B.A., Government
Jim Draddy's US Securities and Exchange Commission Experience 1996 - 2004
Job Director of Regulatory Affairs, CCO at Jump Trading, LLC
Industry Financial Services
Experience
Jump Trading, LLC May 2011 - Present
NYSE Euronext 2004 - 2010
U.S. Securities and Exchange Commission 1996 - 2004
Securities and Exchange Commission 1996 - 2004
US Securities and Exchange Commission 1996 - 2004
Education
Cornell University 1977 — 1981
ba, history
New York Law School
Jump Trading, LLC May 2011 - Present
NYSE Euronext 2004 - 2010
U.S. Securities and Exchange Commission 1996 - 2004
Securities and Exchange Commission 1996 - 2004
US Securities and Exchange Commission 1996 - 2004
Education
Cornell University 1977 — 1981
ba, history
New York Law School
Emily Shepard's US Securities and Exchange Commission Experience 1992 - 1997
Job Vice President at Premier, Inc.
Industry Law Practice
Experience
Premier, Inc. October 2008 - Present
US Courts 2006 - 2007
CTC Communications 2006 - 2006
Your General Counsel 2003 - 2006
US Securities and Exchange Commission 1992 - 1997
Education
DePaul University College of Law 1990 — 1993
Premier, Inc. October 2008 - Present
US Courts 2006 - 2007
CTC Communications 2006 - 2006
Your General Counsel 2003 - 2006
US Securities and Exchange Commission 1992 - 1997
Education
DePaul University College of Law 1990 — 1993
Tracey Hardin's US Securities and Exchange Commission Experience 2011 - Present
Job Assistant General Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission 2011 - Present
US Securities and Exchange Commission 2005 - 2011
U.S. Department of Justice 2002 - 2005
U.S. Senate 2000 - 2002
U.S. Court of Appeals 1999 - 2000
Education
Vanderbilt University Law School 1994 — 1997
JD
Duke University 1989 — 1993
AB, Economics, Psychology
US Securities and Exchange Commission 2011 - Present
US Securities and Exchange Commission 2005 - 2011
U.S. Department of Justice 2002 - 2005
U.S. Senate 2000 - 2002
U.S. Court of Appeals 1999 - 2000
Education
Vanderbilt University Law School 1994 — 1997
JD
Duke University 1989 — 1993
AB, Economics, Psychology
Michelle (Colman) Ramos's US Securities and Exchange Commission Experience September 2010 - Present
Job Staff Attorney, Division of Enforcement at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission September 2010 - Present
Fried Frank September 2000 - September 2010
Prince George's County Circuit Court, Seventh Judicial Circuit of Maryland August 1999 - August 2000
Education
University of Notre Dame Law School 1996 — 1999
J.D., Law
Duke University 1992 — 1996
B.A., Political Science and English
Villa Maria Academy 1988 — 1992
US Securities and Exchange Commission September 2010 - Present
Fried Frank September 2000 - September 2010
Prince George's County Circuit Court, Seventh Judicial Circuit of Maryland August 1999 - August 2000
Education
University of Notre Dame Law School 1996 — 1999
J.D., Law
Duke University 1992 — 1996
B.A., Political Science and English
Villa Maria Academy 1988 — 1992
Fred Spindel's US Securities and Exchange Commission Experience 1970 - 1975
Job Attorney/Investments & Business Advisory
Industry Law Practice
Experience
BuckleySandler LLP 2005 - Present
Venable LLP 2003 - 2005
Pillsbury Winthrop Shaw Pittman LLP 2000 - 2003
Reed Smith LLP 1989 - 2000
US Commodity Futures Trading Commission 1975 - 1979
US Securities and Exchange Commission 1970 - 1975
Education
The University of Texas School of Law 1965 — 1968
JD with Honors, Law
Cornell University 1961 — 1965
AB, English/Gov't
BuckleySandler LLP 2005 - Present
Venable LLP 2003 - 2005
Pillsbury Winthrop Shaw Pittman LLP 2000 - 2003
Reed Smith LLP 1989 - 2000
US Commodity Futures Trading Commission 1975 - 1979
US Securities and Exchange Commission 1970 - 1975
Education
The University of Texas School of Law 1965 — 1968
JD with Honors, Law
Cornell University 1961 — 1965
AB, English/Gov't
Donald McGill's US Securities and Exchange Commission Experience March 2013 - Present
Job Accountant
Industry Financial Services
Experience
US Securities and Exchange Commission March 2013 - Present
Cupitt, Holmes & McGill, CPAs May 2011 - March 2013
Accounting, Auditing and Compliance Professional May 1987 - May 2011
Skills
Options, Financial Reporting, Due Diligence, Accounting, Tax, Equities, Hedge Funds, Trading Systems, Auditing, Series 7, Trading, Electronic Trading, Financial Markets, Alternative Investments, Derivatives
Education
Drexel University
BS, Accounting
US Securities and Exchange Commission March 2013 - Present
Cupitt, Holmes & McGill, CPAs May 2011 - March 2013
Accounting, Auditing and Compliance Professional May 1987 - May 2011
Skills
Options, Financial Reporting, Due Diligence, Accounting, Tax, Equities, Hedge Funds, Trading Systems, Auditing, Series 7, Trading, Electronic Trading, Financial Markets, Alternative Investments, Derivatives
Education
Drexel University
BS, Accounting
Estee Levine's US Securities and Exchange Commission Experience October 2004 - Present
Job Senior Legal Advisor Office of International Affairs at US Securities and Exchange Commission
Industry Law Practice
Experience
Securities and Exchange Commission 2005 - Present
US Securities and Exchange Commission October 2004 - Present
Baker Botts LLP 1993 - 1997
Seward & Kissel LLP 1988 - 1990
Skills
Securities Regulation, Securities, Securities Litigation, Corporate Governance, Internal Investigations, Financial Regulation, Fraud, FCPA, Corporate Law
Education
Duke University School of Law 1990 — 1993
JD, with honors
Duke University 1984 — 1988
AB, Political Science, International Relations
Securities and Exchange Commission 2005 - Present
US Securities and Exchange Commission October 2004 - Present
Baker Botts LLP 1993 - 1997
Seward & Kissel LLP 1988 - 1990
Skills
Securities Regulation, Securities, Securities Litigation, Corporate Governance, Internal Investigations, Financial Regulation, Fraud, FCPA, Corporate Law
Education
Duke University School of Law 1990 — 1993
JD, with honors
Duke University 1984 — 1988
AB, Political Science, International Relations
Jennifer Zepralka's US Securities and Exchange Commission Experience November 2009 - April 2013
Job Partner at WilmerHale
Industry Law Practice
Experience
WilmerHale April 2013 - Present
US Securities and Exchange Commission November 2009 - April 2013
WilmerHale October 2003 - October 2009
Allen & Overy 2001 - 2003
Education
Dartmouth College
AB, History
University of Pennsylvania Law School
JD
WilmerHale April 2013 - Present
US Securities and Exchange Commission November 2009 - April 2013
WilmerHale October 2003 - October 2009
Allen & Overy 2001 - 2003
Education
Dartmouth College
AB, History
University of Pennsylvania Law School
JD
Constance Kiggins's US Securities and Exchange Commission Experience August 2011 - Present
Job Senior Special Counsel
Industry Law Practice
Experience
US Securities and Exchange Commission August 2011 - Present
US Securities and Exchange Commission September 2008 - August 2011
Skills
Securities Regulation, Arbitration, Litigation, Commercial Litigation, Securities, FINRA, Corporate Governance, Corporate Law, Legal Writing, Legal Research, Civil Litigation, Securities Litigation, Administrative Law
Education
University of Michigan Law School 1987 — 1990
Doctor of Law (J.D.)
Cornell University 1983 — 1987
Bachelor of Arts (B.A.), History
US Securities and Exchange Commission August 2011 - Present
US Securities and Exchange Commission September 2008 - August 2011
Skills
Securities Regulation, Arbitration, Litigation, Commercial Litigation, Securities, FINRA, Corporate Governance, Corporate Law, Legal Writing, Legal Research, Civil Litigation, Securities Litigation, Administrative Law
Education
University of Michigan Law School 1987 — 1990
Doctor of Law (J.D.)
Cornell University 1983 — 1987
Bachelor of Arts (B.A.), History
Elizabeth Kolleeny Tankel's US Securities and Exchange Commission Experience September 2011 - November 2011
Job Associate at Ropes & Gray LLP
Industry Law Practice
Experience
Ropes & Gray LLP October 2013 - Present
Ropes & Gray LLP May 2012 - July 2012
US Securities and Exchange Commission September 2011 - November 2011
Office of the Attorney General of the State of New York May 2011 - August 2011
Wachtell, Lipton, Rosen & Katz July 2008 - June 2010
Education
The George Washington University Law School 2010 — 2013
J.D.
Dartmouth College 2004 — 2008
B.A., Government and French
Ropes & Gray LLP October 2013 - Present
Ropes & Gray LLP May 2012 - July 2012
US Securities and Exchange Commission September 2011 - November 2011
Office of the Attorney General of the State of New York May 2011 - August 2011
Wachtell, Lipton, Rosen & Katz July 2008 - June 2010
Education
The George Washington University Law School 2010 — 2013
J.D.
Dartmouth College 2004 — 2008
B.A., Government and French
John Gadziala's US Securities and Exchange Commission Experience October 2011 - October 2012
Job Risk and Compliance Manager at Strenta Investment Management, Inc.
Industry Banking
Experience
Mercantil Commercebank August 2015 - Present
Strenta Investment Management, Inc. January 2014 - December 2014
Everest Capital October 2012 - January 2014
US Securities and Exchange Commission October 2011 - October 2012
Citibank February 2008 - October 2011
Workstream Consultancy ltd 2005 - 2006
Skills
Risk Management, Financial Analysis, Financial Modeling, Farsi, Excel
Education
University of Miami - School of Business 2010 — 2012
Master of Business Administration (MBA), Finance
Cornell University
B.S., Industrial and Labor Relations
Mercantil Commercebank August 2015 - Present
Strenta Investment Management, Inc. January 2014 - December 2014
Everest Capital October 2012 - January 2014
US Securities and Exchange Commission October 2011 - October 2012
Citibank February 2008 - October 2011
Workstream Consultancy ltd 2005 - 2006
Skills
Risk Management, Financial Analysis, Financial Modeling, Farsi, Excel
Education
University of Miami - School of Business 2010 — 2012
Master of Business Administration (MBA), Finance
Cornell University
B.S., Industrial and Labor Relations
Elizabeth K. King's US Securities and Exchange Commission Experience August 2000 - July 2010
Job at New York Stock Exchange an Intercontinental Exchange Company
Industry Financial Services
Experience
KCG (prior to merger was at GETCO LLC) July 2010 - February 2014
US Securities and Exchange Commission August 2000 - July 2010
US Securities and Exchange Commission 1997 - 2000
Education
University of Pennsylvania Law School 1988 — 1991
JD, Law
Duke University 1984 — 1988
KCG (prior to merger was at GETCO LLC) July 2010 - February 2014
US Securities and Exchange Commission August 2000 - July 2010
US Securities and Exchange Commission 1997 - 2000
Education
University of Pennsylvania Law School 1988 — 1991
JD, Law
Duke University 1984 — 1988
Jim Lundy's US Securities and Exchange Commission Experience January 2011 - May 2014
Job Associate General Counsel, VP
Industry Law Practice
Experience
ABN AMRO Clearing Chicago LLC May 2014 - Present
US Securities and Exchange Commission January 2011 - May 2014
Loyola University January 2003 - March 2014
US Securities and Exchange Commission September 2009 - January 2011
US Securities and Exchange Commission April 2005 - September 2009
US Securities and Exchange Commission September 2002 - April 2005
Skills
Internal Investigations, Investments, Asset Managment, Litigation Management, Litigation Support, Courts, Civil Litigation, Personal Injury, Securities, Fraud, Employment Law, Enforcement, Legal Research, Commercial Litigation, Westlaw, Intellectual Property, Public Speaking, Corporate Law, Finance, Derivatives, FCPA, Bankruptcy, Litigation, Government, Investment Advisory, Insurance, Family Law, Securities Regulation, Private Investigations, Private Equity, Real Estate, Trial Practice, Risk Management, Class Actions, Appeals, Mutual Funds, Due Diligence, Arbitration, Legal Writing, Corporate Governance, Product Liability, Mergers, Medical Malpractice, Contract Negotiation, Securities Litigation, Criminal Law, Mediation, Hedge Funds, Corporate Finance, Hearings
Education
DePaul University - Charles H. Kellstadt Graduate School of Business
M.B.A., Finance
DePaul University College of Law
J.D., Law
University of Illinois at Urbana-Champaign
B.A.
ABN AMRO Clearing Chicago LLC May 2014 - Present
US Securities and Exchange Commission January 2011 - May 2014
Loyola University January 2003 - March 2014
US Securities and Exchange Commission September 2009 - January 2011
US Securities and Exchange Commission April 2005 - September 2009
US Securities and Exchange Commission September 2002 - April 2005
Skills
Internal Investigations, Investments, Asset Managment, Litigation Management, Litigation Support, Courts, Civil Litigation, Personal Injury, Securities, Fraud, Employment Law, Enforcement, Legal Research, Commercial Litigation, Westlaw, Intellectual Property, Public Speaking, Corporate Law, Finance, Derivatives, FCPA, Bankruptcy, Litigation, Government, Investment Advisory, Insurance, Family Law, Securities Regulation, Private Investigations, Private Equity, Real Estate, Trial Practice, Risk Management, Class Actions, Appeals, Mutual Funds, Due Diligence, Arbitration, Legal Writing, Corporate Governance, Product Liability, Mergers, Medical Malpractice, Contract Negotiation, Securities Litigation, Criminal Law, Mediation, Hedge Funds, Corporate Finance, Hearings
Education
DePaul University - Charles H. Kellstadt Graduate School of Business
M.B.A., Finance
DePaul University College of Law
J.D., Law
University of Illinois at Urbana-Champaign
B.A.
Joseph Lydon's US Securities and Exchange Commission Experience September 1996 - Present
Job Securities Accountant at US Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission September 1996 - Present
Pennsylvania securities commission May 1986 - September 1996
Skills
Accounting, Securities, Finance, Risk Management, Financial Risk, Auditing, Corporate Governance, Portfolio Management, Financial Modeling, Investments, Analysis, Due Diligence, Financial Analysis
Education
Drexel University 1980 — 1982
Fin management
Penn State University 1975 — 1979
Psy
US Securities and Exchange Commission September 1996 - Present
Pennsylvania securities commission May 1986 - September 1996
Skills
Accounting, Securities, Finance, Risk Management, Financial Risk, Auditing, Corporate Governance, Portfolio Management, Financial Modeling, Investments, Analysis, Due Diligence, Financial Analysis
Education
Drexel University 1980 — 1982
Fin management
Penn State University 1975 — 1979
Psy
Anne Pavloff Firsching's US Securities and Exchange Commission Experience August 1994 - January 1999
Job Sr. Analyst at Hilton Worldwide
Industry Accounting
Experience
Hilton Worldwide May 2012 - Present
Harris Corporation February 2009 - May 2012
AOL February 2004 - February 2009
US Securities and Exchange Commission August 1994 - January 1999
Systems Center, Inc. November 1986 - August 1993
Finalco, Inc. July 1985 - November 1986
Price Waterhouse August 1982 - July 1985
Education
Duke University 1978 — 1982
A.B., Management Science/Accounting
Hilton Worldwide May 2012 - Present
Harris Corporation February 2009 - May 2012
AOL February 2004 - February 2009
US Securities and Exchange Commission August 1994 - January 1999
Systems Center, Inc. November 1986 - August 1993
Finalco, Inc. July 1985 - November 1986
Price Waterhouse August 1982 - July 1985
Education
Duke University 1978 — 1982
A.B., Management Science/Accounting
Wendy Lurie's US Securities and Exchange Commission Experience July 1992 - December 1997
Job General Counsel Consultant at Wendy A. Lurie, Esq., LLC
Industry Legal Services
Experience
Wendy A. Lurie, Esq., LLC February 2009 - Present
ING Investment Management (I) Pvt Ltd February 1999 - January 2009
Securities and Exchange Commission 1993 - 1998
SEC 1992 - 1998
US Securities and Exchange Commission July 1992 - December 1997
Skills
Hedge Funds, Asset Managment, Prime Brokerage, Financial Services, Capital Markets, Asset Management, Equities, Private Equity, Investment Management, Portfolio Management, Alternative Investments, Securities, Mutual Funds, Securities Regulation, Investments, Fixed Income
Education
Northeastern University School of Law 1984 — 1987
J.D., law
Cornell University 1979 — 1983
B.A., Government
Wendy A. Lurie, Esq., LLC February 2009 - Present
ING Investment Management (I) Pvt Ltd February 1999 - January 2009
Securities and Exchange Commission 1993 - 1998
SEC 1992 - 1998
US Securities and Exchange Commission July 1992 - December 1997
Skills
Hedge Funds, Asset Managment, Prime Brokerage, Financial Services, Capital Markets, Asset Management, Equities, Private Equity, Investment Management, Portfolio Management, Alternative Investments, Securities, Mutual Funds, Securities Regulation, Investments, Fixed Income
Education
Northeastern University School of Law 1984 — 1987
J.D., law
Cornell University 1979 — 1983
B.A., Government
David Beaning's US Securities and Exchange Commission Experience May 2011 - Present
Job Special Counsel
Industry Law Practice
Experience
US Securities and Exchange Commission May 2011 - Present
US Securities and Exchange Commission December 2009 - May 2011
Dewey & LeBoeuf LLP 1999 - 2008
Dewey Ballantine LLP 1999 - 2007
Skills
Securities Regulation, Corporate Law, Securities, Securitization, Private Equity, Structured Finance, Cross-border..., Capital Markets, Due Diligence
Education
New York University School of Law 1997 — 2000
JD, Law
Duke University 1993 — 1997
BA, History and Economics
US Securities and Exchange Commission May 2011 - Present
US Securities and Exchange Commission December 2009 - May 2011
Dewey & LeBoeuf LLP 1999 - 2008
Dewey Ballantine LLP 1999 - 2007
Skills
Securities Regulation, Corporate Law, Securities, Securitization, Private Equity, Structured Finance, Cross-border..., Capital Markets, Due Diligence
Education
New York University School of Law 1997 — 2000
JD, Law
Duke University 1993 — 1997
BA, History and Economics
Daniel Sachs's US Securities and Exchange Commission Experience August 2012 - December 2012
Job Associate at Robbins Arroyo LLP
Industry Law Practice
Experience
Robbins Arroyo LLP October 2013 - Present
Waters & Kraus LLP February 2013 - May 2013
UCLA August 2010 - May 2013
Law Office of Larry Zerner January 2013 - February 2013
US Securities and Exchange Commission August 2012 - December 2012
Robbins Umeda LLP May 2012 - August 2012
Law Office of Lawrence Szabo January 2012 - April 2012
Central District of California, Hon. Stephen J. Hillman May 2011 - August 2011
Brooklyn Family Defense Project July 2008 - January 2010
Blank Rome LLP 2006 - 2006
Education
UCLA 2010 — 2013
JD, Law
Duke University 2004 — 2008
BA, Public Policy
UCDC
University of California, Los Angeles
Robbins Arroyo LLP October 2013 - Present
Waters & Kraus LLP February 2013 - May 2013
UCLA August 2010 - May 2013
Law Office of Larry Zerner January 2013 - February 2013
US Securities and Exchange Commission August 2012 - December 2012
Robbins Umeda LLP May 2012 - August 2012
Law Office of Lawrence Szabo January 2012 - April 2012
Central District of California, Hon. Stephen J. Hillman May 2011 - August 2011
Brooklyn Family Defense Project July 2008 - January 2010
Blank Rome LLP 2006 - 2006
Education
UCLA 2010 — 2013
JD, Law
Duke University 2004 — 2008
BA, Public Policy
UCDC
University of California, Los Angeles
Erin Coffer's US Securities and Exchange Commission Experience September 1997 - December 2000
Job Managing Director, Bank of America Merrill Lynch
Industry Financial Services
Experience
Bank of America Merrill Lynch May 2009 - Present
Banc of America Securities August 2007 - May 2009
Prudential Securities January 2003 - June 2007
K&L Gates January 2001 - December 2002
US Securities and Exchange Commission September 1997 - December 2000
Skills
Investments, Management, Leadership, Capital Markets, Corporate Governance, Hedge Funds, Securities Regulation, Private Equity, Corporate Law, Securities, Due Diligence
Education
The Catholic University of America, Columbus School of Law 1994 — 1997
JD, Law
Creighton University 1990 — 1994
B.A., Political Science/Economics
Bank of America Merrill Lynch May 2009 - Present
Banc of America Securities August 2007 - May 2009
Prudential Securities January 2003 - June 2007
K&L Gates January 2001 - December 2002
US Securities and Exchange Commission September 1997 - December 2000
Skills
Investments, Management, Leadership, Capital Markets, Corporate Governance, Hedge Funds, Securities Regulation, Private Equity, Corporate Law, Securities, Due Diligence
Education
The Catholic University of America, Columbus School of Law 1994 — 1997
JD, Law
Creighton University 1990 — 1994
B.A., Political Science/Economics
Tejal Shah's US Securities and Exchange Commission Experience January 2014 - Present
Job Attorney Division of Enforcement at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission January 2014 - Present
Cooley LLP September 2006 - December 2013
Education
New York University 2003 — 2006
J.D., Law
Cornell University 1999 — 2003
B.S., Policy Analysis & Management
Bethpage High School
US Securities and Exchange Commission January 2014 - Present
Cooley LLP September 2006 - December 2013
Education
New York University 2003 — 2006
J.D., Law
Cornell University 1999 — 2003
B.S., Policy Analysis & Management
Bethpage High School
Joseph Chimienti, CFE's US Securities and Exchange Commission Experience October 2010 - Present
Job Senior Securities Examiner at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission October 2010 - Present
JNC Advisory Services November 2008 - October 2010
RBC Capital Markets April 2002 - December 2008
Fleet Securities May 1998 - April 2002
US Treasury January 1990 - May 1998
Skills
Mergers & Acquisitions, Finance, Valuation, Portfolio Management, Auditing, Forecasting, Accounting, Equities, Budgets, Investment Banking, Banking, Capital Markets, Investments, Mergers, Operations Management, Securities, Fraud
Education
Federal Law Enforcement Training Academy 1990 — 1994
Federal Law/Tax Law
University at Albany, SUNY 1987 — 1989
MBA, Finance and Accounting
Dowling College 1982 — 1986
BBA, Accounting
US Securities and Exchange Commission October 2010 - Present
JNC Advisory Services November 2008 - October 2010
RBC Capital Markets April 2002 - December 2008
Fleet Securities May 1998 - April 2002
US Treasury January 1990 - May 1998
Skills
Mergers & Acquisitions, Finance, Valuation, Portfolio Management, Auditing, Forecasting, Accounting, Equities, Budgets, Investment Banking, Banking, Capital Markets, Investments, Mergers, Operations Management, Securities, Fraud
Education
Federal Law Enforcement Training Academy 1990 — 1994
Federal Law/Tax Law
University at Albany, SUNY 1987 — 1989
MBA, Finance and Accounting
Dowling College 1982 — 1986
BBA, Accounting
Lee Blum's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Corporate Associate at Cravath, Swaine & Moore LLP
Industry Law Practice
Experience
Cravath, Swaine & Moore LLP September 2014 - Present
Cravath, Swaine & Moore LLP May 2013 - August 2013
Judge Paul A. Crotty, U.S. District Court for the Southern District of New York January 2013 - April 2013
US Securities and Exchange Commission May 2012 - August 2012
Education
New York University School of Law 2011 — 2014
J.D., Law
Cornell University 2007 — 2011
B.S., Policy Analysis and Management
Cravath, Swaine & Moore LLP September 2014 - Present
Cravath, Swaine & Moore LLP May 2013 - August 2013
Judge Paul A. Crotty, U.S. District Court for the Southern District of New York January 2013 - April 2013
US Securities and Exchange Commission May 2012 - August 2012
Education
New York University School of Law 2011 — 2014
J.D., Law
Cornell University 2007 — 2011
B.S., Policy Analysis and Management
Michelle Frazier, JD, CIA, CAMS's US Securities and Exchange Commission Experience November 1999 - August 2001
Job Risk Compliance Manager at Lincoln Harris
Industry Commercial Real Estate
Experience
Lincoln Harris November 2013 - Present
Federal Reserve Bank of Atlanta January 2011 - November 2013
Counsel on Call, LLC March 2010 - December 2010
Board of Regents of University System of GA June 2009 - December 2009
Federal Reserve Bank of Minneapolis July 2006 - May 2009
Special Counsel 2005 - 2006
Access Living May 2003 - August 2003
US Securities and Exchange Commission November 1999 - August 2001
Skills
Fraud, Internal Audit, Auditing, Risk Management, Compliance, Internal Controls, Corporate Governance, Legal Research, Legal Writing, Financial Risk, Operational Risk..., Financial Audits, IT Audit, Finance, Enterprise Risk..., Risk Assessment, Leadership
Education
DePaul University College of Law 2001 — 2004
JD, Law
Kent State University 1993 — 1997
BBA, Finance
Lincoln Harris November 2013 - Present
Federal Reserve Bank of Atlanta January 2011 - November 2013
Counsel on Call, LLC March 2010 - December 2010
Board of Regents of University System of GA June 2009 - December 2009
Federal Reserve Bank of Minneapolis July 2006 - May 2009
Special Counsel 2005 - 2006
Access Living May 2003 - August 2003
US Securities and Exchange Commission November 1999 - August 2001
Skills
Fraud, Internal Audit, Auditing, Risk Management, Compliance, Internal Controls, Corporate Governance, Legal Research, Legal Writing, Financial Risk, Operational Risk..., Financial Audits, IT Audit, Finance, Enterprise Risk..., Risk Assessment, Leadership
Education
DePaul University College of Law 2001 — 2004
JD, Law
Kent State University 1993 — 1997
BBA, Finance
Stephen Piper's US Securities and Exchange Commission Experience May 1984 - June 1987
Job Vice President and Associate General Counsel at Lockheed Martin
Industry Defense & Space
Experience
Lockheed Martin Corporation January 2013 - Present
Lockheed Martin Corporation January 2008 - December 2012
Lockheed Martin Corporation September 2003 - September 2008
McKee Nelson LLC March 2000 - September 2003
Lockheed Martin Corporation November 1998 - March 2000
Lockheed Martin Corporation June 1987 - 1999
US Securities and Exchange Commission May 1984 - June 1987
Wetherington, Flippin, Melchionna & Burton, PC May 1981 - May 1984
Skills
Government Contracting, DoD, Defense, Program Management, Security Clearance, Government Procurement, Proposal Writing, Systems Engineering, National Security, Government, Securities Regulation, Corporate Finance, Corporate Governance, Corporate Law, Mergers and Acquisitions, Intelligence, Mergers & Acquisitions, Military
Education
Georgetown University Law Center 1989 — 1991
Master of Laws (LLM), Securities Law
Washington and Lee University 1978 — 1981
Juris Doctor, Law
Davidson College 1974 — 1978
Bachelor of Arts (BA), Economics
Lockheed Martin Corporation January 2013 - Present
Lockheed Martin Corporation January 2008 - December 2012
Lockheed Martin Corporation September 2003 - September 2008
McKee Nelson LLC March 2000 - September 2003
Lockheed Martin Corporation November 1998 - March 2000
Lockheed Martin Corporation June 1987 - 1999
US Securities and Exchange Commission May 1984 - June 1987
Wetherington, Flippin, Melchionna & Burton, PC May 1981 - May 1984
Skills
Government Contracting, DoD, Defense, Program Management, Security Clearance, Government Procurement, Proposal Writing, Systems Engineering, National Security, Government, Securities Regulation, Corporate Finance, Corporate Governance, Corporate Law, Mergers and Acquisitions, Intelligence, Mergers & Acquisitions, Military
Education
Georgetown University Law Center 1989 — 1991
Master of Laws (LLM), Securities Law
Washington and Lee University 1978 — 1981
Juris Doctor, Law
Davidson College 1974 — 1978
Bachelor of Arts (BA), Economics
Steve Ganis's US Securities and Exchange Commission Experience 1992 - 1995
Job Member at Mintz Levin
Industry Law Practice
Experience
Mintz Levin 2008 - Present
Fidelity Investments 2002 - 2008
Goodwin Procter LLP 2000 - 2002
U.S. House of Representatives 1995 - 2000
US Securities and Exchange Commission 1992 - 1995
Skills
Broker-Dealer Compliance, FINRA, Investment Advisers Act, Investment Company Act, Transfer Agency, Global Custody, Derivatives, Futures, Hedge Funds, Mutual Funds, Money Transfers, Fund Administration, Swaps, Private Equity Firms, Securities Regulation, CFTC, FCPA, Anti-corruption, AML, OFAC, Alternative Investments, Internal Investigations, Due Diligence, Capital Markets, FATCA, Institutional..., Banking Law, Financial Services, Asset Management, Real Estate Private..., Closed-end Funds, ETFs, Currency Exchange, Foreign Currency, Enforcement, occ, Institutional Investors, Institutional Accounts, Separate Accounts, Commodity Pools, CTAs, Electronic Payments, Alternative Payments, Form PF, Financial Institutions, Securities Litigation, Investments, Anti Money Laundering, Economic Sanctions, Securities
Education
Harvard Law School 1989 — 1992
J.D.
Università di Bologna 1988 — 1989
Rotary Graduate Fellow
Dartmouth College
A.B. Summa Cum Laude
Mintz Levin 2008 - Present
Fidelity Investments 2002 - 2008
Goodwin Procter LLP 2000 - 2002
U.S. House of Representatives 1995 - 2000
US Securities and Exchange Commission 1992 - 1995
Skills
Broker-Dealer Compliance, FINRA, Investment Advisers Act, Investment Company Act, Transfer Agency, Global Custody, Derivatives, Futures, Hedge Funds, Mutual Funds, Money Transfers, Fund Administration, Swaps, Private Equity Firms, Securities Regulation, CFTC, FCPA, Anti-corruption, AML, OFAC, Alternative Investments, Internal Investigations, Due Diligence, Capital Markets, FATCA, Institutional..., Banking Law, Financial Services, Asset Management, Real Estate Private..., Closed-end Funds, ETFs, Currency Exchange, Foreign Currency, Enforcement, occ, Institutional Investors, Institutional Accounts, Separate Accounts, Commodity Pools, CTAs, Electronic Payments, Alternative Payments, Form PF, Financial Institutions, Securities Litigation, Investments, Anti Money Laundering, Economic Sanctions, Securities
Education
Harvard Law School 1989 — 1992
J.D.
Università di Bologna 1988 — 1989
Rotary Graduate Fellow
Dartmouth College
A.B. Summa Cum Laude
Joshua D. Hantman, CFA's US Securities and Exchange Commission Experience August 2010 - Present
Job Attorney
Industry Law Practice
Experience
US Securities and Exchange Commission August 2010 - Present
Schulte Roth & Zabel LLP July 2008 - January 2010
Dickstein Shapiro LLP March 2006 - July 2008
Skills
CFA, Securities Regulation, Corporate Governance, Litigation, Legal Research, Legal Writing, Corporate Law, Civil Litigation, Securities, Securities Litigation, Fraud
Education
University of Maryland School of Law 2002 — 2005
Doctor of Law (J.D.)
Cornell University 1991 — 1995
Bachelor of Science (B.S.)
US Securities and Exchange Commission August 2010 - Present
Schulte Roth & Zabel LLP July 2008 - January 2010
Dickstein Shapiro LLP March 2006 - July 2008
Skills
CFA, Securities Regulation, Corporate Governance, Litigation, Legal Research, Legal Writing, Corporate Law, Civil Litigation, Securities, Securities Litigation, Fraud
Education
University of Maryland School of Law 2002 — 2005
Doctor of Law (J.D.)
Cornell University 1991 — 1995
Bachelor of Science (B.S.)
Saima Ahmed's US Securities and Exchange Commission Experience November 2010 - June 2015
Job Director and Senior Enforcement Counsel at NYSE
Industry Law Practice
Experience
NYSE Regulation, Inc. June 2015 - Present
US Securities and Exchange Commission November 2010 - June 2015
United States Attorney's Office February 2014 - May 2015
Sidley Austin September 2000 - November 2010
Skills
Securities Regulation
Education
The George Washington University Law School 1997 — 2000
JD, With Honors
Cornell University 1992 — 1996
BS, Industrial & Labor Relations
NYSE Regulation, Inc. June 2015 - Present
US Securities and Exchange Commission November 2010 - June 2015
United States Attorney's Office February 2014 - May 2015
Sidley Austin September 2000 - November 2010
Skills
Securities Regulation
Education
The George Washington University Law School 1997 — 2000
JD, With Honors
Cornell University 1992 — 1996
BS, Industrial & Labor Relations
Edward McConnell's US Securities and Exchange Commission Experience November 2010 - Present
Job Securities Compliance Examiner at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission November 2010 - Present
Compass Efficient Model Portfolios, LLC October 2009 - November 2010
AIG Advisor Group January 2006 - October 2008
Education
Davidson College 1993 — 1997
BA, History
US Securities and Exchange Commission November 2010 - Present
Compass Efficient Model Portfolios, LLC October 2009 - November 2010
AIG Advisor Group January 2006 - October 2008
Education
Davidson College 1993 — 1997
BA, History
Georgia Somarakis's US Securities and Exchange Commission Experience June 2008 - May 2010
Job HR Specialist at Dignity Health
Industry Human Resources
Experience
Dignity Health October 2014 - Present
U.S. Census Bureau - Manufacturing and Construction May 2010 - September 2014
US Securities and Exchange Commission June 2008 - May 2010
AT&T June 2007 - August 2007
Riviana Foods Inc. June 2006 - August 2006
Skills
Research, Leadership, Employee Relations, Microsoft Office, Data Analysis, Microsoft Excel, Management, Analysis, Sales, Government, Customer Service
Education
Drexel University 2015 — 2016
Bachelor’s Degree, Nursing
Penn State University 2004 — 2009
Bachelors of Art and Science, Marketing and Psychology
Dignity Health October 2014 - Present
U.S. Census Bureau - Manufacturing and Construction May 2010 - September 2014
US Securities and Exchange Commission June 2008 - May 2010
AT&T June 2007 - August 2007
Riviana Foods Inc. June 2006 - August 2006
Skills
Research, Leadership, Employee Relations, Microsoft Office, Data Analysis, Microsoft Excel, Management, Analysis, Sales, Government, Customer Service
Education
Drexel University 2015 — 2016
Bachelor’s Degree, Nursing
Penn State University 2004 — 2009
Bachelors of Art and Science, Marketing and Psychology
Ian McGrath's US Securities and Exchange Commission Experience September 2003 - May 2007
Job Managing Member, Law Offices of Ian M. McGrath PLC
Industry Real Estate
Experience
Alexandria Realty LLC September 2013 - Present
Alexandria Property Management May 2009 - Present
Law Offices of Ian M. McGrath PLC May 2007 - Present
Bankra Partners LP December 2001 - Present
US Securities and Exchange Commission September 2003 - May 2007
The Motley Fool April 2000 - January 2002
United States Marine Corps March 1995 - March 2001
Investor Responsibility Research Center March 1998 - February 2000
Skills
Corporate Law, Real Estate, Corporate Governance, Property Management, Management, Property, Legal Assistance, Mergers & Acquisitions, Due Diligence, Investments, Finance, Small Business, Investment Properties, Loans, Social Media, Commercial Real Estate
Education
Georgetown University Law Center 1999 — 2002
JD, Law
Dartmouth College 1993 — 1997
AB, Classics
Woodberry Forest School 1991 — 1993
Alexandria Realty LLC September 2013 - Present
Alexandria Property Management May 2009 - Present
Law Offices of Ian M. McGrath PLC May 2007 - Present
Bankra Partners LP December 2001 - Present
US Securities and Exchange Commission September 2003 - May 2007
The Motley Fool April 2000 - January 2002
United States Marine Corps March 1995 - March 2001
Investor Responsibility Research Center March 1998 - February 2000
Skills
Corporate Law, Real Estate, Corporate Governance, Property Management, Management, Property, Legal Assistance, Mergers & Acquisitions, Due Diligence, Investments, Finance, Small Business, Investment Properties, Loans, Social Media, Commercial Real Estate
Education
Georgetown University Law Center 1999 — 2002
JD, Law
Dartmouth College 1993 — 1997
AB, Classics
Woodberry Forest School 1991 — 1993
Amanda Keister's US Securities and Exchange Commission Experience May 2008 - July 2008
Job Associate at Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P.
Industry Law Practice
Experience
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. September 2010 - Present
Wyrick Robbins Yates & Ponton LLP July 2009 - August 2009
Smith Anderson May 2009 - June 2009
US Securities and Exchange Commission May 2008 - July 2008
Nokia May 2007 - July 2007
Skills
Corporate Law, Securities Regulation, Corporate Governance
Education
Washington University in St. Louis - Olin Business School 2007 — 2010
M.B.A.
Washington University in St. Louis School of Law 2006 — 2010
J.D., cum laude
Duke University 2003 — 2006
B.S., Economics
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. September 2010 - Present
Wyrick Robbins Yates & Ponton LLP July 2009 - August 2009
Smith Anderson May 2009 - June 2009
US Securities and Exchange Commission May 2008 - July 2008
Nokia May 2007 - July 2007
Skills
Corporate Law, Securities Regulation, Corporate Governance
Education
Washington University in St. Louis - Olin Business School 2007 — 2010
M.B.A.
Washington University in St. Louis School of Law 2006 — 2010
J.D., cum laude
Duke University 2003 — 2006
B.S., Economics
David J. Peterson's US Securities and Exchange Commission Experience 1983 - 1986
Job Managing Director; Hagerty, Peterson & Company, LLC
Industry Venture Capital & Private Equity
Experience
Hagerty, Peterson & Company, LLC 1999 - Present
Sphere Point Enterprises, Inc. 2009 - Present
Four Swans Investments, LLC 2005 - Present
Powerway, Inc. 2003 - 2006
CyMed, Inc. 1999 - 2006
Morgan Stanley 1987 - 1999
US Securities and Exchange Commission 1983 - 1986
Education
Northwestern University - Kellogg School of Management
Master of Business Administration (MBA), Corporate Strategy, Finance, Investments
DePaul University College of Law
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
University of Illinois at Urbana-Champaign
Bachelor of Arts (B.A.), Finance
Hagerty, Peterson & Company, LLC 1999 - Present
Sphere Point Enterprises, Inc. 2009 - Present
Four Swans Investments, LLC 2005 - Present
Powerway, Inc. 2003 - 2006
CyMed, Inc. 1999 - 2006
Morgan Stanley 1987 - 1999
US Securities and Exchange Commission 1983 - 1986
Education
Northwestern University - Kellogg School of Management
Master of Business Administration (MBA), Corporate Strategy, Finance, Investments
DePaul University College of Law
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
University of Illinois at Urbana-Champaign
Bachelor of Arts (B.A.), Finance
Gary Newberry's US Securities and Exchange Commission Experience
Job Senior staff accountant at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission
Skills
IFRS, GAAP, SEC filings, US GAAP
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1983 — 1986
Master of Business Administration (MBA)
University of Illinois at Urbana-Champaign 1975 — 1979
Accountancy
US Securities and Exchange Commission
Skills
IFRS, GAAP, SEC filings, US GAAP
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1983 — 1986
Master of Business Administration (MBA)
University of Illinois at Urbana-Champaign 1975 — 1979
Accountancy
Nancy Burnett's US Securities and Exchange Commission Experience December 2010 - April 2011
Job Chief Executive Officer at The SB Group
Industry Financial Services
Experience
The SB Group October 2014 - Present
New York City Bar Association August 2014 - Present
Alliance of Securities and Financial Educators January 2007 - Present
Federal Housing Finance Agency October 2012 - October 2014
US SEC May 2011 - October 2012
Georgetown University January 2008 - October 2012
Tucker Spearman and Associates Inc. January 1999 - January 2012
US Securities and Exchange Commission December 2010 - April 2011
US Securities and Exchange Commission October 1995 - December 2010
Cornell University January 2003 - January 2008
Skills
Leadership Development, Leadership, Organizational..., Program Management, Executive Coaching, Training, Public Speaking, Strategic Planning, Policy, Employee Relations, Management, Non-profits, Labor Relations, Research, Nonprofits, Human Resources, Mediation, Personnel Management, Policy Analysis, Workshop Facilitation, Community Outreach, Performance Management, Talent Acquisition, Higher Education, Customer Service, HRIS, Program Development, Diversity, Succession Planning, Coaching
Education
Antioch School of Law 1978 — 1981
JD, law
University of Tennessee-Knoxville 1972 — 1976
BS, Educational Psychology
Cornell University
Georgetown University
The SB Group October 2014 - Present
New York City Bar Association August 2014 - Present
Alliance of Securities and Financial Educators January 2007 - Present
Federal Housing Finance Agency October 2012 - October 2014
US SEC May 2011 - October 2012
Georgetown University January 2008 - October 2012
Tucker Spearman and Associates Inc. January 1999 - January 2012
US Securities and Exchange Commission December 2010 - April 2011
US Securities and Exchange Commission October 1995 - December 2010
Cornell University January 2003 - January 2008
Skills
Leadership Development, Leadership, Organizational..., Program Management, Executive Coaching, Training, Public Speaking, Strategic Planning, Policy, Employee Relations, Management, Non-profits, Labor Relations, Research, Nonprofits, Human Resources, Mediation, Personnel Management, Policy Analysis, Workshop Facilitation, Community Outreach, Performance Management, Talent Acquisition, Higher Education, Customer Service, HRIS, Program Development, Diversity, Succession Planning, Coaching
Education
Antioch School of Law 1978 — 1981
JD, law
University of Tennessee-Knoxville 1972 — 1976
BS, Educational Psychology
Cornell University
Georgetown University
Gina Tatsios Saviola's US Securities and Exchange Commission Experience September 2003 - August 2006
Job Counsel at Mayer Brown LLP
Industry Law Practice
Experience
Mayer Brown October 2014 - Present
Occidental Petroleum Corporation August 2006 - October 2014
US Securities and Exchange Commission September 2003 - August 2006
Howrey LLP March 1993 - December 2000
Skills
Commercial Litigation, Corporate Governance, Corporate Law, Intellectual Property, International Law, Joint Ventures, Legal Research, Legal Writing, Due Diligence, Litigation
Education
University of Virginia School of Law
Doctor of Law (J.D.)
Duke University
Bachelor of Arts (B.A.), Classical and Ancient Studies
Mayer Brown October 2014 - Present
Occidental Petroleum Corporation August 2006 - October 2014
US Securities and Exchange Commission September 2003 - August 2006
Howrey LLP March 1993 - December 2000
Skills
Commercial Litigation, Corporate Governance, Corporate Law, Intellectual Property, International Law, Joint Ventures, Legal Research, Legal Writing, Due Diligence, Litigation
Education
University of Virginia School of Law
Doctor of Law (J.D.)
Duke University
Bachelor of Arts (B.A.), Classical and Ancient Studies
Anil Abraham's US Securities and Exchange Commission Experience February 2014 - Present
Job Senior Special Counsel at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission February 2014 - Present
US Securities and Exchange Commission November 2011 - January 2014
US Securities and Exchange Commission August 2011 - November 2011
US Securities and Exchange Commission September 2010 - August 2011
Raymond James & Associates August 2009 - July 2010
Commodity Futures Trading Commission February 2008 - August 2009
US Securities and Exchange Commission February 2007 - February 2008
US Securities and Exchange Commission August 2005 - February 2007
US Securities and Exchange Commission July 2005 - August 2005
US Securities and Exchange Commission January 2004 - July 2005
Skills
Securities Regulation, Securities, Internal Investigations, Financial Regulation, Enforcement
Education
Yale Law School 1992 — 1995
J.D.
Dartmouth College 1987 — 1991
A.B., History
Brophy College Preparatory 1983 — 1987
U.S. Securities and Exchange Commission February 2014 - Present
US Securities and Exchange Commission November 2011 - January 2014
US Securities and Exchange Commission August 2011 - November 2011
US Securities and Exchange Commission September 2010 - August 2011
Raymond James & Associates August 2009 - July 2010
Commodity Futures Trading Commission February 2008 - August 2009
US Securities and Exchange Commission February 2007 - February 2008
US Securities and Exchange Commission August 2005 - February 2007
US Securities and Exchange Commission July 2005 - August 2005
US Securities and Exchange Commission January 2004 - July 2005
Skills
Securities Regulation, Securities, Internal Investigations, Financial Regulation, Enforcement
Education
Yale Law School 1992 — 1995
J.D.
Dartmouth College 1987 — 1991
A.B., History
Brophy College Preparatory 1983 — 1987
Charles Koretke's US Securities and Exchange Commission Experience June 2015 - Present
Job Assistant Director, OCIE Office of Strategy and Operational Risk at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission June 2015 - Present
U.S. Securities and Exchange Commission August 2014 - June 2015
Mainstay Capital Markets Consultants, Inc. February 2014 - August 2014
Ronald Blue & Co. April 2013 - February 2014
US Securities and Exchange Commission May 2012 - April 2013
US Securities and Exchange Commission October 2011 - April 2012
US Securities and Exchange Commission August 2002 - September 2011
US Securities and Exchange Commission September 1996 - August 2002
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1992 — 1995
MBA, Finance
DePaul University 1987 — 1992
BSC, Accountancy
U.S. Securities and Exchange Commission June 2015 - Present
U.S. Securities and Exchange Commission August 2014 - June 2015
Mainstay Capital Markets Consultants, Inc. February 2014 - August 2014
Ronald Blue & Co. April 2013 - February 2014
US Securities and Exchange Commission May 2012 - April 2013
US Securities and Exchange Commission October 2011 - April 2012
US Securities and Exchange Commission August 2002 - September 2011
US Securities and Exchange Commission September 1996 - August 2002
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1992 — 1995
MBA, Finance
DePaul University 1987 — 1992
BSC, Accountancy
Christopher Daming's US Securities and Exchange Commission Experience May 2011 - August 2011
Job Attorney for Entrepreneurs
Industry Law Practice
Experience
Startup Legal, L.C. May 2015 - Present
Wuestling & James, L.C. July 2012 - May 2015
Washington University School of Law Criminal Justice Clinic January 2012 - May 2012
Wells Fargo Advisors 2011 - 2012
US Securities and Exchange Commission May 2011 - August 2011
US Attorney's Office, Eastern District of Missouri May 2010 - August 2010
US Army 2003 - 2009
Skills
Litigation, Corporate Law, Corporate Formation, Legal Research, Legal Writing, Legal Issues, Corporate Tax, Civil Litigation, Intellectual Property, Trademarks, Commercial Litigation, Nonprofits, Negotiation, Risk Management
Education
Washington University in St. Louis School of Law 2013 — 2014
L.L.M., Tax Law/Taxation
Washington University in St. Louis School of Law 2009 — 2012
JD, Cum Laude
DePaul University 2007 — 2009
BA, History, Summa Cum Laude
Startup Legal, L.C. May 2015 - Present
Wuestling & James, L.C. July 2012 - May 2015
Washington University School of Law Criminal Justice Clinic January 2012 - May 2012
Wells Fargo Advisors 2011 - 2012
US Securities and Exchange Commission May 2011 - August 2011
US Attorney's Office, Eastern District of Missouri May 2010 - August 2010
US Army 2003 - 2009
Skills
Litigation, Corporate Law, Corporate Formation, Legal Research, Legal Writing, Legal Issues, Corporate Tax, Civil Litigation, Intellectual Property, Trademarks, Commercial Litigation, Nonprofits, Negotiation, Risk Management
Education
Washington University in St. Louis School of Law 2013 — 2014
L.L.M., Tax Law/Taxation
Washington University in St. Louis School of Law 2009 — 2012
JD, Cum Laude
DePaul University 2007 — 2009
BA, History, Summa Cum Laude
Gus Golden's US Securities and Exchange Commission Experience January 2010 - July 2010
Job Lawyer
Industry Law Practice
Experience
Quinn Emanuel February 2012 - Present
US Treasury May 2010 - August 2010
US Securities and Exchange Commission January 2010 - July 2010
US Securities and Exchange Commission May 2009 - August 2009
Herbert Smith June 2008 - July 2008
Allen & Overy May 2008 - June 2008
Skills
Legal Research, Legal Writing, Litigation, Legislation, Corporate Law, Arbitration, Due Diligence
Education
Georgetown University Law Center 2008 — 2011
Juris Doctor
Duke University 2003 — 2007
AB, Classical Studies, Latin, Psychology
Quinn Emanuel February 2012 - Present
US Treasury May 2010 - August 2010
US Securities and Exchange Commission January 2010 - July 2010
US Securities and Exchange Commission May 2009 - August 2009
Herbert Smith June 2008 - July 2008
Allen & Overy May 2008 - June 2008
Skills
Legal Research, Legal Writing, Litigation, Legislation, Corporate Law, Arbitration, Due Diligence
Education
Georgetown University Law Center 2008 — 2011
Juris Doctor
Duke University 2003 — 2007
AB, Classical Studies, Latin, Psychology
Stacy Fresch's US Securities and Exchange Commission Experience September 2010 - February 2014
Job Managing Director at KPMG US
Industry Management Consulting
Experience
KPMG US February 2014 - Present
US Securities and Exchange Commission September 2010 - February 2014
FTI Consulting March 2006 - September 2010
Skills
Financial Analysis, Forensic Accounting, Internal Controls, SEC filings, Financial Modeling, Due Diligence, Accounting, Financial Reporting, Fraud, Auditing, Sarbanes-Oxley Act, Valuation
Education
The College of William and Mary - The Mason School of Business 1993 — 1995
MBA
Dickinson College 1986 — 1990
BA, Economics
KPMG US February 2014 - Present
US Securities and Exchange Commission September 2010 - February 2014
FTI Consulting March 2006 - September 2010
Skills
Financial Analysis, Forensic Accounting, Internal Controls, SEC filings, Financial Modeling, Due Diligence, Accounting, Financial Reporting, Fraud, Auditing, Sarbanes-Oxley Act, Valuation
Education
The College of William and Mary - The Mason School of Business 1993 — 1995
MBA
Dickinson College 1986 — 1990
BA, Economics
Julia Hueckel's US Securities and Exchange Commission Experience January 2012 - May 2012
Job Assistant General Counsel and Vice President at Bank of America
Industry Law Practice
Experience
Bank of America July 2015 - Present
Milbank, Tweed, Hadley & McCloy LLP July 2013 - Present
Allen & Overy September 2012 - July 2013
US Securities and Exchange Commission January 2012 - May 2012
Allen & Overy May 2011 - August 2011
North Carolina Court of Appeals July 2010 - August 2010
Sołtysiński Kawecki & Szlęzak June 2010 - June 2010
Skills
Legal Writing, Legal Research, Litigation, Corporate Law, Civil Litigation, Westlaw, Commercial Litigation, Securities Regulation, Mediation, Courts, Intellectual Property, Appeals
Education
Emory University School of Law 2009 — 2012
Doctor of Law (JD)
Duke University 2003 — 2005
AB, International Comparative Studies, Cum Laude, Departmental Honors
Davidson College 2001 — 2003
Bank of America July 2015 - Present
Milbank, Tweed, Hadley & McCloy LLP July 2013 - Present
Allen & Overy September 2012 - July 2013
US Securities and Exchange Commission January 2012 - May 2012
Allen & Overy May 2011 - August 2011
North Carolina Court of Appeals July 2010 - August 2010
Sołtysiński Kawecki & Szlęzak June 2010 - June 2010
Skills
Legal Writing, Legal Research, Litigation, Corporate Law, Civil Litigation, Westlaw, Commercial Litigation, Securities Regulation, Mediation, Courts, Intellectual Property, Appeals
Education
Emory University School of Law 2009 — 2012
Doctor of Law (JD)
Duke University 2003 — 2005
AB, International Comparative Studies, Cum Laude, Departmental Honors
Davidson College 2001 — 2003
Jonathan Flynn's US Securities and Exchange Commission Experience July 2012 - June 2013
Job at Cadwalader
Industry Law Practice
Experience
Cadwalader, Wickersham & Taft LLP May 2013 - Present
US Securities and Exchange Commission July 2012 - June 2013
Cadwalader, Wickersham & Taft LLP January 2011 - July 2012
McDermott Will & Emery September 2007 - June 2011
General Electric June 2000 - August 2004
Skills
Administrative Law, Derivatives, Securities Regulation, Commodity Markets, Dodd-Frank, Energy Derivatives, Credit Derivatives, Equity Derivatives, Policy, Government, Legislation, Renewable Energy, Litigation, Environmental Awareness, Legal Research, Legal Writing, Commodity, Corporate Law, Commercial Litigation, Environmental Law, Legislative Relations, Civil Litigation, Corporate Governance, Hedge Funds, Intellectual Property, Appeals
Education
Georgetown University Law Center 2004 — 2007
JD, Law
Dartmouth College 1996 — 2000
AB, History
Cadwalader, Wickersham & Taft LLP May 2013 - Present
US Securities and Exchange Commission July 2012 - June 2013
Cadwalader, Wickersham & Taft LLP January 2011 - July 2012
McDermott Will & Emery September 2007 - June 2011
General Electric June 2000 - August 2004
Skills
Administrative Law, Derivatives, Securities Regulation, Commodity Markets, Dodd-Frank, Energy Derivatives, Credit Derivatives, Equity Derivatives, Policy, Government, Legislation, Renewable Energy, Litigation, Environmental Awareness, Legal Research, Legal Writing, Commodity, Corporate Law, Commercial Litigation, Environmental Law, Legislative Relations, Civil Litigation, Corporate Governance, Hedge Funds, Intellectual Property, Appeals
Education
Georgetown University Law Center 2004 — 2007
JD, Law
Dartmouth College 1996 — 2000
AB, History
Brandon Figg's US Securities and Exchange Commission Experience September 2013 - December 2013
Job Associate at Cleary Gottlieb Steen & Hamilton LLP
Industry Law Practice
Experience
Cleary Gottlieb Steen & Hamilton LLP November 2014 - Present
Frost Brown Todd August 2014 - October 2014
8 Rivers Capital May 2014 - June 2014
BB&T January 2014 - May 2014
US Securities and Exchange Commission September 2013 - December 2013
Frost Brown Todd May 2013 - August 2013
Latham & Watkins May 2012 - July 2012
Skills
Capital Markets, Financial Analysis, Legal Research, Legal Writing, Due Diligence, Securities, Corporate Law, Mergers & Acquisitions, Restructuring, Bankruptcy
Education
Duke University School of Law 2011 — 2014
Magna cum laude
Indiana University Bloomington 2007 — 2011
Cleary Gottlieb Steen & Hamilton LLP November 2014 - Present
Frost Brown Todd August 2014 - October 2014
8 Rivers Capital May 2014 - June 2014
BB&T January 2014 - May 2014
US Securities and Exchange Commission September 2013 - December 2013
Frost Brown Todd May 2013 - August 2013
Latham & Watkins May 2012 - July 2012
Skills
Capital Markets, Financial Analysis, Legal Research, Legal Writing, Due Diligence, Securities, Corporate Law, Mergers & Acquisitions, Restructuring, Bankruptcy
Education
Duke University School of Law 2011 — 2014
Magna cum laude
Indiana University Bloomington 2007 — 2011
Michelle Stasny's US Securities and Exchange Commission Experience August 2012 - Present
Job Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission August 2012 - Present
Jones Day September 2006 - July 2011
Education
Duke University 2003 — 2006
M.S., Mechanical Engineering
Duke University School of Law 2003 — 2006
J.D.
Penn State University 1998 — 2002
B.S., Mechanical Engineering
US Securities and Exchange Commission August 2012 - Present
Jones Day September 2006 - July 2011
Education
Duke University 2003 — 2006
M.S., Mechanical Engineering
Duke University School of Law 2003 — 2006
J.D.
Penn State University 1998 — 2002
B.S., Mechanical Engineering
Dock Marshall Clavon, MBA, LSSBB, CIP™'s US Securities and Exchange Commission Experience June 2004 - May 2007
Job Data Scientist Consultant at Chevron
Industry Oil & Energy
Experience
CHEVRON TECHNOLOGY, PROJECTS & SERVICES February 2013 - Present
CHEVRON CORPORATION FINANCE May 2011 - February 2013
CHEVRON NORTH AMERICA EXPLORATION AND PRODUCTION (CNAEP) May 2007 - May 2011
US Securities and Exchange Commission June 2004 - May 2007
Education
The George Washington University 2015 — 2017
Doctor of Engineering, Engineering/Industrial Management
Northwestern University 2013 — 2014
Master of Science (M.Sc.), Predictive Analytics (Data Science)
Keller Graduate School of Management of DeVry University 2004 — 2006
Master of Science (M.Sc.), Project Management, 3.74
Keller Graduate School of Management of DeVry University 2004 — 2006
Master of Business Administration (MBA), Information Security, 3.66
DeVry University 2000 — 2004
Bachelor of Science (B.Sc.), Network & Communications Management, 3.09
CHEVRON TECHNOLOGY, PROJECTS & SERVICES February 2013 - Present
CHEVRON CORPORATION FINANCE May 2011 - February 2013
CHEVRON NORTH AMERICA EXPLORATION AND PRODUCTION (CNAEP) May 2007 - May 2011
US Securities and Exchange Commission June 2004 - May 2007
Education
The George Washington University 2015 — 2017
Doctor of Engineering, Engineering/Industrial Management
Northwestern University 2013 — 2014
Master of Science (M.Sc.), Predictive Analytics (Data Science)
Keller Graduate School of Management of DeVry University 2004 — 2006
Master of Science (M.Sc.), Project Management, 3.74
Keller Graduate School of Management of DeVry University 2004 — 2006
Master of Business Administration (MBA), Information Security, 3.66
DeVry University 2000 — 2004
Bachelor of Science (B.Sc.), Network & Communications Management, 3.09
Craig Welter's US Securities and Exchange Commission Experience November 2012 - June 2014
Job Assistant General Counsel and Compliance Officer at Alden Global Capital
Industry Legal Services
Experience
Alden Global Capital July 2014 - Present
US Securities and Exchange Commission November 2012 - June 2014
U.S. Securities and Exchange Commission, Office of the Inspector General October 2009 - November 2012
U.S. Securities and Exchange Commission, Division of Enforcement March 2000 - October 2009
United States Attorney's Office, Eastern District of Virginia, U.S. Department of Justice, March 2005 - September 2005
Education
The College of William and Mary - Marshall Wythe Law School 1994 — 1997
Doctor of Law (J.D.), 3.3
Duke University 1990 — 1994
Bachelor of Arts (B.A.), Economics, 3.6
Alden Global Capital July 2014 - Present
US Securities and Exchange Commission November 2012 - June 2014
U.S. Securities and Exchange Commission, Office of the Inspector General October 2009 - November 2012
U.S. Securities and Exchange Commission, Division of Enforcement March 2000 - October 2009
United States Attorney's Office, Eastern District of Virginia, U.S. Department of Justice, March 2005 - September 2005
Education
The College of William and Mary - Marshall Wythe Law School 1994 — 1997
Doctor of Law (J.D.), 3.3
Duke University 1990 — 1994
Bachelor of Arts (B.A.), Economics, 3.6
Adam Batenhorst's US Securities and Exchange Commission Experience September 2011 - December 2011
Job Attorney
Industry Legal Services
Experience
Federal Energy Regulatory Commission August 2012 - Present
US Securities and Exchange Commission September 2011 - December 2011
Federal Energy Regulatory Commission May 2011 - July 2011
University of North Carolina at Chapel Hill May 2010 - May 2011
Education
University of North Carolina School of Law 2009 — 2012
Juris Doctor (J.D.)
Duke University 2007 — 2009
M.A., Economics
Georgia Institute of Technology 2002 — 2007
B.S., Industrial and Systems Engineering
Federal Energy Regulatory Commission August 2012 - Present
US Securities and Exchange Commission September 2011 - December 2011
Federal Energy Regulatory Commission May 2011 - July 2011
University of North Carolina at Chapel Hill May 2010 - May 2011
Education
University of North Carolina School of Law 2009 — 2012
Juris Doctor (J.D.)
Duke University 2007 — 2009
M.A., Economics
Georgia Institute of Technology 2002 — 2007
B.S., Industrial and Systems Engineering
Brad Gude's US Securities and Exchange Commission Experience August 2003 - Present
Job Special Counsel at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission August 2003 - Present
TD Ameritrade August 1999 - August 2000
Skills
Securities Law, Securities Regulation, Administrative Law, Legal Writing, Legal Research, Financial Regulation, Legal Advice, Investigations, Securities, Government..., Private Investigations, Corporate Governance
Education
The Catholic University of America 2000 — 2003
JD, Law, 3.348
Creighton University 1994 — 1998
BA, English
US Securities and Exchange Commission August 2003 - Present
TD Ameritrade August 1999 - August 2000
Skills
Securities Law, Securities Regulation, Administrative Law, Legal Writing, Legal Research, Financial Regulation, Legal Advice, Investigations, Securities, Government..., Private Investigations, Corporate Governance
Education
The Catholic University of America 2000 — 2003
JD, Law, 3.348
Creighton University 1994 — 1998
BA, English
Anna Kristen's US Securities and Exchange Commission Experience 2006 - 2008
Job
Industry Accounting
Experience
Beam September 2012 - Present
QVC Solutions Inc. 2010 - October 2012
McCormick Braun Friman LLC 2011 - 2011
Deloitte Tax LLP 2008 - 2010
US Securities and Exchange Commission 2006 - 2008
Premier Print and Services Group, Inc. 2005 - 2006
Skills
Accounting, Financial Accounting, Financial Analysis, Tax, US GAAP, CPA, Corporate Tax, Finance, Financial Statements, GAAP, Internal Controls, Microsoft Excel, Tax Accounting
Education
DePaul University 2004 — 2008
Bachelor of Science (BS), Accounting and Finance
East Leyden
Beam September 2012 - Present
QVC Solutions Inc. 2010 - October 2012
McCormick Braun Friman LLC 2011 - 2011
Deloitte Tax LLP 2008 - 2010
US Securities and Exchange Commission 2006 - 2008
Premier Print and Services Group, Inc. 2005 - 2006
Skills
Accounting, Financial Accounting, Financial Analysis, Tax, US GAAP, CPA, Corporate Tax, Finance, Financial Statements, GAAP, Internal Controls, Microsoft Excel, Tax Accounting
Education
DePaul University 2004 — 2008
Bachelor of Science (BS), Accounting and Finance
East Leyden
Bob Vitner's US Securities and Exchange Commission Experience August 1993 - June 1995
Job Business Finance Analyst at PCCR USA, INC.
Industry Chemicals
Experience
Polynt Composites USA July 2011 - Present
Hexion Inc. May 2006 - January 2010
Bridgestone Retail Operations, LLC 2010 - 2010
ADP Dealer Services October 2000 - May 2006
Navistar Financial Corporation April 1998 - August 2000
Kinder Morgan (formerly MidCon Corp) July 1995 - April 1998
US Securities and Exchange Commission August 1993 - June 1995
Skills
Financial Analysis, Financial Reporting, Financial Forecasting, Operating Budgets, Strategic Planning, Accounting, Sales Plan, Presentations, SAP, Process Improvement, Cost Accounting, US GAAP, Finance, Variance Analysis, Internal Audit, Forecasting
Education
DePaul University 1991 — 1993
Bachelor of Science (B.S.), Accounting
Illinois State University 1989 — 1991
General Studies
Polynt Composites USA July 2011 - Present
Hexion Inc. May 2006 - January 2010
Bridgestone Retail Operations, LLC 2010 - 2010
ADP Dealer Services October 2000 - May 2006
Navistar Financial Corporation April 1998 - August 2000
Kinder Morgan (formerly MidCon Corp) July 1995 - April 1998
US Securities and Exchange Commission August 1993 - June 1995
Skills
Financial Analysis, Financial Reporting, Financial Forecasting, Operating Budgets, Strategic Planning, Accounting, Sales Plan, Presentations, SAP, Process Improvement, Cost Accounting, US GAAP, Finance, Variance Analysis, Internal Audit, Forecasting
Education
DePaul University 1991 — 1993
Bachelor of Science (B.S.), Accounting
Illinois State University 1989 — 1991
General Studies
Christina McGill's US Securities and Exchange Commission Experience August 2010 - Present
Job Senior Attorney at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission August 2010 - Present
Fried Frank September 2004 - July 2010
Alaska State Court System August 2003 - August 2004
Education
University of Michigan Law School 2000 — 2003
Doctor of Law (J.D.)
Cornell University 1996 — 2000
Bachelor of Science (B.S.), Labor and Industrial Relations
G.W. Hewlett High School 1992 — 1996
US Securities and Exchange Commission August 2010 - Present
Fried Frank September 2004 - July 2010
Alaska State Court System August 2003 - August 2004
Education
University of Michigan Law School 2000 — 2003
Doctor of Law (J.D.)
Cornell University 1996 — 2000
Bachelor of Science (B.S.), Labor and Industrial Relations
G.W. Hewlett High School 1992 — 1996
Dye Ann Graham's US Securities and Exchange Commission Experience September 1980 - August 1983
Job Mediation Counsel at Upchurch Watson White & Max
Industry Alternative Dispute Resolution
Experience
Upchurch Watson White & Max May 2008 - Present
The Tupperware Company April 1989 - December 2001
US Securities and Exchange Commission September 1980 - August 1983
Skills
Legal Contract Review, Analysis and negotiation, Project Management, Strategic Planning, Post-transactional work, Motivational leader, Management, Dispute Resolution
Education
Creighton University School of Law 1977 — 1980
Juris Doctorate, Business
Creighton University
Bachelor of Science (BS), Accounting and Business/Management
Upchurch Watson White & Max May 2008 - Present
The Tupperware Company April 1989 - December 2001
US Securities and Exchange Commission September 1980 - August 1983
Skills
Legal Contract Review, Analysis and negotiation, Project Management, Strategic Planning, Post-transactional work, Motivational leader, Management, Dispute Resolution
Education
Creighton University School of Law 1977 — 1980
Juris Doctorate, Business
Creighton University
Bachelor of Science (BS), Accounting and Business/Management
Dmitriy Festin's US Securities and Exchange Commission Experience July 2001 - March 2006
Job Audit and Regulatory Compliance Advisory
Industry Financial Services
Experience
US Securities and Exchange Commission July 2001 - March 2006
US Army May 1995 - May 1998
Education
Hofstra University 1998 — 2001
Bachelor's Degree, Accounting, Banking & Finance
Defense Language Institute 1996 — 1997
Certificate of Graduation, Russian, Central European, East European and Eurasian Studies, Honor Graduate/4.0
US Securities and Exchange Commission July 2001 - March 2006
US Army May 1995 - May 1998
Education
Hofstra University 1998 — 2001
Bachelor's Degree, Accounting, Banking & Finance
Defense Language Institute 1996 — 1997
Certificate of Graduation, Russian, Central European, East European and Eurasian Studies, Honor Graduate/4.0
Carol Weiss's US Securities and Exchange Commission Experience 1987 - Present
Job U.S. Securities and Exchange Commission
Industry Public Policy
Experience
US Securities and Exchange Commission 1987 - Present
Murray, Jonson, White & Associates, Ltd., PC October 1983 - June 1987
Main Hurdman September 1981 - October 1983
Main Hurdman September 1979 - March 1981
Skills
Microsoft Office, Business Strategy, Management Consulting, Strategic Financial..., Quantitative Analytics, Quantitative Risk, New Business Development, Business Analysis
Education
George Mason University School of Law
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law
Drexel University 1978 — 1982
Bachelor's Degree, Accounting
US Securities and Exchange Commission 1987 - Present
Murray, Jonson, White & Associates, Ltd., PC October 1983 - June 1987
Main Hurdman September 1981 - October 1983
Main Hurdman September 1979 - March 1981
Skills
Microsoft Office, Business Strategy, Management Consulting, Strategic Financial..., Quantitative Analytics, Quantitative Risk, New Business Development, Business Analysis
Education
George Mason University School of Law
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law
Drexel University 1978 — 1982
Bachelor's Degree, Accounting
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency