Financial Industry Regulatory Authority
Industry: Non-governmental organization
DescriptionIn the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. Agency executive: Robert W. Cook, president and chief executive officer Headquarters: Washington, D.C., United States Founded: 30 July 2007 CEO: Robert W. Cook (Aug 2016–) Number of employees: 3,400 Subsidiary: NASD Regulation, Inc.
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Financial Industry Regulatory Authority Employees
Prudential Financial June 2015 - Present
Financial Industry Regulatory Authority (FINRA) July 2014 - June 2015
Prudential Financial June 2013 - July 2014
Marcus Brody Ford Kessler & Sahner March 2012 - June 2013
Financial Industry Regulatory Authority August 2011 - December 2011
Prudential Financial May 2011 - August 2011
Skills
Legal Compliance, FINRA, Securities Regulation, Regulatory Analysis, Regulatory Submissions, SEC filings, Legal Writing, Market Regulation, Reg SHO, Reg NMS, Market Access Rule, Investments, Civil Litigation
Education
Seton Hall University School of Law 2010 — 2013
Doctor of Law (J.D.), Law
Albright College 2004 — 2008
Bachelor of Science (B.S.), Business Administration and Management, General
Red Bank Catholic High School 2001 — 2004
Raymond James Financial Services, Inc. Member FINRA/SIPC August 2006 - Present
Financial Industry Regulatory Authority January 1997 - Present
Columbia Management October 1985 - December 2002
Skills
Financial Advisory, Portfolio Management, Finance, Securities, Financial Modeling, Management, Public Speaking, Business Development, Strategic Planning, Business Planning, Program Management, Wealth Management, Microsoft Office, Retirement Planning, Research, Budgets, Investment Advisory, Instructional Design, Investment Strategies, Asset Allocation
Education
Bentley University 1981 — 1985
Bachelor's Degree, Business Administration and Management, General
American Traffic Solutions February 2013 - Present
Financial Industry Regulatory Authority September 2011 - Present
LMG Realty Inc. June 2011 - Present
Trump International at Doral June 2006 - Present
City of Miami May 1978 - April 2006
Skills
Criminal Investigations, Expert Witness, Case Managment, Case Preparation, Case Presentation, Documentaion, Evidence Collection, Rules Of Evidence, Criminal Law, Employment Law, Administrative Law
Education
Barry University 1982 — 1985
Public administrattion
Miami Dade College 1978 — 1979
Lober, Dobson & Desai, LLC May 2014 - Present
Financial Industry Regulatory Authority January 2013 - April 2013
Public Defender, Atlanta Judicial Circuit June 2011 - August 2011
Atlanta City Public Defender's Office June 2011 - August 2011
Law Office of David Bianco May 2011 - June 2011
Skills
Legal Research, Legal Writing, Securities Regulation, Litigation, Lexis, Westlaw, Hearings, International Law, Corporate Law, International Business..., Intellectual Property, Bankruptcy, Torts, Trial Practice, Business Litigation, Transactional Law, Trademarks, Copyright Law, Contract Negotiation
Education
Atlanta's John Marshall Law School 2011 — 2013
Doctor of Law (JD)
Financial Industry Regulatory Authority September 2011 - Present
FINRA December 2004 - September 2011
Shelterrific.com January 2009 - August 2010
FINRA March 2001 - December 2004
Investment Company Institute (ICI) January 2000 - March 2001
U.S. Department of Education August 1999 - January 2000
Skills
Corporate Communications, Blogging, Strategic Communications, Editing, Marketing Communications, Proofreading, Social Media, Internal Communications, Press Releases, Newsletters, Writing, Media Relations, Copy Editing, Content Development, Web Content, Financial Services, Crisis Communications, Strategy, Publishing, Public Relations, Communication Strategy, Web Content Management, Storytelling, Podcasting, New Media, Freelance Writing, Copywriting, Social Networking, Creative Writing, Investor Education, Executive Communications, Content Marketing, Editorial, Strategic Planning, Social Media Marketing, Public Speaking, Conference Speaking
Education
Baldwin Wallace University
BA, Economics + English Literature
Ohio University
MA, English Literature + Writing
University of Cambridge
Summer Program via U of New Hampshire, Literature + Writing
Chapman and Cutler LLP September 2013 - Present
Janet R. Spragens Federal Tax Clinic August 2012 - January 2013
Financial Industry Regulatory Authority January 2012 - May 2012
Wells Fargo Bank February 2008 - July 2010
Wells Fargo July 2006 - January 2008
Skills
Customer Service, Microsoft Office, Legal Writing, Legal Research, Research, Project Management, Process Improvement, Analysis, Policy, Government, Westlaw
Education
American University, Washington College of Law 2010 — 2013
Doctor of Law (J.D.)
American University - Kogod School of Business 2011 — 2013
Master of Business Administration (MBA)
Rutgers University-New Brunswick 2002 — 2006
BA, Economics/Sociology
Financial Industry Regulatory Authority May 2014 - Present
Financial Industry Regulatory Authority January 2012 - Present
Financial Industry Regulatory Authority February 2011 - January 2012
Bloomberg LP November 2010 - January 2011
Skills
Data Entry, Microsoft Excel, Office Management, Databases, Telephone Skills, Auditing, Finance, Administrative Work, Outlook, PowerPoint, Microsoft Word, Spreadsheets, Securities, Microsoft Office, Legal Research, Research, Regulatory Examinations, Financial Systems, Financial Regulation, AML, Facebook, Project Planning, FINRA, Financial Analysis, Equities, Anti Money Laundering, Financial Risk, Risk Management
Education
Baruch College 2005 — 2010
Bachelor of Arts (BA), Communication, Journalism, and Related Programs
New York County District Attorney's Office September 2014 - Present
The Chambers of the Honorable Judge Craig Iscoe January 2014 - May 2014
General Practice Clinic, American University, Washington College of Law January 2014 - May 2014
Marshall-Brennan Constitutional Literacy Project May 2013 - May 2014
American University Washington College of Law August 2012 - May 2014
Montgomery County State's Attorney's Office September 2013 - December 2013
US Securities and Exchange Commission May 2013 - August 2013
Marshall-Brennan Constitutional Literacy Project August 2012 - June 2013
Montgomery County State's Attorney's Office January 2013 - April 2013
Financial Industry Regulatory Authority August 2012 - November 2012
Skills
Ballroom Dance, Bluebook, Community Service, German, Legal Research, Legal Writing, Lexis, Public Interest, Social Media, Westlaw
Education
American University, Washington College of Law 2011 — 2014
Doctor of Law (J.D.)
University of Michigan 2007 — 2011
Honors BA, Organizational Studies, Political Science
Financial Industry Regulatory Authority April 2014 - Present
Boulevard 53 February 2012 - April 2014
Maxim Group LLC August 2008 - February 2012
Heights Partners Inc. June 2004 - August 2008
Heights Partners Inc July 2000 - September 2003
Skills
Microsoft Excel, Microsoft Word, Research, Derivatives, Electronic Trading, Equities, Options, Financial Analysis
Education
Iona College 2000 — 2004
Bachelor of Arts (B.A.), Political Science and Government
Iona College 2000 — 2004
Bachelor of Arts (B.A.), History
Coláiste Mhuire Marino 2002 — 2002
Study Abroad, Irish Studies
ICF International November 2014 - Present
Financial Industry Regulatory Authority March 2012 - October 2014
SunGard Availability Services May 2011 - December 2011
Capgemini September 2008 - June 2009
Skills
Informatica, SAS, SQL, PL/SQL, MySQL, PHP, C, C++, Cognos, OBIEE, Unix Shell Scripting, DB2/SQL, Unix, Databases, Shell Scripting, Data Warehousing, Oracle SQL Developer, ETL, Oracle
Education
Villanova University 2009 — 2011
Masters, Computer Science
Andhra University 2004 — 2008
B.Tech, Computer Science and Engineering
JPMorgan Chase January 2014 - Present
Steven Zelin, CPA March 2013 - August 2013
Henry Street Settlement January 2012 - December 2012
Financial Industry Regulatory Authority September 2011 - December 2011
Skills
Accounting, Data Analysis, Financial Reporting, Leadership, Community Outreach, Budgets, investran
Education
Baruch College 2011 — 2013
B.A., Bachelor of Business Administration in Accounting
City University of New York-Hunter College 2010 — 2011
B.A., Bachelor of Science in Accounting
Kingsborough Community College 2008 — 2010
Associate, Associate of Arts in Liberal Arts with Honors
AQR Capital Management August 2015 - Present
Morgan Stanley January 2015 - Present
Morgan Stanley January 2013 - January 2015
Financial Industry Regulatory Authority August 2011 - December 2011
US Securities and Exchange Commission June 2011 - August 2011
U.S. District Court, E.D.N.Y. May 2010 - August 2010
Willkie Farr & Gallagher LLP February 2008 - May 2009
Fried Frank June 2006 - February 2008
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2009 — 2012
Doctor of Law (J.D.), Concentration in Commercial Law; Certificate in Dispute Resolution
The Johns Hopkins University 2002 — 2006
Bachelor of Arts (B.A.), Public Health
Chaminade H.S.
AIG January 2013 - Present
Financial Industry Regulatory Authority July 2010 - Present
Chartis August 2011 - May 2012
Deloitte October 2006 - May 2009
Grant Thornton 2006 - 2006
KWELM Management Services Limited May 2001 - July 2002
Oostvogels Pfister Roemers 2002 - 2002
Skills
Polish, French, Russian, FINRA, Bonds, Restructuring, Financial Analysis, Financial Institutions, Financial Modeling, Analysis, Corporate Law, Arbitration, Claim, Tax, Securities, Due Diligence, Private Equity, Corporate Governance, Mergers & Acquisitions, Litigation, Legal Research, Commercial Litigation, Litigation Management, Insurance Law, Insurance, Legal Writing, Fraud, International Law, Securities Regulation
Education
University of the Pacific - McGeorge School of Law 2002 — 2003
LL.M., Transnational Business Practice
New York Law School 1999 — 2002
JD
The George Washington University 1995 — 1999
B.A., International Relations
Uniwersytet Jagielloński w Krakowie
certificate, Summer Polish language program
Bard College at Simon's Rock
summer progam, French Language
Rodan and Fields Dermatologists March 2015 - Present
Financial Industry Regulatory Authority February 2011 - Present
Skills
Communication Skills, Internal Communications, Strategic Communications, People Skills, People-oriented, People Development, Project Management, Change Management, Risk Management, Operations Management, Problem Solving, Problem Management, Efficent, Highly resourceful, Resourceful..., Keen Planner, Organized Multi-tasker, Exceptionally well..., Friendly Demeanor, Leadership
Education
American University 2002 — 2006
Communications
University of Maryland University College
Master's Degree, Project Management
Financial Industry Regulatory Authority August 2007 - Present
CSC August 2004 - January 2007
DISA September 2001 - October 2004
Skills
SQL, Requirements Analysis, Agile Methodologies, Enterprise Architecture, Java Enterprise Edition, SDLC, Java, Solaris, SOA, Oracle, Spring, Integration, Security, Disaster Recovery, Microsoft SQL Server, Software Development, Windows Server, Troubleshooting, Servers, Network Administration, Program Management, Red Hat Linux, Windows, Performance Tuning, Networking, System Deployment, SAN, Analysis, Unix Shell Scripting, Hardware, Web Services, IIS, Linux, Software Design, Software Project..., Computer Security
Education
Kaplan University 2004 — 2007
Associate of Arts and Sciences (A.A.S.), Management Information Systems, General
Baltimore International College 1993 — 1995
Associate's degree, Culinary Arts/Chef Training
Financial Industry Regulatory Authority June 2010 - Present
Financial Industry Regulatory Authority June 2010 - Present
NYSE Euronext November 2008 - June 2010
Morgan Stanley February 2005 - May 2008
Skills
Microsoft Office, Microsoft Word, Microsoft Excel, Lotus Notes, Outlook, Bilingual-English/Spanis..., Event Planning, Community Outreach, Databases, Office Management, Teaching
Education
Baruch College
Bachelor's Degree, Marketing/Marketing Management, General
Financial Industry Regulatory Authority July 2014 - Present
Financial Industry Regulatory Authority July 2013 - July 2014
US Securities and Exchange Commission January 2012 - May 2013
Chung Pak Day Care 2009 - 2012
Skills
Bloomberg Terminal, Securities, Equity Research, Trading, FINRA, Securities Regulation, Time Management
Education
Baruch College 2009 — 2013
Bachelor of Business Administration (BBA), Finance
Midwood High School 2005 — 2009
High School Diploma, Cum Laude from Medical Science Program
Financial Industry Regulatory Authority November 2010 - Present
Financial Industry Regulatory Authority November 2003 - November 2010
CitiStreet August 2002 - November 2003
Skills
Series 7, FINRA, Securities, Equities, Finance, Auditing, Risk Assessment, Due Diligence, SEC filings, Financial Services, Financial Analysis, 401k, Internal Controls, Series 63, AML, Alternative Investments, Financial Regulation, Stocks, Retirement Planning, Securities Regulation, Fixed Income, Mutual Funds, Risk Management, Financial Risk, Investments
Education
Angelo State University 1998 — 2002
Bachelor of Business Administration (BBA), Finance, General
BrownGreer PLC March 2012 - Present
United States District Court for the District of Columbia January 2011 - April 2011
American University Washington College of Law August 2010 - January 2011
Financial Industry Regulatory Authority May 2010 - August 2010
Office of the Public Defender Maryland January 2010 - April 2010
Mid-Atlantic Innocence Project September 2009 - December 2009
Legal Aid Justice Center May 2009 - August 2009
Skills
Legal Research, Legal Writing, Litigation, Westlaw, Courts, Civil Litigation, Criminal Law, Commercial Litigation, Appeals, Securities Regulation, Constitutional Law, Criminal Defense, Corporate Law, Trials, Civil Rights, Legal Advice, Education Law, Juvenile Justice, Hearings, Legal Assistance, Administrative Law, Securities Litigation, Employment Law, Competition Law, Copyright Law, Legal Issues
Education
American University, Washington College of Law 2009 — 2011
J.D.
Hofstra University School of Law 2008 — 2009
J.D.
University of Virginia 2004 — 2008
B.A., Psychology, American Government, Philosophy
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates March 2015 - Present
Financial Industry Regulatory Authority (FINRA) August 2014 - February 2015
US Securities and Exchange Commission January 2014 - May 2014
Financial Industry Regulatory Authority January 2014 - May 2014
U.S. District Court for the District of Columbia August 2013 - December 2013
United Nations Committee Against Torture Project August 2013 - November 2013
US Securities and Exchange Commission May 2013 - August 2013
Public International Law & Policy Group April 2012 - May 2013
Eisenstein Malanchuck LLP September 2012 - April 2013
International Bar Association May 2012 - August 2012
Skills
Legal Research, Legal Writing, International Law, Public International Law, French, Conflict Analysis, Westlaw, Securities Regulation, International Business..., Bluebook, Lexis, Constitutional Law, Rule Of Law, Securities Fraud, Mergers and Acquisitions, Competition Law, European Union, Comparative Law, Courts, Research, Litigation
Education
American University, Washington College of Law 2011 — 2014
Doctor of Law (J.D.)
DePauw University 2007 — 2011
Bachelor of Arts (B.A.), Political Science and Government
University College Cork 2010 — 2010
International Relations and Affairs
Institut d'Etudes politiques de Strasbourg 2009 — 2009
International Relations and Affairs
Financial Industry Regulatory Authority September 2008 - Present
Bucher and Christian June 2007 - September 2008
Scheer Partners October 2006 - June 2007
Oblate Services Corporation February 1999 - September 2006
Skills
Spreadsheets, Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Access, WebEx, Mac OS X, Windows 7, Windows XP, File Management, Travel Arrangements, Document Management, Meeting Scheduling, Meeting Planning, Outlook, Pages, Expense Reports, Office Management, Concur, Microsoft Publisher, OS X, Fax, Adobe Acrobat, Invoicing, Insurance, Management, Time Management, Customer Service, Administration, Data Entry, Event Planning, Administrative..., Social Networking, Teamwork
Education
Ashford University 2012 — 2013
Master of Arts (M.A.), Higher Education/Higher Education Administration, GPA 4.0 out of 4.0
Ashford University 2009 — 2011
Bachelor of Arts, History, 4.0
Kaplan University 2006 — 2008
Associate of Science (A.S.), Interdisciplinary Studies, GPA 3.56 out of 4.0
Sonoma County Employees Retirement Association February 2014 - Present
inverness valley inn March 2006 - Present
Boston Stock Exchange January 2006 - June 2007
Pacific Stock Exchange March 2003 - December 2006
Pacific Exchange 2003 - 2005
Financial Industry Regulatory Authority March 1992 - February 2002
bingham mccutcheon 2002 - 2002
US Securities and Exchange Commission April 1982 - March 1992
Skills
Event Management, Public Speaking, Securities Law, Production, Writing, Securities Regulation, Securities, Corporate Law, Corporate Governance, Options, Legal Research, Trading, Equities, Equity Trading, Management, Trading Systems, Capital Markets, Hedge Funds, Series 7, Financial Services, Financial Markets, Litigation
Education
American University, Washington College of Law 1979 — 1981
JD, Law
Johns Hopkins University 1971 — 1976
BA, Classics
St Mark's School 1966 — 1969
none, none
Financial Industry Regulatory Authority July 2013 - Present
Federal Housing Finance Agency July 2012 - August 2012
UBS Financial Services September 2011 - May 2012
Jambox Entertainment November 2010 - March 2011
Education
Baruch College 2008 — 2013
Bachelor of Business Administration (BBA), Accounting and Computer Information Systems
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Financial Industry Regulatory Authority January 2014 - Present
Skills
Software Quality..., SDLC, Project Management, Change Management, Agile Methodologies, Agile Testing, Risk Management, Test Automation, Vendor Management, Program Management, Process Improvement, Agile Project Management
Education
AMITY University Gurgaon 2008 — 2010
Master of Business Administration (M.B.A.), Finance & International Business
Birla Institute of Technology and Science, Pilani 2002 — 2004
MS, Software Systems
Annamalai University 1991 — 1995
BE, Production Engg
St. Thomas Matric Hr. Sec. School 1976 — 1991
Financial Industry Regulatory Authority July 2012 - Present
UBS Wealth Management September 2011 - December 2011
State Farm Insurance August 2010 - July 2011
Roza Wholesale March 2008 - August 2010
Skills
Asset Allocation, Auditing, Bloomberg, Data Analysis, Finance, Financial Modeling, Internal Controls, Risk Management, Vlookup, Securities
Education
City University of New York-Baruch College - Zicklin School of Business 2009 — 2011
BA, Finance
Neuberger Berman May 2014 - Present
Financial Industry Regulatory Authority January 2014 - April 2014
Financial Industry Regulatory Authority September 2013 - December 2013
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Research, Teamwork, Public Speaking, English, HTML, Management, Analysis, Finance, Financial Analysis, Statistics, Data Analysis, Accounting
Education
Baruch College 2013 — 2014
Bachelor of Business Administration (BBA), Finance and Financial Management Services, 4.0/4.0
Borough of Manhattan Community College 2011 — 2012
Associate of Arts (AA), Business Administration and Management, General, 3.97 / 4.0
Sutherland Asbill & Brennan LLP September 2015 - Present
American University International Law Review March 2014 - June 2015
Fannie Mae June 2014 - May 2015
Financial Industry Regulatory Authority January 2014 - April 2014
Superior Court of the District of Columbia May 2013 - August 2013
Public Law Center November 2009 - March 2012
Kohn, Kohn & Colapinto, LLP June 2011 - August 2011
Skills
Legal Assistance, Social Media, Microsoft Office, Microsoft Excel, Legal Research, Event Planning, International Relations, Public Speaking, Policy Analysis, Legal Writing, Research, Westlaw
Education
American University, Washington College of Law 2012 — 2015
Juris Doctor (J.D.)
University of California, Irvine 2008 — 2012
Bachelor of Arts (B.A.), Political Science, with Honors; Criminology, Law & Society, Magna Cum Laude
University of Cambridge 2010 — 2010
Leftwich & Ludaway LLC and L&L Consulting February 2015 - Present
ARPC September 2014 - February 2015
U.S. Department of the Treasury January 2014 - May 2014
DC Law Students in Court August 2013 - May 2014
Trow & Rahal PC May 2013 - August 2013
Financial Industry Regulatory Authority January 2013 - May 2013
The Honorable Judge Alison Asti May 2012 - August 2012
The Honorble Judge Rhonda Reid Winston April 2012 - August 2012
Mills College October 2009 - July 2011
Paolo Iorio International Law Office January 2009 - April 2009
Skills
Commercial Litigation, Legal Research, Economics, Administrative Law, Lexis, Legal Writing, Leadership, Policy Analysis, Immigration Law, LexisNexis
Education
American University, Washington College of Law 2011 — 2014
Juris Doctor
Lorry I. Lokey Graduate School of Business, Mills College 2010 — 2011
Master of Business Administration, Finance
Mills College 2006 — 2010
Bachelor of Arts, Economics
Financial Industry Regulatory Authority June 2014 - Present
US Securities and Exchange Commission January 2014 - May 2014
Financial Industry Regulatory Authority August 2012 - December 2012
The Guiliano Law Firm June 2012 - August 2012
NYS UNIFIED COURT SYSTEM - Hon. James F. Quinn June 2011 - August 2011
Skills
Mediation, Arbitration, Legal Research, Legal Writing, Westlaw, Litigation, Corporate Law, Lexis, Civil Litigation, Courts, Securities Regulation, Securities, Corporate Governance, Legal Issues, Commercial Litigation, Corporate Finance, Microsoft Office, Finance
Education
Georgetown University Law Center 2013 — 2014
Master of Laws (LLM)
Rutgers University School of Law - Camden 2011 — 2013
JD
American University - Kogod School of Business 2003 — 2007
Bachelor of Science (BS), Business Administration and Management, General
Wells Fargo Advisors November 2012 - Present
Harbor Light Securities, LLC Harbor Light Investment Advisors, LLC August 2011 - October 2012
AIG Advisor Group June 2010 - July 2011
Piedmont Financial, LLC a General Agency of Massmutual Life Insurance Co. (MassMutual) May 2009 - May 2010
Lincoln Financial Advisors May 2008 - May 2009
SunTrust Investment Services, Inc. March 2003 - May 2007
Financial Industry Regulatory Authority May 2000 - October 2002
Banc of America Investments November 1986 - December 1999
Skills
FINRA, Series 7, Series 24, Mutual Funds, Investments, Fixed Annuities, Investment Advisory, Uniform Combined State..., Wealth Management, Equities, Insurance, AML, Retirement Planning, Risk Management, Asset Managment, Financial Services, Options, Portfolio Management, Fixed Income, Alternative Investments, 401k, Asset Allocation, Financial Risk, Trading, Investment Management, Life Insurance, KYC, IRAs, Investment Strategies, Securities, Financial Advisory, Banking
Education
Agnes Scott College 1982 — 1986
BA, Mathematics
Arlington Schools 1978 — 1982
Woodward Academy
Bulldawg Protection, LLC February 2013 - Present
Miami-Dade Water & Sewer December 2008 - Present
Financial Industry Regulatory Authority August 1996 - February 2009
Opa Locka Police Department February 2005 - January 2008
Governor-elect Charlie Crist November 2006 - January 2007
Attorney General's Office of Florida April 2005 - November 2006
Miami-Dade Police Department January 1985 - February 2005
Skills
Leadership, Contract Negotiation, System Administration, Enforcement, Contract Management, Private Investigations, Homeland Security, Police, Government, Criminal Investigations, Criminal Law, Policy, Surveillance, Emergency Management, Criminal Justice, Crisis Management, Security, Public Speaking, Risk Assessment, Evidence, Investigation, Patrol, Crime Prevention, Firearms, Interrogation, Law Enforcement..., Counterterrorism, Internal Investigations, Public Safety, Executive Protection, Community Policing, Security Management, Disaster Response, Arbitration, Personal Protection, NIMS, Homicide Investigations, Police Training, Vulnerability Assessment, Security Operations, Workplace Violence, SWAT, Physical Security, Background Checks, Undercover, Dignitary Protection, Criminal Intelligence, Counterintelligence, Fraud, Crime Scene
Education
BPI's Front Right Seat Leadership Symposium 2014 — 2014
Executive Protection Leadership
MODAD Threat Management Solution 2014 — 2014
Certified Close-In Protection Specalist, Executive Protection
Miami-Dade Police Department 2014 — 2014
Technical Operations & Covert Tactics
Barry University 2008 — 2009
Master of, Public Administration
Anti-terrorism Accreditation Board (ATAB)
Certificate in Terrorism
PPM Global
MEC - GroupM (WPP) June 2015 - Present
Brand Connections May 2014 - March 2015
Sales Graphics February 2014 - May 2014
JWT (WPP) July 2013 - November 2013
Image Media August 2012 - July 2013
GroupShade.com May 2010 - August 2012
AIG March 2009 - May 2010
Financial Industry Regulatory Authority 2008 - 2008
Lehman Brothers 2007 - 2007
Education
Baruch College, City University of New York (CUNY)
MBA, Finance and Information Systems
Binghamton University, State School of New York
BA, Psychology
Roslyn High School
Reynolds & Reynolds, P.L. 2013 - Present
The Constitution Project 2012 - 2012
National Association of Home Builders 2012 - 2012
Financial Industry Regulatory Authority 2012 - 2012
Reynolds & Reynolds PL 2011 - 2011
The Stewart Law Firm LLP 2010 - 2010
Skills
Legal Writing, Litigation, Legal Research, Research, Secured Transactions, Business Transactions, Contract Law, Corporate Law, Commercial Litigation, Mediation
Education
American University, Washington College of Law
Doctor of Law (J.D.)
Hofstra University
Bachelor of Arts (BA), Political Science
Financial Industry Regulatory Authority January 2013 - June 2015
Tutor Associates 2012 - June 2013
University of Oregon September 2010 - June 2012
Skills
Higher Education, Microsoft Office, Teaching, Editing
Education
University of Oregon 2010 — 2012
Master of Science (M.S.), Mathematics
Smith College 2009 — 2010
Post-Baccalaureate, Mathematics
Bard College 2005 — 2009
Master of Arts (M.A.), Mathematics, 3.84
Financial Industry Regulatory Authority December 2012 - Present
U.S. Department of Justice September 2010 - September 2011
Education
Université Paris X Nanterre 2011 — 2012
Master I, Droit international et européen
American University, Washington College of Law 2009 — 2012
Doctor of Law (J.D.), Law
University of California, Riverside 2003 — 2006
Bachelor of Arts (B.A.), Political Science
Deloitte October 2014 - Present
American University International Law Review March 2013 - May 2014
American University Washington College of Law August 2012 - May 2014
Financial Industry Regulatory Authority January 2013 - April 2013
J.R. Howell & Associates May 2012 - July 2012
U.S. Department of State June 2010 - August 2010
Skills
Legal Research, Legal Writing, Research, Editing, Microsoft Office, Tax, Politics, Westlaw, Social Media, Policy Analysis
Education
American University, Washington College of Law 2011 — 2014
JD
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2007 — 2011
BS in Business Administration, BA in Asian Studies
Phillips Academy 2003 — 2007
Financial Services Institute October 2013 - Present
Financial Industry Regulatory Authority June 2012 - October 2013
Financial Industry Regulatory Authority May 2011 - August 2011
Federal Communications Commission May 2010 - July 2010
JPMorgan Chase November 2008 - July 2009
Skills
Legal Research, Westlaw, Securities Regulation, Research, Legal Writing, Securities, Lexis, Litigation, Courts, Civil Litigation, Corporate Law, Legal Issues, Mediation, Administrative Law, Arbitration, LexisNexis
Education
American University, Washington College of Law
Juris Doctor
SUNY Binghamton 2004 — 2008
Bachelor of Arts, Political Science
Retired April 2014 - Present
Financial Industry Regulatory Authority July 2006 - March 2014
Financial Industry Regulatory Authority March 1999 - July 2006
Skills
FINRA, Securities, Securities Regulation, AML, Series 7, Financial Services, Mutual Funds, Series 24, Financial Regulation
Education
American University
BA Justice Cum Laude
FBI National Academy
The George Washington University
Contemporary Executive Development Program
Eastern Shore Solutions Inc. August 2005 - Present
Deutsche Bank May 2013 - Present
Fannie Mae December 2012 - August 2013
Allstate Financial June 2011 - December 2012
Financial Industry Regulatory Authority January 2011 - June 2011
Fannie Mae February 2006 - December 2010
Fannie Mae August 2005 - February 2006
Freddie 1991 - 2005
Skills
Eagle, Misys, BlackRock Aladdin, Capital Markets, Trading Systems, Securities, Portfolio Management, Back Office, Data Warehousing, Bonds, Trading, Integration, User Acceptance Testing, Analysis, Investments, Data Analysis, SDLC, Fixed Income, Derivatives, Financial Services, Risk Management, Requirements Gathering, Business Analysis, Bloomberg, Strategy, Business Requirements, Financial Risk, Equities, Analytics, ETL, Asset Management, Financial Modeling, Valuation, Cash Management, Market Risk, Banking, Middle Office, Databases, FX Options, Options, Investment Banking, Market Data, Financial Markets, Requirements Analysis, Interest Rate..., Testing, Credit Derivatives, Vendor Management, Investment Management, Sybase
Education
American University - Kogod School of Business 1993 — 1995
MBA, Finance
Financial Industry Regulatory Authority March 2013 - Present
New Frontier Advisors 2004 - Present
FINRA 2004 - 2011
NASD 2004 - 2007
DiamondCluster international 1998 - 2002
Price Waterhouse Management Consultants 1990 - 1995
Skills
Agile Application..., Scrum, Technology Integration, Master Data Management, Schedule Management, Budget Management, Risk Management, Enterprise Architecture, Budgets, Business Intelligence, Program Management, Management Consulting, Agile Methodologies, Strategy, IT Strategy
Education
University of North Texas 2003 — 2007
MS, Information Science
Baylor University 1979 — 1983
BBA, Finance, Info Sys, Eco, Mkt
American Express December 2014 - Present
CLS Group. April 2014 - January 2015
Financial Industry Regulatory Authority March 2013 - April 2014
UBS Wealth Management June 2011 - March 2013
Morgan Stanley Smith Barney - Legal and Compliance Division May 2009 - June 2011
Skills
Trials, International Law, Courts, Hearings, Human Resources, Dispute Resolution, Research, Human Rights, Negotiation, Analysis, Interviews, Legal Research, Legal Writing, Motions, Westlaw, Litigation, Corporate Law, FINRA, Securities, Lexis, Securities Regulation, Corporate Governance, Legal Compliance, LexisNexis
Education
Albany Law School of Union University 2005 — 2008
Juris Doctor, International Law and Practice
Hofstra University 1999 — 2003
Bachelors of Arts, Political Science and Philosophy
Financial Industry Regulatory Authority September 2011 - Present
Financial Industry Regulatory Authority October 2007 - 2011
New York Stock Exchange August 2006 - October 2007
New York Stock Exchange November 2004 - August 2006
New York Stock Exchange July 1998 - August 2006
Skills
Securities, AML, Financial Analysis, Management, Auditing, Microsoft Word, Equities, Data Analysis, FINRA, Mutual Funds, Investments, Fixed Income, PowerPoint, Internal Audit, Risk Management, Finance, Investment Banking, Financial Markets, Capital Markets, Financial Reporting, Project Management, Due Diligence, Corporate Governance, Financial Services, Microsoft Office, Risk Assessment, Corporate Finance, Securities Regulation, Microsoft Excel, Financial Risk
Education
Baruch College, City University of New York (CUNY) 1994 — 1998
BBA, Finance & Investments /Accounting
Miles & Stockbridge P.C. August 2015 - Present
Martin & Gitner PLLC February 2015 - Present
Financial Industry Regulatory Authority November 2013 - February 2015
American University Washington College of Law January 2014 - May 2014
US House of Representatives, Committee on Ethics May 2011 - November 2013
Senate Select Committee on Ethics February 2009 - May 2011
U.S. Department of Justice December 2003 - February 2009
New York County District Attorney's Office September 1998 - December 2003
Aiken and Ward 1993 - 1995
Skills
Litigation, Government, Internal Investigations, Ethics, Public Corruption, Politics, Administrative Law, FCPA, White Collar Criminal..., Management, Internal Controls, Government..., Congressional..., Election Law, Lobbying Compliance, Securities Regulation, Securities Fraud, Anti-corruption, Jury Trials, Legal Ethics, Professional..., Congressional Ethics, Regulatory Compliance, Compliance Training, Police Training, Legal Writing
Education
New York University School of Law 1995 — 1998
Doctor of Law (J.D.)
Bates College 1989 — 1993
Bachelor of Arts (B.A.), Ethical Theory
mamaroneck high school
Cardozo Journal of Law and Gender, Benjamin N. Cardozo School of Law March 2014 - Present
Nelson, Robinson & El Ashmawy, PLLC June 2014 - February 2015
Hon. Joseph Rosa Jr., J.S.C. June 2014 - August 2014
Cardozo Journal of Law and Gender, Benjamin N. Cardozo School of Law August 2013 - May 2014
Professor Sarah Jacobson, Benjamin N. Cardozo School of Law August 2013 - April 2014
Financial Industry Regulatory Authority May 2013 - August 2013
Berje Inc April 2005 - May 2011
Skills
Purchasing, International Business, Raw Materials, Import, Supply Chain, Import Export, Import/Export Operations, Product Development, New Business Development, Customs Brokerage, International Trade, Customs Regulations, Food Industry, Business Strategy, Export-Import
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2012 — 2015
Doctor of Law (J.D.), Law
Muhlenberg College 1999 — 2004
Bachelor of Arts (B.A.), English, Music
MacKay Shields LLC June 2015 - Present
Financial Industry Regulatory Authority May 2014 - August 2014
Symmetry Partners May 2013 - August 2014
Math Department Babson College September 2013 - April 2014
New York Life Insurance Company October 2012 - February 2013
Barnes & Noble September 2011 - February 2013
Verizon June 2012 - August 2012
Staples May 2010 - December 2011
Skills
Microsoft Excel, PowerPoint, Finance, Financial Analysis, Social Media, Microsoft Office, Microsoft Word, Teamwork, Analysis, Public Speaking, Customer Service, Matlab, Zephyr Style Advisor, Morningstar
Education
Babson College 2011 — 2015
Bachelor of Science and Business Management, Finance, General, Statistics
Georgetown University 2014 - Present
Dumbarton Oaks February 2014 - Present
University of Maryland September 2013 - December 2014
The Catholic University of America August 2011 - May 2014
US Securities and Exchange Commission 2003 - 2011
US Securities and Exchange Commission November 2000 - 2003
Financial Industry Regulatory Authority 2000 - 2000
US Securities and Exchange Commission January 1995 - 2000
Mori Hamada & Matsumoto 1994 - 1994
US Securities and Exchange Commission 1992 - 1994
Skills
Securities Regulation, Securities Exchange Act..., Broker-Dealer, Broker-Dealer Compliance, Capital Markets, Market Regulation, Securities Market, Stock Exchange, Enforcement, Compliance, Medieval History, medieval Florence, Orsanmichele, Latin paleography, Medieval markets, medieval Florentine..., medieval Florentine...
Education
The Catholic University of America 2006 — 2013
Doctor of Philosophy (PhD), Medieval History, Jan 2014
The Catholic University of America
M.A., with distinction, Medieval History
American University, Washington College of Law 1983 — 1986
J.D., Business/Commerce, General
Brown University 1978 — 1979
PhD program, Medieval History
King's College London, U. of London 1977 — 1978
M.A., 1/79, Medieval History, Latin Paleography
University of Maryland College Park
B.A., magna cum laude, History
Guggenheim Investments January 2014 - Present
Financial Industry Regulatory Authority December 2011 - December 2013
JDS Uniphase December 2010 - December 2011
Nasdaq Stock Market May 2005 - December 2010
Rydex Investments August 2004 - May 2005
Skills
Equities, Fixed Income, Securities, Financial Modeling, Mutual Funds, Trading, Financial Analysis, Accounting, Valuation, Investments, Finance, Asset Management, Financial Reporting, Hedge Funds, Bloomberg
Education
American University - Kogod School of Business
BSBA
The Office of the Chief Technology Officer, Government of the District of Columbia October 2013 - Present
Financial Industry Regulatory Authority January 2013 - September 2013
Office of the Chief Technology Officer, Government of the District of Columbia November 2008 - December 2012
ABC Imaging May 2008 - September 2008
Novosibirsk State Registration Department of Real Estate Rights and Transactions with Them May 1995 - October 2002
ECOCONTOUR Ltd October 1994 - April 1999
Skills
Data Warehousing, T-SQL, Microsoft SQL Server, Data Analysis, Troubleshooting, Project Management, Quality Assurance, PL/SQL, Oracle, Data Modeling, Report Writing, Databases, SQL, Data Quality Assurance, Performance Dashboards, Business Analysis, Testing, SDLC, XML, Business Process, Requirements Analysis, Analysis, SharePoint, Integration, Database Design, Enterprise Architecture, Software Project...
Education
Novosibirsk Institute of Economics, Psychology and Law (former Novosibirsk Institute of Classical Education) 1995 — 2000
MS in Jurisprudence, Jurisprudence
Novosibirsk State University (NSU) 1989 — 1994
MS in Mathematics, Mathematics
Financial Industry Regulatory Authority December 2013 - Present
Ernst & Young January 2012 - November 2013
Time Warner Cable August 2010 - July 2011
Kramer Levin Naftalis & Frankel LLP October 2009 - August 2010
Colgate Palmolive October 2008 - October 2009
Skills
Onboarding, HRIS, PeopleSoft, Personnel Management, Benefits Administration, Human Resources, New Hire Orientations, Performance Management, Talent Acquisition, Employee Relations, Applicant Tracking..., Deferred Compensation, Employee Benefits, System Administration, College Recruiting, Compensation & Benefit, Talent Management, Employee Engagement, Career Development, Training, FMLA, Temporary Placement, Organizational Design, Interviews, Internet Recruiting, HR Policies, Workforce Planning, ADP Payroll, Succession Planning, Organizational..., Sourcing, Taleo, Technical Recruiting, Recruiting, Labor Relations, Employment Law, Payroll, Hiring, Employee Training
Education
Saint Joseph's University 2014 — 2017
Master's Degree, Organizational Leadership
Baruch College, City University of New York (CUNY) 2008 — 2010
Bachelors of Business Administration, Human Resources Management
Institut catholique de Paris 2009 — 2009
Certificate, French
Financial Industry Regulatory Authority August 2011 - Present
FEDERAL HOME LOAN BANK (FHLB) 2004 - July 2009
Standard & Poor's 2002 - 2003
U.S. Bank 2002 - 2003
Wells Fargo 1994 - 2000
Bank of America (formerly NatWest) 1991 - 1994
Skills
Credit Risk, Risk Management, Financial Risk, Financial Analysis, Valuation, Compliance, Internal Controls, Corporate Governance, Change Management, Derivatives, Enterprise Risk..., Regulatory Examinations, Capital Markets, White Papers, Portfolio Management
Education
Barnard College
BA, Art History
Pace University
Dual MBA, Finance and International Business
The Veda Company August 2014 - Present
Financial Industry Regulatory Authority January 2014 - Present
Hilton Legal Group January 2004 - Present
ICE Innovative Technologies January 2006 - December 2010
AH Consulting October 2001 - April 2003
Paramount Pictures June 2000 - June 2001
Michael Berger and Associates May 1999 - September 1999
Discovery Channel October 1997 - June 1998
Office of Senator Daniel Patrick Moynihan September 1997 - June 1998
Bear Stearns 1994 - 1998
Skills
Business Development, Corporate Law, Mergers, Start-ups, Negotiation, Licensing, Entertainment Law, Intellectual Property, Cyberlaw, Copyright Law, Strategy, Entrepreneurship, Business Strategy, Digital Strategy, Legal Writing, Strategic Planning, Corporate Governance, Mergers & Acquisitions, Trademarks, Venture Capital, Business Transactions, Financial Regulation, Licensing Negotiations, Service Level Agreements, Patent Applications, Cross-functional..., Project Management, Arbitration, E-Discovery Consulting, internet law, Internet Strategy, Internet Business..., Internet strategy..., Online Advertising, Interactive Marketing, Interactive Advertising, Interactive Media, Budgets, Project Coordination, Overseeing Projects, Project Oversight, Written & Oral...
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1998 — 2001
Juris Doctorate, Entertainment and 1st Amendment Constitutional Law
The George Washington University - School of Business 1993 — 1997
Bachelor of Arts (B.A.), International Business
Arce Law Group, P.C. September 2012 - Present
Financial Industry Regulatory Authority May 2011 - September 2011
Skills
Legal Research, Westlaw, Civil Litigation, Litigation, Legal Writing, Commercial Litigation, Research, Trials
Education
American University, Washington College of Law 2009 — 2012
Syracuse University 2005 — 2008
FLHS
JPMorgan Chase & Co. September 2015 - Present
J.P. Morgan Asset Management August 2014 - May 2015
JPMorgan Chase June 2014 - August 2014
Time Equities Securities, LLC January 2014 - May 2014
Constellation Wealth Advisors, LLC January 2014 - May 2014
Financial Industry Regulatory Authority September 2013 - December 2013
Cardozo Securities Arbitration Clinic June 2013 - August 2013
New York City Civil Service Commission May 2013 - August 2013
Skills
Legal Research, Legal Writing, Westlaw, Research, Spanish, PowerPoint, Public Speaking, Microsoft Office, Social Media, Microsoft Excel, Lexis, Event Planning, Microsoft Word, Nonprofits, Twitter, Facebook
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2012 — 2015
Doctor of Law (J.D.)
Honors College at Florida International University 2009 — 2012
Bachelor of Business Administration (BBA), cum laude, Finance, Minor in Spanish Literature & Culture
Financial Industry Regulatory Authority February 2014 - Present
Financial Industry Regulatory Authority August 2012 - February 2014
Skills
Westlaw, Legal Assistance, Arbitration, Hearings, Litigation Support, Due Diligence, Lexis, Contract Negotiation, Insurance Law, Securities Regulation
Education
Albany Law School of Union University 2003 — 2006
Doctor of Law (JD), Law
State University of New York at Binghamton 2001 — 2003
Bachelor of Science (BS), Financial Economics
Dillon 5 LLC 2003 - Present
Author April 2014 - Present
Speaker 2002 - Present
Meals to Live 2009 - 2011
Diabetes Friendly Foundation 2009 - 2011
TAS Corporation January 2000 - August 2005
Financial Industry Regulatory Authority 1998 - 2002
TracyLocke 1997 - 1998
Skills
Start-ups, Strategy, Digital Strategy, SEO, Entrepreneurship, Digital Media, Marketing Strategy, Marketing, Business Development, Strategic Planning, Public Speaking, Competitive Analysis, Business Strategy, Marketing Communications, Leadership, Sales, Published Author
Education
Southern Methodist University
MBA
Texas A&M University
BA
European University at St. Petersburg
Financial Industry Regulatory Authority June 2013 - Present
Financial Industry Regulatory Authority September 2010 - June 2013
Skills
Finance, Financial Analysis, Training, Customer Service, Data Analysis, Securities Regulation, Microsoft Office, Data Entry, Business, Inter-personal, Communication, Equities, Microsoft Office Suite, Analysis, Analytics, Accounting, Organization, Computer Software..., Business Intelligence, Bonds, Securitized Products, TRACE, Financial Instruments, Investments, Software Systems, Technology, Microsoft Excel, Critical Thinking, Technical Writing, Presentations, Project Management, Leadership, Mentoring, Time Management, Regulatory Compliance, Teamwork, Tenacious Work Ethic
Education
Bellarmine University 2008 — 2010
Bachelor of Arts - Business Administration, Business/Finance
Pacific Maritime Association September 2015 - Present
Bay Area Legal Aid 2015 - 2015
American University Washington College of Law August 2011 - December 2014
Janet R. Spragens Federal Tax Clinic December 2013 - June 2014
Grassroots Business Fund May 2013 - September 2013
Financial Industry Regulatory Authority August 2012 - January 2013
Hudson Institute July 2012 - August 2012
La Universidad Tecnológica San Antonio de Machala August 2010 - August 2011
Language Studies Canada April 2010 - August 2010
Instituto Social y Politico de la Mujer July 2009 - October 2009
Skills
Mintel, Research, Editing, SPSS, Teaching, Dreamweaver, Factiva, JSTOR, Illustrator, Policy Analysis, Spanish, Social Media, Legal Research, Policy, Legal Writing, International Relations, Westlaw, International Law
Education
Københavns Universitet / University of Copenhagen 2013 — 2014
Law
American University, School of International Service 2011 — 2014
Master’s Degree, International Economics
American University, Washington College of Law 2011 — 2014
JD, Law
Teaching House New York 2009 — 2009
CELTA, English as a Second Language
Boston University 2004 — 2008
B.A./B.S., International Relations, Mass Communications
CHAT 2000 — 2004
Ontario High School Diploma
Jeffrey M. Byrd, P.A. May 2015 - Present
Financial Industry Regulatory Authority June 2012 - Present
Jennifer Eberly Mediation January 2012 - Present
Conroy Simberg Ganon November 2012 - March 2015
Skills
Litigation, Legal Research
Education
Barry University - Dwayne O. Andreas School of Law 2007 — 2010
Juris Doctor, Law
University of Central Florida 2003 — 2006
Bachelor of Science (BS), Legal Studies, General
Western Michigan University 2000 — 2002
Northwest
Cambridge Investment Research 2011 - Present
Financial Industry Regulatory Authority 2014 - 2014
The Edcomm Group Banker's Academy 2011 - 2012
Wells Fargo Bank 2010 - 2011
E*TRADE Financial 2008 - 2010
Chase Home Finance 2005 - 2007
Skills
Series 7, Securities, Financial Services, Series 63, Banking, Equities, Finance, FINRA, Series 24, Trading, Analysis, Options, Credit, Mutual Funds, Customer Service, Financial Advisory, Uniform Combined State..., AML, Data Analysis, Corporate Actions, Compliance, Research, CIP, Equity Compensation, Series 53, Series 52
Education
American InterContinental University 2004 — 2005
MBA, Finance & Accounting
Grambling State University 1994 — 1999
BS, Business Management
Hempstead High School 1988 — 1991
Diploma, N/A
Bronx County District Attorney Office September 2014 - Present
The Honorable Carolyn Demarest, New York State Supreme Court, Commercial Division January 2014 - May 2014
Bloomberg Law October 2012 - May 2014
US Securities and Exchange Commission May 2013 - July 2013
Financial Industry Regulatory Authority January 2013 - April 2013
New Jersey Bureau of Securities September 2012 - November 2012
Fred Alger Management, Inc May 2012 - August 2012
New York Legal Assistance Group September 2010 - May 2011
Weber Shandwick June 2009 - August 2009
Macmillan June 2008 - August 2008
Skills
Westlaw, Legal Research, Litigation, Corporate Law, Research, International Law, Civil Litigation, Editing, Bloomberg Law, Insider Trading, Securities Regulation, Securities, Legal Writing, Lexis, Wills, Criminal Law, Courts, Trials, Microsoft Office, Legal Assistance
Education
Brooklyn Law School 2011 — 2014
JD, Banking, Corporate, Finance, and Securities Law
Amherst College
BA, Political Science
Giorgio Armani June 2014 - Present
Giorgio Armani March 2012 - June 2014
Financial Industry Regulatory Authority May 2011 - August 2011
Hachette Filipacchi Media U.S. May 2010 - August 2010
Volunteer Income Tax Assistant Program January 2010 - April 2010
Luxury Guide LLC January 2009 - January 2010
Skills
Economics, Financial Analysis, R, Data Analysis, Investments, Derivatives, Statistics, PowerPoint, Equities, Risk Management, Hedge Funds, Research, Bloomberg Terminal, Microsoft Office, Capital Markets, Trading, Mathematics, Financial Modeling, Bloomberg, Auditing, Financial Accounting, Accounting, Management, Financial Reporting, Finance, Strategic Planning, Microsoft Excel, Access, Marketing, Analysis
Education
City University of New York-Baruch College
Master of Science (MS), Quantitative Methods and Modeling, 3.6/4.0
City University of New York-Baruch College - Zicklin School of Business
BBA, Finance and Investments, Mathematics
Healthy Markets December 2014 - Present
KOR Trading LLC May 2012 - Present
Financial Industry Regulatory Authority July 2012 - March 2015
NYSE AMEX Options November 2010 - June 2012
TD Ameritrade August 1999 - May 2012
Philadelphia Stock Exchange August 1999 - August 2004
U.S. Bank August 1991 - August 1999
Miller, Johnson & Kuehn January 1991 - October 1992
Lawson Financial Corporation February 1990 - September 1990
Shearson Lehman Brothers June 1986 - September 1989
Skills
FINRA, Market Data, SEC, Social Media, Series 7, Equities, Options, Securities, Trading, Electronic Trading, Financial Markets, Trading Systems, Market Structure, Derivatives, Hedge Funds, Fixed Income, Series 63, Capital Markets, Wealth Management, Financial Services, Proprietary Trading, Traders, FX Options, Technical Analysis, Equity Derivatives, Investment Strategies, ETFs, Series 24, Risk Management, Hedging, Portfolio Management, Finance, Investments, Bloomberg, Alternative Investments, Financial Risk, Mutual Funds, Investment Advisory, Trading Strategies, Commodity, Equity Trading, Bonds, Asset Management, Asset Allocation, Structured Products, Strategy, Financial Advisory
Education
University of Pennsylvania - The Wharton School 2007 — 2009
SII Institute
Arizona State University 1983 — 1986
McKinsey & Company May 2015 - Present
McKinsey & Company August 2014 - July 2015
Financial Industry Regulatory Authority May 2014 - August 2014
Skills
Microsoft Office
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2013 — 2016
Candidate for Juris Doctor, 2016, Banking, Corporate, Finance, and Securities Law
University of Richmond 2009 — 2013
Bachelor of Arts (B.A.), Philosophy, Politics, Economics and Law; Minor in Rhetoric and Communication Studies
William Penn Charter School 2002 — 2009
Diploma, General Studies, Cum Laude
Financial Industry Regulatory Authority October 2010 - Present
George Washington University September 2011 - May 2012
Gibson, Dunn & Crutcher LLP 2001 - 2010
District of Columbia Court of Appeals September 2000 - August 2001
U.S. House of Representatives January 1993 - September 1996
Executive Office of the President, Office of Management and Budget 1986 - 1992
Skills
Securities Regulation, Commercial Litigation, Litigation, Corporate Governance, Securities Litigation, Civil Litigation, Corporate Law, Legal Writing, Intellectual Property, Legal Research, Arbitration, Appeals
Education
The University of Chicago 1996 — 1999
JD, Law
Woodrow Wilson School of Public and International Affairs 1984 — 1986
Master of Public and Internatioal Affairs, International Economics
University of California, Berkeley 1979 — 1983
Bachelor of Arts (B.A.), History
Capital One November 2014 - Present
Financial Industry Regulatory Authority March 2013 - November 2014
FINRA January 2011 - March 2013
AllianceBernstein May 2010 - January 2011
Franklin Templeton Investments April 2006 - April 2010
Depository Trust and Clearing Corporation January 2005 - March 2006
Skills
Compliance, Fund Accounting, Mutual Funds, Corporate Actions, Equities, Excel, PowerPoint, Securities, Asset Management, Accounting, Microsoft Office, Word, Bloomberg, Internal Controls, Process Improvement, Financial Markets, Outlook, Financial Risk, Financial Services, Banking, FINRA
Education
Arizona State University, W. P. Carey School of Business 2010 — 2011
M.B.A, Business, 3.72
University of South Florida 2002 — 2004
B.S, Business Administration - Finance
U.S. Securities and Exchange Commission June 2013 - Present
Financial Industry Regulatory Authority October 2010 - June 2013
U.S. Securities and Exchange Commission January 2010 - April 2010
Commodity Markets Council May 2008 - January 2010
US Commodity Futures Trading Commission May 2009 - September 2009
Education
University of California, Berkeley
Accounting Certificate
American University, Washington College of Law 2007 — 2010
J.D., Securities Regulation, Derivatives Regulation, Financial Services Regulation.
Dickinson College 2001 — 2005
History, Political Science
SPK – Capital Markets Board of Turkey August 2007 - Present
Financial Industry Regulatory Authority January 2014 - April 2014
Skills
Securities Regulation, Corporate Governance, Corporate Law, Legal Research, Securities, Administrative Law, Legal Writing, Criminal Law, Mergers, Legal Advice, Arbitration, Capital Markets, Commercial Litigation, Due Diligence, Economics, Litigation
Education
Georgetown University Law Center 2012 — 2014
Master of Laws (LLM), Securities and Financial Regulation
Ankara Üniversitesi 2010 — 2012
Master of Laws (LLM), Private Law (Commercial Law)
Kırıkkale Üniversitesi 2001 — 2005
Bachelor of Laws (LLB), Law
U.S. Securities and Exchange Commission August 2014 - October 2014
Financial Industry Regulatory Authority August 2010 - July 2014
Van Eck Global February 2007 - July 2010
City University of New York - New York City College of Technology December 2003 - February 2007
Skills
Regulatory Compliance, Legal Compliance, Securities Regulation, Investment Advisor..., Investment Advisers Act, Investment Company Act, Anti Money Laundering, Securities Exchange Act..., USA PATRIOT Act, SEC Regulations, Investment Companies, Mutual Funds, ETFs, Hedge Funds, Asset Management, Investments, Fixed Income, CRD, FINRA, Equities, Broker-Dealer Compliance, Broker-Dealer Operations, Securities, OATS, Trading Systems, Stock Exchange, Market Access, Policies & Procedures..., Fidessa, Brass, Alternative Investments, Training & Development
Education
Baruch College, City University of New York (CUNY) 2003 — 2006
MBA, Finance & Investments
City University of New York-Brooklyn College 1998 — 2003
BS, Business Finance & Management
Financial Industry Regulatory Authority May 2014 - Present
Fish & Richardson P.C. June 2011 - May 2014
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates September 2006 - May 2011
U.S. Court of Appeals August 2005 - August 2006
Skills
Litigation, Legal Research, Appeals, Legal Writing, Commercial Litigation, Civil Litigation, Intellectual Property, Securities Regulation, Corporate Law, Courts, Class Actions, Securities Litigation, Research
Education
Ave Maria School of Law 2002 — 2005
Doctor of Law (J.D.), Law
Christendom College 1997 — 2001
B.A., Philosophy
INTL FCStone Inc. September 2015 - Present
TD Ameritrade September 2012 - September 2015
TD Ameritrade May 2010 - September 2012
thinkorswim January 2007 - May 2010
Financial Industry Regulatory Authority January 2006 - January 2007
Schiff Hardin LLP June 2003 - August 2003
American Enterprise Institute January 2003 - June 2003
Bank of Cattaraugus May 1996 - December 2002
Skills
AML, Analysis, Program Management, Series 24, Series 7, Series 63, Series 4, Series 3, FINRA, Options, Equities, Securities, Broker-Dealer, Training, USA PATRIOT Act, OFAC, Finance, Securities Regulation, Uniform Combined State..., Risk Management, Anti Money Laundering, Management, Mutual Funds, Financial Services, Investments
Education
Saint Bonaventure University 2004 — 2005
MBA, Finance and Accounting
Saint Bonaventure University 2000 — 2004
BBA, Finance
American University 2003 — 2003
Advanced Economic Policy Certificate, Economic Policy Program
HRG North America August 2010 - Present
Financial Industry Regulatory Authority June 2010 - August 2010
Macmillan January 2010 - May 2010
Brant Publications September 2009 - December 2009
Skills
HRIS, Microsoft Excel, Microsoft Office, Outlook, PowerPoint, Recruiting, Customer Service, Microsoft Word, Event Planning, Social Media, Human Resources, Data Analysis, Research, Event Management, Facebook, Team Building, Sourcing, ADP HRB, ADP Payroll, Performance Management, Employee Relations, Compensations, Policy, PeopleSoft, New Hire Orientations, Access
Education
City University of New York-Baruch College - Zicklin School of Business 2007 — 2010
BBA, Industrial and Organizational Psychology
Financial Industry Regulatory Authority April 2013 - Present
AT&T December 2011 - January 2013
AT&T July 1978 - December 2012
AT&T July 2010 - December 2011
AT&T 2006 - July 2010
AT&T December 2006 - November 2009
BellSouth/ATT 1978 - 2008
BellSouth Telecommunications 1978 - 2006
Skills
Telecommunications, Managed Services, Outsourcing, Change Management, Call Center, Business Intelligence, Management, IP, Vendor Management, Wireless, VoIP, Process Improvement, Cross-functional Team..., Program Management, Product Management, Service Management, Solution Selling, Unified Communications, Customer Satisfaction, Customer Retention, Customer Experience, Latin America, MPLS, Ethernet, Leadership, Call Centers, Account Management, Data Center, Strategic Partnerships, Telephony, Integration, Sales Operations, Team Building, Professional Services, Cloud Computing, Mobile Devices, CRM, Broadband, Direct Sales, Co-location, Strategy, Networking, Computer Network..., Team Leadership
Education
Samford University 1980 — 1982
MBA, Business
Auburn University 1975 — 1978
BS, Economics
Financial Industry Regulatory Authority July 2012 - Present
Financial Industry Regulatory Authority March 2007 - July 2012
Financial Industry Regulatory Authority March 2006 - March 2007
Essex Construction, LLC January 2002 - March 2006
Skills
FINRA, Customer Service, Communication Skills, Public Speaking, Employee Training, Telephone Skills, Lexis, Management, Troubleshooting, Analysis, Data Analysis, Research, Editing, Administrative..., Microsoft Excel, Microsoft Office, Microsoft Word, PowerPoint, Securities, Event Planning
Education
American University 1999 — 2001
Graphic Design
Crossland High School 1995 — 1999
High School Diploma, Certificate of Merit, Valedictorian
U.S. Securities and Exchange Commission June 2015 - Present
Financial Industry Regulatory Authority October 2012 - May 2015
US EPA September 2011 - January 2012
US Securities and Exchange Commission 2012 - 2012
US EPA May 2011 - August 2011
RRD International, LLC January 2011 - April 2011
Withers LLP June 2010 - August 2010
Skills
Securities Regulation, Legal Research, Legal Writing, Administrative Law, Litigation, Westlaw, Lexis, Alternative Dispute..., Legal Issues, Environmental Law, Employment Law, Criminal Law, International Law, Hearings, Civil Litigation, Courts, Legal Compliance
Education
American University, Washington College of Law 2010 — 2012
Doctor of Law (J.D.)
Bucknell University 2004 — 2008
Bachelor of Arts (B.A.), Psychology and Philosophy
Financial Industry Regulatory Authority July 2011 - Present
Vision Technologies 2009 - 2011
Nexus Research 2008 - 2009
Skills
Data Center, Networking, Network Security, Servers, Cisco Technologies, Microsoft Exchange, VMware, Unix, Computer Security, Network Engineering, System Deployment, DNS, Troubleshooting, Windows Server, Disaster Recovery, Technical Support, Enterprise Architecture, Dell PowerEdge Servers, Security+, Firewalls, Security, LAN-WAN, Wireless Networking, Cisco Routers, SAN, VPN, Data Centre Architecture, VMware ESX, IP, Virtualization, IT Operations, Network Administration, TCP/IP, Switches, Hardware, Windows 7, Infrastructure, FINRA, Wrestling, Network + Certified, Cisco Wireless, Routers, Computer Hardware, BMC Remedy, IT Audit, Project Planning, Project Management, Project Coordination, Cisco Telepresence
Education
University of North Carolina at Pembroke 2006 — 2010
BS, Business Adminstration, Marketing, Management
Anne Arundel Community College 2013 — 2014
Information Assurance and Cyber Security, Network Securiity
Cisco Systems Networking Academy 2010 — 2011
Networking, Network Security
Ryerson University 2007 — 2008
International Studies
Mount Saint Joseph Prep School 2000 — 2004
High School
Law Offices of Paul G. Garjian September 1994 - Present
Financial Industry Regulatory Authority 2011 - Present
New Jersey Office of the Public Defender October 2009 - Present
Shearson Lehman Brothers (predecessor in interest of Morgan Stanley Smith Barney) September 1985 - June 1987
Skills
Courts, Commercial Litigation, Family Law, Mediation, Estate Planning, Appeals, Litigation, Arbitration, Guardianship, Civil Litigation, Alternative Dispute..., Trial Practice, Trials, Wills, Dispute Resolution, Personal Injury, Product Liability, Legal Issues, Business Litigation
Education
Valparaiso University School of Law 1987 — 1990
Doctor of Law (J.D.)
New York University _ Graduate School of Arts and Science 1986 — 1987
Economics
American University 1981 — 1985
B.A., Economics
Medtronic 2008 - 2011
Financial Industry Regulatory Authority 2004 - 2005
Fifth Third Bank 2002 - 2004
Arthur Andersen 2001 - 2002
Skills
Strategic Planning, Cross-functional Team..., Project Planning, Business Process, Competitive Analysis, Financial Analysis, Financial Modeling, Product Management, Marketing Strategy, Process Improvement, Leadership, Product Development, Marketing, Strategy, Market Research, Forecasting, Pricing, Data Analysis, Business Strategy, Project Management, Product Marketing, Management, HTML/CSS, JavaScript, jQuery
Education
The Ohio State University - The Max M. Fisher College of Business 2005 — 2007
Master of Business Administration (MBA), Marketing, Health Sciences
Purdue University - Krannert School of Management 1996 — 2001
Bachelor of Science (BS), Management
Arizona State University 2012 — 2012
Bachelor of Arts (B.A.), Psychology
University of Cincinnati College of Business 2015 — 2016
Master’s Degree, Information Systems
Financial Industry Regulatory Authority September 2011 - Present
Sutherland Asbill & Brennan LLP February 2004 - September 2011
Education
American University Washington College of Law 1998 — 2001
JD
University of Utah 1989 — 1998
B.A., English
Financial Industry Regulatory Authority October 2012 - Present
FINRA February 2011 - October 2012
ASCD - Association for Superior Curriculum Development May 2009 - March 2011
Kforce Technology Staffing December 2008 - April 2009
Adea Solutions May 2001 - December 2008
Zee TV - EConnect January 2000 - May 2001
Xerox PARC 1997 - 2000
Unimobile / Gray Cell Applied Technologies October 1996 - October 1997
Xenon Software Inc April 1993 - July 1994
Skills
Web Application Design, User Experience, Information Architecture, Interaction Design, User Interface Design, Visual Design, Usability, Product Development, Human-computer..., Rapid Prototyping, Mockups, Web Design, Web Development, Section 508, Wire Framing, Adobe Creative Suite, HTML5, CSS, Dreamweaver, Flash Design, Video Cloud, Sound Editing, Music Production, Healthcare, Telecommunications, Financials, Energy Management, Digital Rights..., Usability Engineering, User Interface, Flash, Web Applications, Site Maps, Usability Testing, User-centered Design, Prototyping, Usability Design, Accessibility, DHTML, XHTML, User Scenarios, HTML + CSS, Experience Design, Paper Prototyping, HTML, Front-end Development, Information Design, Web Project Management, Photoshop, jQuery
Education
Texas Tech University 2011 — 2011
Certified User Experience Professional
Bangalore University
Science
First Command Financial Services April 2015 - Present
First Command Financial Services February 2012 - April 2015
Financial Industry Regulatory Authority February 2002 - February 2012
TD Ameritrade February 2010 - October 2011
TD Ameritrade June 1999 - February 2010
TD Ameritrade July 2008 - September 2009
TD Ameritrade February 1999 - June 1999
Skills
Coaching, Risk Management, Performance Management, Call Center, Strategic Planning, Leadership Development, Mentoring, Team Building, Associate Engagement, Policy, Mergers, Acquisition Integration, Customer Service, Change Management, Operations Management, Team Leadership, Leadership
Education
Bellevue University 1991 — 1996
Bachelor of Science (B.S.), Business Administration
Evolent Health August 2013 - Present
Financial Industry Regulatory Authority September 2012 - August 2013
EastbancTech October 2007 - September 2012
WMATA 2009 - 2011
DC Government, OCTO 2007 - 2009
Skills
Agile Methodologies, RUP Methodologies, Extreme Programming, SDLC, C#, C++, Java, Python, Perl, JavaScript, Bash, PHP, x86 Assembly, Lisp, Template Metaprogramming, Microsoft SQL Server, Oracle, Netezza, Greenplum, MySQL, SQLite, Linux, Windows, Unix, Solaris, Data Analysis, VMware, Virtuozzo, Networking, Security, Kerberos, TCP/IP, Multithreading, Multi Tasking, Android, J2ME, J2EE Application..., SharePoint, XML, HTML, CSS, Business Analysis, Software Project..., Web Services, .NET, Software Development, OOP, UML, Tomcat
Education
East Siberian State Technological University 2002 — 2004
Master's degree, Computer Software Engineering
Novosibirsk State University (NSU) 1999 — 2002
Mathematics
Physics and Mathematics Boarding School of the Novosibirsk State University 1998 — 1999
High School, Mathematics and Physics
Financial Industry Regulatory Authority July 2013 - Present
Proskauer Rose LLP September 2006 - July 2013
U.S. Court of Appeals for the Second Circuit September 2004 - August 2006
Skills
Commercial Litigation, Litigation, Legal Research, Securities Litigation, White Collar Criminal..., Securities Fraud, Securities Regulation, Appeals, Securities, Arbitration, Legal Advice, Civil Litigation, Intellectual Property
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2001 — 2004
Doctor of Law (J.D.)
University of Pennsylvania 1997 — 2001
Bachelor of Arts (B.A.), History, English
Financial Industry Regulatory Authority March 2006 - Present
UBS September 1998 - February 2006
Credit Suisse May 1994 - September 1998
Prudential Securities September 1993 - April 1994
Merrill Lynch June 1982 - September 1993
Skills
FINRA, Capital Markets, Securities Regulation, Securities, Financial Services, AML, Equities, Mutual Funds, Risk Management, Series 7, Fraud, Hedge Funds, Due Diligence, Executive Management, SEC, Series 24, Anti Money Laundering, Series 63, Compliance Oversight
Education
City University of New York-Baruch College 1977 — 1981
Bachelor of Business Administration (BBA), Finance and Investments
Financial Industry Regulatory Authority November 2010 - Present
Alston & Bird, LLP February 2007 - Present
Truth Center Ministries International September 2003 - Present
Bank of America, Private Bank 2006 - 2008
Bank of America 2004 - 2006
Skills
Commercial Litigation, Estate Planning, Arbitration, Civil Litigation, Employment Law, Mergers, Probate, Legal Research, Investments, Risk Management, Courts, Securities, Asset Management, Corporate Law, Defense, Trusts, Appeals, Compliance, Tax, Wills, Liability, Dispute Resolution, Alternative Dispute..., Securities Regulation, Securities Litigation, Securities Offerings, Securities Fraud, Asset Managment, Mergers & Acquisitions, Mediation, Intellectual Property, Legal Writing
Education
New York Law School 1984 — 1988
Juris Doctor, Law
Adelphi University 1982 — 1982
Certificate, Law
Oberlin College 1972 — 1976
BA, Government, Communications, Psychology
Financial Industry Regulatory Authority June 1994 - September 2014
NYSE 1994 - 2009
NYSE 1994 - 2009
Gordon Altman Weitzen Shalov & Wein 1991 - 1994
New York 1984 - 1986
Skills
FINRA, Securities Regulation, Corporate Governance, Securities, Securities Litigation, AML, FCPA, Corporate Law, SEC, Internal Investigations, Investigation, Legal Writing, Private Investigations, Arbitration, Commercial Litigation, Legal Research, Financial Regulation, Fraud, Hedge Funds, Appeals
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1988 — 1991
JD, LAW
Plainview -Old Bethpage
High School
Portland State University
MS, Sociology
Portland State University
BS, Sociology
Financial Industry Regulatory Authority August 2010 - Present
Financial Industry Regulatory Authority March 2009 - May 2011
Financial Industry Regulatory Authority April 2007 - March 2009
US Securities and Exchange Commission February 2001 - March 2007
Skills
Finance, Internal Controls, Financial Statement..., Operational Risk, Securities Regulation
Education
University of Arizona, Eller College of Management 1994 — 1997
Master of Business Administration (M.B.A.), Accounting and Finance
University of Arizona, James E. Rogers College of Law 1993 — 1997
Doctor of Law (JD)
American University 1988 — 1992
BA, Economics
Ten Mile Square Technologies, LLC January 2007 - Present
Financial Industry Regulatory Authority 2000 - 2013
Computech, Inc. 2009 - 2011
Chessiecap, Inc. 2003 - 2007
The Adrenaline Group January 2000 - April 2003
The Adrenaline Group 2000 - 2002
America Online 1994 - 1996
Skills
User Experience, Information Architecture, Usability, Agile Methodologies, User Interface, Usability Testing, Web Applications, Mobile Applications, Agile Project Management, Product Management, Web Analytics, User Interface Design, E-commerce, Software Development, Requirements Analysis, Start-ups, CSS, JavaScript, Web Development, HTML, SOA, Software Project..., CSS3, Product Planning, Drupal, WordPress, AngularJS, CoffeeScript, Cooking, Sarcastic Wit
Education
American University 1983 — 1987
Bachelor's degree, International/Global Studies
Freddie Mac September 2014 - Present
Hewlett-Packard January 2013 - August 2014
Hewlett-Packard 2009 - December 2012
Financial Industry Regulatory Authority 2005 - 2012
JPMorgan Vastera 2003 - 2005
Verizon 2002 - 2003
ISSI 2000 - 2002
Skills
Agile Testing, Team Leadership, Offshore Management, Scrum, Agile, Quality Assurance, Requirements Analysis, SQL, Testing, SDLC, Agile Methodologies, ESB, Integration, End-to-end Testing, SOA Testing, Architecture, Oracle, Data Warehousing, Software Quality..., SOA, User Acceptance Testing, Enterprise Architecture, Business Process, Test Cases, Solution Architecture, Test Planning, Test Strategy, Quality Center, QTP, Test Management, HP Quality Center
Education
Andhra University 1995 — 1996
PGDCA, Computer Application
Andhra University 1992 — 1995
BSC, Computer Science
Financial Industry Regulatory Authority August 2011 - Present
ITA Financial Services April 2011 - July 2011
FINRA October 2007 - April 2011
Motorola 2005 - 2007
Protiviti 2003 - 2005
Arthur Andersen 1998 - 2002
Education
Universidad Católica del Táchira 1992 — 1997
Accounting, Accounting
Colegio San Miguel
Florida International University
Master of Business Administration (MBA)
JPMorgan Chase July 2014 - Present
Financial Industry Regulatory Authority June 2010 - July 2014
New York Stock Exchange Regulation December 2008 - June 2010
Financial Industry Regulatory Authority May 2008 - December 2008
Morgan Stanley April 2007 - May 2008
Morgan Stanley June 2005 - April 2007
Skills
FINRA, Securities, Securities Regulation, Equities, Capital Markets, Hedge Funds, Fixed Income, Trading, Bloomberg, Options, Financial Services, Mutual Funds, Risk Management, Investments, Investment Banking, Due Diligence, Financial Analysis, Trading Systems, Financial Modeling
Education
City University of New York-Baruch College - Zicklin School of Business 2001 — 2005
Bachelor of Business Administration (B.B.A.), Finance, General
Cardozo High School 1998 — 2001
Financial Industry Regulatory Authority September 2013 - Present
Bank of America Merrill Lynch June 2010 - July 2013
Wells Fargo December 2008 - June 2010
Bear Stearns February 2000 - November 2008
Deloitte & Touche October 1997 - January 2000
Skills
Derivatives, Fixed Income, Options, Equity Derivatives, Valuation, Swaps, Risk Management, Product Control, Securities, Structured Finance, Finance, Prime Brokerage
Education
City University of New York-Baruch College - Zicklin School of Business
BS, Accounting
Moscow State Mining University
MS, Constructions of Underground Structures and Mines
Financial Industry Regulatory Authority October 2013 - Present
ACAMSmoneylaundering.com December 2010 - October 2013
Securities Arbitration Clinic, NYLS September 2009 - May 2010
Commercial Division, New York Supreme Court June 2009 - August 2009
New York City Council June 2008 - August 2008
Taller & Wizman 2007 - 2008
Skills
Legal Research, Intellectual Property, AML, Legal Writing, Banking Law, Financial Regulation, Arbitration, Editing, Securities, Research, Negotiation
Education
New York Law School 2007 — 2010
J.D., Securities Regulation, Intellectual Property
Pace University 2002 — 2005
BBA, Business Administration
Ternopil Academy of National Economy 2000 — 2002
International Business Relations
BRJ Advisors LLC March 2012 - Present
BRJ Ministries Inc. February 2012 - Present
Nazareth Christian Fellowship November 2000 - Present
Financial Industry Regulatory Authority April 2007 - February 2011
Citi October 2005 - March 2007
New York Stock Exchange September 1988 - September 2005
Dean Witter Reynolds April 1986 - August 1988
Prudential Financial May 1981 - April 1986
United States Air Force April 1975 - March 1981
Skills
Bilingual, Public Speaking, Operational Risk..., AML, OFAC, Risk Management, Bank Secrecy Act, Securities, Hedge Funds, FINRA, Published Author, Equities, Capital Markets, Series 7, Mutual Funds, Fixed Income, Securities Regulation, Options, Asset Management, Investments, Wealth Management, Investment Advisory, Series 63
Education
Baruch College 1981 — 1986
Alliance Theological Seminary
Marco Polo Securities Inc. August 2015 - Present
SineMetu Solutions Inc. June 2011 - Present
Financial Industry Regulatory Authority April 2011 - November 2013
Deloitte & Touche November 2010 - April 2011
FINRA April 2007 - October 2010
Prudential Financial April 2004 - April 2007
Bank Julius Baer 1999 - 2003
Bank of America 1994 - 1997
Paine Webber 1993 - 1995
Skills
Compliance, AML, Series 7, Risk Management, Equities, Financial Accounting, Management Consulting, Bookkeeping, Financial Markets, Foreign Exchange..., Investments, Mutual Funds, Capital Markets, Securities, Hedge Funds, Due Diligence, Auditing, FINRA, Fixed Income, SEC, Series 24, Financial Services, Derivatives, Securities Regulation, Options, Investment Banking, Investment Advisory, Alternative Investments, Series 63, Financial Risk, Trading, Equity Trading, Bloomberg, Financial Regulation, Anti Money Laundering
Education
City University of New York-Baruch College - Zicklin School of Business 2010 — 2013
Master's degree, Accounting
Baruch College, City University of New York (CUNY) 2000 — 2002
MBA, Management
St. Joseph's College 1986 — 1990
BS, Chemistry
Citigroup March 2013 - December 2014
FXall July 2011 - September 2012
Financial Industry Regulatory Authority July 2007 - December 2008
UBS 2004 - 2006
Bank of America 2004 - 2004
Bell Labs Lucent Technologies October 1998 - October 2003
Parametric Technology Corporation 1995 - 1998
CRIS (Centre for Railway Information Systems) January 1992 - January 1995
Skills
Agile Methodologies, ClearCase, Unix, Java Enterprise Edition, Perl, Java, Software Project..., Solaris, Spring, XML, SOA, Software Development, Testing, SQL, Ant, Data Warehousing, Tomcat, Eclipse, Web Services, Shell Scripting, Oracle, Hibernate, PL/SQL
Education
Indian Institute of Technology, Roorkee 1989 — 1991
M.E, Computer Aided Design
Andhra University 1982 — 1986
B.E, Civil Engineering
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Financial Industry Regulatory Authority June 2013 - February 2015
Financial Industry Regulatory Authority October 2012 - June 2013
Financial Industry Regulatory Authority October 2010 - October 2012
Albany Law School Clinic & Justice Center: Securities Arbitration Clinic August 2009 - May 2010
New York State Bar Association May 2008 - May 2010
Skills
Financial Regulation, Securities Regulation, Capital Markets, NYSE, Securities, Legal Research, Policy, Litigation, Corporate Law, Arbitration
Education
Albany Law School of Union University 2007 — 2010
J.D., Law
Saint Bonaventure University 2006 — 2007
M.B.A., International Business
Saint Bonaventure University 2002 — 2006
B.A., Philosophy-Pre Law
Financial Industry Regulatory Authority June 2014 - Present
Owen Software Development Corporation June 2013 - June 2014
NASDAQ OMX February 1999 - January 2013
nasd 1981 - 1999
Skills
Software Engineering, C#, ASP.NET, SDLC, JavaScript, Requirements Analysis, Object Oriented Design, Relational Databases, Data Modeling, C++, Scrum
Education
American University 1974 — 1978
Bachelor of Arts (BA), Political Science, Economics
Office of the Comptroller of the Currency August 2015 - Present
United States Federal Courts August 2013 - August 2015
US Small Business Administration August 2011 - August 2013
U.S. Department of Justice February 2012 - August 2012
Securities Arbitration Clinic September 2009 - May 2011
Financial Industry Regulatory Authority September 2010 - April 2011
U.S. Securities and Exchange Commission June 2010 - August 2010
U.S. District Court, Southern District of New York February 2010 - April 2010
Skills
Legal Writing, Legal Research, Advocacy, Civil Litigation, Securities Regulation, Securities Litigation, Banking Law, Policy Analysis, Courts, Litigation, Westlaw, Administrative Law, Arbitration, International Law, Mediation
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2008 — 2011
J.D., Concentrations in Litigation and Corporate Law
University of Rochester 2004 — 2008
Bachelor of Arts, Political Science, English
Delegate Andrew Platt January 2015 - Present
Law office of Jeffrey Marcalus November 2014 - February 2015
The Court of Special Appeals of Maryland December 2014 - December 2014
Journal of Business & Technology Law March 2013 - May 2014
Office of the Speaker of the House of Delegates January 2014 - April 2014
University of Maryland, Community Economic Development Clinic August 2013 - December 2013
Maryland Attorney General January 2013 - August 2013
Professor Urska Velikonja, University of Maryland School of Law December 2012 - May 2013
Financial Industry Regulatory Authority May 2012 - August 2012
First Oxford Corporation September 2010 - August 2011
Skills
Legal Research, Legal Writing, Research, Westlaw, Public Speaking, Public Policy, Microsoft Office, Editing, Nonprofits, Policy Analysis, Community Outreach, LexisNexis, Litigation, Courts, Microsoft Excel, Social Media, Fundraising, PowerPoint, Civil Litigation, Criminal Law, Mediation, Politics, Leadership, Writing
Education
University of Maryland School of Law 2011 — 2014
J.D., Information security and privacy
American University 2010 — 2010
Accounting
Trinity College-Hartford 2005 — 2009
Bachelor's Degree, History
BER FINANCIAL GROUP LLC January 2004 - Present
Financial Planning Association 1990 - Present
FPA Pro Bono Planning for Veterans in Florida January 2013 - August 2013
Financial Industry Regulatory Authority January 2002 - January 2013
Skills
Strategic Financial..., Retirement, Retirement Planning, Portfolio Management, Financial Advisory, Insurance, Tax, Bonds, Investment Management, High Net Worth..., Certified Financial..., Asset Allocation, Personal Financial..., Investments, Finance, Investment Advisory, ETFs, Wealth, Wealth Management, Investment Strategies, Mutual Funds, 401k, Asset Management, Long Term Care Insurance, 401k Rollovers, Wealth Management..., Series 7, Securities, FINRA, 529 Plans, Fixed Annuities, Personal Finance, Financial Planners, Pensions, Series 63, Alternative Investments, Series 65, Series 24, Estate Planning, Financial Planning
Education
College for Financial Planning 1987 — 1988
CFP, Financial Planning
Baruch College, City University of New York (CUNY) 1970 — 1973
MBA, Finance and Investments
IRS Enrolled Agent
Degree in individual, partnership and fiduciary taxation
Financial Industry Regulatory Authority March 2014 - Present
Ernst & Young September 2011 - March 2014
HP July 2009 - August 2011
FINRA May 2008 - August 2008
Skills
Compliance, Financial Management, Financial Analysis, Accounting, Fraud Investigations, Managerial Finance, Analysis, Fraud, Financial Audits, Investments, Auditing, Internal Controls, Financial Services, Fraud Detection, Sarbanes-Oxley Act, Management, Corporate Finance, Mortgage Fraud, Internal Audit, Due Diligence, Banking, Certified Fraud Examiner, US GAAP, Finance, Accounts Receivable, Enterprise Risk..., Loans, Financial Reporting, Business Analysis, Financial Risk, Financial Modeling, Risk Management
Education
Pace University 2009 — 2011
MBA, Financial Management
City University of New York-Brooklyn College 2006 — 2009
B.S., Business, Management and Finance
Academia de Studii Economice din București 2002 — 2005
Finance and Financial Markets, Finance and Financial Markets
Financial Industry Regulatory Authority October 2011 - Present
JP Morgan Chase 2011 - October 2011
State Street August 2010 - February 2011
State Street Corporation May 2008 - August 2009
Skills
Bloomberg, Financial Accounting, Finance, Financial Modeling, Portfolio Management, Financial Analysis, Microsoft Excel, Accounting, Financial Reporting, Equities, Investments, Analysis
Education
Bentley University 2006 — 2010
Bachelor of Science, Finance
University of Nantes 2007 — 2007
Lowell High School 2002 — 2006
Federal Reserve Bank of New York July 2012 - Present
Financial Industry Regulatory Authority July 2011 - July 2012
Financial Industry Regulatory Authority (FINRA) January 2011 - June 2011
Financial Industry Regulatory Authority (FINRA) July 2009 - December 2010
National Futures Association (NFA) June 2006 - June 2009
National Futures Association (NFA) May 2004 - May 2006
National Futures Association (NFA) June 2001 - April 2004
Skills
Securities, Compliance, Derivatives, Risk, Series 7, FX, Risk Management, Financial Reporting, Financial Analysis, Auditing, Operational Risk, Regulatory Reporting, Financial Markets, Audit, Internal Controls
Education
New York University - Leonard N. Stern School of Business 2008 — 2012
MBA, Quantitative Finance/Finance
Baruch College, City University of New York New 1999 — 2001
Bachelor of Business Administration, Finance and Investment
Pukyong National University 1991 — 1998
BBA, International Business
Deutsche Bank April 2014 - Present
Deutsche Bank November 2011 - March 2014
ConvergEx Group October 2007 - November 2011
Financial Industry Regulatory Authority 2005 - October 2007
NYSE Euronext September 2002 - 2005
Morgan Stanley July 1999 - August 2001
US Navy Reserve 1998 - 2000
US Navy February 1993 - February 1998
Skills
Commodity, Securities, Back Office, Options, Settlement, Financial Analysis, Middle Office, Military Experience, Bilingual-English/Spanis..., Microsoft Office, SAP, FINRA, Databases, Regulatory Requirements, Regulatory Examinations, AML, Anti Money Laundering, Capital Markets
Education
Baruch College 1999 — 2002
Bachelor of Business Administration, Accounting
Financial Industry Regulatory Authority March 2014 - Present
FINRA - Financial Industry Regulatory Authority June 2002 - February 2014
U.S. Securities and Exchange Commission May 2000 - June 2002
U.S. Securities and Exchange Commission February 2000 - May 2000
U.S. Securities and Exchange Commission July 1998 - February 2000
U.S. Court of Appeals for the Fifth Circuit July 1992 - July 1998
U. S. District Court for the Western District of Texas August 1991 - July 1992
Skills
Securities Regulation, FINRA, Securities, Corporate Governance, Securities Litigation, Financial Regulation, Broker-Dealer, AML, SEC, Corporate Law, Litigation, Legal Research, Series 24, Arbitration, FCPA
Education
The University of Texas School of Law 1988 — 1991
Doctor of Law (J.D.)
Angelo State University 1984 — 1987
Bachelor of Arts (B.A.), Political Science and Government
Standard & Poor's November 2013 - Present
PwC April 2013 - November 2013
Financial Industry Regulatory Authority January 2011 - March 2013
Financial Industry Regulatory Authority June 2008 - December 2010
Financial Industry Regulatory Authority May 2007 - May 2008
Skills
Onboarding, PeopleSoft, Taleo, Microsoft Excel, Employee Benefits, HRIS, Microsoft Office, Talent Acquisition, Performance Management, Employee Relations, Employee Engagement, Deferred Compensation, Leave of Absence..., Employment Law..., U.S. Immigration, HR Metrics, I-9 Compliance, Kenexa, PeopleFluent, WorkDay
Education
Baruch College 2004 — 2008
Bachelor of Business Administration (BBA), Human Resources Management/Personnel Administration, General
Financial Industry Regulatory Authority November 2013 - Present
Financial Industry Regulatory Authority July 2007 - Present
NYSE Euronext June 2001 - July 2007
NYSE Euronext March 1996 - June 2001
Skills
Public Speaking, Strategic Planning, Broker-Dealer, Financial Regulation, Risk Management, FINRA, Securities, Financial Services
Education
Baruch College 1992 — 1996
none
Manhattan College 1985 — 1989
Bachelor of Science (B.S.), Accounting and Finance
LPL Financial LLC September 2015 - Present
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. October 2014 - September 2015
Financial Industry Regulatory Authority June 2007 - October 2014
Financial Industry Regulatory Authority (FINRA) June 2006 - October 2007
Financial Industry Regulatory Authority (FINRA) November 2003 - June 2006
FINRA July 2000 - November 2003
US Securities and Exchange Commission August 1987 - July 2000
Skills
FINRA, Securities Regulation, Fixed Income, AML, Securities, SEC, Policy, Private Investigations, Compliance, Broker-Dealer, Series 24, Securities Litigation, Financial Regulation, Leadership, Series 7, Capital Markets, Fraud, Corporate Governance, Litigation, Enforcement, Hedge Funds, Program Management, Mutual Funds, USA PATRIOT Act, Dodd-Frank, Private Placements, Investment Advisory, Internal Investigations, Investment Advisers Act, OFAC, Anti Money Laundering
Education
American University, Washington College of Law
J.D.
Gettysburg College
B.A., Political Science
Financial Industry Regulatory Authority January 2014 - Present
Skills
Financial Modeling, Corporate Finance, Investments, Project Finance, Private Equity, Valuation, Due Diligence, Mergers & Acquisitions, Venture Capital, Capital Markets, Investment Banking, Real Estate, Franchising, Communication Skills, Debt, Energy, Joint Ventures, Emerging Markets
Education
American University - Kogod School of Business 2007 — 2011
MBA
American University, Washington College of Law 2007 — 2011
JD, Law
Ohio Wesleyan University 2002 — 2006
B.A.
Financial Industry Regulatory Authority April 2014 - Present
North American Electric Reliability Corporation January 2014 - April 2014
Commodity Futures Trading Commission May 2013 - December 2013
Financial Industry Regulatory Authority May 2012 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
BNP Paribas January 2008 - August 2011
Education
American University, Washington College of Law 2011 — 2014
Juris Doctor, Law
University of Pittsburgh 2003 — 2007
BS, Finance, Accounting
Financial Industry Regulatory Authority June 2010 - Present
NYSE Regulation, Inc. - Division of Enforcement September 2001 - June 2010
Sedgwick LLP 1997 - 2001
Bronx County District Attorney Office 1985 - 1996
Skills
Securities Regulation, Securities, FINRA, AML, Corporate Governance, Financial Regulation, SEC, Corporate Law, Securities Litigation, Litigation, Legal Research, Legal Writing, Due Diligence, Internal Investigations, Arbitration, Legal Compliance, Hedge Funds, Broker-Dealer, Series 24, Fraud, Financial Services, Equities, Capital Markets
Education
Albany Law School of Union University
Doctor of Law (J.D.)
Siena College
Bachelor of Arts (B.A.), Political Science and Government
Financial Industry Regulatory Authority March 2011 - Present
AllianceBernstein September 2004 - March 2011
AllianceBernstein September 2004 - June 2008
Skills
Equities, Fixed Income, Series 7, Mutual Funds, Investments, Hedge Funds, Financial Services, Financial Analysis, Asset Management
Education
Baruch College 2012 — 2014
Master of Business Administration (MBA), Finance, General
Manhattan College 2000 — 2004
Bachelor of Science, Economics, Finance, International Business
McIntyre & Lemon, PLLC August 2014 - Present
Financial Industry Regulatory Authority September 2013 - December 2013
Hudson Legal, Compliance LP, & TrustPoint International May 2011 - August 2013
BrownGreer PLC September 2010 - May 2011
Kenyon & Kenyon LLP June 2009 - July 2009
United States Department of Education July 2008 - August 2008
United States Patent & Trademark Office May 2008 - June 2008
Teach for America September 2005 - June 2007
Skills
Legal Research, Legal Writing, Civil Litigation, Research, Public Speaking, Westlaw, LexisNexis, Public Policy, Appeals, Litigation, Patents, Government, Dispute Resolution, Policy Analysis, Litigation Support, Motions, Securities Regulation, Trademarks, Administrative Law, Patent Litigation, Copyright Law, Courts, Lexis
Education
Georgetown University 2013 — 2014
Master of Laws (LLM), Securities and Financial Regulation
American University, Washington College of Law 2007 — 2010
Juris Doctor, cum laude, Law
Colgate University 2001 — 2005
Bachelor of Arts, Chemistry, Political Science
JPMorgan Chase March 2014 - Present
Financial Industry Regulatory Authority July 2011 - March 2014
Internal Revenue Service June 2010 - September 2010
Novo Arts Inc May 2010 - June 2010
Internal Revenue Service January 2009 - April 2009
Skills
Accounting, Risk Management, Securities, Auditing, Financial Analysis, Finance, Tax, Compliance, Equities, Internal Controls, Bloomberg, Credit Risk, Fixed Income, Bank Reconciliation, Operational Risk, Risk Analysis, Internal Audit, Underwriting, Net capital, Reserve formula, Possession or control, Municipal Bonds
Education
City University of New York-Baruch College 2008 — 2011
BBA, Accounting and Finance
Stony Brook University 2007 — 2008
Business Management
LiveHealthier September 2014 - December 2014
Peer Health Exchange June 2014 - August 2014
Financial Industry Regulatory Authority May 2013 - August 2013
Center for Health Behavior Research, University of Maryland June 2012 - January 2013
Women Veterans Interactive August 2012 - December 2012
College of Behavioral and Social Sciences, University of Maryland May 2010 - December 2012
Whole Mind Wellness, LLC March 2012 - August 2012
Kikscore LLC May 2011 - August 2011
Skills
Program Evaluation, Adobe Acrobat, Microsoft Excel, Program Development, PowerPoint, WordPress, Behavioral Health, Health Psychology, Curriculum Development, Health Services Research, SEO, Qualitative Research, Copy Editing, Survey Gizmo, AtTask Project..., Grant Writing, Public Health, Training
Education
University of Maryland College Park 2010 — 2014
Bachelor's Degree, Community Health
Anglo-americká vysoká škola - Praha 2013 — 2013
Quince Orchard High School 2006 — 2010
High School
Financial Industry Regulatory Authority
Education
Baruch College
Bachelor of Business Administration (BBA)
Bowie State University
Master of Arts (MA)
Los Angeles County Economic Development Corporation (LAEDC) August 2014 - Present
Quinn Emanuel Urquhart & Sullivan, LLP October 2013 - August 2014
American Continental Group November 2012 - February 2014
Financial Industry Regulatory Authority January 2011 - May 2011
United States District Court for the District of Nevada June 2010 - August 2010
City of Los Angeles June 2007 - August 2007
Skills
Legal Writing, Public Policy, Policy Analysis, Legal Research, Westlaw, Legislative Relations, Research, Policy, Government, Civil Litigation, Strategic Planning, Corporate Law, Nonprofits
Education
American University, Washington College of Law 2009 — 2012
Juris Doctor
School of Oriental and African Studies, U. of London 2011 — 2011
L.L.M. Study Abroad, Islamic Law of Finance; Law and International Inequality; Law of South Asia
University of Southern California
Bachelor of Science, Policy, Planning & Development with an emphasis in Real Estate
Financial Industry Regulatory Authority February 1994 - Present
Mirick, O'Connell, DeMallie & Lougee LLP September 1991 - February 1993
Millipore Corporation October 1983 - August 1988
Skills
Contract Negotiation, Lease Negotiations, Patent Prosecution, Trademarks, Copyright Law, Insurance, Mergers, Business Acquisition, Tax Law, Real Estate Economics, Corporate Governance, Securities Regulation, FINRA, Employment Contracts, Finance, Intellectual Property, Executive Management, Securities, Mergers & Acquisitions, Due Diligence, Equities, Capital Markets, Corporate Law, Financial Services, Legal Writing, Mutual Funds
Education
Boston College Law School 1988 — 1991
Doctor of Law (JD)
Babson College 1982 — 1983
MBA, International Business/Trade/Commerce
Babson College 1975 — 1979
Bachelor of Science (BS), Economics/Management
LSRHS
LSRHS
John Hancock Financial Services VP Ethics and Compliance OfficerFidelity Investments1990 - 2001
Financial Industry Regulatory Authority 1972 - 1990
Skills
Capital Markets, Securities Regulation, Series 7, Securities, Mutual Funds, Due Diligence, Wealth Management, FINRA, Equities, Financial Markets, Financial Services, Series 24, Corporate Law, Risk Management, AML, Investments, Hedge Funds, Series 63, Alternative Investments, Investment Advisory, Investment Management, ETFs, Asset Management
Education
Bentley University
Bachelor's Degree, Accounting
Financial Industry Regulatory Authority October 2005 - Present
Office of the Comptroller of the Currency June 2004 - September 2005
Skills
Financial Modeling, Financial Reporting, Finance, Strategic Financial..., Analysis, Banking, Corporate Finance, Accounting, Investments, Financial Analysis, Financial Planning, Risk Management
Education
American University 2011 — 2014
Master of Science (M.S.), Finance, General
Howard University 2000 — 2004
Bachelor of Business Administration (B.B.A.), Finance, General
Marsh & McLennan Companies, Inc. January 2013 - Present
Royal Bank of Scotland September 2010 - December 2012
Financial Industry Regulatory Authority August 2005 - August 2010
GE Financial September 2003 - August 2005
Charles Schwab & Co., Inc January 1999 - January 2003
Charles Schwab & Co., Inc April 1997 - January 1999
Skills
Compliance, Securities, Trading, Policy, Microsoft Office, Finance, Analysis, Financial Risk, Training, Portfolio Management, Customer Service, Internal Audit, AML, Series 7, Risk Management, FINRA
Education
Arizona State University
B.S, Business Management
Thacher Associates, LLC June 2014 - Present
Financial Industry Regulatory Authority July 2007 - May 2014
FINRA - Financial Industry Regulatory Authority July 2007 - May 2014
Precision Payroll September 2006 - June 2007
Loral Skynet May 2006 - August 2006
Skills
Broker-Dealer, SEC, Securities, Financial Regulation, Securities Regulation, SEC filings, Investments, Financial Analysis, Due Diligence, Financial Reporting, Bloomberg, Finance
Education
Baruch College 2009 — 2012
Master's degree, Accounting
Wagner College 2003 — 2007
Bachelor of Science (BS), Accounting
DvineAssist January 2012 - Present
DvineAssist January 2012 - Present
NASDAQ OMX September 2007 - January 2012
NASDAQ OMX 2007 - 2012
Financial Industry Regulatory Authority March 2007 - August 2007
Skills
Securities, Corporate Governance, Mergers, Securities Regulation, Legal Writing, Financial Markets, Intellectual Property, Corporate Finance, Management, Training, Data Entry, Accounting, Accounts Payable, Invoicing, Finance, Venture Capital, Customer Service, Mergers & Acquisitions
Education
Baruch College
Bachelor of Arts (B.A.), Business Administration and Management, General
University of Maryland University College
On Hold, Business/Corporate Communications
Financial Industry Regulatory Authority 2010 - Present
Education
American University 2013 — 2015
Master of Business Administration (M.B.A.), Business/Commerce, Financial Regulation
Yale University 2012 — 2013
Economics - Summer Program, International Economics
Beloit College
Economics, Business Management
Financial Industry Regulatory Authority July 2006 - Present
Merrill Lynch May 2002 - July 2006
Skills
Broker-Dealer Operations, Broker-Dealer, FINRA, Financial Regulation, Financial Accounting, Securities, Financial Risk, Financial Services, Securities Lending, SEC Financial Reporting, Equities, Banking, Finance, Internal Controls, Options, Internal Audit, Auditing, Capital Markets
Education
Baruch College
Bachelor of Business Administration (BBA), Finance, General
Financial Industry Regulatory Authority October 2012 - Present
Infowave Systems May 2010 - September 2012
Arbitron India July 2007 - April 2010
Skills
SDLC, Business Analysis, Requirements Analysis, Analysis, Requirements Gathering, Management, Financial Services, SQL, Software Project..., Data Warehousing, Integration, Oracle, Agile Methodologies, User Acceptance Testing, PL/SQL, HP Quality Center
Education
IIBM Institute of Business Management 2013 — 2013
Master's degree, Business Administration and Management, General
Anna University 2003 — 2007
Bachelor's degree, Electrical and Electronics Engineering
Financial Industry Regulatory Authority May 2012 - Present
CNSI March 2011 - January 2012
Education
American Career Institute-Wheaton 2010 — 2011
Information Technology
York College of Pennsylvania 2003 — 2003
General Studies