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.
US Securities and Exchange Commission Salaries. You can even request information on how much does US Securities and Exchange Commission pay if you want to. Learn about salaries, pros and cons of working for US Securities and Exchange Commission directly from the past employees.
Find People by Employers You can rekindle an old relationship, reconnect with a long-lost friend, former boss, business acquaintance who might be useful in your new line of work. With our employee database, the possibilities are endless. All you have to do is type in a couple of keywords and we'll bring you the exact information you wanted!
4,270 US Securities and Exchange Commission employees in database. Find out everything there's to know about US Securities and Exchange Commission employees. We offer you a great deal of unbiased information from the internal database, personal records, and many other details that might be of interest to you.
US Securities and Exchange Commission Employees
Employee
Years
Job
Industry
Nell Yijun Shen Nell Yijun Shen's US Securities and Exchange Commission Experience January 2012 - May 2012
Job
Industry Financial Services
Experience
UBS 2013 - Present
KCG Holdings, Inc. June 2012 - December 2013
US Securities and Exchange Commission January 2012 - May 2012
Education
New York University 2010 — 2012
M.A.
Fudan University 2006 — 2010
B.A.
UBS 2013 - Present
KCG Holdings, Inc. June 2012 - December 2013
US Securities and Exchange Commission January 2012 - May 2012
Education
New York University 2010 — 2012
M.A.
Fudan University 2006 — 2010
B.A.
Jack Belcher Jack Belcher's US Securities and Exchange Commission Experience May 1995 - June 1998
Job CIO at Arlington County
Industry Information Technology and Services
Experience
Arlington County CIOArlington County Government2000 - Present
Department of Technology Services 2000 - Present
US House of Representatives June 1975 - March 2005
International Monetary Fund June 1998 - September 2000
US Securities and Exchange Commission May 1995 - June 1998
Education
Georgetown University 1969 — 1972
PhD, History, Political Science
Stonehill College 1965 — 1969
AB, History, Political Science
Arlington County CIOArlington County Government2000 - Present
Department of Technology Services 2000 - Present
US House of Representatives June 1975 - March 2005
International Monetary Fund June 1998 - September 2000
US Securities and Exchange Commission May 1995 - June 1998
Education
Georgetown University 1969 — 1972
PhD, History, Political Science
Stonehill College 1965 — 1969
AB, History, Political Science
Matthew Abreu Matthew Abreu's US Securities and Exchange Commission Experience March 2010 - June 2011
Job Information Security Analyst
Industry Information Technology and Services
Experience
Sempra U.S. Gas & Power April 2014 - Present
The Clearing House February 2013 - February 2014
EisnerAmper LLP June 2012 - February 2013
Bank of America June 2011 - June 2012
Military Sealift Command December 2010 - June 2011
US Securities and Exchange Commission March 2010 - June 2011
Skills
CCNA Security, CISA, GCIH, GSEC, CCNA, CCENT, Security+, Network+, Vulnerability Assessment, Security Clearance, Information Security, Security, Information Assurance, PCI DSS, Network Administration
Education
George Mason University 2006 — 2009
Bachelor of Science, Information Technology
Northern Virginia Community College 2004 — 2006
Associate of Science (A.S.), General Studies
Sempra U.S. Gas & Power April 2014 - Present
The Clearing House February 2013 - February 2014
EisnerAmper LLP June 2012 - February 2013
Bank of America June 2011 - June 2012
Military Sealift Command December 2010 - June 2011
US Securities and Exchange Commission March 2010 - June 2011
Skills
CCNA Security, CISA, GCIH, GSEC, CCNA, CCENT, Security+, Network+, Vulnerability Assessment, Security Clearance, Information Security, Security, Information Assurance, PCI DSS, Network Administration
Education
George Mason University 2006 — 2009
Bachelor of Science, Information Technology
Northern Virginia Community College 2004 — 2006
Associate of Science (A.S.), General Studies
Johnny Brooks II Johnny Brooks II's US Securities and Exchange Commission Experience June 2010 - March 2014
Job Customer Service Specialist at Office of the State Superintendent for Education Government of the District of Columbia
Industry Government Administration
Experience
Office of the State Superintendent for Education October 2014 - Present
US Securities and Exchange Commission June 2010 - March 2014
US Securities and Exchange Commission May 2004 - June 2010
Skills
Government, Public Speaking, Policy, Program Management, Nonprofits, Leadership, Event Planning, Proposal Writing, Training, Leadership Development, Data Analysis, Research, Analysis, Fundraising, Editing
Education
Georgetown University 2014 — 2015
Master of Arts (M.A.), Journalism
University of the District of Columbia 1998 — 2002
BA, Print Journalism
Office of the State Superintendent for Education October 2014 - Present
US Securities and Exchange Commission June 2010 - March 2014
US Securities and Exchange Commission May 2004 - June 2010
Skills
Government, Public Speaking, Policy, Program Management, Nonprofits, Leadership, Event Planning, Proposal Writing, Training, Leadership Development, Data Analysis, Research, Analysis, Fundraising, Editing
Education
Georgetown University 2014 — 2015
Master of Arts (M.A.), Journalism
University of the District of Columbia 1998 — 2002
BA, Print Journalism
PJ Hamidi PJ Hamidi's US Securities and Exchange Commission Experience September 2012 - December 2012
Job AttorneyAdviser at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission September 2012 - December 2012
Nike June 2012 - October 2012
Bloomberg L.P. June 2011 - August 2011
Qualcomm May 2007 - August 2010
ACLU of San Diego & Imperial Counties June 2008 - August 2008
Education
University of California, Berkeley - School of Law 2010 — 2013
J.D
Georgetown University 2006 — 2010
B.A., Psychology, Government
Country Day
La Jolla Country Day
La Jolla High
US Securities and Exchange Commission September 2012 - December 2012
Nike June 2012 - October 2012
Bloomberg L.P. June 2011 - August 2011
Qualcomm May 2007 - August 2010
ACLU of San Diego & Imperial Counties June 2008 - August 2008
Education
University of California, Berkeley - School of Law 2010 — 2013
J.D
Georgetown University 2006 — 2010
B.A., Psychology, Government
Country Day
La Jolla Country Day
La Jolla High
Eric Schoenborn's US Securities and Exchange Commission Experience 1993 - 1993
Job Partner; CoChair, Publicly Held Companies at Stradley Ronon
Industry Legal Services
Experience
Stradley Ronon September 1996 - Present
Mason Briody Gallagher & Taylor 1994 - 1996
US Securities and Exchange Commission 1993 - 1993
Pfizer 1993 - 1993
Education
George Mason University School of Law
Doctor of Law (J.D.)
North Carolina State University (M.S.M.)
Masters of Science in Management, Concentration in Finance
North Carolina State University
Bachelor of Arts (B.A.), Business Management
Holy Cross High School
Holy Cross High School
Stradley Ronon September 1996 - Present
Mason Briody Gallagher & Taylor 1994 - 1996
US Securities and Exchange Commission 1993 - 1993
Pfizer 1993 - 1993
Education
George Mason University School of Law
Doctor of Law (J.D.)
North Carolina State University (M.S.M.)
Masters of Science in Management, Concentration in Finance
North Carolina State University
Bachelor of Arts (B.A.), Business Management
Holy Cross High School
Holy Cross High School
Francis (Frank) Kelly Francis (Frank) Kelly's US Securities and Exchange Commission Experience 1992 - 1993
Job Managing Director & Global Coordinator, Public Affairs, Deutsche Bank
Industry Capital Markets
Experience
Deutsche Bank January 2013 - Present
Deutsche Bank June 2003 - Present
Deutsche Bank November 2010 - January 2013
Deutsche Bank August 2003 - December 2010
Deutsche Bank 2003 - December 2010
Charles Schwab 1997 - 2003
Merrill Lynch 1995 - 1997
Powell Tate 1993 - 1995
US Securities and Exchange Commission 1992 - 1993
US Securities and Exchange Commission 1991 - 1992
Skills
Political Risk Analysis, Government, Financial Services, Politics, Research, Crisis Management, Risk Management, Crisis Communications, Governance, Private Equity, Strategic Communications, Financial Risk, Due Diligence, International Relations, Mergers, Structured Finance, Public Policy, Mergers & Acquisitions, Policy, Public Affairs, Strategic Planning, Analysis, Capital Markets, Corporate Communications, Corporate Governance, Derivatives, Emerging Markets, Executive Management, Investment Banking, Corporate Finance, Hedge Funds, Management, Strategy, Asset Management, Investments
Education
George Mason University 1991 — 1994
Masters Degree, International Transactions & Trade
University of San Francisco 1982 — 1986
Bachelor of Arts, History, Philosophy. Great Books
Bishop Dennis J. O'Connell High School 1978 — 1982
Deutsche Bank January 2013 - Present
Deutsche Bank June 2003 - Present
Deutsche Bank November 2010 - January 2013
Deutsche Bank August 2003 - December 2010
Deutsche Bank 2003 - December 2010
Charles Schwab 1997 - 2003
Merrill Lynch 1995 - 1997
Powell Tate 1993 - 1995
US Securities and Exchange Commission 1992 - 1993
US Securities and Exchange Commission 1991 - 1992
Skills
Political Risk Analysis, Government, Financial Services, Politics, Research, Crisis Management, Risk Management, Crisis Communications, Governance, Private Equity, Strategic Communications, Financial Risk, Due Diligence, International Relations, Mergers, Structured Finance, Public Policy, Mergers & Acquisitions, Policy, Public Affairs, Strategic Planning, Analysis, Capital Markets, Corporate Communications, Corporate Governance, Derivatives, Emerging Markets, Executive Management, Investment Banking, Corporate Finance, Hedge Funds, Management, Strategy, Asset Management, Investments
Education
George Mason University 1991 — 1994
Masters Degree, International Transactions & Trade
University of San Francisco 1982 — 1986
Bachelor of Arts, History, Philosophy. Great Books
Bishop Dennis J. O'Connell High School 1978 — 1982
Samantha Grunberg's US Securities and Exchange Commission Experience April 2010 - April 2015
Job Research Assistant at Debevoise & Plimpton and Law Student at George Mason University
Industry Financial Services
Experience
Debevoise & Plimpton September 2015 - Present
Debevoise & Plimpton May 2015 - July 2015
US Securities and Exchange Commission April 2010 - April 2015
Huron Consulting Group September 2009 - April 2010
Skills
Financial Analysis, Litigation, Analysis, Economics, Finance, Valuation, Corporate Finance, Quantitative Analytics, Securities
Education
George Mason University School of Law 2012 — 2016
Doctor of Law (JD)
University of California, Santa Cruz 2008 — 2009
Master of Science (MS), Applied Economics and Finance
University of California, Santa Cruz 2004 — 2008
Bachelor of Arts (BA), Economics
Debevoise & Plimpton September 2015 - Present
Debevoise & Plimpton May 2015 - July 2015
US Securities and Exchange Commission April 2010 - April 2015
Huron Consulting Group September 2009 - April 2010
Skills
Financial Analysis, Litigation, Analysis, Economics, Finance, Valuation, Corporate Finance, Quantitative Analytics, Securities
Education
George Mason University School of Law 2012 — 2016
Doctor of Law (JD)
University of California, Santa Cruz 2008 — 2009
Master of Science (MS), Applied Economics and Finance
University of California, Santa Cruz 2004 — 2008
Bachelor of Arts (BA), Economics
Alan Boulier Alan Boulier's US Securities and Exchange Commission Experience March 2012 - September 2012
Job Economist at Moody's Analytics
Industry Information Technology and Services
Experience
Moody's Analytics May 2015 - Present
Federal Trade Commission September 2012 - May 2015
Ragtime Restaurant March 2008 - May 2015
US Securities and Exchange Commission March 2012 - September 2012
El Ranchero Restaurant December 2006 - June 2008
A United Construction September 2005 - August 2006
USPTO July 2005 - September 2005
George Washington University August 2002 - October 2003
George Washington University March 2002 - August 2002
Skills
Economics, Data Analysis, Research, Stata, Customer Service, Microsoft Office, Strategy, Database Analysis, Statistics, Public Policy, Economic Research, Program Management, Management, R, Economic Modeling, Marketing Communications, Customer Relations, Problem Solving, SAS programming, SQL, Python, Leadership, Analysis
Education
The George Washington University 2013 — 2015
Master of Science (MS), Business Analytics
George Mason University 2005 — 2012
Bachelor of Science, Economics
Moody's Analytics May 2015 - Present
Federal Trade Commission September 2012 - May 2015
Ragtime Restaurant March 2008 - May 2015
US Securities and Exchange Commission March 2012 - September 2012
El Ranchero Restaurant December 2006 - June 2008
A United Construction September 2005 - August 2006
USPTO July 2005 - September 2005
George Washington University August 2002 - October 2003
George Washington University March 2002 - August 2002
Skills
Economics, Data Analysis, Research, Stata, Customer Service, Microsoft Office, Strategy, Database Analysis, Statistics, Public Policy, Economic Research, Program Management, Management, R, Economic Modeling, Marketing Communications, Customer Relations, Problem Solving, SAS programming, SQL, Python, Leadership, Analysis
Education
The George Washington University 2013 — 2015
Master of Science (MS), Business Analytics
George Mason University 2005 — 2012
Bachelor of Science, Economics
Adeline Joshua's US Securities and Exchange Commission Experience June 2011 - August 2011
Job Program Analyst at U.S. Department of State
Industry Public Policy
Experience
U.S. Department of State August 2012 - Present
U.S. Department of State April 2014 - October 2014
Women's Foreign Policy Group April 2014 - May 2014
1634 Society September 2010 - June 2013
DiversABILITY September 2011 - May 2012
Georgetown University February 2010 - December 2011
US Securities and Exchange Commission June 2011 - August 2011
Bluestockings bookstore, fair trade café, activist center October 2007 - June 2009
Skills
Research, Microsoft Office, Public Speaking, PowerPoint, Microsoft Excel, Social Media, Microsoft Word, Policy Analysis, Public Policy, English, Politics, Stata, Community Outreach, International Relations, Editing, Economics, Spanish, Political Science, Government, International..., Human Rights, Qualitative Research, Foreign Policy
Education
Georgetown University 2009 — 2013
Bachelor of Science (B.S.), International Relations and Affairs
Universidad de Sevilla 2012 — 2012
Study Abroad, Social Sciences
Princeton University 2007 — 2007
Johns Hopkins Center for Talented Youth Program
U.S. Department of State August 2012 - Present
U.S. Department of State April 2014 - October 2014
Women's Foreign Policy Group April 2014 - May 2014
1634 Society September 2010 - June 2013
DiversABILITY September 2011 - May 2012
Georgetown University February 2010 - December 2011
US Securities and Exchange Commission June 2011 - August 2011
Bluestockings bookstore, fair trade café, activist center October 2007 - June 2009
Skills
Research, Microsoft Office, Public Speaking, PowerPoint, Microsoft Excel, Social Media, Microsoft Word, Policy Analysis, Public Policy, English, Politics, Stata, Community Outreach, International Relations, Editing, Economics, Spanish, Political Science, Government, International..., Human Rights, Qualitative Research, Foreign Policy
Education
Georgetown University 2009 — 2013
Bachelor of Science (B.S.), International Relations and Affairs
Universidad de Sevilla 2012 — 2012
Study Abroad, Social Sciences
Princeton University 2007 — 2007
Johns Hopkins Center for Talented Youth Program
Ralitza Minchev Ralitza Minchev's US Securities and Exchange Commission Experience May 2008 - August 2008
Job Director, Strategic Sourcing & Procurement at Farmers Insurance
Industry Insurance
Experience
Farmers Insurance September 2015 - Present
Farmers Insurance July 2014 - September 2015
Farmers Insurance August 2012 - July 2014
Bank of America/QBE First December 2010 - May 2012
Melior Consulting August 2005 - May 2012
Arlington Economics August 2009 - November 2011
US Securities and Exchange Commission May 2008 - August 2008
The Auto Club Group April 2004 - August 2005
The Auto Club Group July 2003 - March 2004
Office of Tax Policy Research - University of Michigan Business School May 2002 - April 2003
Skills
Business Strategy, Program Management, Contract Negotiation, Business Process..., Crisis Management, Compliance, Change Management, Legal Research, Process Improvement, Strategy, Management, Project Management, Leadership, Business Process, Strategic Planning, SDLC, Business Transformation, Budgets, Project Planning, Policy, Negotiation, Executive Management, E-commerce, Financial Analysis, Risk Management, Management Consulting, Contract Management, Business Development, Outsourcing, Mergers & Acquisitions, Business Analysis, IT Strategy, Governance, Proposal Writing, Insurance, Business Intelligence, Project Portfolio..., PMO, Business Process..., PMP, Integration, Consulting, Operations Management, Business Planning, Financial Services, Cross-functional Team..., CRM, Vendor Management, Analysis
Education
George Mason University School of Law 2006 — 2009
JD, Law
University of Michigan 2001 — 2003
BA, Economics
Farmers Insurance September 2015 - Present
Farmers Insurance July 2014 - September 2015
Farmers Insurance August 2012 - July 2014
Bank of America/QBE First December 2010 - May 2012
Melior Consulting August 2005 - May 2012
Arlington Economics August 2009 - November 2011
US Securities and Exchange Commission May 2008 - August 2008
The Auto Club Group April 2004 - August 2005
The Auto Club Group July 2003 - March 2004
Office of Tax Policy Research - University of Michigan Business School May 2002 - April 2003
Skills
Business Strategy, Program Management, Contract Negotiation, Business Process..., Crisis Management, Compliance, Change Management, Legal Research, Process Improvement, Strategy, Management, Project Management, Leadership, Business Process, Strategic Planning, SDLC, Business Transformation, Budgets, Project Planning, Policy, Negotiation, Executive Management, E-commerce, Financial Analysis, Risk Management, Management Consulting, Contract Management, Business Development, Outsourcing, Mergers & Acquisitions, Business Analysis, IT Strategy, Governance, Proposal Writing, Insurance, Business Intelligence, Project Portfolio..., PMO, Business Process..., PMP, Integration, Consulting, Operations Management, Business Planning, Financial Services, Cross-functional Team..., CRM, Vendor Management, Analysis
Education
George Mason University School of Law 2006 — 2009
JD, Law
University of Michigan 2001 — 2003
BA, Economics
CJ Rinaldi CJ Rinaldi's US Securities and Exchange Commission Experience September 1991 - April 1997
Job Client Business Manager, Managing Director, at Deutsche Bank Securities
Industry Investment Banking
Experience
Deutsche Bank Securities July 2013 - Present
UBS Investment Bank August 2010 - July 2013
Bridgewater Associates June 2008 - July 2010
UBS Limited September 2006 - May 2008
UBS Limited July 2005 - August 2006
UBS Securities LLC April 2001 - July 2005
Clifford Chance Rogers & Wells LLP May 1997 - March 2001
US Securities and Exchange Commission September 1991 - April 1997
Skills
Fixed Income, Derivatives, Investment Banking, Capital Markets, Risk Management, Management, Change Management, Counterparty Risk, Cross-border..., Legal Documents, Compliance, Prime Brokerage
Education
Saint John's University School of Law 1988 — 1991
Doctor of Law (JD), Law
Fordham University 1984 — 1988
Bachelor of Arts (BA), Political Science
Deutsche Bank Securities July 2013 - Present
UBS Investment Bank August 2010 - July 2013
Bridgewater Associates June 2008 - July 2010
UBS Limited September 2006 - May 2008
UBS Limited July 2005 - August 2006
UBS Securities LLC April 2001 - July 2005
Clifford Chance Rogers & Wells LLP May 1997 - March 2001
US Securities and Exchange Commission September 1991 - April 1997
Skills
Fixed Income, Derivatives, Investment Banking, Capital Markets, Risk Management, Management, Change Management, Counterparty Risk, Cross-border..., Legal Documents, Compliance, Prime Brokerage
Education
Saint John's University School of Law 1988 — 1991
Doctor of Law (JD), Law
Fordham University 1984 — 1988
Bachelor of Arts (BA), Political Science
Jason Rabinovich, Esq.'s US Securities and Exchange Commission Experience January 2008 - April 2008
Job Business Attorney, Real Estate Broker
Industry Legal Services
Experience
Law Office of Jason Rabinovich, PLLC. September 2009 - Present
Philadelphia Luxury Realty November 2014 - Present
Marks & Sokolov, LLC February 2014 - March 2015
U.S. Department of Commerce January 2009 - April 2009
Financial Industry Regulatory Authority May 2008 - December 2008
US Securities and Exchange Commission January 2008 - April 2008
ING May 2007 - August 2007
ING May 2006 - September 2006
Skills
Litigation, Commercial Litigation, Legal Writing, Civil Litigation, Legal Research, Trials, Corporate Law, Contract Negotiation, General Business..., Bankruptcy, Hearings, Business Litigation, Dispute Resolution, Criminal Law, Civil Law, Trial Preparation, Contractual Disputes, Securities Regulation, Financial Law, Transactional Law, Negotiation, Real Estate, Real Estate Transactions, Depositions, Dispute, Trial Practice, Financial Regulation, Commercial Real Estate, Property Law
Education
George Mason University School of Law 2006 — 2009
J.D., Corporate & Securities Law
Penn State University 2002 — 2006
B.S., Finance, Economics
Taylor Allderdice High School 1998 — 2002
High School
Law Office of Jason Rabinovich, PLLC. September 2009 - Present
Philadelphia Luxury Realty November 2014 - Present
Marks & Sokolov, LLC February 2014 - March 2015
U.S. Department of Commerce January 2009 - April 2009
Financial Industry Regulatory Authority May 2008 - December 2008
US Securities and Exchange Commission January 2008 - April 2008
ING May 2007 - August 2007
ING May 2006 - September 2006
Skills
Litigation, Commercial Litigation, Legal Writing, Civil Litigation, Legal Research, Trials, Corporate Law, Contract Negotiation, General Business..., Bankruptcy, Hearings, Business Litigation, Dispute Resolution, Criminal Law, Civil Law, Trial Preparation, Contractual Disputes, Securities Regulation, Financial Law, Transactional Law, Negotiation, Real Estate, Real Estate Transactions, Depositions, Dispute, Trial Practice, Financial Regulation, Commercial Real Estate, Property Law
Education
George Mason University School of Law 2006 — 2009
J.D., Corporate & Securities Law
Penn State University 2002 — 2006
B.S., Finance, Economics
Taylor Allderdice High School 1998 — 2002
High School
Chul W. Park Chul W. Park's US Securities and Exchange Commission Experience January 2013 - Present
Job Assistant Director, Office of Quantitative Risk Analysis at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission January 2013 - Present
US Securities and Exchange Commission January 2011 - December 2012
Commodity Futures Trading Commission October 1997 - December 2010
Skills
Commodity Markets, Econometrics, Economics, Market Risk, Credit Risk, Market Microstructure, Financial Modeling
Education
Georgetown University 1992 — 1999
Doctor of Philosophy (Ph.D.), Economics
New York University 1988 — 1992
Bachelor of Arts (B.A.), Mathematics and Economics
US Securities and Exchange Commission January 2013 - Present
US Securities and Exchange Commission January 2011 - December 2012
Commodity Futures Trading Commission October 1997 - December 2010
Skills
Commodity Markets, Econometrics, Economics, Market Risk, Credit Risk, Market Microstructure, Financial Modeling
Education
Georgetown University 1992 — 1999
Doctor of Philosophy (Ph.D.), Economics
New York University 1988 — 1992
Bachelor of Arts (B.A.), Mathematics and Economics
Eric Ways-Ayala Eric Ways-Ayala's US Securities and Exchange Commission Experience October 2001 - February 2003
Job Network Engineer at General Dynamics
Industry Information Technology and Services
Experience
General Dynamics September 2005 - Present
Quasars, Inc. April 2003 - April 2004
US Securities and Exchange Commission October 2001 - February 2003
RCN August 2000 - July 2001
Skills
Microsoft Exchange, Troubleshooting, Active Directory, Program Management, ITIL, Enterprise Architecture, Windows, Information Assurance
Education
Full Sail University 2014 — 2017
Bachelor's degree, Computer Animation
Prince George's Community College 2001 — 2003
General Dynamics September 2005 - Present
Quasars, Inc. April 2003 - April 2004
US Securities and Exchange Commission October 2001 - February 2003
RCN August 2000 - July 2001
Skills
Microsoft Exchange, Troubleshooting, Active Directory, Program Management, ITIL, Enterprise Architecture, Windows, Information Assurance
Education
Full Sail University 2014 — 2017
Bachelor's degree, Computer Animation
Prince George's Community College 2001 — 2003
Joshua Samples Joshua Samples's US Securities and Exchange Commission Experience January 2013 - Present
Job Attorney at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission January 2013 - Present
JPMorgan Chase July 2012 - January 2013
St. Vincent de Paul Securities Arbitration Clinic June 2010 - December 2010
Skills
Microsoft Office, Excel, PowerPoint, Word, Access, LexisNexis, Westlaw, Bloomberg Terminal, Bloomberg, Wealth Management, Securities, Corporate Law, Mergers, Corporate Governance, Legal Writing, Legal Research
Education
St. John's University 2008 — 2011
Juris Doctor (J.D.)
Fordham University 2004 — 2008
Bachelor's Degree, Business Administration; International Business, magna cum laude
US Securities and Exchange Commission January 2013 - Present
JPMorgan Chase July 2012 - January 2013
St. Vincent de Paul Securities Arbitration Clinic June 2010 - December 2010
Skills
Microsoft Office, Excel, PowerPoint, Word, Access, LexisNexis, Westlaw, Bloomberg Terminal, Bloomberg, Wealth Management, Securities, Corporate Law, Mergers, Corporate Governance, Legal Writing, Legal Research
Education
St. John's University 2008 — 2011
Juris Doctor (J.D.)
Fordham University 2004 — 2008
Bachelor's Degree, Business Administration; International Business, magna cum laude
Mik Shin-Li Mik Shin-Li's US Securities and Exchange Commission Experience January 2010 - April 2010
Job Associate, Investigations & White Collar Defense at Perkins Coie LLP
Industry Law Practice
Experience
Perkins Coie LLP September 2013 - Present
United States Court of Appeals for the Second Circuit September 2012 - August 2013
Crowell & Moring LLP October 2011 - August 2012
The Honorable Shira Scheindlin, S.D.N.Y. January 2011 - April 2011
US Securities and Exchange Commission January 2010 - April 2010
Financial Industry Regulatory Authority September 2009 - November 2009
The Honorable Mark Dillon, N.Y. Supreme Court, Appellate Division, Second Department June 2009 - July 2009
Allstate Insurance Company August 2003 - May 2008
Skills
Legal Research, Legal Writing, Litigation, Private Investigations
Education
Fordham University School of Law 2009 — 2011
Doctor of Law (J.D.)
Pepperdine University School of Law 2008 — 2009
University of Pennsylvania 1999 — 2003
Bachelor of Arts (B.A.)
Perkins Coie LLP September 2013 - Present
United States Court of Appeals for the Second Circuit September 2012 - August 2013
Crowell & Moring LLP October 2011 - August 2012
The Honorable Shira Scheindlin, S.D.N.Y. January 2011 - April 2011
US Securities and Exchange Commission January 2010 - April 2010
Financial Industry Regulatory Authority September 2009 - November 2009
The Honorable Mark Dillon, N.Y. Supreme Court, Appellate Division, Second Department June 2009 - July 2009
Allstate Insurance Company August 2003 - May 2008
Skills
Legal Research, Legal Writing, Litigation, Private Investigations
Education
Fordham University School of Law 2009 — 2011
Doctor of Law (J.D.)
Pepperdine University School of Law 2008 — 2009
University of Pennsylvania 1999 — 2003
Bachelor of Arts (B.A.)
Stephen Cavan Stephen Cavan's US Securities and Exchange Commission Experience August 1978 - July 1982
Job Member at Hub Angels
Industry Financial Services
Experience
Hub Angels April 2006 - Present
MFS Investment Management December 1989 - March 2004
The Boston Company Advisors, Inc. September 1987 - December 1989
Gaston Snow & Ely Bartlett July 1986 - September 1987
Gaston Snow & Ely Bartlett August 1982 - July 1986
US Securities and Exchange Commission August 1978 - July 1982
Skills
Mutual Funds, Securities Regulation, Securities, Investment Management, Venture Capital, Mergers & Acquisitions, Corporate Governance, Alternative Investments, Investment Advisory, FINRA, Asset Management, Financial Services, Due Diligence, Hedge Funds, Investments, Private Equity, Entrepreneurship
Education
University of Denver - Sturm College of Law 1975 — 1978
JD
Georgetown University 1971 — 1975
BS, Psychology
Hub Angels April 2006 - Present
MFS Investment Management December 1989 - March 2004
The Boston Company Advisors, Inc. September 1987 - December 1989
Gaston Snow & Ely Bartlett July 1986 - September 1987
Gaston Snow & Ely Bartlett August 1982 - July 1986
US Securities and Exchange Commission August 1978 - July 1982
Skills
Mutual Funds, Securities Regulation, Securities, Investment Management, Venture Capital, Mergers & Acquisitions, Corporate Governance, Alternative Investments, Investment Advisory, FINRA, Asset Management, Financial Services, Due Diligence, Hedge Funds, Investments, Private Equity, Entrepreneurship
Education
University of Denver - Sturm College of Law 1975 — 1978
JD
Georgetown University 1971 — 1975
BS, Psychology
Dawn Patterson Dawn Patterson's US Securities and Exchange Commission Experience January 2011 - July 2013
Job Managing Director at JPMorgan Chase
Industry Financial Services
Experience
JPMorgan Chase July 2013 - Present
US Securities and Exchange Commission January 2011 - July 2013
US TREASURY, OFFICE OF FINANCIAL January 2009 - January 2011
DELOITTE & TOUCHE LLP January 1999 - December 2008
CWB SYSTEM SERVICES September 1998 - January 1999
Deutsche Bank Securities, Inc. January 1997 - September 1998
INVESTMENT TECHNOLOGIES GROUP, INC January 1996 - January 1997
SALOMON BROTHERS, INC January 1983 - December 1995
Skills
Corporate Governance, Program Management, Due Diligence, Securities Regulation, Securities, Budgets, Equities, Risk Management, Governance, Start-ups, Finance, Corporate Law, Capital Markets, Strategy, Management, Internal Controls, Financial Risk, Investments, Sarbanes-Oxley Act, Leadership, Auditing, Mergers & Acquisitions
Education
Fordham University 1979 — 1983
Bachelor of Science, Marketing & Computer Science
JPMorgan Chase July 2013 - Present
US Securities and Exchange Commission January 2011 - July 2013
US TREASURY, OFFICE OF FINANCIAL January 2009 - January 2011
DELOITTE & TOUCHE LLP January 1999 - December 2008
CWB SYSTEM SERVICES September 1998 - January 1999
Deutsche Bank Securities, Inc. January 1997 - September 1998
INVESTMENT TECHNOLOGIES GROUP, INC January 1996 - January 1997
SALOMON BROTHERS, INC January 1983 - December 1995
Skills
Corporate Governance, Program Management, Due Diligence, Securities Regulation, Securities, Budgets, Equities, Risk Management, Governance, Start-ups, Finance, Corporate Law, Capital Markets, Strategy, Management, Internal Controls, Financial Risk, Investments, Sarbanes-Oxley Act, Leadership, Auditing, Mergers & Acquisitions
Education
Fordham University 1979 — 1983
Bachelor of Science, Marketing & Computer Science
Jodie Young Jodie Young's US Securities and Exchange Commission Experience October 2004 - March 2013
Job Assistant General Counsel, PCAOB
Industry Law Enforcement
Experience
Public Company Accounting Oversight Board January 2014 - Present
US Securities and Exchange Commission October 2004 - March 2013
LeBoeuf, Lamb, Greene & MacRae LLP August 2003 - October 2004
Foley & Lardner LLP May 2002 - August 2003
Central Intelligence Agency August 2000 - May 2002
Harvard-Smithsonian Center for Astrophysics October 1997 - May 2000
Marshall, Dennehey, Warner, Coleman & Goggin June 1996 - August 1997
Franklin and Marshall College September 1994 - May 1996
Skills
Administrative Law, Securities Law, Appeals, Legal Writing, Securities Litigation, Government, Litigation Support, Legal Research, Securities, Securities Regulation, FCPA
Education
Harvard Law School 1997 — 2000
JD, Law
Franklin & Marshall College 1992 — 1996
BA, Latin, Astronomy
Public Company Accounting Oversight Board January 2014 - Present
US Securities and Exchange Commission October 2004 - March 2013
LeBoeuf, Lamb, Greene & MacRae LLP August 2003 - October 2004
Foley & Lardner LLP May 2002 - August 2003
Central Intelligence Agency August 2000 - May 2002
Harvard-Smithsonian Center for Astrophysics October 1997 - May 2000
Marshall, Dennehey, Warner, Coleman & Goggin June 1996 - August 1997
Franklin and Marshall College September 1994 - May 1996
Skills
Administrative Law, Securities Law, Appeals, Legal Writing, Securities Litigation, Government, Litigation Support, Legal Research, Securities, Securities Regulation, FCPA
Education
Harvard Law School 1997 — 2000
JD, Law
Franklin & Marshall College 1992 — 1996
BA, Latin, Astronomy
Colin Ray Colin Ray's US Securities and Exchange Commission Experience November 2010 - Present
Job Senior Counsel at US Securities and Exchange Commission
Industry Legal Services
Experience
US Securities and Exchange Commission November 2010 - Present
Social Security Administration - Office of Disability Adjudication and Review August 2010 - November 2010
US Securities and Exchange Commission June 2009 - August 2009
Loudoun County Circuit Court June 2008 - July 2008
Steptoe & Johnson LLP November 2005 - May 2008
Social Security Administration - OHA - OAO June 2004 - June 2005
Kelley School of Business September 2003 - May 2005
Education
George Mason University School of Law 2007 — 2010
J.D., Law, cum laude
Indiana University - Kelley School of Business 2001 — 2005
B.S., Business Finance
US Securities and Exchange Commission November 2010 - Present
Social Security Administration - Office of Disability Adjudication and Review August 2010 - November 2010
US Securities and Exchange Commission June 2009 - August 2009
Loudoun County Circuit Court June 2008 - July 2008
Steptoe & Johnson LLP November 2005 - May 2008
Social Security Administration - OHA - OAO June 2004 - June 2005
Kelley School of Business September 2003 - May 2005
Education
George Mason University School of Law 2007 — 2010
J.D., Law, cum laude
Indiana University - Kelley School of Business 2001 — 2005
B.S., Business Finance
Robert E. Plaze Robert E. Plaze's US Securities and Exchange Commission Experience 2011 - 2012
Job Partner at Stroock & Stroock & Lavan LLP
Industry Law Practice
Experience
Stroock & Stroock & Lavan LLP 2013 - Present
US Securities and Exchange Commission 2011 - 2012
US Securities and Exchange Commission 1996 - 2011
US Securities and Exchange Commission 1988 - 1996
US Securities and Exchange Commission 1987 - 1988
US Securities and Exchange Commission 1983 - 1987
Skills
Securities Regulation, Public Pol, Investment Advisers Act, Investment Company Act, Securities, Investment Management, Government
Education
Georgetown University Law Center 1979 — 1983
Doctor of Law (JD), Law
Georgetown University 1974 — 1978
AB, American Government and Politics (United States)
Stroock & Stroock & Lavan LLP 2013 - Present
US Securities and Exchange Commission 2011 - 2012
US Securities and Exchange Commission 1996 - 2011
US Securities and Exchange Commission 1988 - 1996
US Securities and Exchange Commission 1987 - 1988
US Securities and Exchange Commission 1983 - 1987
Skills
Securities Regulation, Public Pol, Investment Advisers Act, Investment Company Act, Securities, Investment Management, Government
Education
Georgetown University Law Center 1979 — 1983
Doctor of Law (JD), Law
Georgetown University 1974 — 1978
AB, American Government and Politics (United States)
Elena Schlickenmaier Elena Schlickenmaier's US Securities and Exchange Commission Experience May 2007 - August 2007
Job Attorney at JM Blattner
Industry Financial Services
Experience
JM Blattner September 2014 - Present
First Command Financial Services August 2013 - Present
WilmerHale November 2009 - May 2013
WilmerHale May 2008 - August 2008
US Securities and Exchange Commission May 2007 - August 2007
Corporate Executive Board August 2004 - July 2006
Skills
Securities Regulation, Legal Research, Legal Writing, Securities, Financial Regulation
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
J.D.
Georgetown University 2003 — 2004
M.A., Security Studies
Georgetown University 1999 — 2003
B.A., History and Government
JM Blattner September 2014 - Present
First Command Financial Services August 2013 - Present
WilmerHale November 2009 - May 2013
WilmerHale May 2008 - August 2008
US Securities and Exchange Commission May 2007 - August 2007
Corporate Executive Board August 2004 - July 2006
Skills
Securities Regulation, Legal Research, Legal Writing, Securities, Financial Regulation
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
J.D.
Georgetown University 2003 — 2004
M.A., Security Studies
Georgetown University 1999 — 2003
B.A., History and Government
Matthew Archer-Beck's US Securities and Exchange Commission Experience February 2012 - Present
Job Senior Counsel at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission February 2012 - Present
U.S. Court of Appeals for the District of Columbia Circuit November 2009 - February 2012
Sidley Austin LLP 2005 - November 2009
U.S. Court of Appeals for the Third Circuit 2007 - 2007
U.S. District Court for the Central District of California 2004 - 2005
Cravath Swaine & Moore 1999 - 2001
Skills
Securities Regulation, Administrative Law, Appellate Litigation, Legal Research, Legal Writing, Civil Litigation, Securities Law
Education
Georgetown University Law Center 2001 — 2004
Juris Doctor
Georgetown University 1993 — 1999
AB, Government
US Securities and Exchange Commission February 2012 - Present
U.S. Court of Appeals for the District of Columbia Circuit November 2009 - February 2012
Sidley Austin LLP 2005 - November 2009
U.S. Court of Appeals for the Third Circuit 2007 - 2007
U.S. District Court for the Central District of California 2004 - 2005
Cravath Swaine & Moore 1999 - 2001
Skills
Securities Regulation, Administrative Law, Appellate Litigation, Legal Research, Legal Writing, Civil Litigation, Securities Law
Education
Georgetown University Law Center 2001 — 2004
Juris Doctor
Georgetown University 1993 — 1999
AB, Government
Christina McGlosson-Wilson's US Securities and Exchange Commission Experience December 2014 - Present
Job Senior Special Counsel, US Securities and Exchange Commission, Division of Economic and Risk Analysis
Industry Law Practice
Experience
US Securities and Exchange Commission December 2014 - Present
US Securities and Exchange Commission July 2013 - December 2014
US Securities and Exchange Commission January 2011 - July 2013
US Securities and Exchange Commission February 2010 - February 2011
US Securities and Exchange Commission 2006 - February 2010
US Securities and Exchange Commission 2002 - 2006
US Securities and Exchange Commission 2001 - 2002
US Securities and Exchange Commission 1998 - 2001
Skills
Fraud, Enforcement, Government, Securities Regulation, Litigation, project management, intelligence intake..., SEC, Project Management, Corporate Governance, FCPA, Internal Investigations, Securities, Arbitration, Civil Litigation, White Collar Criminal..., Commercial Litigation, Securities Litigation, Privacy Law, Securities Fraud, Private Investigations, Policy, Legal Writing, Class Actions, Legal Research, Law Enforcement
Education
The Catholic University of America, Columbus School of Law 1995 — 1998
J.D., cum laude, Securities Law Concentration
Georgetown University 1989 — 1993
A.B., Government and Economics, First Honors
US Securities and Exchange Commission December 2014 - Present
US Securities and Exchange Commission July 2013 - December 2014
US Securities and Exchange Commission January 2011 - July 2013
US Securities and Exchange Commission February 2010 - February 2011
US Securities and Exchange Commission 2006 - February 2010
US Securities and Exchange Commission 2002 - 2006
US Securities and Exchange Commission 2001 - 2002
US Securities and Exchange Commission 1998 - 2001
Skills
Fraud, Enforcement, Government, Securities Regulation, Litigation, project management, intelligence intake..., SEC, Project Management, Corporate Governance, FCPA, Internal Investigations, Securities, Arbitration, Civil Litigation, White Collar Criminal..., Commercial Litigation, Securities Litigation, Privacy Law, Securities Fraud, Private Investigations, Policy, Legal Writing, Class Actions, Legal Research, Law Enforcement
Education
The Catholic University of America, Columbus School of Law 1995 — 1998
J.D., cum laude, Securities Law Concentration
Georgetown University 1989 — 1993
A.B., Government and Economics, First Honors
Michele Rollins Michele Rollins's US Securities and Exchange Commission Experience 1968 - 1970
Job Candidate for U.S. Congress at Michele Rollins for Congress
Industry Political Organization
Experience
Michele Rollins for Congress ChairwomanRose Hall Ltd.1977 - 2010
Sun Company 1976 - 1977
Department of the Interior 1974 - 1976
U.S. Environmental Protection Agency 1972 - 1974
U.S. Department of Justice 1970 - 1972
US Securities and Exchange Commission 1968 - 1970
Education
Georgetown University Law Center 1968 — 1970
LLM, Tax
Georgetown University Law Center 1965 — 1968
Juris Doctor
Georgetown University 1961 — 1965
Bachelor of Science in Foreign Service
Michele Rollins for Congress ChairwomanRose Hall Ltd.1977 - 2010
Sun Company 1976 - 1977
Department of the Interior 1974 - 1976
U.S. Environmental Protection Agency 1972 - 1974
U.S. Department of Justice 1970 - 1972
US Securities and Exchange Commission 1968 - 1970
Education
Georgetown University Law Center 1968 — 1970
LLM, Tax
Georgetown University Law Center 1965 — 1968
Juris Doctor
Georgetown University 1961 — 1965
Bachelor of Science in Foreign Service
Julius Leiman-Carbia Julius Leiman-Carbia's US Securities and Exchange Commission Experience April 2011 - April 2013
Job Chief Compliance Officer at JPMorgan Chase
Industry Banking
Experience
JPMorgan Chase April 2013 - May 2015
US Securities and Exchange Commission April 2011 - April 2013
BP June 2009 - January 2011
Citigroup 2005 - 2009
JP Morgan 2004 - 2005
Goldman Sachs 2000 - 2004
Goldman Sachs 1995 - 2000
Smith New Court February 1994 - September 1995
US Securities and Exchange Commission February 1989 - February 1994
Skills
Securities, Capital Markets, Fixed Income, Risk Management, AML, Equities, Options, Internal Audit, Trading, Derivatives, Internal Controls, Investment Advisory, Hedge Funds, Securities Regulation, Financial Regulation, Alternative Investments, Asset Management, Commodity, Corporate Governance, Commodity Markets, Due Diligence, FINRA, Finance, Financial Markets, Financial Risk, Financial Services, Investment Banking, Operational Risk, Prime Brokerage, Private Equity, Structured Finance, Structured Products, Management
Education
University of Pennsylvania Law School 1983 — 1986
JD, Law
Georgetown University 1979 — 1983
BSFS, International Relations, Law and Organizations
JPMorgan Chase April 2013 - May 2015
US Securities and Exchange Commission April 2011 - April 2013
BP June 2009 - January 2011
Citigroup 2005 - 2009
JP Morgan 2004 - 2005
Goldman Sachs 2000 - 2004
Goldman Sachs 1995 - 2000
Smith New Court February 1994 - September 1995
US Securities and Exchange Commission February 1989 - February 1994
Skills
Securities, Capital Markets, Fixed Income, Risk Management, AML, Equities, Options, Internal Audit, Trading, Derivatives, Internal Controls, Investment Advisory, Hedge Funds, Securities Regulation, Financial Regulation, Alternative Investments, Asset Management, Commodity, Corporate Governance, Commodity Markets, Due Diligence, FINRA, Finance, Financial Markets, Financial Risk, Financial Services, Investment Banking, Operational Risk, Prime Brokerage, Private Equity, Structured Finance, Structured Products, Management
Education
University of Pennsylvania Law School 1983 — 1986
JD, Law
Georgetown University 1979 — 1983
BSFS, International Relations, Law and Organizations
Laura Shugrue Laura Shugrue's US Securities and Exchange Commission Experience January 2012 - July 2012
Job Analyst at Office of Inspector General, US Agency for International Development
Industry Government Administration
Experience
Office of Inspector General, US Agency for International Development July 2012 - Present
US Securities and Exchange Commission January 2012 - July 2012
Merit Systems Protection Board September 2009 - January 2012
IPMA-HR Federal Advisory Committee 2011 - 2012
U.S. Merit Systems Protection Board 2003 - November 2009
Department of Veterans Affairs 2000 - 2003
US Office of Personnel Management 1990 - 2000
Skills
Policy, Employee Relations, Microsoft Office, Succession Planning, Government
Education
Federal Executive Institute 2010 — 2010
Leadership for a Democratic Society
George Mason University 2000 — 2005
MPA, Public Administration, Administration of Justice
University of Mary Washington 1986 — 1990
BA, History
Office of Inspector General, US Agency for International Development July 2012 - Present
US Securities and Exchange Commission January 2012 - July 2012
Merit Systems Protection Board September 2009 - January 2012
IPMA-HR Federal Advisory Committee 2011 - 2012
U.S. Merit Systems Protection Board 2003 - November 2009
Department of Veterans Affairs 2000 - 2003
US Office of Personnel Management 1990 - 2000
Skills
Policy, Employee Relations, Microsoft Office, Succession Planning, Government
Education
Federal Executive Institute 2010 — 2010
Leadership for a Democratic Society
George Mason University 2000 — 2005
MPA, Public Administration, Administration of Justice
University of Mary Washington 1986 — 1990
BA, History
Linda Guerty Linda Guerty's US Securities and Exchange Commission Experience 1988 - 1990
Job Independent Writing and Editing Professional
Industry Writing and Editing
Experience
LRP Publications 1997 - 2004
Palm Beach County 1995 - 1997
LINDA GUERTY, Attorney at Law 1993 - 1995
U.S. Department of Justice January 1991 - May 1991
US Securities and Exchange Commission 1988 - 1990
NationsBank (formerly Sovran Bank/DC National) January 1988 - March 1988
Carolina Securities Corporation 1987 - 1988
Education
George Mason University School of Law 1989 — 1992
Juris Doctor, Business, Corporate and Securities (stock market)
University of Florida - Warrington College of Business Administration 1982 — 1986
Bachelor of Science, Business and Finance/Investments, French
Rosarian Academy
University of Florida
LRP Publications 1997 - 2004
Palm Beach County 1995 - 1997
LINDA GUERTY, Attorney at Law 1993 - 1995
U.S. Department of Justice January 1991 - May 1991
US Securities and Exchange Commission 1988 - 1990
NationsBank (formerly Sovran Bank/DC National) January 1988 - March 1988
Carolina Securities Corporation 1987 - 1988
Education
George Mason University School of Law 1989 — 1992
Juris Doctor, Business, Corporate and Securities (stock market)
University of Florida - Warrington College of Business Administration 1982 — 1986
Bachelor of Science, Business and Finance/Investments, French
Rosarian Academy
University of Florida
Christina De Rosa Christina De Rosa's US Securities and Exchange Commission Experience June 2013 - Present
Job Attorney, Division of Corporation Finance at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission June 2013 - Present
New York Law School August 2012 - June 2013
New York Law School March 2011 - May 2012
US Securities and Exchange Commission January 2012 - April 2012
Kraft Foods May 2011 - July 2011
Education
New York Law School 2009 — 2012
Juris Doctor
Fordham University 2004 — 2008
Bachelor of Arts, Major: Classical Languages; Minor: Classical Civilizations
Loyola Academy
US Securities and Exchange Commission June 2013 - Present
New York Law School August 2012 - June 2013
New York Law School March 2011 - May 2012
US Securities and Exchange Commission January 2012 - April 2012
Kraft Foods May 2011 - July 2011
Education
New York Law School 2009 — 2012
Juris Doctor
Fordham University 2004 — 2008
Bachelor of Arts, Major: Classical Languages; Minor: Classical Civilizations
Loyola Academy
Kathleen Reilly Kathleen Reilly's US Securities and Exchange Commission Experience January 2014 - May 2014
Job
Industry Law Practice
Experience
NYPD September 2015 - Present
United States Attorney's Office for the Southern District of New York September 2014 - December 2014
Professor Adam Kolber, Brooklyn Law School July 2014 - November 2014
United States Attorney's Office for the Eastern District of New York May 2014 - August 2014
US Securities and Exchange Commission January 2014 - May 2014
King's County District Attorney's Office September 2013 - December 2013
United States District Court for the Eastern District of New York June 2013 - August 2013
New York State Supreme Court January 2012 - August 2012
BNY ConvergEx July 2008 - August 2011
Marwood Group June 2005 - August 2007
Skills
Microsoft Office, Microsoft Word, PowerPoint, Westlaw, LexisNexis, Research, Trials, Civil Litigation, Government, Criminal Law, Legal Research, Motions
Education
Brooklyn Law School 2012 — 2015
Juris Doctor
Georgetown University 2004 — 2008
Bachelor of Arts (B.A.), English Literature and Government
St. Joseph Hill Academy 2000 — 2004
Regents Diploma Advanced Designation with Honors
NYPD September 2015 - Present
United States Attorney's Office for the Southern District of New York September 2014 - December 2014
Professor Adam Kolber, Brooklyn Law School July 2014 - November 2014
United States Attorney's Office for the Eastern District of New York May 2014 - August 2014
US Securities and Exchange Commission January 2014 - May 2014
King's County District Attorney's Office September 2013 - December 2013
United States District Court for the Eastern District of New York June 2013 - August 2013
New York State Supreme Court January 2012 - August 2012
BNY ConvergEx July 2008 - August 2011
Marwood Group June 2005 - August 2007
Skills
Microsoft Office, Microsoft Word, PowerPoint, Westlaw, LexisNexis, Research, Trials, Civil Litigation, Government, Criminal Law, Legal Research, Motions
Education
Brooklyn Law School 2012 — 2015
Juris Doctor
Georgetown University 2004 — 2008
Bachelor of Arts (B.A.), English Literature and Government
St. Joseph Hill Academy 2000 — 2004
Regents Diploma Advanced Designation with Honors
Warren Raiti's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Capital Market Formation
Industry Law Practice
Experience
US Securities and Exchange Commission January 2014 - May 2014
Private November 2012 - January 2014
Keiretsu Forum NY Tristate Chapter September 2012 - January 2014
Socionomics Institute December 2011 - January 2014
Malecki Law June 2013 - August 2013
Stevens & Lee November 2012 - January 2013
Philadelphia District Attorney's Office May 2012 - August 2012
Philadelphia District Attorney's Office February 2011 - August 2011
Neue Galerie New York October 2009 - August 2011
Real Estate Law Office May 2009 - October 2009
Skills
Public Speaking, Legal Writing, Elliot-Wave Analysis, Socionomic Analysis, Futures Trading, Pianist, Legal Research, Music Composition, Fencing - Foil, Trading Strategies, Composition, Analysis, Financial Modeling, Private Equity, Investments, Due Diligence, Equities, Capital Markets, Financial Markets, Harmonic Elliot Wave..., Research, Start-ups, Corporate Law, Securities Regulation, Westlaw, Trials, Litigation, Lexis, Commercial Litigation, Corporate Governance, Securities, Intellectual Property, Patents, Legal Compliance, Mergers, Civil Litigation, Angel Investing, Appeals, Derivatives, Trading, Entrepreneurship, Economics, Financial Analysis, LexisNexis
Education
Thomas R. Kline School of Law, at Drexel University 2011 — 2014
Juris Doctor (J.D.), Certificate in Business and Entrepreneurship Law
Georgetown University Law Center
Visiting Student (J.D.)
Massachusetts Institute of Technology 2013 — 2015
Open Courseware, Computer Science & Programming, Self Study
Fordham University
Bachelor of Arts (B.A.), Anthropology & Economics
US Securities and Exchange Commission January 2014 - May 2014
Private November 2012 - January 2014
Keiretsu Forum NY Tristate Chapter September 2012 - January 2014
Socionomics Institute December 2011 - January 2014
Malecki Law June 2013 - August 2013
Stevens & Lee November 2012 - January 2013
Philadelphia District Attorney's Office May 2012 - August 2012
Philadelphia District Attorney's Office February 2011 - August 2011
Neue Galerie New York October 2009 - August 2011
Real Estate Law Office May 2009 - October 2009
Skills
Public Speaking, Legal Writing, Elliot-Wave Analysis, Socionomic Analysis, Futures Trading, Pianist, Legal Research, Music Composition, Fencing - Foil, Trading Strategies, Composition, Analysis, Financial Modeling, Private Equity, Investments, Due Diligence, Equities, Capital Markets, Financial Markets, Harmonic Elliot Wave..., Research, Start-ups, Corporate Law, Securities Regulation, Westlaw, Trials, Litigation, Lexis, Commercial Litigation, Corporate Governance, Securities, Intellectual Property, Patents, Legal Compliance, Mergers, Civil Litigation, Angel Investing, Appeals, Derivatives, Trading, Entrepreneurship, Economics, Financial Analysis, LexisNexis
Education
Thomas R. Kline School of Law, at Drexel University 2011 — 2014
Juris Doctor (J.D.), Certificate in Business and Entrepreneurship Law
Georgetown University Law Center
Visiting Student (J.D.)
Massachusetts Institute of Technology 2013 — 2015
Open Courseware, Computer Science & Programming, Self Study
Fordham University
Bachelor of Arts (B.A.), Anthropology & Economics
Molly White Molly White's US Securities and Exchange Commission Experience September 2004 - November 2012
Job Partner in Government Investigations and White Collar Litigation at McGuireWoods
Industry Law Practice
Experience
McGuireWoods November 2012 - Present
US Securities and Exchange Commission September 2004 - November 2012
O'Melveny & Myers LLP October 1994 - May 2003
Ninth Circuit Court of Appeals September 1993 - September 1994
Skills
Securities Litigation, Securities Regulation, Litigation, White Collar Criminal..., Commercial Litigation, Civil Litigation, Criminal Law, Arbitration, Corporate Law, Fraud, Securities, Internal Investigations, Legal Writing, Trials, Legal Research
Education
Loyola Law School, Loyola Marymount University 1989 — 1993
J.D., 1993
Georgetown University 1983 — 1987
B.S.F.S., International Politics
Palos Verdes High School
McGuireWoods November 2012 - Present
US Securities and Exchange Commission September 2004 - November 2012
O'Melveny & Myers LLP October 1994 - May 2003
Ninth Circuit Court of Appeals September 1993 - September 1994
Skills
Securities Litigation, Securities Regulation, Litigation, White Collar Criminal..., Commercial Litigation, Civil Litigation, Criminal Law, Arbitration, Corporate Law, Fraud, Securities, Internal Investigations, Legal Writing, Trials, Legal Research
Education
Loyola Law School, Loyola Marymount University 1989 — 1993
J.D., 1993
Georgetown University 1983 — 1987
B.S.F.S., International Politics
Palos Verdes High School
Eleni Kessler Eleni Kessler's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Fixed Income Summer Analyst at Jefferies & Company
Industry Banking
Experience
Jefferies & Company May 2013 - Present
The Hilltop MicroFinance Initiative, Inc. January 2012 - Present
Ashoka January 2013 - April 2013
US Securities and Exchange Commission May 2012 - August 2012
Skills
Economics, Fundraising, International..., Nonprofits, International Relations, Economic Development, Community Outreach, Microfinance, Research, Event Planning, Social Media, Data Analysis, Entrepreneurship, Philanthropy, Microsoft Office, Policy Analysis, PowerPoint
Education
Georgetown University 2010 — 2014
Bachelor of Science in Foreign Service, International Political Economy
Institut d'Etudes politiques de Lyon 2012 — 2012
Attestation d'Etudes Politiques
Jefferies & Company May 2013 - Present
The Hilltop MicroFinance Initiative, Inc. January 2012 - Present
Ashoka January 2013 - April 2013
US Securities and Exchange Commission May 2012 - August 2012
Skills
Economics, Fundraising, International..., Nonprofits, International Relations, Economic Development, Community Outreach, Microfinance, Research, Event Planning, Social Media, Data Analysis, Entrepreneurship, Philanthropy, Microsoft Office, Policy Analysis, PowerPoint
Education
Georgetown University 2010 — 2014
Bachelor of Science in Foreign Service, International Political Economy
Institut d'Etudes politiques de Lyon 2012 — 2012
Attestation d'Etudes Politiques
Samuel Osea Samuel Osea's US Securities and Exchange Commission Experience September 2012 - May 2013
Job Graduate Research Associate at Max M. Fisher College of Business, The Ohio State University
Industry Research
Experience
Max M. Fisher College of Business, The Ohio State University August 2014 - Present
Georgetown University's McDonough School of Business January 2012 - July 2014
Georgetown University's McDonough School of Business January 2013 - May 2014
US Securities and Exchange Commission September 2012 - May 2013
Georgetown University's McDonough School of Business May 2012 - July 2012
Fannie Mae June 2011 - September 2011
Skills
SAS, Stata, Matlab, R, C++, HTML, Microsoft Word, Microsoft Excel, PowerPoint, Visio, SQL, T-SQL, Unix, Compustat, Capital IQ, Worldscope, CRSP, TAQ, Visual Basic, SDC Platinum, Datastream, EDGAR, Mergent, WRDS, Economics
Education
The Ohio State University - The Max M. Fisher College of Business 2014 — 2019
Doctor of Philosophy (PhD)
The Ohio State University Fisher College of Business 2014 — 2017
Master of Arts (M.A.)
The Ohio State University 2014 — 2016
Master of Arts (M.A.)
Georgetown University 2012 — 2014
Master of Science (MS)
Georgetown University 2008 — 2012
Bachelor of Science (BS)
Victory Christian School 1996 — 2008
Max M. Fisher College of Business, The Ohio State University August 2014 - Present
Georgetown University's McDonough School of Business January 2012 - July 2014
Georgetown University's McDonough School of Business January 2013 - May 2014
US Securities and Exchange Commission September 2012 - May 2013
Georgetown University's McDonough School of Business May 2012 - July 2012
Fannie Mae June 2011 - September 2011
Skills
SAS, Stata, Matlab, R, C++, HTML, Microsoft Word, Microsoft Excel, PowerPoint, Visio, SQL, T-SQL, Unix, Compustat, Capital IQ, Worldscope, CRSP, TAQ, Visual Basic, SDC Platinum, Datastream, EDGAR, Mergent, WRDS, Economics
Education
The Ohio State University - The Max M. Fisher College of Business 2014 — 2019
Doctor of Philosophy (PhD)
The Ohio State University Fisher College of Business 2014 — 2017
Master of Arts (M.A.)
The Ohio State University 2014 — 2016
Master of Arts (M.A.)
Georgetown University 2012 — 2014
Master of Science (MS)
Georgetown University 2008 — 2012
Bachelor of Science (BS)
Victory Christian School 1996 — 2008
Kathleen Boardman Kathleen Boardman's US Securities and Exchange Commission Experience June 2010 - August 2010
Job Student at Franklin & Marshall College
Industry Financial Services
Experience
UBS Wealth Management September 2010 - December 2010
US Securities and Exchange Commission June 2010 - August 2010
Education
Franklin & Marshall College 2007 — 2011
Franklin & Marshall College 2007 — 2011
UBS Wealth Management September 2010 - December 2010
US Securities and Exchange Commission June 2010 - August 2010
Education
Franklin & Marshall College 2007 — 2011
Franklin & Marshall College 2007 — 2011
Lorraine Ricci's US Securities and Exchange Commission Experience August 1987 - Present
Job Staff Accountant at US Securities and Exchange Commission
Industry Capital Markets
Experience
US Securities and Exchange Commission August 1987 - Present
Various April 1966 - August 1987
No Names - Lots have used this! January 1981 - July 1987
Prospect High School August 1976 - June 1977
Skills
SEC filings, CPA, GAAP, US GAAP, Auditing, SEC, Accounting, Financial Reporting, Internal Controls
Education
Harper College 1978 — 1979
None, Accounting
Northern Illinois University 1970 — 1975
B.A., History and Philosophy
George Mason University 1974 — 1974
None, Philosophy
US Securities and Exchange Commission August 1987 - Present
Various April 1966 - August 1987
No Names - Lots have used this! January 1981 - July 1987
Prospect High School August 1976 - June 1977
Skills
SEC filings, CPA, GAAP, US GAAP, Auditing, SEC, Accounting, Financial Reporting, Internal Controls
Education
Harper College 1978 — 1979
None, Accounting
Northern Illinois University 1970 — 1975
B.A., History and Philosophy
George Mason University 1974 — 1974
None, Philosophy
Anthony Homan Anthony Homan's US Securities and Exchange Commission Experience 2000 - 2004
Job Acting Chief Economist at US Department of Transportation
Industry Public Policy
Experience
US Department of Transportation 2009 - Present
KPMG 2007 - 2008
U.S. Coast Guard 2004 - 2007
US Securities and Exchange Commission 2000 - 2004
MITRE 1997 - 2000
Skills
Policy Analysis, Leadership, Strategic Planning, Research, Analysis, Policy, Government, Program Evaluation, Data Analysis, Proposal Writing, Program Management, Econometrics, Economics, Public Policy, Management
Education
George Mason University 1989 — 1995
PhD, Economics
US Department of Transportation 2009 - Present
KPMG 2007 - 2008
U.S. Coast Guard 2004 - 2007
US Securities and Exchange Commission 2000 - 2004
MITRE 1997 - 2000
Skills
Policy Analysis, Leadership, Strategic Planning, Research, Analysis, Policy, Government, Program Evaluation, Data Analysis, Proposal Writing, Program Management, Econometrics, Economics, Public Policy, Management
Education
George Mason University 1989 — 1995
PhD, Economics
Steven Shuldman Steven Shuldman's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Judicial Law Clerk at Southern District of New York
Industry Judiciary
Experience
Southern District of New York August 2015 - Present
Fordham University School of Law July 2012 - May 2015
WilmerHale June 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Deloitte & Touche LLP September 2011 - July 2012
Deloitte & Touche LLP September 2010 - August 2011
Skills
Legal Research, Legal Writing, International Mediation, Antitrust Law, Securities Regulation, SEC Enforcement, US GAAP, External Audit, US GAAP reporting, Internal Controls, Accounting, Microsoft Word, Finance
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (JD), Law
Lehigh University 2006 — 2010
2010, Accounting
Saint Louis University, Madrid Campus 2008 — 2008
Spanish, Political Science
Southern District of New York August 2015 - Present
Fordham University School of Law July 2012 - May 2015
WilmerHale June 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Deloitte & Touche LLP September 2011 - July 2012
Deloitte & Touche LLP September 2010 - August 2011
Skills
Legal Research, Legal Writing, International Mediation, Antitrust Law, Securities Regulation, SEC Enforcement, US GAAP, External Audit, US GAAP reporting, Internal Controls, Accounting, Microsoft Word, Finance
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (JD), Law
Lehigh University 2006 — 2010
2010, Accounting
Saint Louis University, Madrid Campus 2008 — 2008
Spanish, Political Science
Betina Hennig Betina Hennig's US Securities and Exchange Commission Experience January 2008 - May 2008
Job Attorney Specialist in Sovereign Guaranteed Operations at InterAmerican Development Bank
Industry Law Practice
Experience
Inter-American Development Bank - IDB ("BID") June 2012 - Present
The World Bank Group/IFC February 2010 - June 2012
Veirano Advogados June 2009 - February 2010
MicroStrategy August 2008 - May 2009
US Securities and Exchange Commission January 2008 - May 2008
Dell Inc 2006 - 2007
Veirano Advogados 2002 - 2006
Skills
New York Bar and..., English, Portuguese and..., Portuguese, Spanish, Corporate Law, M&A experience, Finance, Private Equity, Contract Law, International Law, Commercial Litigation, Mergers & Acquisitions, International Relations
Education
Georgetown University Law Center 2007 — 2008
LL.M, Securities and Financial Regulation
Fundação Getulio Vargas 2005 — 2007
Post-graduation, Corporate Law
Fundação Getulio Vargas 2004 — 2004
Continued Education Program - Sao Paulo, Capital Markets
Pontifícia Universidade Católica do Rio Grande do Sul 1999 — 2004
JD
Inter-American Development Bank - IDB ("BID") June 2012 - Present
The World Bank Group/IFC February 2010 - June 2012
Veirano Advogados June 2009 - February 2010
MicroStrategy August 2008 - May 2009
US Securities and Exchange Commission January 2008 - May 2008
Dell Inc 2006 - 2007
Veirano Advogados 2002 - 2006
Skills
New York Bar and..., English, Portuguese and..., Portuguese, Spanish, Corporate Law, M&A experience, Finance, Private Equity, Contract Law, International Law, Commercial Litigation, Mergers & Acquisitions, International Relations
Education
Georgetown University Law Center 2007 — 2008
LL.M, Securities and Financial Regulation
Fundação Getulio Vargas 2005 — 2007
Post-graduation, Corporate Law
Fundação Getulio Vargas 2004 — 2004
Continued Education Program - Sao Paulo, Capital Markets
Pontifícia Universidade Católica do Rio Grande do Sul 1999 — 2004
JD
Joe Knowles Joe Knowles's US Securities and Exchange Commission Experience January 2014 - May 2014
Job Opposition Research Analyst at National Republican Congressional Committee
Industry Law Practice
Experience
National Republican Congressional Committee June 2015 - Present
National Republican Congressional Committee September 2014 - May 2015
Dechert LLP May 2014 - July 2014
US Securities and Exchange Commission January 2014 - May 2014
AnJie Law Firm May 2013 - August 2013
GFW Inc December 2010 - May 2012
Georgetown University Housing Services January 2010 - May 2012
Georgetown University College Republicans December 2010 - January 2012
Students for Rick Perry June 2011 - December 2011
Sea World Parks and Entertainment April 2009 - January 2010
Skills
Public Speaking, Legal, Chinese, Politics, Policy Analysis, Research, Public Policy, Editing, Foreign Policy, Legal Writing, Political Science, Government, Legislative Research
Education
Georgetown University Law Center 2012 — 2015
J.D
Middlebury Summer Language Institute 2012 — 2012
Language Certification, Mandarin Chinese
Georgetown University 2009 — 2012
Bachelor of Arts (B.A.), Government and History
Georgetown University, Georgetown College of Arts and Sciences 2009 — 2012
B.A, Government and History
Holy Ghost Prep 2005 — 2009
St. Ephrem's School
National Republican Congressional Committee June 2015 - Present
National Republican Congressional Committee September 2014 - May 2015
Dechert LLP May 2014 - July 2014
US Securities and Exchange Commission January 2014 - May 2014
AnJie Law Firm May 2013 - August 2013
GFW Inc December 2010 - May 2012
Georgetown University Housing Services January 2010 - May 2012
Georgetown University College Republicans December 2010 - January 2012
Students for Rick Perry June 2011 - December 2011
Sea World Parks and Entertainment April 2009 - January 2010
Skills
Public Speaking, Legal, Chinese, Politics, Policy Analysis, Research, Public Policy, Editing, Foreign Policy, Legal Writing, Political Science, Government, Legislative Research
Education
Georgetown University Law Center 2012 — 2015
J.D
Middlebury Summer Language Institute 2012 — 2012
Language Certification, Mandarin Chinese
Georgetown University 2009 — 2012
Bachelor of Arts (B.A.), Government and History
Georgetown University, Georgetown College of Arts and Sciences 2009 — 2012
B.A, Government and History
Holy Ghost Prep 2005 — 2009
St. Ephrem's School
Tania Khatibifar Tania Khatibifar's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Associate at Sidley Austin LLP
Industry Law Practice
Experience
Sidley Austin LLP September 2014 - Present
US Securities and Exchange Commission January 2014 - April 2014
United States Attorney's Office for the Eastern District of New York September 2013 - November 2013
US Securities and Exchange Commission May 2013 - August 2013
City Bar Justice Center June 2012 - August 2012
RiskSpan December 2010 - July 2011
Morgan Stanley Smith Barney November 2009 - August 2010
Skills
Portfolio Management, Regulatory Analysis, Regulatory Compliance, Intellectual Property, Investments, Securities Regulation, Securities, Financial Analysis
Education
Fordham University School of Law 2011 — 2014
Juris Doctor (J.D.), cum laude
The George Washington University 2007 — 2010
Bachelor of Business Administration (B.B.A.), magna cum laude
Sidley Austin LLP September 2014 - Present
US Securities and Exchange Commission January 2014 - April 2014
United States Attorney's Office for the Eastern District of New York September 2013 - November 2013
US Securities and Exchange Commission May 2013 - August 2013
City Bar Justice Center June 2012 - August 2012
RiskSpan December 2010 - July 2011
Morgan Stanley Smith Barney November 2009 - August 2010
Skills
Portfolio Management, Regulatory Analysis, Regulatory Compliance, Intellectual Property, Investments, Securities Regulation, Securities, Financial Analysis
Education
Fordham University School of Law 2011 — 2014
Juris Doctor (J.D.), cum laude
The George Washington University 2007 — 2010
Bachelor of Business Administration (B.B.A.), magna cum laude
Molly Ryan Molly Ryan's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Law Clerk at Latham & Watkins
Industry Law Practice
Experience
Latham & Watkins September 2015 - Present
Latham & Watkins May 2014 - July 2014
The Honorable Paul A. Engelmayer of the Southern District of New York January 2014 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
Morrison & Foerster LLP May 2006 - September 2011
Office of U.S. Rep. Dennis Moore August 2004 - December 2004
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (J.D.)
London School of Economics and Political Science 2011 — 2012
Master of Science (M.Sc.), Local Economic Development
The George Washington University 2004 — 2008
Bachelor of Arts, International Development, Spanish
Latham & Watkins September 2015 - Present
Latham & Watkins May 2014 - July 2014
The Honorable Paul A. Engelmayer of the Southern District of New York January 2014 - May 2014
US Securities and Exchange Commission May 2013 - August 2013
Morrison & Foerster LLP May 2006 - September 2011
Office of U.S. Rep. Dennis Moore August 2004 - December 2004
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (J.D.)
London School of Economics and Political Science 2011 — 2012
Master of Science (M.Sc.), Local Economic Development
The George Washington University 2004 — 2008
Bachelor of Arts, International Development, Spanish
William Kerwick William Kerwick's US Securities and Exchange Commission Experience May 2014 - August 2014
Job Financial Planning and Analysis Intern at TakeTwo Interactive Software, Inc.
Industry Entertainment
Experience
Take-Two Interactive Software, Inc. May 2015 - Present
US Securities and Exchange Commission May 2014 - August 2014
Bank of America June 2013 - August 2013
Skills
Leadership, Creative Writing, Public Speaking, Nonprofits, Marketing, Finance, Politics, Analysis, Banking, Time Management, Social Networking
Education
Fordham University 2013 — 2017
Finance, General, 3.7 GPA
Chaminade High School 2009 — 2013
3.8 GPA
Take-Two Interactive Software, Inc. May 2015 - Present
US Securities and Exchange Commission May 2014 - August 2014
Bank of America June 2013 - August 2013
Skills
Leadership, Creative Writing, Public Speaking, Nonprofits, Marketing, Finance, Politics, Analysis, Banking, Time Management, Social Networking
Education
Fordham University 2013 — 2017
Finance, General, 3.7 GPA
Chaminade High School 2009 — 2013
3.8 GPA
Molly (Dwyer) O'Connor Molly (Dwyer) O'Connor's US Securities and Exchange Commission Experience September 2012 - November 2012
Job Associate at K&L Gates
Industry Law Practice
Experience
K&L Gates May 2015 - Present
Milbank, Tweed, Hadley & McCloy LLP October 2013 - April 2015
US Securities and Exchange Commission September 2012 - November 2012
Milbank, Tweed, Hadley & McCloy LLP May 2012 - July 2012
MTV Networks May 2011 - August 2011
Cambridge University Press July 2009 - July 2010
Skills
Editing, Research, Social Media, Event Planning, Legal Writing, Public Speaking, Copy Editing, Marketing Strategy, Proofreading, Microsoft Excel, Marketing, Digital Media, Nonprofits, Publishing, Legal Research, Litigation, Facebook, Westlaw, Licensing, Contract Negotiation
Education
Georgetown University Law Center 2011 — 2013
J.D.
Georgetown University 2005 — 2009
Bachelor of Arts, English, Art History, Philosophy
K&L Gates May 2015 - Present
Milbank, Tweed, Hadley & McCloy LLP October 2013 - April 2015
US Securities and Exchange Commission September 2012 - November 2012
Milbank, Tweed, Hadley & McCloy LLP May 2012 - July 2012
MTV Networks May 2011 - August 2011
Cambridge University Press July 2009 - July 2010
Skills
Editing, Research, Social Media, Event Planning, Legal Writing, Public Speaking, Copy Editing, Marketing Strategy, Proofreading, Microsoft Excel, Marketing, Digital Media, Nonprofits, Publishing, Legal Research, Litigation, Facebook, Westlaw, Licensing, Contract Negotiation
Education
Georgetown University Law Center 2011 — 2013
J.D.
Georgetown University 2005 — 2009
Bachelor of Arts, English, Art History, Philosophy
David B. Weise, CPA, MSA David B. Weise, CPA, MSA's US Securities and Exchange Commission Experience February 2014 - Present
Job Financial Management Specialist at U.S. Securities and Exchange
Industry Accounting
Experience
US Securities and Exchange Commission February 2014 - Present
Cotton & Company LLP July 2013 - January 2014
Cotton & Company LLP January 2011 - June 2013
Cotton & Company LLP January 2009 - December 2010
Cotton & Company LLP August 2007 - December 2008
Alltech International January 2006 - July 2007
Skills
Detailed Analysis, Communications, Reasoning, Financial Analysis, Internal Controls, Financial Reporting, Financial Consulting, Financial Management, Financial Advisory, Compliance Audits, Financial Statement..., Stock Market, Managerial Finance, Quality Auditing, Financial Audits, Analysis, Auditing, Accounting, Finance, Budgets, Payroll, Sarbanes-Oxley Act
Education
George Mason University - School of Business 2008 — 2010
MSA, Accounting
George Mason University - School of Business 2003 — 2007
B.S., Accounting
Georgetown University
Financial Planning and Services
US Securities and Exchange Commission February 2014 - Present
Cotton & Company LLP July 2013 - January 2014
Cotton & Company LLP January 2011 - June 2013
Cotton & Company LLP January 2009 - December 2010
Cotton & Company LLP August 2007 - December 2008
Alltech International January 2006 - July 2007
Skills
Detailed Analysis, Communications, Reasoning, Financial Analysis, Internal Controls, Financial Reporting, Financial Consulting, Financial Management, Financial Advisory, Compliance Audits, Financial Statement..., Stock Market, Managerial Finance, Quality Auditing, Financial Audits, Analysis, Auditing, Accounting, Finance, Budgets, Payroll, Sarbanes-Oxley Act
Education
George Mason University - School of Business 2008 — 2010
MSA, Accounting
George Mason University - School of Business 2003 — 2007
B.S., Accounting
Georgetown University
Financial Planning and Services
Michael J. Morris Michael J. Morris's US Securities and Exchange Commission Experience May 2010 - December 2010
Job
Industry Law Practice
Experience
Bressler, Amery & Ross, P.C. September 2012 - Present
United States Court of Appeals for the Third Circuit January 2012 - April 2012
U.S. District Court for the Eastern District of Pennsylvania January 2011 - April 2011
US Securities and Exchange Commission May 2010 - December 2010
BlackRock May 2008 - August 2009
U.S. House of Representatives January 2008 - July 2008
AXA Equitable June 2006 - August 2007
Venn Strategies, LLC August 2006 - January 2007
Skills
Legal Research, Litigation, Legal Writing, Corporate Law, Civil Litigation, Courts
Education
Villanova University School of Law 2009 — 2012
Doctor of Law (J.D.), Law, Magna Cum Laude, Order of the Coif
Georgetown University 2005 — 2008
A.B., Cum Laude, Government, English
Bressler, Amery & Ross, P.C. September 2012 - Present
United States Court of Appeals for the Third Circuit January 2012 - April 2012
U.S. District Court for the Eastern District of Pennsylvania January 2011 - April 2011
US Securities and Exchange Commission May 2010 - December 2010
BlackRock May 2008 - August 2009
U.S. House of Representatives January 2008 - July 2008
AXA Equitable June 2006 - August 2007
Venn Strategies, LLC August 2006 - January 2007
Skills
Legal Research, Litigation, Legal Writing, Corporate Law, Civil Litigation, Courts
Education
Villanova University School of Law 2009 — 2012
Doctor of Law (J.D.), Law, Magna Cum Laude, Order of the Coif
Georgetown University 2005 — 2008
A.B., Cum Laude, Government, English
Paresh Pimple Paresh Pimple's US Securities and Exchange Commission Experience June 2011 - February 2013
Job Senior Database Consultant at FTI Consulting
Industry Information Technology and Services
Experience
FTI Consulting December 2013 - Present
Tetra Tech February 2013 - November 2013
US Securities and Exchange Commission June 2011 - February 2013
Orchid Technologies and Management June 2011 - January 2013
George Mason University August 2010 - May 2011
George Mason University August 2009 - May 2011
Skills
Oracle, Unix, PL/SQL, Data Analysis, ETL, Database Administration, SharePoint, Oracle SQL, Microsoft Office, Visual Basic, SSRS, Data Modeling, SSIS, Windows Server, ERStudio Data Architect, Informatica, RapidSQL, Oracle Administration, Microsoft Office..., Erwin, Database Design, T-SQL, Active Directory, Ringtail, Toad, Relativity, Summation iBlaze, SQL Server Management..., Data Management, Database Triggers, Windows Server..., Sharepoint Server 2010, Sybase IQ, Sybase Adaptive Server, SmartSVN, SQLite, ASP.NET MVC, Query Optimization, ArcGIS
Education
George Mason University 2009 — 2011
Master's, Information Systems
University of Mumbai 2005 — 2009
BS, Computer Science
FTI Consulting December 2013 - Present
Tetra Tech February 2013 - November 2013
US Securities and Exchange Commission June 2011 - February 2013
Orchid Technologies and Management June 2011 - January 2013
George Mason University August 2010 - May 2011
George Mason University August 2009 - May 2011
Skills
Oracle, Unix, PL/SQL, Data Analysis, ETL, Database Administration, SharePoint, Oracle SQL, Microsoft Office, Visual Basic, SSRS, Data Modeling, SSIS, Windows Server, ERStudio Data Architect, Informatica, RapidSQL, Oracle Administration, Microsoft Office..., Erwin, Database Design, T-SQL, Active Directory, Ringtail, Toad, Relativity, Summation iBlaze, SQL Server Management..., Data Management, Database Triggers, Windows Server..., Sharepoint Server 2010, Sybase IQ, Sybase Adaptive Server, SmartSVN, SQLite, ASP.NET MVC, Query Optimization, ArcGIS
Education
George Mason University 2009 — 2011
Master's, Information Systems
University of Mumbai 2005 — 2009
BS, Computer Science
Rob Mooney Rob Mooney's US Securities and Exchange Commission Experience June 1984 - October 1987
Job Managing Partner and CEO, Snowden Lane Partners
Industry Financial Services
Experience
Snowden Lane Partners June 2011 - Present
Christina Seix Academy May 2006 - Present
American Red Cross 2004 - Present
Merrill Lynch 1987 - 2009
US Securities and Exchange Commission June 1984 - October 1987
Skills
Series 7, Series 24, Series 79, Securities, Wealth Management, Asset Management, Mutual Funds, Hedge Funds, Equities, Compliance, Risk Management, Investment Banking, AML, Corporate Governance, Business Strategy, Asset Managment, Legal Compliance, Private Equity, Management, Investments, Investment Advisory, Financial Risk, FINRA, Capital Markets, Banking, Finance, Wealth Management..., Due Diligence, Financial Services, Financial Advisory, Mergers & Acquisitions, Portfolio Management, Strategic Financial..., Financial Planning
Education
The George Washington University Law School 1982 — 1985
JD, Securities Regulation
Franklin & Marshall College 1978 — 1982
BA, History
Snowden Lane Partners June 2011 - Present
Christina Seix Academy May 2006 - Present
American Red Cross 2004 - Present
Merrill Lynch 1987 - 2009
US Securities and Exchange Commission June 1984 - October 1987
Skills
Series 7, Series 24, Series 79, Securities, Wealth Management, Asset Management, Mutual Funds, Hedge Funds, Equities, Compliance, Risk Management, Investment Banking, AML, Corporate Governance, Business Strategy, Asset Managment, Legal Compliance, Private Equity, Management, Investments, Investment Advisory, Financial Risk, FINRA, Capital Markets, Banking, Finance, Wealth Management..., Due Diligence, Financial Services, Financial Advisory, Mergers & Acquisitions, Portfolio Management, Strategic Financial..., Financial Planning
Education
The George Washington University Law School 1982 — 1985
JD, Securities Regulation
Franklin & Marshall College 1978 — 1982
BA, History
Brendon Caione Brendon Caione's US Securities and Exchange Commission Experience January 2011 - May 2011
Job Investment Management Associate at Ropes & Gray LLP
Industry Law Practice
Experience
Ropes & Gray LLP July 2014 - Present
LYXOR ASSET MANAGEMENT January 2014 - July 2014
United States District Court for the Southern District of Florida March 2012 - March 2013
Financial Industry Regulatory Authority (FINRA) October 2011 - March 2012
US Securities and Exchange Commission January 2011 - May 2011
Risk and Derivatives Consulting Board, Inc. September 2010 - December 2010
Office of the Attorney General, State of New Jersey May 2010 - August 2010
Hon. Patty Shwartz, Magistrate Judge, U.S. District Court for the District of New Jersey May 2009 - August 2009
Education
Fordham Law School 2008 — 2011
J.D.
Loyola College in Maryland 2003 — 2007
B.B.A.
Holy Ghost Prep 1999 — 2003
Ropes & Gray LLP July 2014 - Present
LYXOR ASSET MANAGEMENT January 2014 - July 2014
United States District Court for the Southern District of Florida March 2012 - March 2013
Financial Industry Regulatory Authority (FINRA) October 2011 - March 2012
US Securities and Exchange Commission January 2011 - May 2011
Risk and Derivatives Consulting Board, Inc. September 2010 - December 2010
Office of the Attorney General, State of New Jersey May 2010 - August 2010
Hon. Patty Shwartz, Magistrate Judge, U.S. District Court for the District of New Jersey May 2009 - August 2009
Education
Fordham Law School 2008 — 2011
J.D.
Loyola College in Maryland 2003 — 2007
B.B.A.
Holy Ghost Prep 1999 — 2003
Xiaonan Clare Wang Xiaonan Clare Wang's US Securities and Exchange Commission Experience January 2009 - March 2011
Job Management Consulting
Industry Information Technology and Services
Experience
MorganFranklin Corporation 2012 - Present
The World Bank March 2011 - 2012
US Securities and Exchange Commission January 2009 - March 2011
S.W.I.F.T (Society for Worldwide Interbank Financial Telecommunication) June 2008 - August 2008
County of Los Angeles Supervisor's Office December 2007 - January 2008
Trend Micro February 2007 - August 2007
Skills
Business Analysis, Requirements Analysis
Education
George Mason University 2007 — 2009
Master, Information Systems
MorganFranklin Corporation 2012 - Present
The World Bank March 2011 - 2012
US Securities and Exchange Commission January 2009 - March 2011
S.W.I.F.T (Society for Worldwide Interbank Financial Telecommunication) June 2008 - August 2008
County of Los Angeles Supervisor's Office December 2007 - January 2008
Trend Micro February 2007 - August 2007
Skills
Business Analysis, Requirements Analysis
Education
George Mason University 2007 — 2009
Master, Information Systems
Assunta Vivolo Assunta Vivolo's US Securities and Exchange Commission Experience January 2013 - Present
Job Senior Counsel, Division of Enforcement, US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission January 2013 - Present
Schulte Roth & Zabel LLP September 2003 - December 2012
Coudert Brothers June 1998 - July 2000
Education
Fordham University School of Law 2000 — 2003
JD
University of Pennsylvania 1994 — 1998
BA, Economics, History
US Securities and Exchange Commission January 2013 - Present
Schulte Roth & Zabel LLP September 2003 - December 2012
Coudert Brothers June 1998 - July 2000
Education
Fordham University School of Law 2000 — 2003
JD
University of Pennsylvania 1994 — 1998
BA, Economics, History
Craig Rust Craig Rust's US Securities and Exchange Commission Experience January 2009 - April 2009
Job Deputy Attorney General at California Department of Justice
Industry Law Practice
Experience
Baker Donelson March 2014 - May 2015
McKenna Long & Aldridge LLP October 2011 - March 2014
U.S. District Court for the Western District of Virginia August 2010 - August 2011
U.S. District Court for the District of Columbia August 2009 - November 2009
McKenna Long & Aldridge LLP May 2009 - July 2009
US Securities and Exchange Commission January 2009 - April 2009
United States Attorney's Office June 2008 - August 2008
State Street Corp (formerly Investors Bank & Trust) July 2005 - August 2007
Education
George Mason University School of Law 2007 — 2010
JD, magna cum laude
University of California, Davis 2001 — 2005
B.S., Managerial Economics
Baker Donelson March 2014 - May 2015
McKenna Long & Aldridge LLP October 2011 - March 2014
U.S. District Court for the Western District of Virginia August 2010 - August 2011
U.S. District Court for the District of Columbia August 2009 - November 2009
McKenna Long & Aldridge LLP May 2009 - July 2009
US Securities and Exchange Commission January 2009 - April 2009
United States Attorney's Office June 2008 - August 2008
State Street Corp (formerly Investors Bank & Trust) July 2005 - August 2007
Education
George Mason University School of Law 2007 — 2010
JD, magna cum laude
University of California, Davis 2001 — 2005
B.S., Managerial Economics
Matthew Madison Matthew Madison's US Securities and Exchange Commission Experience May 2007 - July 2007
Job Attorney at Southern Company
Industry Law Practice
Experience
Southern Company May 2015 - Present
Troutman Sanders LLP January 2010 - April 2015
Balch & Bingham LLP July 2008 - August 2008
Troutman Sanders LLP May 2008 - June 2008
US Securities and Exchange Commission May 2007 - July 2007
Education
University of Georgia School of Law 2006 — 2009
J.D., Law
Furman University 2002 — 2006
Political Science
Southern Company May 2015 - Present
Troutman Sanders LLP January 2010 - April 2015
Balch & Bingham LLP July 2008 - August 2008
Troutman Sanders LLP May 2008 - June 2008
US Securities and Exchange Commission May 2007 - July 2007
Education
University of Georgia School of Law 2006 — 2009
J.D., Law
Furman University 2002 — 2006
Political Science
Maurice Stucke Maurice Stucke's US Securities and Exchange Commission Experience 1988 - 1990
Job Of Counsel, The Konkurrenz Group
Industry Legal Services
Experience
Data Competition Institute October 2014 - Present
The Konkurrenz Group August 2014 - Present
University of Tennessee August 2015 - Present
American Antitrust Institute (AAI) 2009 - Present
University of Oxford January 2015 - July 2015
GeyerGorey LLP June 2013 - July 2014
U.S. Department of Justice 1999 - 2007
Sullivan & Cromwell LLP 1996 - 1999
Donovan Leisure 1993 - 1993
US Securities and Exchange Commission 1988 - 1990
Skills
Competition Law, Antitrust, Consumer Law, Evidence, Business Torts, Litigation, Merger Control, Market Definition, Torts, Economics, European Law, Mergers & Acquisitions, Administrative Law, International Law, Legal Research, Class Actions, Legal Advice, Civil Litigation, Corporate Governance, Legal Writing, Public Policy, Trials, Mediation, Commercial Litigation, Corporate Law, Intellectual Property, Courts, Copyright Law, Licensing, Patents, Criminal Law, Trademarks, Privacy Law, Appeals, Policy, Policy Analysis, Research
Education
Georgetown University Law Center 1990 — 1994
JD, Law
Georgetown University
BA, Literature/Philosophy
Archbishop Molloy
Data Competition Institute October 2014 - Present
The Konkurrenz Group August 2014 - Present
University of Tennessee August 2015 - Present
American Antitrust Institute (AAI) 2009 - Present
University of Oxford January 2015 - July 2015
GeyerGorey LLP June 2013 - July 2014
U.S. Department of Justice 1999 - 2007
Sullivan & Cromwell LLP 1996 - 1999
Donovan Leisure 1993 - 1993
US Securities and Exchange Commission 1988 - 1990
Skills
Competition Law, Antitrust, Consumer Law, Evidence, Business Torts, Litigation, Merger Control, Market Definition, Torts, Economics, European Law, Mergers & Acquisitions, Administrative Law, International Law, Legal Research, Class Actions, Legal Advice, Civil Litigation, Corporate Governance, Legal Writing, Public Policy, Trials, Mediation, Commercial Litigation, Corporate Law, Intellectual Property, Courts, Copyright Law, Licensing, Patents, Criminal Law, Trademarks, Privacy Law, Appeals, Policy, Policy Analysis, Research
Education
Georgetown University Law Center 1990 — 1994
JD, Law
Georgetown University
BA, Literature/Philosophy
Archbishop Molloy
Richard Biegen Richard Biegen's US Securities and Exchange Commission Experience February 1988 - February 1994
Job Chief Compliance Officer, CREF Funds and Advisers
Industry Investment Management
Experience
TIAA-CREF February 2008 - Present
AIG Investments September 2000 - February 2008
AIG Global Investment Group September 2000 - February 2008
Scudder Investments 1998 - 2000
Salomon Smith Barney 1997 - 1998
Prudential Financial 1994 - 1997
US Securities and Exchange Commission February 1988 - February 1994
Office of the Howard Beach Special Prosecutor August 1987 - February 1988
Skills
Securities, Series 7, SEC, AML, Hedge Funds, Equities, FINRA, Mutual Funds, Asset Managment, Banking, Asset Management, Fixed Income, Management, Financial Services, Securities Regulation, Investment Advisory, Due Diligence, Compliance, Series 24, Capital Markets, Series 63, Risk Management, Investments, Mergers & Acquisitions, Alternative Investments
Education
Fordham University School of Law 1984 — 1987
Union College 1980 — 1984
BA, Political Science
Bronx High School of Science 1977 — 1980
High School
TIAA-CREF February 2008 - Present
AIG Investments September 2000 - February 2008
AIG Global Investment Group September 2000 - February 2008
Scudder Investments 1998 - 2000
Salomon Smith Barney 1997 - 1998
Prudential Financial 1994 - 1997
US Securities and Exchange Commission February 1988 - February 1994
Office of the Howard Beach Special Prosecutor August 1987 - February 1988
Skills
Securities, Series 7, SEC, AML, Hedge Funds, Equities, FINRA, Mutual Funds, Asset Managment, Banking, Asset Management, Fixed Income, Management, Financial Services, Securities Regulation, Investment Advisory, Due Diligence, Compliance, Series 24, Capital Markets, Series 63, Risk Management, Investments, Mergers & Acquisitions, Alternative Investments
Education
Fordham University School of Law 1984 — 1987
Union College 1980 — 1984
BA, Political Science
Bronx High School of Science 1977 — 1980
High School
Richard Guidice's US Securities and Exchange Commission Experience 2002 - 2002
Job Partner at Kleinberg, Kaplan, Wolff & Cohen, P.C.
Industry Law Practice
Experience
Kleinberg, Kaplan, Wolff & Cohen, P.C. May 2015 - Present
K&L Gates April 2007 - May 2015
Satterlee Stephens Burke & Burke LLP 2003 - 2007
US Securities and Exchange Commission 2002 - 2002
Skills
Corporate Law, Securities Regulation, Private Equity, Hedge Funds, Securities, Joint Ventures, Venture Capital, Private Placements, Corporate Governance, Cross-border..., Due Diligence, Mergers & Acquisitions, Legal Writing
Education
Fordham University School of Law 2000 — 2003
Doctor of Law (J.D.)
St. John's University 1996 — 2000
Bachelor of Science (B.S.), Criminal Justice/Pre-Law
Archbishop Molloy
Kleinberg, Kaplan, Wolff & Cohen, P.C. May 2015 - Present
K&L Gates April 2007 - May 2015
Satterlee Stephens Burke & Burke LLP 2003 - 2007
US Securities and Exchange Commission 2002 - 2002
Skills
Corporate Law, Securities Regulation, Private Equity, Hedge Funds, Securities, Joint Ventures, Venture Capital, Private Placements, Corporate Governance, Cross-border..., Due Diligence, Mergers & Acquisitions, Legal Writing
Education
Fordham University School of Law 2000 — 2003
Doctor of Law (J.D.)
St. John's University 1996 — 2000
Bachelor of Science (B.S.), Criminal Justice/Pre-Law
Archbishop Molloy
Matt Mollozzi Matt Mollozzi's US Securities and Exchange Commission Experience September 2013 - November 2013
Job Financial Services Attorney at Moore & Van Allen, PLLC
Industry Law Practice
Experience
Moore & Van Allen, PLLC March 2014 - Present
US Securities and Exchange Commission September 2013 - November 2013
US Securities and Exchange Commission June 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
The George Washington University Law School March 2012 - May 2012
United States House of Representatives Committee on Ways and Means May 2011 - August 2011
U.S. Representative Geoff Davis July 2008 - May 2010
Education
The George Washington University Law School 2010 — 2013
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
The George Washington University - School of Business 2012 — 2013
Master of Business Administration (MBA)
Gardner-Webb University 2004 — 2008
B.S., Business Administration
Moore & Van Allen, PLLC March 2014 - Present
US Securities and Exchange Commission September 2013 - November 2013
US Securities and Exchange Commission June 2013 - August 2013
US Securities and Exchange Commission May 2012 - August 2012
The George Washington University Law School March 2012 - May 2012
United States House of Representatives Committee on Ways and Means May 2011 - August 2011
U.S. Representative Geoff Davis July 2008 - May 2010
Education
The George Washington University Law School 2010 — 2013
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
The George Washington University - School of Business 2012 — 2013
Master of Business Administration (MBA)
Gardner-Webb University 2004 — 2008
B.S., Business Administration
Stephen Mayle's US Securities and Exchange Commission Experience June 1990 - July 2000
Job Administrative Officer at NOAA
Industry Government Administration
Experience
NOAA July 2000 - Present
US Securities and Exchange Commission June 1990 - July 2000
PNC (fka Central Trust Bank) 1988 - November 1989
Affordable Tree and Lawncare of Westlake June 1986 - August 1988
Skills
Public Administration, Facilities Management, Contract Management, Project Management, Federal Grants..., Strategic Planning, Customer Service, Government Contracting, Human Resources, Leadership, Leading Diverse Teams, Government, Federal Government, Public Policy, Budgets, Policy
Education
George Mason University 1995 — 1998
Master's degree, Public Administration
Xavier University 1987 — 1990
Bachelor of Arts (BA), Economics
The Ohio State University 1986 — 1987
NOAA July 2000 - Present
US Securities and Exchange Commission June 1990 - July 2000
PNC (fka Central Trust Bank) 1988 - November 1989
Affordable Tree and Lawncare of Westlake June 1986 - August 1988
Skills
Public Administration, Facilities Management, Contract Management, Project Management, Federal Grants..., Strategic Planning, Customer Service, Government Contracting, Human Resources, Leadership, Leading Diverse Teams, Government, Federal Government, Public Policy, Budgets, Policy
Education
George Mason University 1995 — 1998
Master's degree, Public Administration
Xavier University 1987 — 1990
Bachelor of Arts (BA), Economics
The Ohio State University 1986 — 1987
Jerry Feeney Jerry Feeney's US Securities and Exchange Commission Experience September 1995 - September 1998
Job Principal Attorney, Jerry M. Feeney Attorney at Law
Industry Law Practice
Experience
Jerry M. Feeney Attorney at Law Ownere1031xchange2011 - Present
Ingram Yuzek Gainen Carroll & Bertolotti, LLP September 2001 - April 2003
Simpson Thacher & Bartlett LLP September 1998 - May 2001
US Securities and Exchange Commission September 1995 - September 1998
JP Morgan June 1989 - August 1995
Skills
Investment Properties, Real Estate, Selling, Finance, Time Management, Residential Homes, Real Estate Transactions, Marketing, Sales, Referrals, 1031 Exchanges, Legal Research, Short Sales, Property Law, Real Estate Development, First Time Home Buyers, Negotiation, Sellers
Education
Fordham University School of Law 1990 — 1995
J.D., Law
University at Albany, SUNY 1987 — 1989
B.A., Economics
Jerry M. Feeney Attorney at Law Ownere1031xchange2011 - Present
Ingram Yuzek Gainen Carroll & Bertolotti, LLP September 2001 - April 2003
Simpson Thacher & Bartlett LLP September 1998 - May 2001
US Securities and Exchange Commission September 1995 - September 1998
JP Morgan June 1989 - August 1995
Skills
Investment Properties, Real Estate, Selling, Finance, Time Management, Residential Homes, Real Estate Transactions, Marketing, Sales, Referrals, 1031 Exchanges, Legal Research, Short Sales, Property Law, Real Estate Development, First Time Home Buyers, Negotiation, Sellers
Education
Fordham University School of Law 1990 — 1995
J.D., Law
University at Albany, SUNY 1987 — 1989
B.A., Economics
Andrew Shipe Andrew Shipe's US Securities and Exchange Commission Experience May 2000 - February 2006
Job Counsel at Arnold and Porter
Industry Legal Services
Experience
Arnold and Porter February 2006 - Present
US Securities and Exchange Commission May 2000 - February 2006
Commodity Futures Trading Commission May 1998 - May 2000
Bronx District Attorney October 1992 - May 1998
Skills
Securities Regulation, Corporate Law
Education
Fordham University School of Law 1989 — 1992
JD
Georgetown University 1985 — 1989
BSFS, Foreign Service
Arnold and Porter February 2006 - Present
US Securities and Exchange Commission May 2000 - February 2006
Commodity Futures Trading Commission May 1998 - May 2000
Bronx District Attorney October 1992 - May 1998
Skills
Securities Regulation, Corporate Law
Education
Fordham University School of Law 1989 — 1992
JD
Georgetown University 1985 — 1989
BSFS, Foreign Service
Gregory Mottla's US Securities and Exchange Commission Experience August 2012 - November 2012
Job Public Finance Associate at Kutak Rock
Industry Law Practice
Experience
Kutak Rock LLP February 2014 - Present
Pepper Hamilton LLP January 2013 - May 2013
George Mason University School of Law May 2012 - May 2013
US Securities and Exchange Commission August 2012 - November 2012
Department of Justice May 2012 - August 2012
Office of the Federal Public Defender for the Eastern District of Virginia January 2012 - April 2012
Colorado Court of Appeals May 2011 - August 2011
Education
George Mason University School of Law 2010 — 2013
Doctor of Law (J.D.)
Georgetown University 2007 — 2010
Bachelor of Arts (B.A.)
Kutak Rock LLP February 2014 - Present
Pepper Hamilton LLP January 2013 - May 2013
George Mason University School of Law May 2012 - May 2013
US Securities and Exchange Commission August 2012 - November 2012
Department of Justice May 2012 - August 2012
Office of the Federal Public Defender for the Eastern District of Virginia January 2012 - April 2012
Colorado Court of Appeals May 2011 - August 2011
Education
George Mason University School of Law 2010 — 2013
Doctor of Law (J.D.)
Georgetown University 2007 — 2010
Bachelor of Arts (B.A.)
Nghia (Neo) Tran's US Securities and Exchange Commission Experience September 2008 - November 2008
Job
Industry Law Practice
Experience
Kutak Rock January 2011 - Present
Bluestone Law November 2009 - December 2010
U.S. Bankruptcy Court for the Eastern District of Virginia January 2009 - April 2009
US Securities and Exchange Commission September 2008 - November 2008
Allens Arthur Robinson May 2008 - July 2008
US-Vietnam Trade Council April 2005 - January 2007
The World Bank May 2005 - July 2005
Deloitte Touche Tohmatsu January 2002 - March 2002
Skills
Litigation, Legal Research, Commercial Litigation, Bankruptcy, Legal Writing, International..., Corporate Law, Due Diligence, Civil Litigation, Appeals, Mergers & Acquisitions, Westlaw
Education
George Mason University School of Law 2006 — 2009
J.D.
The College of Wooster 2000 — 2004
B.A., magna cum laude
Le Hong Phong High School 1995 — 1998
Baccalaureate
Kutak Rock January 2011 - Present
Bluestone Law November 2009 - December 2010
U.S. Bankruptcy Court for the Eastern District of Virginia January 2009 - April 2009
US Securities and Exchange Commission September 2008 - November 2008
Allens Arthur Robinson May 2008 - July 2008
US-Vietnam Trade Council April 2005 - January 2007
The World Bank May 2005 - July 2005
Deloitte Touche Tohmatsu January 2002 - March 2002
Skills
Litigation, Legal Research, Commercial Litigation, Bankruptcy, Legal Writing, International..., Corporate Law, Due Diligence, Civil Litigation, Appeals, Mergers & Acquisitions, Westlaw
Education
George Mason University School of Law 2006 — 2009
J.D.
The College of Wooster 2000 — 2004
B.A., magna cum laude
Le Hong Phong High School 1995 — 1998
Baccalaureate
Rupert Gerard's US Securities and Exchange Commission Experience June 2003 - March 2004
Job
Industry Investment Banking
Experience
GulfStar Group January 2014 - Present
Castleton Commodities International May 2013 - January 2014
Taylor Woods Capital July 2012 - December 2012
The 1794 Commodore Funds April 2006 - April 2010
FBR October 2004 - April 2005
Knott Parners L.P. July 2004 - August 2004
US Securities and Exchange Commission June 2003 - March 2004
Wagner Stott Bear Speacialists June 2001 - August 2001
Education
INSEAD 2011 — 2011
MBA
Georgetown University 2001 — 2005
Bachelor of Arts (B.A.), Government
GulfStar Group January 2014 - Present
Castleton Commodities International May 2013 - January 2014
Taylor Woods Capital July 2012 - December 2012
The 1794 Commodore Funds April 2006 - April 2010
FBR October 2004 - April 2005
Knott Parners L.P. July 2004 - August 2004
US Securities and Exchange Commission June 2003 - March 2004
Wagner Stott Bear Speacialists June 2001 - August 2001
Education
INSEAD 2011 — 2011
MBA
Georgetown University 2001 — 2005
Bachelor of Arts (B.A.), Government
Peter Chessick's US Securities and Exchange Commission Experience August 2005 - August 2007
Job Senior Counsel at US Department of the Treasury
Industry Government Administration
Experience
US Department of the Treasury August 2007 - Present
US Securities and Exchange Commission August 2005 - August 2007
Coudert Brothers LLP 1999 - 2004
Skills
Economic Sanctions, Regulatory Law
Education
Georgetown University 1997 — 2000
MSFS, International Business Diplomacy
Georgetown University Law Center 1996 — 2000
JD, Law, International Relations
Stanford University 1988 — 1992
AB, International Relations
US Department of the Treasury August 2007 - Present
US Securities and Exchange Commission August 2005 - August 2007
Coudert Brothers LLP 1999 - 2004
Skills
Economic Sanctions, Regulatory Law
Education
Georgetown University 1997 — 2000
MSFS, International Business Diplomacy
Georgetown University Law Center 1996 — 2000
JD, Law, International Relations
Stanford University 1988 — 1992
AB, International Relations
Scot Foley's US Securities and Exchange Commission Experience February 2009 - Present
Job AttorneyAdviser at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission February 2009 - Present
Morgan, Lewis & Bockius LLP June 2006 - January 2009
Vedder Price 2004 - 2006
Sidley Austin 2002 - 2004
Fordham Law School 1999 - 2002
DLJdirect, Inc. 1995 - 1999
Education
Fordham University School of Law 1999 — 2002
US Securities and Exchange Commission February 2009 - Present
Morgan, Lewis & Bockius LLP June 2006 - January 2009
Vedder Price 2004 - 2006
Sidley Austin 2002 - 2004
Fordham Law School 1999 - 2002
DLJdirect, Inc. 1995 - 1999
Education
Fordham University School of Law 1999 — 2002
John Lehmann's US Securities and Exchange Commission Experience November 2013 - Present
Job Attorney, Division of Enforcement at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission November 2013 - Present
Bracewell & Giuliani LLP February 2012 - February 2013
US Securities and Exchange Commission September 2004 - February 2012
Iraq Reconstruction Management Office, Office of Private Sector Development November 2006 - May 2007
Federal Trade Commission, Office of the Administrative Law Judges May 2003 - March 2004
Education
George Mason University School of Law 2001 — 2004
JD - magna cum laude, Law
Miami University 1995 — 1999
BA, Political Science
US Securities and Exchange Commission November 2013 - Present
Bracewell & Giuliani LLP February 2012 - February 2013
US Securities and Exchange Commission September 2004 - February 2012
Iraq Reconstruction Management Office, Office of Private Sector Development November 2006 - May 2007
Federal Trade Commission, Office of the Administrative Law Judges May 2003 - March 2004
Education
George Mason University School of Law 2001 — 2004
JD - magna cum laude, Law
Miami University 1995 — 1999
BA, Political Science
David MacIsaac's US Securities and Exchange Commission Experience May 2011 - August 2011
Job
Industry Law Practice
Experience
US Department of the Treasury September 2012 - December 2012
Kirkland & Ellis LLP May 2012 - August 2012
US Securities and Exchange Commission May 2011 - August 2011
The Ayco Company, L.P. December 2007 - August 2010
Education
Georgetown University Law Center 2011 — 2013
Juris Doctor
Franklin & Marshall College 2003 — 2007
BA
US Department of the Treasury September 2012 - December 2012
Kirkland & Ellis LLP May 2012 - August 2012
US Securities and Exchange Commission May 2011 - August 2011
The Ayco Company, L.P. December 2007 - August 2010
Education
Georgetown University Law Center 2011 — 2013
Juris Doctor
Franklin & Marshall College 2003 — 2007
BA
Jason W. Sunshine's US Securities and Exchange Commission Experience 2012 - Present
Job US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission 2012 - Present
Akin Gump Strauss Hauer & Feld LLP 2006 - 2012
The Honorable James Orenstein, U.S. District Court, Eastern District of New York 2005 - 2006
Skills
Commercial Litigation, Litigation, Arbitration, Civil Litigation, Bankruptcy, Mediation, Complex Litigation, Internal Investigations, Alternative Dispute..., Securities Regulation
Education
New York University
Ph.D., Law and Society
Fordham University School of Law
JD, Law
The London School of Economics and Political Science (LSE)
M.Sc., Research Methodology
New York University
B.S., Applied Psychology
US Securities and Exchange Commission 2012 - Present
Akin Gump Strauss Hauer & Feld LLP 2006 - 2012
The Honorable James Orenstein, U.S. District Court, Eastern District of New York 2005 - 2006
Skills
Commercial Litigation, Litigation, Arbitration, Civil Litigation, Bankruptcy, Mediation, Complex Litigation, Internal Investigations, Alternative Dispute..., Securities Regulation
Education
New York University
Ph.D., Law and Society
Fordham University School of Law
JD, Law
The London School of Economics and Political Science (LSE)
M.Sc., Research Methodology
New York University
B.S., Applied Psychology
Matt Silverman's US Securities and Exchange Commission Experience September 2011 - December 2011
Job Associate at Cooley LLP
Industry Law Practice
Experience
Cooley LLP November 2014 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates October 2012 - October 2014
US Securities and Exchange Commission September 2011 - December 2011
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2011 - July 2011
Fordham University School Of Law July 2010 - April 2011
The New York State Supreme Court 2010 - 2010
Wachtell, Lipton, Rosen and Katz February 2007 - March 2009
University of Vermont Weekly Newspaper May 2005 - May 2006
Skills
Corporate Law, Fraud, International Law, Legal Research, Legal Writing, Research, Securities Regulation, Westlaw, Litigation, Corporate Governance, Intellectual Property, Civil Litigation
Education
Fordham University School of Law 2009 — 2012
JD, cum laude
University of Vermont 2002 — 2006
BA, Economics
Cooley LLP November 2014 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates October 2012 - October 2014
US Securities and Exchange Commission September 2011 - December 2011
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates May 2011 - July 2011
Fordham University School Of Law July 2010 - April 2011
The New York State Supreme Court 2010 - 2010
Wachtell, Lipton, Rosen and Katz February 2007 - March 2009
University of Vermont Weekly Newspaper May 2005 - May 2006
Skills
Corporate Law, Fraud, International Law, Legal Research, Legal Writing, Research, Securities Regulation, Westlaw, Litigation, Corporate Governance, Intellectual Property, Civil Litigation
Education
Fordham University School of Law 2009 — 2012
JD, cum laude
University of Vermont 2002 — 2006
BA, Economics
Joe McHale's US Securities and Exchange Commission Experience June 2000 - February 2011
Job Learning Officer at SEC
Industry Government Administration
Experience
U. S. Securities and Exchange Commission February 2011 - Present
US Securities and Exchange Commission June 2000 - February 2011
Skills
Financial Analysis, Government, Securities, Mutual Funds, Risk Management, Financial Risk, Program Management, Economics, Corporate Governance, Accounting, Financial Services, Analysis, Hedge Funds, Internal Controls, Capital Markets, Asset Management, Strategy, Policy, Due Diligence
Education
College of Boca Raton (Lynn University) 1990 — 1991
BS in Business
George Mason University 1987 — 1990
Business Administration
U. S. Securities and Exchange Commission February 2011 - Present
US Securities and Exchange Commission June 2000 - February 2011
Skills
Financial Analysis, Government, Securities, Mutual Funds, Risk Management, Financial Risk, Program Management, Economics, Corporate Governance, Accounting, Financial Services, Analysis, Hedge Funds, Internal Controls, Capital Markets, Asset Management, Strategy, Policy, Due Diligence
Education
College of Boca Raton (Lynn University) 1990 — 1991
BS in Business
George Mason University 1987 — 1990
Business Administration
Fiona Philip's US Securities and Exchange Commission Experience 2002 - 2004
Job Partner at Sidley Austin LLP
Industry Law Practice
Experience
Sidley Austin LLP January 2015 - Present
Sidley Austin March 2011 - Present
Howrey LLP January 2004 - February 2011
US Securities and Exchange Commission 2002 - 2004
US Securities and Exchange Commission 1999 - 2002
Skills
FCPA, Securities Litigation, Internal Investigations, White Collar Criminal..., Securities Regulation, Class Actions, Securities, Litigation, Corporate Governance, Trade Secrets, Administrative Law, Litigation Management, Enforcement, Criminal Law, Commercial Litigation, Arbitration, Corporate Law, Civil Litigation, Legal Research, Law Enforcement
Education
Georgetown University Law Center 1995 — 1999
JD
Georgetown University 1991 — 1995
AB, English, French, Art History
Sidley Austin LLP January 2015 - Present
Sidley Austin March 2011 - Present
Howrey LLP January 2004 - February 2011
US Securities and Exchange Commission 2002 - 2004
US Securities and Exchange Commission 1999 - 2002
Skills
FCPA, Securities Litigation, Internal Investigations, White Collar Criminal..., Securities Regulation, Class Actions, Securities, Litigation, Corporate Governance, Trade Secrets, Administrative Law, Litigation Management, Enforcement, Criminal Law, Commercial Litigation, Arbitration, Corporate Law, Civil Litigation, Legal Research, Law Enforcement
Education
Georgetown University Law Center 1995 — 1999
JD
Georgetown University 1991 — 1995
AB, English, French, Art History
Claudius Modesti's US Securities and Exchange Commission Experience 1993 - 1997
Job Director, Division of Enforcement, PCAOB
Industry Accounting
Experience
Public Company Accounting Oversight Board (PCAOB) 2004 - Present
United States Attorney's Office, EDVA 2002 - 2004
U.S. Department of Justice 1997 - 2002
US Securities and Exchange Commission 1993 - 1997
The Honorable J. Frederick Motz, United States District Judge 1992 - 1993
Simpson Thacher & Bartlett LLP 1991 - 1992
Skills
Business Strategy, Change Management, Project Management, Strategic Planning, Criminal Law, Fraud, Analysis, Private Investigations, Investigation, Litigation, Securities Litigation
Education
Georgetown University Law Center 1988 — 1991
JD, Law, Magna Cum Laude
Universitaet Zuerich 1987 — 1988
Rotary Scholarship
Georgetown University 1982 — 1986
BSFS, International Economics
Univeristaet Tuebingen 1984 — 1985
Study Abroad
Jamesville Dewitt High School
Jamesville Dewitt High School
Public Company Accounting Oversight Board (PCAOB) 2004 - Present
United States Attorney's Office, EDVA 2002 - 2004
U.S. Department of Justice 1997 - 2002
US Securities and Exchange Commission 1993 - 1997
The Honorable J. Frederick Motz, United States District Judge 1992 - 1993
Simpson Thacher & Bartlett LLP 1991 - 1992
Skills
Business Strategy, Change Management, Project Management, Strategic Planning, Criminal Law, Fraud, Analysis, Private Investigations, Investigation, Litigation, Securities Litigation
Education
Georgetown University Law Center 1988 — 1991
JD, Law, Magna Cum Laude
Universitaet Zuerich 1987 — 1988
Rotary Scholarship
Georgetown University 1982 — 1986
BSFS, International Economics
Univeristaet Tuebingen 1984 — 1985
Study Abroad
Jamesville Dewitt High School
Jamesville Dewitt High School
Charles J. Douyon's US Securities and Exchange Commission Experience September 2011 - November 2011
Job Associate at Grosvenor Capital Management
Industry Law Practice
Experience
GCM Grosvenor December 2014 - Present
National Futures Association September 2013 - August 2014
US Securities and Exchange Commission September 2011 - November 2011
Morgan Stanley December 2005 - May 2007
Skills
Due Diligence, Securities Regulation, Securities, Legal Research, Private Equity, Corporate Law, Legal Writing, Litigation, Hedge Funds, Westlaw, Investments, Mediation, Mergers, Mergers & Acquisitions, Derivatives, Fixed Income
Education
Northwestern University School of Law
Juris Doctorate
Fordham University School of Law
Banking, Corporate and Finance Law LLM
Berkeley College
BBA, Finance and Management
GCM Grosvenor December 2014 - Present
National Futures Association September 2013 - August 2014
US Securities and Exchange Commission September 2011 - November 2011
Morgan Stanley December 2005 - May 2007
Skills
Due Diligence, Securities Regulation, Securities, Legal Research, Private Equity, Corporate Law, Legal Writing, Litigation, Hedge Funds, Westlaw, Investments, Mediation, Mergers, Mergers & Acquisitions, Derivatives, Fixed Income
Education
Northwestern University School of Law
Juris Doctorate
Fordham University School of Law
Banking, Corporate and Finance Law LLM
Berkeley College
BBA, Finance and Management
Kerry Waldrep's US Securities and Exchange Commission Experience June 2008 - August 2008
Job Debtor Education Instructor at Office of the Chapter 13 Trustee
Industry Law Practice
Experience
Office of the Chapter 13 Trustee August 2011 - Present
United States Bankruptcy Court August 2010 - August 2011
Supreme Court of North Carolina May 2009 - June 2009
US Securities and Exchange Commission June 2008 - August 2008
Peace Corps July 2004 - April 2006
Kallina & Associates, LLC August 2002 - June 2004
Education
University of North Carolina School of Law 2006 — 2010
JD
Georgetown University 1998 — 2002
BSFS, International Politics
Tecnológico de Monterrey 2001 — 2001
Office of the Chapter 13 Trustee August 2011 - Present
United States Bankruptcy Court August 2010 - August 2011
Supreme Court of North Carolina May 2009 - June 2009
US Securities and Exchange Commission June 2008 - August 2008
Peace Corps July 2004 - April 2006
Kallina & Associates, LLC August 2002 - June 2004
Education
University of North Carolina School of Law 2006 — 2010
JD
Georgetown University 1998 — 2002
BSFS, International Politics
Tecnológico de Monterrey 2001 — 2001
Christine Corkran's US Securities and Exchange Commission Experience 2008 - 2008
Job Associate Director, Corporate Counsel M&A at Tyco
Industry Law Practice
Experience
Tyco September 2014 - Present
McDermott Will & Emery January 2011 - September 2014
Investment Adviser Association September 2010 - December 2010
McDermott Will and Emery May 2009 - July 2009
Financial Industry Regulatory Authority January 2009 - April 2009
US Securities and Exchange Commission 2008 - 2008
U.S. House of Representatives July 2006 - August 2007
Skadden Arps July 2005 - June 2006
Education
The George Washington University Law School 2007 — 2010
J.D., Law
Franklin & Marshall College 2001 — 2005
B.A., Government, History
Glenelg Country School
Tyco September 2014 - Present
McDermott Will & Emery January 2011 - September 2014
Investment Adviser Association September 2010 - December 2010
McDermott Will and Emery May 2009 - July 2009
Financial Industry Regulatory Authority January 2009 - April 2009
US Securities and Exchange Commission 2008 - 2008
U.S. House of Representatives July 2006 - August 2007
Skadden Arps July 2005 - June 2006
Education
The George Washington University Law School 2007 — 2010
J.D., Law
Franklin & Marshall College 2001 — 2005
B.A., Government, History
Glenelg Country School
Darrell Braman's US Securities and Exchange Commission Experience 1989 - 1994
Job Managing Counsel at T. Rowe Price
Industry Financial Services
Experience
T. Rowe Price March 1994 - Present
US Securities and Exchange Commission 1989 - 1994
U.S Securities & Exchange Commission September 1989 - January 1991
Skills
Securities Regulation, Securities, Corporate Governance
Education
University of Maryland School of Law 1985 — 1988
Juris Doctor, Banking, Corporate, Finance, and Securities Law
Franklin & Marshall College 1981 — 1985
BS, Government
T. Rowe Price March 1994 - Present
US Securities and Exchange Commission 1989 - 1994
U.S Securities & Exchange Commission September 1989 - January 1991
Skills
Securities Regulation, Securities, Corporate Governance
Education
University of Maryland School of Law 1985 — 1988
Juris Doctor, Banking, Corporate, Finance, and Securities Law
Franklin & Marshall College 1981 — 1985
BS, Government
Eun Ah Choi's US Securities and Exchange Commission Experience August 2013 - Present
Job Managing Executive, Division of Investment Management at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission August 2013 - Present
Hogan Lovells October 2000 - August 2013
Goldman Sachs July 1995 - July 1997
Education
Georgetown University Law Center 1997 — 2000
JD, Corporate Law
Georgetown University 1991 — 1995
University of Oxford 1993 — 1994
Visiting Student, Politics, Philosophy and Economics
US Securities and Exchange Commission August 2013 - Present
Hogan Lovells October 2000 - August 2013
Goldman Sachs July 1995 - July 1997
Education
Georgetown University Law Center 1997 — 2000
JD, Corporate Law
Georgetown University 1991 — 1995
University of Oxford 1993 — 1994
Visiting Student, Politics, Philosophy and Economics
Jason Rosenberg's US Securities and Exchange Commission Experience March 2004 - March 2006
Job Helping investment firms manage regulatory risk
Industry Financial Services
Experience
ACA Compliance Group September 2014 - Present
United States Securities and Exchange Commission June 2010 - September 2014
Fortigent LLC August 2007 - June 2010
Rydex Distributors March 2006 - August 2007
US Securities and Exchange Commission March 2004 - March 2006
Skills
Investment Advisor..., hedge fund compliance, private equity..., investment company..., Securities Regulation, Operational Due..., manager due diligence, AML, Asset Allocation, Broker-Dealer, Corporate Finance, Corporate Law, Derivatives, ETFs, Financial Services, Fund Of Funds, Internal Investigations, Investment Advisers Act, Investment Advisory..., Investments, Mergers, Portfolio Management, Registered Investment..., Securities, Series 7, Hedge Funds, Investment Strategies, Series 63, Finance, Wealth Management, Mergers & Acquisitions, Alternative Investments, Series 24, Asset Management, Anti Money Laundering
Education
Frostburg State University 1991 — 1993
MBA, business management
Frostburg State University 1989 — 1991
bs, business administration
ACA Compliance Group September 2014 - Present
United States Securities and Exchange Commission June 2010 - September 2014
Fortigent LLC August 2007 - June 2010
Rydex Distributors March 2006 - August 2007
US Securities and Exchange Commission March 2004 - March 2006
Skills
Investment Advisor..., hedge fund compliance, private equity..., investment company..., Securities Regulation, Operational Due..., manager due diligence, AML, Asset Allocation, Broker-Dealer, Corporate Finance, Corporate Law, Derivatives, ETFs, Financial Services, Fund Of Funds, Internal Investigations, Investment Advisers Act, Investment Advisory..., Investments, Mergers, Portfolio Management, Registered Investment..., Securities, Series 7, Hedge Funds, Investment Strategies, Series 63, Finance, Wealth Management, Mergers & Acquisitions, Alternative Investments, Series 24, Asset Management, Anti Money Laundering
Education
Frostburg State University 1991 — 1993
MBA, business management
Frostburg State University 1989 — 1991
bs, business administration
Madhavi Reddy's US Securities and Exchange Commission Experience April 2008 - April 2011
Job at
Industry Financial Services
Experience
TIAA-CREF January 2015 - Present
Prudential Financial April 2012 - January 2015
Goldman Sachs April 2011 - April 2012
US Securities and Exchange Commission April 2008 - April 2011
George Mason University October 2007 - March 2008
Anvil Logic, Inc. May 2007 - September 2007
Skills
Java, J2EE, Sybase, Perl Script, Spring Webflow, Oracle SQL, Autosys, Hibernate, XML Schema, XSLT, WSDL, Spring Integration, JBoss Application Server, Agile Methodologies
Education
George Mason University 2006 — 2008
Masters, Computer Science
TIAA-CREF January 2015 - Present
Prudential Financial April 2012 - January 2015
Goldman Sachs April 2011 - April 2012
US Securities and Exchange Commission April 2008 - April 2011
George Mason University October 2007 - March 2008
Anvil Logic, Inc. May 2007 - September 2007
Skills
Java, J2EE, Sybase, Perl Script, Spring Webflow, Oracle SQL, Autosys, Hibernate, XML Schema, XSLT, WSDL, Spring Integration, JBoss Application Server, Agile Methodologies
Education
George Mason University 2006 — 2008
Masters, Computer Science
Brian Petraitis's US Securities and Exchange Commission Experience August 2010 - April 2013
Job AVP Governance
Industry Financial Services
Experience
Deutsche Bank April 2015 - Present
ACA Compliance Group April 2013 - March 2015
US Securities and Exchange Commission August 2010 - April 2013
FINRA January 2006 - August 2010
Mesirow Financial January 2001 - December 2005
Skills
Securities, Hedge Funds, Due Diligence, FINRA, Broker-Dealer, Finance, Securities Regulation, Mutual Funds, Equities, SEC filings, AML
Education
Iowa State University - College of Business 2002 — 2005
BS, Accounting
Fort Lewis College 2001 — 2002
Accounting
Deutsche Bank April 2015 - Present
ACA Compliance Group April 2013 - March 2015
US Securities and Exchange Commission August 2010 - April 2013
FINRA January 2006 - August 2010
Mesirow Financial January 2001 - December 2005
Skills
Securities, Hedge Funds, Due Diligence, FINRA, Broker-Dealer, Finance, Securities Regulation, Mutual Funds, Equities, SEC filings, AML
Education
Iowa State University - College of Business 2002 — 2005
BS, Accounting
Fort Lewis College 2001 — 2002
Accounting
Jamie D'Amico's US Securities and Exchange Commission Experience June 2008 - August 2008
Job Mathematics Teacher and Curriculum Writer
Industry Primary/Secondary Education
Experience
Tenafly High School December 2014 - Present
NYC Department of Education June 2009 - June 2014
Teach For America June 2009 - June 2011
US Securities and Exchange Commission June 2008 - August 2008
Office of the Bronx Borough President September 2006 - December 2006
Skills
Tutoring, Curriculum Design, Teaching, Mathematics Education, Lesson Planning, Curriculum Development, Education Policy, Classroom Management, Public Speaking, Research, Program Development, Special Education, Data Analysis, Spanish, Classroom, Nonprofits
Education
Fordham University 2009 — 2012
MST, Secondary Mathematics Education
Barnard College 2005 — 2009
BA, Economics
Pascack Valley High School 2001 — 2005
Tenafly High School December 2014 - Present
NYC Department of Education June 2009 - June 2014
Teach For America June 2009 - June 2011
US Securities and Exchange Commission June 2008 - August 2008
Office of the Bronx Borough President September 2006 - December 2006
Skills
Tutoring, Curriculum Design, Teaching, Mathematics Education, Lesson Planning, Curriculum Development, Education Policy, Classroom Management, Public Speaking, Research, Program Development, Special Education, Data Analysis, Spanish, Classroom, Nonprofits
Education
Fordham University 2009 — 2012
MST, Secondary Mathematics Education
Barnard College 2005 — 2009
BA, Economics
Pascack Valley High School 2001 — 2005
Dirk Kalweit's US Securities and Exchange Commission Experience August 2010 - Present
Job Senior Construction Estimator at US Securities and Exchange Commission
Industry Architecture & Planning
Experience
US Securities and Exchange Commission August 2010 - Present
General Dynamics Information Technology December 2008 - April 2011
Project Cost, Inc. July 2006 - November 2008
Skills
Contract Management, Contract Negotiation, Project Planning, Project Estimation, Budgets, Project Management, Construction Management, Construction, Program Management, Negotiation, MS Project, Purchasing, Quality Assurance, Process Improvement, Procurement
Education
Trinity University 2005 — 2006
MBA, Management
Georgetown University 1983 — 1985
Pre-Law Studies
George Mason University 1979 — 1982
BSEE, Electrical Engineering
US Securities and Exchange Commission August 2010 - Present
General Dynamics Information Technology December 2008 - April 2011
Project Cost, Inc. July 2006 - November 2008
Skills
Contract Management, Contract Negotiation, Project Planning, Project Estimation, Budgets, Project Management, Construction Management, Construction, Program Management, Negotiation, MS Project, Purchasing, Quality Assurance, Process Improvement, Procurement
Education
Trinity University 2005 — 2006
MBA, Management
Georgetown University 1983 — 1985
Pre-Law Studies
George Mason University 1979 — 1982
BSEE, Electrical Engineering
Noe Burgos's US Securities and Exchange Commission Experience May 2009 - August 2009
Job Attorney at Deutsche Bank
Industry Legal Services
Experience
Deutsche Bank April 2013 - Present
Prudential February 2011 - April 2013
Brooklyn Borough President's Office August 2010 - February 2011
US Securities and Exchange Commission May 2009 - August 2009
U.S. Bankruptcy Court September 2008 - May 2009
Philadelphia District Attorney's Office May 2008 - August 2008
U.S. Department of State June 2007 - August 2007
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Corporate Law, Commercial Litigation, Civil Litigation, Securities Regulation, Document Review, Immigration Law, Spanish, Employment Law
Education
Fordham University 2008 — 2010
M.A., International Political Economy & Development
Fordham University School of Law 2007 — 2010
J.D.
University of Pennsylvania 2003 — 2007
Bachelor of Arts (B.A.), Economics
Belen Jesuit Prep. 1997 — 2003
Deutsche Bank April 2013 - Present
Prudential February 2011 - April 2013
Brooklyn Borough President's Office August 2010 - February 2011
US Securities and Exchange Commission May 2009 - August 2009
U.S. Bankruptcy Court September 2008 - May 2009
Philadelphia District Attorney's Office May 2008 - August 2008
U.S. Department of State June 2007 - August 2007
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Corporate Law, Commercial Litigation, Civil Litigation, Securities Regulation, Document Review, Immigration Law, Spanish, Employment Law
Education
Fordham University 2008 — 2010
M.A., International Political Economy & Development
Fordham University School of Law 2007 — 2010
J.D.
University of Pennsylvania 2003 — 2007
Bachelor of Arts (B.A.), Economics
Belen Jesuit Prep. 1997 — 2003
Dan Tibbets, CAIA's US Securities and Exchange Commission Experience January 2014 - April 2014
Job Spring Legal Intern Fordham Law Clinic at Queens District Attorney's Office
Industry Law Practice
Experience
Queens District Attorney's Office January 2015 - April 2015
New York City Law Department June 2014 - August 2014
US Securities and Exchange Commission January 2014 - April 2014
United States Attorney's Office June 2013 - August 2013
SunGard September 2009 - January 2011
Linedata Services September 2007 - July 2009
UBS Wealth Management June 2005 - August 2007
Amegy Bank August 2003 - May 2005
Skills
Alternative Investments, Hedge Funds, Portfolio Management, Investment Strategies, Negotiation, Options, Back Office, Fixed Income, Asset Allocation, Fund Of Funds, Equities, Investments, Private Equity, Asset Management, Managed Futures, Middle Office, Trading, Derivatives, Wealth Management, Global Macro, Structured Products, Swaps, Contract Negotiation, Trading Strategies, Stocks, Customer Relations, Due Diligence, Institutional Investors, Contract Management, Private Wealth..., Front Office, Commodities, Asset Managment, Commodity, Bonds
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (J.D.)
Trinity University 1998 — 2002
BA, Economics
Queens District Attorney's Office January 2015 - April 2015
New York City Law Department June 2014 - August 2014
US Securities and Exchange Commission January 2014 - April 2014
United States Attorney's Office June 2013 - August 2013
SunGard September 2009 - January 2011
Linedata Services September 2007 - July 2009
UBS Wealth Management June 2005 - August 2007
Amegy Bank August 2003 - May 2005
Skills
Alternative Investments, Hedge Funds, Portfolio Management, Investment Strategies, Negotiation, Options, Back Office, Fixed Income, Asset Allocation, Fund Of Funds, Equities, Investments, Private Equity, Asset Management, Managed Futures, Middle Office, Trading, Derivatives, Wealth Management, Global Macro, Structured Products, Swaps, Contract Negotiation, Trading Strategies, Stocks, Customer Relations, Due Diligence, Institutional Investors, Contract Management, Private Wealth..., Front Office, Commodities, Asset Managment, Commodity, Bonds
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (J.D.)
Trinity University 1998 — 2002
BA, Economics
Matthew Reed's US Securities and Exchange Commission Experience August 2008 - March 2012
Job Chief Counsel, Office of Financial Research at US Treasury; Chairman, Regulatory Oversight Committee, Global LEI System
Industry Law Practice
Experience
US Treasury March 2012 - Present
US Securities and Exchange Commission August 2008 - March 2012
US Securities and Exchange Commission December 2006 - July 2008
US Securities and Exchange Commission June 2004 - December 2006
U.S. Senate May 2003 - November 2004
U.S. Department of Justice September 1998 - May 2004
U.S. District Court, Eastern District of Virginia August 1997 - August 1998
Skills
Corporate Governance, Litigation, Securities, Securities Regulation, Regulations, Strategy, Government, Analysis, Financial Risk, Finance, Access, Mergers & Acquisitions, SEC filings, Policy, Due Diligence, Financial Regulation, Risk Management, Senate, Management, Securities Exchange Act..., Fraud, Corporate Law
Education
George Mason University School of Law 1993 — 1997
JD, Law
Michigan State University 1987 — 1991
BS
US Treasury March 2012 - Present
US Securities and Exchange Commission August 2008 - March 2012
US Securities and Exchange Commission December 2006 - July 2008
US Securities and Exchange Commission June 2004 - December 2006
U.S. Senate May 2003 - November 2004
U.S. Department of Justice September 1998 - May 2004
U.S. District Court, Eastern District of Virginia August 1997 - August 1998
Skills
Corporate Governance, Litigation, Securities, Securities Regulation, Regulations, Strategy, Government, Analysis, Financial Risk, Finance, Access, Mergers & Acquisitions, SEC filings, Policy, Due Diligence, Financial Regulation, Risk Management, Senate, Management, Securities Exchange Act..., Fraud, Corporate Law
Education
George Mason University School of Law 1993 — 1997
JD, Law
Michigan State University 1987 — 1991
BS
Doreen Zanotelli's US Securities and Exchange Commission Experience 1989 - 1991
Job Managing Editor,Securities at Wolters Kluwer Law & Business
Industry Legal Services
Experience
Wolters Kluwer Law & Business July 2012 - Present
Wolters Kluwer November 2007 - July 2012
Wolters Kluwer November 2005 - November 2007
Gardner Carton & Douglas 1999 - 2001
Katten Muchin Rosenman LLP 1995 - 1997
Weiss, Peck & Greer 1991 - 1995
Weiss, Peck & Greer 1991 - 1995
US Securities and Exchange Commission 1989 - 1991
Skills
Publishing, Online Publishing, Content Management, Copy Editing, Publications, Proofreading, Editorial, Journals, Content Development, Editing, Fact-checking, Journalism, Web Content, Ebooks, Books, Text Editing, Content Strategy, Securities
Education
Fordham University School of Law 1983 — 1986
J.D., Law
University at Albany, SUNY 1979 — 1983
B.A., Communications
Wolters Kluwer Law & Business July 2012 - Present
Wolters Kluwer November 2007 - July 2012
Wolters Kluwer November 2005 - November 2007
Gardner Carton & Douglas 1999 - 2001
Katten Muchin Rosenman LLP 1995 - 1997
Weiss, Peck & Greer 1991 - 1995
Weiss, Peck & Greer 1991 - 1995
US Securities and Exchange Commission 1989 - 1991
Skills
Publishing, Online Publishing, Content Management, Copy Editing, Publications, Proofreading, Editorial, Journals, Content Development, Editing, Fact-checking, Journalism, Web Content, Ebooks, Books, Text Editing, Content Strategy, Securities
Education
Fordham University School of Law 1983 — 1986
J.D., Law
University at Albany, SUNY 1979 — 1983
B.A., Communications
Keith Martorana's US Securities and Exchange Commission Experience June 2000 - August 2004
Job Associate at Gibson, Dunn & Crutcher LLP
Industry Law Practice
Experience
Gibson, Dunn & Crutcher LLP November 2008 - Present
Kramer Levin Naftalis & Frankel LLP September 2007 - November 2008
US Securities and Exchange Commission June 2000 - August 2004
Skills
Bankruptcy, Corporate Law
Education
New York Law School 2004 — 2007
JD
Fordham University 1996 — 2000
BS, Business Administration and Management, General
Gibson, Dunn & Crutcher LLP November 2008 - Present
Kramer Levin Naftalis & Frankel LLP September 2007 - November 2008
US Securities and Exchange Commission June 2000 - August 2004
Skills
Bankruptcy, Corporate Law
Education
New York Law School 2004 — 2007
JD
Fordham University 1996 — 2000
BS, Business Administration and Management, General
Hugh Manahan's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Senior Associate Intern at Strategy&, part of the PwC network (formerly Booz & Company)
Industry Law Practice
Experience
Strategy&, part of the PwC network (formerly Booz & Company) June 2015 - Present
Cravath, Swaine & Moore LLP May 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Dynamics Research Corporation February 2012 - July 2012
Dynamics Research February 2011 - February 2012
Kadix Systems June 2009 - January 2011
Skills
Program Management, Proposal Writing, Process Engineering, Business Analysis, Process Modeling, SharePoint Designer, Strategy, Change Management, Analysis, Organizational..., Requirements Analysis, Business Process..., Process Improvement, Visio, Management Consulting, Government, Enterprise Architecture, Government Contracting, Policy Analysis, SDLC, Data Analysis, SharePoint
Education
University of Michigan - Stephen M. Ross School of Business 2013 — 2016
Master of Business Administration (MBA)
University of Michigan Law School 2012 — 2016
Doctor of Law (JD)
Georgetown University 2005 — 2009
BA, Government
Peking University 2007 — 2007
The Lawrenceville School 2002 — 2005
High School
Strategy&, part of the PwC network (formerly Booz & Company) June 2015 - Present
Cravath, Swaine & Moore LLP May 2014 - August 2014
US Securities and Exchange Commission May 2013 - August 2013
Dynamics Research Corporation February 2012 - July 2012
Dynamics Research February 2011 - February 2012
Kadix Systems June 2009 - January 2011
Skills
Program Management, Proposal Writing, Process Engineering, Business Analysis, Process Modeling, SharePoint Designer, Strategy, Change Management, Analysis, Organizational..., Requirements Analysis, Business Process..., Process Improvement, Visio, Management Consulting, Government, Enterprise Architecture, Government Contracting, Policy Analysis, SDLC, Data Analysis, SharePoint
Education
University of Michigan - Stephen M. Ross School of Business 2013 — 2016
Master of Business Administration (MBA)
University of Michigan Law School 2012 — 2016
Doctor of Law (JD)
Georgetown University 2005 — 2009
BA, Government
Peking University 2007 — 2007
The Lawrenceville School 2002 — 2005
High School
Harold F. Degenhardt's US Securities and Exchange Commission Experience May 1996 - August 2005
Job Attorney/Consultant
Industry Legal Services
Experience
Harold F. Degenhardt January 2008 - Present
Fulbright & Jaworski September 2005 - December 2007
US Securities and Exchange Commission May 1996 - August 2005
Gibson, Dunn & Crutcher LLP September 1983 - May 1996
Coke & Coke January 1979 - September 1983
Mudge Rose Guthrie & Alexander August 1973 - June 1977
Skills
Corporate Governance, Investigations, Securities, Enforcement, Internal Investigations, Private Investigations, Litigation, Securities Regulation, Securities Litigation, Civil Litigation, Government
Education
Fordham University School of Law 1970 — 1973
JD, Law
Villanova University 1964 — 1968
BA, History/Psychology
Harold F. Degenhardt January 2008 - Present
Fulbright & Jaworski September 2005 - December 2007
US Securities and Exchange Commission May 1996 - August 2005
Gibson, Dunn & Crutcher LLP September 1983 - May 1996
Coke & Coke January 1979 - September 1983
Mudge Rose Guthrie & Alexander August 1973 - June 1977
Skills
Corporate Governance, Investigations, Securities, Enforcement, Internal Investigations, Private Investigations, Litigation, Securities Regulation, Securities Litigation, Civil Litigation, Government
Education
Fordham University School of Law 1970 — 1973
JD, Law
Villanova University 1964 — 1968
BA, History/Psychology
A. Valerie Mirko's US Securities and Exchange Commission Experience 2003 - 2003
Job Deputy General Counsel at North American Securities Administrators Association (NASAA)
Industry Law Practice
Experience
North American Securities Administrators Association (NASAA) March 2014 - Present
North American Securities Administrators Association (NASAA) April 2013 - March 2014
North American Securities Administrators Association (NASAA) April 2012 - April 2013
Pickard & Djinis October 2008 - April 2012
Merrill Lynch (now Bank of America Merrill Lynch) March 2007 - October 2008
Oppenheimer & Co. 2004 - 2007
FINRA 2004 - 2004
US Securities and Exchange Commission 2003 - 2003
Corporate Executive Board 1998 - 2001
Skills
Enforcement, Securities Regulation, Corporate Governance, Litigation, Arbitration, Securities, FINRA, Corporate Law, Research, Securities Litigation, Commercial Litigation, Licensing, Fraud, Privacy Law, Legal Research, Legal Writing, Civil Litigation, Mergers & Acquisitions, Intellectual Property
Education
The George Washington University Law School 2002 — 2005
Doctor of Law (J.D.)
Georgetown University 2001 — 2002
School of Foreign Service
Wellesley College 1994 — 1998
Bachelor of Arts (B.A.), cum laude, Political Science and Economics (double major)
North American Securities Administrators Association (NASAA) March 2014 - Present
North American Securities Administrators Association (NASAA) April 2013 - March 2014
North American Securities Administrators Association (NASAA) April 2012 - April 2013
Pickard & Djinis October 2008 - April 2012
Merrill Lynch (now Bank of America Merrill Lynch) March 2007 - October 2008
Oppenheimer & Co. 2004 - 2007
FINRA 2004 - 2004
US Securities and Exchange Commission 2003 - 2003
Corporate Executive Board 1998 - 2001
Skills
Enforcement, Securities Regulation, Corporate Governance, Litigation, Arbitration, Securities, FINRA, Corporate Law, Research, Securities Litigation, Commercial Litigation, Licensing, Fraud, Privacy Law, Legal Research, Legal Writing, Civil Litigation, Mergers & Acquisitions, Intellectual Property
Education
The George Washington University Law School 2002 — 2005
Doctor of Law (J.D.)
Georgetown University 2001 — 2002
School of Foreign Service
Wellesley College 1994 — 1998
Bachelor of Arts (B.A.), cum laude, Political Science and Economics (double major)
Rudy. Gerlich's US Securities and Exchange Commission Experience 1984 - 1994
Job Counsel to the Head of Compliance at Deutsche Bank
Industry Financial Services
Experience
Deutsche Bank Counsel to the Head of ComplianceDeutsche Bank Securities2005 - Present
UBS Financial Services (f/k/a PaineWebber) April 1996 - October 2005
UBS Financial Services 1996 - 2005
UBS PaineWebber Inc. 1996 - 2005
PaineWebber 1996 - 2005
US Securities and Exchange Commission 1984 - 1994
Education
Georgetown University Law Center 1976 — 1979
J.D.
Georgetown University 1971 — 1979
BSFS, JD, International Economics and Finance, Law
Deutsche Bank Counsel to the Head of ComplianceDeutsche Bank Securities2005 - Present
UBS Financial Services (f/k/a PaineWebber) April 1996 - October 2005
UBS Financial Services 1996 - 2005
UBS PaineWebber Inc. 1996 - 2005
PaineWebber 1996 - 2005
US Securities and Exchange Commission 1984 - 1994
Education
Georgetown University Law Center 1976 — 1979
J.D.
Georgetown University 1971 — 1979
BSFS, JD, International Economics and Finance, Law
Mark Barracca's US Securities and Exchange Commission Experience 1990 - 1996
Job Director and Associate General Counsel at Citi
Industry Legal Services
Experience
Citi August 2015 - Present
Raymond James Financial March 2003 - July 2015
NexTrade, Inc. 2000 - 2002
Gruntal & Co., LLC 1997 - 1999
US Securities and Exchange Commission 1990 - 1996
Skills
Securities Regulation, FINRA, Financial Services, Securities, Corporate Law, Corporate Governance, Series 7, Litigation, Mutual Funds
Education
The College of William and Mary - Marshall Wythe Law School 1987 — 1990
J.D.
Georgetown University 1980 — 1984
B.S. Foreign Service
Citi August 2015 - Present
Raymond James Financial March 2003 - July 2015
NexTrade, Inc. 2000 - 2002
Gruntal & Co., LLC 1997 - 1999
US Securities and Exchange Commission 1990 - 1996
Skills
Securities Regulation, FINRA, Financial Services, Securities, Corporate Law, Corporate Governance, Series 7, Litigation, Mutual Funds
Education
The College of William and Mary - Marshall Wythe Law School 1987 — 1990
J.D.
Georgetown University 1980 — 1984
B.S. Foreign Service
Joshua Wechsler's US Securities and Exchange Commission Experience 1994 - 1997
Job Partner at Fried Frank
Industry Law Practice
Experience
Fried, Frank, Harris, Shriver & Jacobson LLP June 1999 - Present
US Securities and Exchange Commission 1994 - 1997
Skills
Corporate Law, Securities Regulation, Corporate Governance, Cross-border..., Securities Offerings, Joint Ventures, Mergers & Acquisitions, Capital Markets, Corporate Finance, Due Diligence, Securities, Intellectual Property, Legal Research, Commercial Litigation, Private Equity
Education
Georgetown University 1993 — 1994
Tabor
University of Florida
Fried, Frank, Harris, Shriver & Jacobson LLP June 1999 - Present
US Securities and Exchange Commission 1994 - 1997
Skills
Corporate Law, Securities Regulation, Corporate Governance, Cross-border..., Securities Offerings, Joint Ventures, Mergers & Acquisitions, Capital Markets, Corporate Finance, Due Diligence, Securities, Intellectual Property, Legal Research, Commercial Litigation, Private Equity
Education
Georgetown University 1993 — 1994
Tabor
University of Florida
Brian Woodburn's US Securities and Exchange Commission Experience 2007 - 2007
Job Self Employed
Industry Information Technology and Services
Experience
Self Employed January 2011 - Present
Virtus Consulting Group, Inc. November 2007 - December 2010
US Securities and Exchange Commission 2007 - 2007
US Securities and Exchange Commission 2005 - 2007
Skills
SQL, Visual Basic, VBScript, PHP, CSS, HTML, PCM, Business Objects, Microsoft SQL Server, Web Development, ETL, SAP, Business Analysis, Project Management, Business Intelligence
Education
George Mason University 2004 — 2007
BS, Public Administration
George Mason University
Bachelor of Science (BS), Public Administration
Self Employed January 2011 - Present
Virtus Consulting Group, Inc. November 2007 - December 2010
US Securities and Exchange Commission 2007 - 2007
US Securities and Exchange Commission 2005 - 2007
Skills
SQL, Visual Basic, VBScript, PHP, CSS, HTML, PCM, Business Objects, Microsoft SQL Server, Web Development, ETL, SAP, Business Analysis, Project Management, Business Intelligence
Education
George Mason University 2004 — 2007
BS, Public Administration
George Mason University
Bachelor of Science (BS), Public Administration
Natalie Perez's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Associate at McKinsey & Company
Industry Law Practice
Experience
McKinsey & Company September 2014 - Present
Bingham McCutchen May 2013 - July 2013
US Securities and Exchange Commission May 2012 - August 2012
Cleary Gottlieb Steen & Hamilton LLP May 2011 - August 2011
U.S. Department of Commerce January 2011 - May 2011
Georgetown University Economics Department September 2008 - May 2011
Georgetown University Alumni & Student Federal Credit Union February 2010 - February 2011
Deloitte May 2010 - August 2010
Georgetown University Alumni & Student Federal Credit Union February 2009 - February 2010
U.S. Department of Justice May 2009 - August 2009
Skills
Economics, Regulatory Analysis, Legal Research, Legal Writing, Qualitative Research
Education
Harvard Law School 2011 — 2014
Doctor of Law (JD)
Georgetown University 2007 — 2011
Bachelor of Science (BS), International Political Economy, International Business Diplomacy Honors Certificate, Honors
McKinsey & Company September 2014 - Present
Bingham McCutchen May 2013 - July 2013
US Securities and Exchange Commission May 2012 - August 2012
Cleary Gottlieb Steen & Hamilton LLP May 2011 - August 2011
U.S. Department of Commerce January 2011 - May 2011
Georgetown University Economics Department September 2008 - May 2011
Georgetown University Alumni & Student Federal Credit Union February 2010 - February 2011
Deloitte May 2010 - August 2010
Georgetown University Alumni & Student Federal Credit Union February 2009 - February 2010
U.S. Department of Justice May 2009 - August 2009
Skills
Economics, Regulatory Analysis, Legal Research, Legal Writing, Qualitative Research
Education
Harvard Law School 2011 — 2014
Doctor of Law (JD)
Georgetown University 2007 — 2011
Bachelor of Science (BS), International Political Economy, International Business Diplomacy Honors Certificate, Honors
Hans Dutt's US Securities and Exchange Commission Experience August 2000 - October 2008
Job Forensic Economics and Statistical Modeling
Industry Legal Services
Experience
Stat Analytics, Inc. October 2008 - Present
US Securities and Exchange Commission August 2000 - October 2008
US Health Care Financing Administration June 1998 - August 2000
DCCA August 1996 - June 1998
US Commodities Futures Trading Commission June 1990 - September 1996
Skills
Economic Research, Valuation, Macroeconomics, Economics, Econometrics, Derivatives, Quantitative Analytics, Healthcare, Financial Economics, Litigation, Statistical Modeling, Stata, Business Valuation, Expert Witness
Education
George Mason University 2003 — 2008
PhD, Economics
Stat Analytics, Inc. October 2008 - Present
US Securities and Exchange Commission August 2000 - October 2008
US Health Care Financing Administration June 1998 - August 2000
DCCA August 1996 - June 1998
US Commodities Futures Trading Commission June 1990 - September 1996
Skills
Economic Research, Valuation, Macroeconomics, Economics, Econometrics, Derivatives, Quantitative Analytics, Healthcare, Financial Economics, Litigation, Statistical Modeling, Stata, Business Valuation, Expert Witness
Education
George Mason University 2003 — 2008
PhD, Economics
Alexander Zozos's US Securities and Exchange Commission Experience September 2014 - Present
Job Attorney at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission September 2014 - Present
US Securities and Exchange Commission May 2013 - August 2013
Financial Industry Regulatory Authority January 2013 - May 2013
Brooklyn Legal Services Corp. A June 2012 - August 2012
J.P. Morgan July 2008 - August 2011
Pricewaterhouse Coopers June 2007 - August 2007
Skills
Hedge Funds, Investment Banking, Options, Fixed Income, Prime Brokerage, Series 7, Capital Markets, Due Diligence, Legal Writing, Alternative Investments, Private Equity, Westlaw, Financial Modeling, Equities, Derivatives, Valuation, Legal Research, Securities, Trading, Bloomberg, Financial Analysis, Corporate Law, Mergers & Acquisitions, FINRA, Securities Regulation, Financial Services, Private Placements, Corporate Governance
Education
Fordham University School of Law
J.D.
Villanova University
B.S., Finance & Accountancy w/ Classical Studies minor, cum laude
U.S. Securities and Exchange Commission September 2014 - Present
US Securities and Exchange Commission May 2013 - August 2013
Financial Industry Regulatory Authority January 2013 - May 2013
Brooklyn Legal Services Corp. A June 2012 - August 2012
J.P. Morgan July 2008 - August 2011
Pricewaterhouse Coopers June 2007 - August 2007
Skills
Hedge Funds, Investment Banking, Options, Fixed Income, Prime Brokerage, Series 7, Capital Markets, Due Diligence, Legal Writing, Alternative Investments, Private Equity, Westlaw, Financial Modeling, Equities, Derivatives, Valuation, Legal Research, Securities, Trading, Bloomberg, Financial Analysis, Corporate Law, Mergers & Acquisitions, FINRA, Securities Regulation, Financial Services, Private Placements, Corporate Governance
Education
Fordham University School of Law
J.D.
Villanova University
B.S., Finance & Accountancy w/ Classical Studies minor, cum laude
Caelah Nelson's US Securities and Exchange Commission Experience May 2013 - August 2013
Job Juris Doctor, Georgetown University Law Center
Industry Law Practice
Experience
White & Case LLP August 2014 - December 2014
White & Case LLP May 2014 - July 2014
US Securities and Exchange Commission May 2013 - August 2013
Skadden, Arps, Slate, Meagher & Flom LLP June 2010 - August 2012
Students of Georgetown, Inc. May 2009 - May 2010
Georgetown University 2007 - 2010
Skills
Policy Analysis, Foreign Policy, Research, Legal Research, Public Policy, International Relations, International Law, Document Review, Legal Writing, Politics
Education
Georgetown University Law Center 2013 — 2015
Doctor of Law (J.D.)
The College of William and Mary - Marshall Wythe Law School 2012 — 2013
Candidate for Juris Doctor
Georgetown University 2007 — 2010
Bachelor of Arts (B.A.), Political Economy; French and Psychology Minors
Langley High School 2002 — 2006
White & Case LLP August 2014 - December 2014
White & Case LLP May 2014 - July 2014
US Securities and Exchange Commission May 2013 - August 2013
Skadden, Arps, Slate, Meagher & Flom LLP June 2010 - August 2012
Students of Georgetown, Inc. May 2009 - May 2010
Georgetown University 2007 - 2010
Skills
Policy Analysis, Foreign Policy, Research, Legal Research, Public Policy, International Relations, International Law, Document Review, Legal Writing, Politics
Education
Georgetown University Law Center 2013 — 2015
Doctor of Law (J.D.)
The College of William and Mary - Marshall Wythe Law School 2012 — 2013
Candidate for Juris Doctor
Georgetown University 2007 — 2010
Bachelor of Arts (B.A.), Political Economy; French and Psychology Minors
Langley High School 2002 — 2006
Sara Cortes's US Securities and Exchange Commission Experience August 2013 - Present
Job Senior Special Counsel for Rulemaking, Division of Investment Management, US Securities and Exchange Commission
Industry Public Policy
Experience
US Securities and Exchange Commission August 2013 - Present
US Securities and Exchange Commission February 2012 - July 2013
US Securities and Exchange Commission December 2012 - April 2013
US Securities and Exchange Commission December 2009 - February 2012
Federal Reserve Board October 2006 - December 2009
Cleary Gottlieb Steen & Hamilton LLP October 2002 - October 2006
Skills
Securities Regulation, Securities Litigation, Internal Investigations, Banking Law, Financial Regulation, Government, Policy Analysis, Policy, Regulatory Affairs
Education
Georgetown University Law Center
Doctor of Law (J.D.), magna cum laude, Order of the Coif
Georgetown University
Master of Science in Foreign Service, Global Banking
Rhodes College
International Studies, French, magna cum laude, Phi Beta Kappa
US Securities and Exchange Commission August 2013 - Present
US Securities and Exchange Commission February 2012 - July 2013
US Securities and Exchange Commission December 2012 - April 2013
US Securities and Exchange Commission December 2009 - February 2012
Federal Reserve Board October 2006 - December 2009
Cleary Gottlieb Steen & Hamilton LLP October 2002 - October 2006
Skills
Securities Regulation, Securities Litigation, Internal Investigations, Banking Law, Financial Regulation, Government, Policy Analysis, Policy, Regulatory Affairs
Education
Georgetown University Law Center
Doctor of Law (J.D.), magna cum laude, Order of the Coif
Georgetown University
Master of Science in Foreign Service, Global Banking
Rhodes College
International Studies, French, magna cum laude, Phi Beta Kappa
Jon Balcom's US Securities and Exchange Commission Experience March 2014 - Present
Job Senior Counsel, Office of International Affairs at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission March 2014 - Present
US Securities and Exchange Commission October 2011 - March 2014
Cleary Gottlieb Steen & Hamilton LLP November 2007 - October 2011
Fulbright Commission July 2003 - July 2004
Human Rights Watch May 2001 - June 2003
Education
New York University School of Law 2004 — 2007
Doctor of Law (JD)
Georgetown University 1997 — 2001
Bachelor of Science in Foreign Service, International Politics
US Securities and Exchange Commission March 2014 - Present
US Securities and Exchange Commission October 2011 - March 2014
Cleary Gottlieb Steen & Hamilton LLP November 2007 - October 2011
Fulbright Commission July 2003 - July 2004
Human Rights Watch May 2001 - June 2003
Education
New York University School of Law 2004 — 2007
Doctor of Law (JD)
Georgetown University 1997 — 2001
Bachelor of Science in Foreign Service, International Politics
Robert Toomey's US Securities and Exchange Commission Experience March 1992 - June 1995
Job Managing Director at SIFMA
Industry Financial Services
Experience
SIFMA September 2004 - Present
Federal Reserve Bank of New York June 1995 - September 2004
US Securities and Exchange Commission March 1992 - June 1995
Reid & Priest September 1988 - March 1992
Skills
Securities, Corporate Governance, Capital Markets, Securities Regulation, Hedge Funds, Due Diligence, Financial Regulation, Equities, Corporate Law, Derivatives, Financial Markets, FINRA, Litigation, Risk Management, Mergers & Acquisitions, Financial Services, AML, Fixed Income, Series 24, Alternative Investments, Series 7, Securitization, Structured Products, Investment Banking, Mutual Funds, Options, Series 63, Asset Management, Trading, US Treasuries
Education
Fordham University School of Law
JD
Haverford College
BA, English
Regis High School
SIFMA September 2004 - Present
Federal Reserve Bank of New York June 1995 - September 2004
US Securities and Exchange Commission March 1992 - June 1995
Reid & Priest September 1988 - March 1992
Skills
Securities, Corporate Governance, Capital Markets, Securities Regulation, Hedge Funds, Due Diligence, Financial Regulation, Equities, Corporate Law, Derivatives, Financial Markets, FINRA, Litigation, Risk Management, Mergers & Acquisitions, Financial Services, AML, Fixed Income, Series 24, Alternative Investments, Series 7, Securitization, Structured Products, Investment Banking, Mutual Funds, Options, Series 63, Asset Management, Trading, US Treasuries
Education
Fordham University School of Law
JD
Haverford College
BA, English
Regis High School
Joseph Jesiolowski's US Securities and Exchange Commission Experience May 2007 - August 2007
Job Associate at Duane Morris LLP
Industry Law Practice
Experience
Duane Morris LLP February 2014 - Present
Pepper Hamilton LLP January 2010 - February 2014
Chambers of Hon. Donald F. Parsons, Jr., Delaware Court of Chancery August 2009 - December 2009
US Securities and Exchange Commission May 2007 - August 2007
Skills
Commercial Litigation
Education
Georgetown University Law Center 2006 — 2009
J.D., Law
Georgetown University
B.S., Finance
Haddonfield Memoria High School
Haddonfield Memorial High School
Haddonfield Memorial High School
Duane Morris LLP February 2014 - Present
Pepper Hamilton LLP January 2010 - February 2014
Chambers of Hon. Donald F. Parsons, Jr., Delaware Court of Chancery August 2009 - December 2009
US Securities and Exchange Commission May 2007 - August 2007
Skills
Commercial Litigation
Education
Georgetown University Law Center 2006 — 2009
J.D., Law
Georgetown University
B.S., Finance
Haddonfield Memoria High School
Haddonfield Memorial High School
Haddonfield Memorial High School
Andrew Madar's US Securities and Exchange Commission Experience November 2007 - August 2013
Job Associate General Counsel at Financial Industry Regulatory Authority
Industry Capital Markets
Experience
Financial Industry Regulatory Authority August 2013 - Present
US Securities and Exchange Commission November 2007 - August 2013
Cahill Gordon & Reindel LLP 2005 - 2007
Honorable Frank Maas, United States Magistrate Judge, Southern District of New York 2004 - 2005
Cahill Gordon & Reindel 2002 - 2004
Education
Fordham University School of Law 1999 — 2002
J.D.
Haverford College 1993 — 1997
B.A., Philosophy
Financial Industry Regulatory Authority August 2013 - Present
US Securities and Exchange Commission November 2007 - August 2013
Cahill Gordon & Reindel LLP 2005 - 2007
Honorable Frank Maas, United States Magistrate Judge, Southern District of New York 2004 - 2005
Cahill Gordon & Reindel 2002 - 2004
Education
Fordham University School of Law 1999 — 2002
J.D.
Haverford College 1993 — 1997
B.A., Philosophy
Joseph Lombard's US Securities and Exchange Commission Experience July 1999 - March 2001
Job Partner at Murphy & McGonigle
Industry Law Practice
Experience
Murphy & McGonigle September 2010 - Present
Merrill Lynch April 2006 - January 2007
Wave Securities November 2001 - April 2006
Archipelago Holdings April 2001 - November 2001
US Securities and Exchange Commission July 1999 - March 2001
O'Melveny & Myers April 1995 - July 1999
US Securities and Exchange Commission September 1990 - August 1993
Education
Georgetown University Law Center 1987 — 1990
JD, Law
The London School of Economics and Political Science (LSE) 1986 — 1987
M.Sc. (Econ), International Relations
Georgetown University 1982 — 1986
B.A., Government
Murphy & McGonigle September 2010 - Present
Merrill Lynch April 2006 - January 2007
Wave Securities November 2001 - April 2006
Archipelago Holdings April 2001 - November 2001
US Securities and Exchange Commission July 1999 - March 2001
O'Melveny & Myers April 1995 - July 1999
US Securities and Exchange Commission September 1990 - August 1993
Education
Georgetown University Law Center 1987 — 1990
JD, Law
The London School of Economics and Political Science (LSE) 1986 — 1987
M.Sc. (Econ), International Relations
Georgetown University 1982 — 1986
B.A., Government
Karin Ward's US Securities and Exchange Commission Experience May 1997 - August 1997
Job Tax Intern at CBIZTofias.
Industry Legal Services
Experience
CBIZ January 2015 - March 2015
Santander Bank, N.A. October 2012 - May 2014
Internal Revenue Service September 2011 - August 2012
State of Alaska Court System August 2009 - August 2010
Sullivan & Cromwell LLP October 1999 - April 2002
Howard University School of Law February 1997 - May 1999
US Securities and Exchange Commission May 1997 - August 1997
Holland Capital Mangement February 1994 - April 1996
Motse Maria High School January 1993 - December 1993
Motorola Solutions August 1990 - May 1992
Skills
Contract Negotiation, Contract Drafting, Legal Research, Mergers, Securities, Trusts, Tax, Legal Writing, International Tax, Westlaw, Due Diligence, Income Tax, Equities, Corporate Law, Negotiation, Teaching, Securities Law, Trusts and Estate Law, International Tax Law, Mergers and..., Real Estate Transactions, Tax Law, Estate Planning, Corporate Finance, Corporate Governance, Corporate Tax, Cross-border..., Wills, Legal, Estate Law, Mergers & Acquisitions, Securities Regulation, Criminal Law, Litigation, Commercial Litigation, Immigration Law, Appeals
Education
Northeastern University 2014 — 2015
Master of Business Administration (M.B.A.), Master's of Accounting and MBA
Temple University Beasley School of Law 2010 — 2011
LLM, Taxation
Duke University School of Public Policy 2002 — 2006
Masters, Public Policy
Howard University School of Law 1996 — 1999
Juris Doctor, Law
Georgetown University 1988 — 1992
Bachelor of Science, International Affairs with focus in Diplomatic History
William Fremd High School 1984 — 1988
Diploma, high school
CBIZ January 2015 - March 2015
Santander Bank, N.A. October 2012 - May 2014
Internal Revenue Service September 2011 - August 2012
State of Alaska Court System August 2009 - August 2010
Sullivan & Cromwell LLP October 1999 - April 2002
Howard University School of Law February 1997 - May 1999
US Securities and Exchange Commission May 1997 - August 1997
Holland Capital Mangement February 1994 - April 1996
Motse Maria High School January 1993 - December 1993
Motorola Solutions August 1990 - May 1992
Skills
Contract Negotiation, Contract Drafting, Legal Research, Mergers, Securities, Trusts, Tax, Legal Writing, International Tax, Westlaw, Due Diligence, Income Tax, Equities, Corporate Law, Negotiation, Teaching, Securities Law, Trusts and Estate Law, International Tax Law, Mergers and..., Real Estate Transactions, Tax Law, Estate Planning, Corporate Finance, Corporate Governance, Corporate Tax, Cross-border..., Wills, Legal, Estate Law, Mergers & Acquisitions, Securities Regulation, Criminal Law, Litigation, Commercial Litigation, Immigration Law, Appeals
Education
Northeastern University 2014 — 2015
Master of Business Administration (M.B.A.), Master's of Accounting and MBA
Temple University Beasley School of Law 2010 — 2011
LLM, Taxation
Duke University School of Public Policy 2002 — 2006
Masters, Public Policy
Howard University School of Law 1996 — 1999
Juris Doctor, Law
Georgetown University 1988 — 1992
Bachelor of Science, International Affairs with focus in Diplomatic History
William Fremd High School 1984 — 1988
Diploma, high school
Gena Lai's US Securities and Exchange Commission Experience March 2012 - Present
Job Senior Special Counsel at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission March 2012 - Present
US Securities and Exchange Commission January 2010 - March 2012
US Securities and Exchange Commission 2008 - 2010
US Securities and Exchange Commission 2004 - 2007
Weil Gotshal and Manges 2002 - 2004
Yale University -- Investments Office 1995 - 1997
Skills
Securities Regulation, Corporate Governance, Corporate Law, Securities, Legal Research, Legal Writing, Arbitration, Financial Regulation
Education
Chartered Financial Analysts Institute
Chartered Financial Analyst
Fordham University School of Law 1999 — 2002
Doctor of Law (J.D.)
Yale University 1991 — 1995
Bachelor of Arts (B.A.), English
US Securities and Exchange Commission March 2012 - Present
US Securities and Exchange Commission January 2010 - March 2012
US Securities and Exchange Commission 2008 - 2010
US Securities and Exchange Commission 2004 - 2007
Weil Gotshal and Manges 2002 - 2004
Yale University -- Investments Office 1995 - 1997
Skills
Securities Regulation, Corporate Governance, Corporate Law, Securities, Legal Research, Legal Writing, Arbitration, Financial Regulation
Education
Chartered Financial Analysts Institute
Chartered Financial Analyst
Fordham University School of Law 1999 — 2002
Doctor of Law (J.D.)
Yale University 1991 — 1995
Bachelor of Arts (B.A.), English
Mark Pacioni's US Securities and Exchange Commission Experience 1994 - 1997
Job Associate General Counsel and Corporate Secretary at Molex
Industry Electrical/Electronic Manufacturing
Experience
Knowles Corporation April 2014 - Present
Molex December 2008 - Present
Boeing 2003 - 2008
Schiff Hardin LLP 2000 - 2003
Mayer Brown 1997 - 2000
US Securities and Exchange Commission 1994 - 1997
Skills
Corporate Governance, Securities, Due Diligence, Employment Law
Education
Georgetown University
Bachelor of Arts, International Relations
Georgetown University Law Center
London School of Economics and Political Science
General Course of Study, International Economic Relations
Knowles Corporation April 2014 - Present
Molex December 2008 - Present
Boeing 2003 - 2008
Schiff Hardin LLP 2000 - 2003
Mayer Brown 1997 - 2000
US Securities and Exchange Commission 1994 - 1997
Skills
Corporate Governance, Securities, Due Diligence, Employment Law
Education
Georgetown University
Bachelor of Arts, International Relations
Georgetown University Law Center
London School of Economics and Political Science
General Course of Study, International Economic Relations
Suzanne Romajas's US Securities and Exchange Commission Experience June 2003 - Present
Job Assistant Chief Litigation Counsel, SEC
Industry Law Practice
Experience
US Securities and Exchange Commission June 2003 - Present
Cadwalader, Wickersham & Taft LLP September 1998 - May 2003
Weil, Gotshal & Manges LLP September 1994 - September 1998
United States District Court, Southern District of New York January 1994 - May 1994
United States District Court, Southern District of New York September 1993 - December 1993
Weil, Gotshal & Manges LLP May 1993 - August 1993
Ernst & Young LLP June 1992 - May 1993
Education
Fordham University School of Law 1991 — 1994
Juris Doctor
The University of Connecticut School of Business 1988 — 1991
Master of Business Administration, Finance
University of Rochester 1984 — 1988
Bachelor of Arts
US Securities and Exchange Commission June 2003 - Present
Cadwalader, Wickersham & Taft LLP September 1998 - May 2003
Weil, Gotshal & Manges LLP September 1994 - September 1998
United States District Court, Southern District of New York January 1994 - May 1994
United States District Court, Southern District of New York September 1993 - December 1993
Weil, Gotshal & Manges LLP May 1993 - August 1993
Ernst & Young LLP June 1992 - May 1993
Education
Fordham University School of Law 1991 — 1994
Juris Doctor
The University of Connecticut School of Business 1988 — 1991
Master of Business Administration, Finance
University of Rochester 1984 — 1988
Bachelor of Arts
Terry Hatfield's US Securities and Exchange Commission Experience March 1974 - June 2005
Job Retired at Congressional CC
Industry Leisure, Travel & Tourism
Experience
Congressional CC October 2006 - Present
US Securities and Exchange Commission March 1974 - June 2005
Education
George Mason University 1976 — 1979
Master of Business Administration (MBA), Finance and Financial Management Services
Indiana University Bloomington 1963 — 1970
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Congressional CC October 2006 - Present
US Securities and Exchange Commission March 1974 - June 2005
Education
George Mason University 1976 — 1979
Master of Business Administration (MBA), Finance and Financial Management Services
Indiana University Bloomington 1963 — 1970
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Alex Sadowski's US Securities and Exchange Commission Experience August 2000 - November 2007
Job Deputy General Counsel, Global Head of Compliance at Getco LLC
Industry Capital Markets
Experience
KCG Holdings, Inc. 2007 - Present
US Securities and Exchange Commission August 2000 - November 2007
Education
Georgetown University 2000 — 2002
Master of Laws (LLM), Securities and Financial Regulation
University of Baltimore 1996 — 1999
Doctor of Law (J.D.)
Frostburg State University 1989 — 1993
Bachelor of Applied Science (B.A.Sc.), Social Science
KCG Holdings, Inc. 2007 - Present
US Securities and Exchange Commission August 2000 - November 2007
Education
Georgetown University 2000 — 2002
Master of Laws (LLM), Securities and Financial Regulation
University of Baltimore 1996 — 1999
Doctor of Law (J.D.)
Frostburg State University 1989 — 1993
Bachelor of Applied Science (B.A.Sc.), Social Science
Karl Helgerson's US Securities and Exchange Commission Experience May 2012 - August 2012
Job Attorney at Kutak Rock
Industry Law Practice
Experience
Kutak Rock September 2013 - Present
US Securities and Exchange Commission May 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
Skills
Legal Research, Litigation, Westlaw, Enforcement, Legal Writing, Civil Litigation, Courts, Criminal Law, Mediation, International Relations
Education
George Mason University School of Law 2010 — 2013
Doctor of Law (J.D.)
Vanderbilt University 2002 — 2006
Bachelor of Arts (BA), English; History; Minor in Music Performance
Kutak Rock September 2013 - Present
US Securities and Exchange Commission May 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
Skills
Legal Research, Litigation, Westlaw, Enforcement, Legal Writing, Civil Litigation, Courts, Criminal Law, Mediation, International Relations
Education
George Mason University School of Law 2010 — 2013
Doctor of Law (J.D.)
Vanderbilt University 2002 — 2006
Bachelor of Arts (BA), English; History; Minor in Music Performance
Andrew Sporkin's US Securities and Exchange Commission Experience 2010 - Present
Job Assistant Director, Complex Financial Instruments Unit at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission 2010 - Present
US Securities and Exchange Commission 2001 - 2010
Skills
Securities Regulation, Litigation, Investigation, Compliance, Internal Investigations, FCPA, SEC Financial Reporting, Disclosure, Enforcement, Securities Litigation, Securities Fraud, Structured Products, Securities, Fraud, Government, Private Investigations, Corporate Law, SEC, Due Diligence, Financial Regulation, AML, Hedge Funds, Structured Finance, Capital Markets, Financial Institutions, Privacy Law, Legal Compliance, Litigation Support, Licensing, Arbitration, Mergers & Acquisitions, Trials, Civil Litigation, Commercial Litigation, Private Equity, Law Enforcement
Education
The George Washington University Law School 1985 — 1988
Doctor of Law (J.D.) with honors
Franklin & Marshall College 1981 — 1985
Bachelor of Arts (B.A.), Economics
Atlantic City High School
US Securities and Exchange Commission 2010 - Present
US Securities and Exchange Commission 2001 - 2010
Skills
Securities Regulation, Litigation, Investigation, Compliance, Internal Investigations, FCPA, SEC Financial Reporting, Disclosure, Enforcement, Securities Litigation, Securities Fraud, Structured Products, Securities, Fraud, Government, Private Investigations, Corporate Law, SEC, Due Diligence, Financial Regulation, AML, Hedge Funds, Structured Finance, Capital Markets, Financial Institutions, Privacy Law, Legal Compliance, Litigation Support, Licensing, Arbitration, Mergers & Acquisitions, Trials, Civil Litigation, Commercial Litigation, Private Equity, Law Enforcement
Education
The George Washington University Law School 1985 — 1988
Doctor of Law (J.D.) with honors
Franklin & Marshall College 1981 — 1985
Bachelor of Arts (B.A.), Economics
Atlantic City High School
Steve Barrigar's US Securities and Exchange Commission Experience 2008 - 2010
Job
Industry Information Technology and Services
Experience
Federal Deposit Insurance Corporation 2010 - Present
US Securities and Exchange Commission 2008 - 2010
Pension Benefit Guaranty Corporation 2004 - 2008
Federal Deposit Insurance Corporation 2002 - 2004
Office of the Comptroller of the Currency 1989 - 2002
Education
George Mason University 1994 — 1996
Master of Arts (M.A.), International Transactions
University of Maryland University College 1987 — 1989
Bachelor's degree, Management Information Systems, General
Olivet College 1976 — 1980
Bachelor's degree, Music Teacher Education
Federal Deposit Insurance Corporation 2010 - Present
US Securities and Exchange Commission 2008 - 2010
Pension Benefit Guaranty Corporation 2004 - 2008
Federal Deposit Insurance Corporation 2002 - 2004
Office of the Comptroller of the Currency 1989 - 2002
Education
George Mason University 1994 — 1996
Master of Arts (M.A.), International Transactions
University of Maryland University College 1987 — 1989
Bachelor's degree, Management Information Systems, General
Olivet College 1976 — 1980
Bachelor's degree, Music Teacher Education
Raymond Lombardo's US Securities and Exchange Commission Experience May 2004 - September 2007
Job Branch Chief at U.S. Securities and Exchange Commission
Industry Law Enforcement
Experience
U.S. Securities & Exchange Commission September 2009 - Present
U.S. Securities & Exchange Commission August 2007 - September 2009
US Securities and Exchange Commission May 2004 - September 2007
Skills
Securities Regulation, Broker-Dealer Compliance, Capital Markets, FINRA, AML, Corporate Governance, Internal Investigations, FCPA, Hedge Funds, Mutual Funds, Investment Advisory, Alternative Investments, Financial Regulation, Corporate Law, OFAC, International Law, Fraud, Private Equity
Education
Fordham University School of Law 1995 — 1998
Doctor of Law (JD), cum laude
Fordham University 1991 — 1995
BA, magna cum laude, Political Science
Chaminade High School 1987 — 1991
Academic high school diploma
U.S. Securities & Exchange Commission September 2009 - Present
U.S. Securities & Exchange Commission August 2007 - September 2009
US Securities and Exchange Commission May 2004 - September 2007
Skills
Securities Regulation, Broker-Dealer Compliance, Capital Markets, FINRA, AML, Corporate Governance, Internal Investigations, FCPA, Hedge Funds, Mutual Funds, Investment Advisory, Alternative Investments, Financial Regulation, Corporate Law, OFAC, International Law, Fraud, Private Equity
Education
Fordham University School of Law 1995 — 1998
Doctor of Law (JD), cum laude
Fordham University 1991 — 1995
BA, magna cum laude, Political Science
Chaminade High School 1987 — 1991
Academic high school diploma
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
USAID
US Fish and Wildlife Service
TSA
Defense Logistics Agency