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
Chapman and Cutler LLP September 2013 - Present
Bluhm Legal Clinic, Center on Wrongful Convictions of Youth May 2011 - May 2013
Financial Industry Regulatory Authority August 2012 - December 2012
Chapman and Cutler LLP May 2012 - July 2012
AlphaMetrix Alternative Investment Advisors May 2009 - August 2010
Domer Law S.C. May 2008 - August 2008
Skills
Writing, Advocacy, Legal Research, Technology, Regulations, Finance, Strategy, Policy Analysis, Commercial Litigation, Patent Litigation, Academic Writing, Post-Conviction Relief
Education
Northwestern University School of Law 2010 — 2013
J.D.
Carnegie Mellon University 2005 — 2009
BA, Professional Writing
First Republic Bank July 2015 - Present
First Republic Bank March 2014 - June 2015
KPMG Trade & Customs Practice June 2010 - February 2014
U.S. Court of International Trade January 2010 - May 2010
Cypress Law Group PLLC October 2009 - May 2010
Oxford University Press May 2009 - September 2009
Financial Industry Regulatory Authority April 2008 - December 2008
NOVA September 2004 - March 2006
Skills
International Trade Law, Global Trade Management, Import Export, Strategic Planning, Project Management, Legal Writing, Customs Regulations, OFAC, CBP, Export Controls, Customs Valuation, WTO, Corporate Law, International Trade, Due Diligence, FCPA, Import, International Business, International Law, Export, Trade Compliance, Management, Legal Research
Education
Brooklyn Law School
JD, Law
Emerson College
Bachelor of Fine Arts (BFA), Writing, Literature & Publishing
Zhang Law Group August 2015 - Present
Financial Industry Regulatory Authority July 2014 - August 2015
United States Attorney's Office January 2014 - May 2014
United States Securities and Exchange Commission June 2013 - August 2013
United States Securities and Exchange Commission January 2013 - June 2013
Legal Aid Society of San Diego, Inc. August 2012 - December 2012
Comprehensive Medical Group of Southern California January 2006 - August 2011
Wonacott Communications, LLC April 2010 - September 2010
Anderson Group Public Relations January 2010 - April 2010
The Poly Post March 2009 - December 2009
Skills
Westlaw, Legal Writing, Legal Research, Corporate Law, Civil Litigation, Securities Regulation, Public Policy, Policy Analysis, Journalism, Administrative Law, Legal Compliance, Due Diligence, Constitutional Law, Corporate Governance, International Law, Securities, Litigation, Legal Issues, Research, Courts, Mediation, Legal Assistance, Fraud, Criminal Law, Motions, LexisNexis, Public Speaking, Commercial Litigation, Appeals, Trials, Arbitration, Analysis, Finance, Policy
Education
University of San Diego School of Law 2011 — 2014
J.D.
California State Polytechnic University-Pomona 2006 — 2010
B.S.
Financial Industry Regulatory Authority May 2014 - Present
WTS October 2012 - May 2013
Citi January 2011 - February 2012
Canisius College January 2004 - May 2007
Skills
Financial Analysis, Leadership, Microsoft Office, Microsoft Excel, PowerPoint, Marketing, Research, Customer Service, Sales, Economics, Risk Management, Data Analysis, Financial Modeling, Market Research, Teamwork, Microsoft Word, Public Speaking, Cpr Certified, First Aid, Logistics Management, Strategic Planning, Accounting, Contract Negotiation, Financial Services, Team Leadership, Project Management, Change Management, Budgets, Finance, Analysis, Outlook, Equities, Credit, Management Consulting, Derivatives, Banking, Anti Money Laundering, Regulatory Compliance, Management
Education
Canisius College 2009 — 2010
MBA
Canisius College 2003 — 2007
Bachelor of Science, Biology
Dick, Stein, Schemel, Wine & Frey, LLP February 2015 - Present
Arnoult Law Office, LLC April 2013 - February 2015
Financial Industry Regulatory Authority July 2006 - April 2013
Skills
Commercial Litigation, Courts, Civil Litigation, Estate Planning, Legal Research, Family Law, Litigation, Securities, Real Estate Transactions, Investments, Contract Law, Hearings, Lexis, Business Planning, Fraud Claims, Broker-Dealer Compliance, Mass Transfer, Contract Negotiation, Uniform Commercial Code, Preparation of Wills, Workers Compensation
Education
Capital College, Pennsylvania State University 2004 — 2005
Master of Business Administration (M.B.A.), Business Administration and Management, General
Pennsylvania State University, The Dickinson School of Law 2002 — 2005
Doctor of Law (J.D.), Law
Clarion University of Pennsylvania 2000 — 2002
BS, Business Administration and Management, General, Summa Cum Laude
West Forest Jr. Sr. High School
NBTY March 2010 - Present
Phenomenex June 2008 - January 2009
Financial Industry Regulatory Authority October 2007 - June 2008
C&C California July 2006 - October 2007
Radio Shack Corporation April 2005 - September 2005
California State University at Northridge August 2003 - January 2005
Ria Envia Telecommunications April 2000 - September 2000
Skills
Copywriting, Editing,..., Outstanding..., Advanced Public..., SurveyMonkey, TSA, CRM..., AIMS, MS Word, Excel,..., EDRAW, MOSAIC,..., Bilingual in Spanish, Marketing Communications, Time Management, Research, Microsoft Office, Marketing
Education
CSUN 2003 — 2005
Master's degree in Communication Studies, In progress
CSULB 2000 — 2003
Bachelor of Arts (B.A.), History
Standard Chartered Bank January 2015 - April 2015
Bank of China International (US) Commodities and Futures, LLP August 2014 - January 2015
Office of the New York City Comptroller, General Counsel June 2014 - August 2014
Financial Industry Regulatory Authority January 2014 - May 2014
Justice David I. Schmidt of the New York Supreme Court Kings County Commercial Division September 2013 - January 2014
Professor Michael Mushlin, Brooklyn Law School, Visiting Professor from Pace Law School March 2013 - January 2014
Jaffe & Koumourdas, L.L.P June 2013 - August 2013
Air Sea Land Diplomatic Shipping and Moving Company July 2011 - October 2011
The Lawfare Project June 2011 - August 2011
Kings County District Attorney's June 2008 - August 2008
Skills
Microsoft Office, Office Coordination, Office Organization, Business Relations, Maintaining Business..., Diplomacy, Legal Writing, Legal Research, Legal Services, Legal Assistance, Public Relations, Public Speaking, Westlaw, Research, PowerPoint, Microsoft Excel, Social Media, Courts, Litigation, Politics, LexisNexis, Editing, Legal Issues, Corporate Law, Policy, Arbitration, Microsoft Word
Education
Brooklyn Law School 2012 — 2015
Juris Doctor (J.D.), Business Law Certificate
The Interdisciplinary Center 2011 — 2012
Master's Degree, Diplomacy and Conflict Studies
State University of New York at Binghamton 2009 — 2011
Bachelor's Degree, Politics, Philosophy and Law
City University of New York-Brooklyn College 2007 — 2009
Bachelor's Degree, Political Science, Philosophy
Los Angeles Child Guidance Clinic 2014 - Present
Financial Industry Regulatory Authority 2012 - Present
California Board of Psychology and Medical Board 2008 - Present
TEXT Co., Ltd. 2011 - 2013
Orange County Grand Jury 2010 - 2011
The Guidance Center, Long Beach 1991 - 2008
Chapman University 1989 - 1992
Child Guidance Center 1975 - 1991
Education
California School of Professional Psychology, Los Angeles
Ph.D., Clinical Practices of Psychotherapy and Assessment
California State University-Long Beach
BA, MA, General & Experimental Psychology
Napolin Law Firm, Inc. April 2013 - Present
The Law Offices of Lionel E. Giron January 2012 - June 2013
Financial Industry Regulatory Authority November 2010 - May 2011
Financial Industry Regulatory Authority April 2010 - November 2010
Pepperdine University School of Law January 2010 - July 2010
Pacific Direct Insurance Services August 2005 - August 2008
Skills
Civil Litigation, Corporate Law, Litigation, Dispute Resolution, Legal Research, Appeals, Arbitration, Courts, Mediation, Commercial Litigation, Legal Writing, Trials, Westlaw, Personal Injury, Legal Advice
Education
Pepperdine University School of Law 2008 — 2011
JD, Law
California State University-Fullerton 2003 — 2008
BA, American Studies
California State University-Fullerton - College of Business and Economics 2003 — 2008
BA, Business Administration (Finance)
University of Notre Dame September 2013 - May 2014
Financial Industry Regulatory Authority May 2013 - August 2013
Easy Foreign Language Institute August 2010 - May 2012
BNY Mellon June 2008 - July 2010
New York Life Insurance Company May 2007 - May 2008
Skills
Corporate Finance, Economics, Finance, Financial Analysis, Investments, Photography, Sales, Securities Regulation, Derivatives, Securities, Management, Strategic Planning, Microsoft Excel, Microsoft Office, PowerPoint, Research, Public Speaking, Microsoft Word, Social Media
Education
University of Notre Dame - Mendoza College of Business 2012 — 2015
Master of Business Administration (M.B.A.), Finance / Investments / Consulting
University of Notre Dame Law School 2012 — 2015
Doctor of Law (J.D.), Law
California University of Pennsylvania 2004 — 2007
Bachelor's degree, Finance, 3.89/4.0
Financial Industry Regulatory Authority July 2007 - Present
New York, NY March 2002 - October 2006
Verizon September 1999 - December 2001
Skills
FINRA, Securities, Securities Regulation, Financial Regulation, Bloomberg, Broker-Dealer, Analysis, Management, Financial Risk, Risk Management, Internal Controls, Employee Benefits, Financial Services, Anti Money Laundering, Microsoft Office, Finance, Financial Analysis
Education
CUNY-College of Staten Island 2005 — 2007
Bachelor of Science (BS), International Business
Borough of Manhattan Community College 2002 — 2005
Associate of Arts (A.A.), Business Administration, 3.74
CITI November 2010 - Present
Financial Industry Regulatory Authority May 2006 - November 2010
Computer Science Corporation March 2004 - April 2006
Verizon June 1998 - March 2004
Skills
Business Requirements, Requirements Analysis, Change Management, Risk Assessment
Education
Bowie State University 1992 — 1994
Master of Science (MS), Management Information Systems, General
Hampton University 1988 — 1992
Bachelor of Science (B.S.), Business Administration and Management, General
Hampton University
Newman Realty October 2014 - Present
Designers & Builders Development, Inc. May 2014 - Present
Circuit Court of Cook County March 2014 - May 2014
Pretzel & Stouffer, Chartered May 2013 - August 2013
US Department of Homeland Security January 2013 - April 2013
United States District Court, Northern District of Illinois August 2012 - December 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Illinois Appellate Court, First District January 2012 - May 2012
Sneckenberg, Thompson & Brody, LLP May 2011 - August 2011
Designers & Builders Development, Inc. April 2010 - December 2010
Skills
Legal Writing, Mediation, Appeals, Pleadings, Class Actions, Arbitration, Hearings, Immigration Law, Depositions, Legal Research, Motions, Litigation, Training, Westlaw
Education
The John Marshall Law School 2010 — 2013
Juris Doctor (J.D.), GPA: 3.83, Class Rank: Top 4%
Butler University 2003 — 2007
Bachelor of Arts and Sciences, History
PwC February 2014 - Present
BLS Legal Services Corp., Community Development Clinic January 2013 - June 2013
Financial Industry Regulatory Authority September 2012 - November 2012
Oppenheimer & Co. Inc.- Office of the General Counsel June 2012 - August 2012
NYC Law Department, Commercial and Real Estate Litigation January 2012 - April 2012
Environmental Protection Agency, Office of Regional Counsel, Region 2 June 2011 - July 2011
Akerman Senterfitt LLP March 2009 - July 2010
Akerman Senterfitt LLP September 2007 - July 2010
The James Mintz Group January 2007 - August 2007
Skills
Litigation, Legal Writing, Legal Research, Westlaw, Litigation Support
Education
Brooklyn Law School 2010 — 2013
J.D., Law
New York University, College of Arts and Science
BA, Politics and Jewish History and Civilization
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Massachusetts Securities Division January 2015 - May 2015
Massachusetts Securities Division December 2011 - January 2015
US Securities and Exchange Commission June 2010 - August 2010
MetLife May 2009 - August 2009
Financial Industry Regulatory Authority May 2008 - August 2008
Petillon Hiraide and Loomis LLP May 2007 - August 2007
Skills
Corporate Law, Securities, Securities Regulation, Corporate Governance, FINRA, Legal Research, Private Placements, Litigation, Broker-Dealer, SEC, Alternative Investments, Investment Advisor..., Investment Advisers Act, Investment Company Act
Education
Boston College Law School 2007 — 2011
Doctor of Law (JD), Securities and Corporate Law
Harvard University 2009 — 2011
Master of Arts (M.A.), Regional Studies-East Asia
University of California, Berkeley 2002 — 2006
Bachelor of Arts (B.A.), Economics and Legal Studies
West Torrance High School
Office of the New York State Attorney General June 2015 - July 2015
CastleOak Securities, L.P. July 2013 - May 2014
Direct Access Partners May 2012 - May 2013
SecondMarket, Inc. June 2011 - August 2011
Financial Industry Regulatory Authority May 2010 - August 2010
Skills
Series 7, Series 63
Education
Georgetown University Law Center
Pepperdine University School of Law 2014 — 2015
Bucknell University 2008 — 2012
Bachelor of Arts, Economics
University of Cape Town 2011 — 2011
Financial Industry Regulatory Authority July 2014 - Present
Education
Boston University - School of Management 2010 — 2014
Bachelor of Business Administration (B.B.A.)
Silverstein Properties, Inc. January 2013 - Present
SILVERSTEIN PROPERTIES, Inc January 2013 - Present
Silverstein Properties, Inc. September 2011 - December 2012
Silverstein Properties, Inc. April 2011 - September 2011
HITHA PRABHAKAR July 2010 - July 2011
HONORABLE KIYO A. MATSUMOTO, U.S. DISTRICT COURT, E.D.N.Y January 2011 - May 2011
KINGS COUNTY DISTRICT ATTORNEY'S OFFICE September 2010 - December 2010
Financial Industry Regulatory Authority May 2010 - August 2010
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP October 2007 - August 2009
Skills
Leases, Trials, Microsoft Office, Contract Negotiation, Real Estate Development, Real Estate
Education
Brooklyn Law School 2009 — 2012
Brooklyn Law School
Juris Doctor
Marymount Manhattan College
Bachelor of Arts, International Studies
JP Morgan Chase & Co August 2014 - Present
Financial Industry Regulatory Authority March 2010 - January 2014
Financial Industry Regulatory Authority August 2000 - February 2010
Bloomberg LP May 1999 - August 2000
Merrill Lynch March 1997 - March 1999
Education
University of Massachusetts, Amherst 1995 — 1998
MBA, Business Administration and Management, General
Bradley University 1991 — 1993
Business Foundation Courses, Accounting, Finance, Economics, Statistics, 4.0
National Taiwan University
Bachelor of Science (BS), Medical Technology/Clinical Laboratory Medicine
Financial Industry Regulatory Authority October 2011 - Present
Gemini Systems August 2006 - October 2011
Skills
CRM, SQL, Information Technology, Market Regulation, Business Analysis, Quality Center, Software Quality..., Business Writing
Education
Boston University 2002 — 2006
Bachelor's degree, Business Administration and Management
Baldwin High School 1998 — 2002
Mendes & Mount August 2014 - Present
Brooklyn Journal of International Law May 2013 - May 2014
Financial Industry Regulatory Authority January 2014 - April 2014
Shafer Glazer, LLP May 2013 - December 2013
Katz & Associates, Brooklyn House Counsel, MetLife Auto & Home January 2013 - April 2013
Kings County District Attorneys Office September 2012 - December 2012
Mental Hygiene Legal Services May 2012 - August 2012
Skills
Legal Writing, Research, Editing, Criminal Law, Russian, Legal Research, Westlaw, International Law, Lexis, Civil Litigation, Litigation, Financial Regulation, Securities Regulation, Administrative Law
Education
Brooklyn Law School 2011 — 2014
JD, Law
Middlebury College 2011 — 2011
Russian Language School Summer Immersion Program, Russian Language and Literature
The Johns Hopkins University 2005 — 2009
Bachelor's degree, History, Russian
Morgan Stanley Wealth Management January 2013 - Present
Independent Contractor January 2012 - January 2013
Invesco Ltd. July 2008 - December 2011
SunTrust Investment Services August 2006 - December 2007
Financial Industry Regulatory Authority June 1996 - August 2006
Office of the Comptroller of the Currency April 1993 - June 1996
Education
Brigham Young University 1986 — 1988
Bachelor of Arts (B.A.), International Relations and Affairs
American Express September 2014 - Present
The Law Offices of Michael E. Pressman February 2013 - June 2014
New Jersey Office of Attorney General September 2012 - February 2013
Thomson Reuters January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - December 2011
Third Avenue Management June 2011 - August 2011
Professor Ernest Badway, Esq. May 2010 - June 2011
Central Park Group, LLC January 2011 - April 2011
US Securities and Exchange Commission August 2010 - January 2011
Gibson, Dunn & Crutcher LLP May 2008 - August 2008
Skills
Legal Research, Legal Writing, Corporate Law, Litigation, Civil Litigation, Securities Law, Securities Regulation, Financial Law, Microsoft Office, Excel, Lexis, Westlaw, Legal Compliance
Education
Brooklyn Law School 2009 — 2012
Juris Doctor, Certificate in Business Law
University of Michigan 2005 — 2009
Bachelor of Arts, American Culture
Ridgewood High School, Ridgewood, NJ 2001 — 2005
High School
AIG January 2013 - Present
Global ShareResource Foundation February 2007 - January 2014
Agins, Siegel, & Reiner, LLP June 2010 - January 2012
Gabor & Marotta LLC February 2008 - June 2010
Financial Industry Regulatory Authority February 2007 - May 2007
Epiq Systems October 2006 - May 2007
BLS Legal Services, Inc. September 2005 - May 2007
U.S. District Court May 2005 - September 2005
Dowd & Marotta LLC 2002 - 2004
UNDP May 1996 - September 1996
Skills
Litigation, Courts, Bankruptcy, Securities, Legal Research, Insurance, Business Development, International, Global Trade Management, Competition Law, Legal Writing, Arbitration, Civil Litigation, Intellectual Property, Lexis, Appeals, Commercial Litigation, Pleadings, Patents, FINRA, Motions, Westlaw, Dispute Resolution, Copyright Law, Alternative Dispute..., Legal Issues, Contract Law, Entertainment Law, Trademark Infringement, Depositions, Mediation, Legal Assistance, Business Transactions, Internal Investigations, Legal Compliance, Legal Advice, Document Review, Property Law, Wills, Securities Litigation, Litigation Management, Class Actions, Family Law, Torts, Trials
Education
Brooklyn Law School 2004 — 2007
Juris Doctor, Law
University of Rochester 1998 — 2002
BA, Political Science / International Relations
The Browning School 1984 — 1998
The International Baccalaureate March 2015 - Present
Independent August 2014 - Present
Financial Industry Regulatory Authority August 2012 - July 2014
OST, Inc. April 2012 - September 2012
Hewlett-Packard August 2009 - April 2012
EDS Corporation June 1999 - August 2009
FINRA October 1986 - June 1999
Skills
Program Management, Process Improvement, PMO, PMP, IT Strategy, Project Portfolio..., IT Service Management, Software Project..., SDLC, Business Process, Resource Management, Business Analysis, Service Delivery, Vendor Management, Business Process..., Governance, Requirements Gathering, MS Project, Team Management, IT Management, Risk Management, Project Planning, IT Transformation, Project Delivery, Project Governance, Certified Project..., Business Requirements, Team Building, Service Management, Strategic Planning, CMMI, Customer Relations, Solutions Development, Business Management, Problem Solving, Process Development, Deployment, Business Architecture, Planning, SLA, IT Financial Management, SOW, Software Development, Process Simulation, Leadership, Customer Service, Solution Architecture, Management, Sla, Project Management
Education
The George Washington University - School of Business
Master of Business Administration (M.B.A.), Finance
Boston University
Bachelor's Degree, Business Administration, Information Systems concentration
Union Bank Investment Services, LLC August 2008 - Present
Citi Smith Barney (Formerly Citicorp Investment Services) March 2003 - August 2008
Citicorp Investment Services 2003 - 2008
Smith Barney 2003 - 2008
Transamerica Financial Advisors, Inc. March 2000 - March 2003
The Prudential Insurance Company of America 1999 - March 2000
GlenFed Brokerage Services (Subsidiary of Glendale Federal Bank (CA)) 1989 - 1999
Diversified Securities, Inc. 1987 - 1989
Financial Industry Regulatory Authority 1984 - 1987
Education
California State University-Northridge
Bachelor of Science, Finance
BAE Systems Inc. June 2013 - Present
Moodee Law Group April 2012 - June 2013
Booz Allen Hamilton July 2009 - March 2012
Fannie Mae May 1996 - August 2008
UBS June 1987 - May 1996
Financial Industry Regulatory Authority January 1986 - May 1987
Skills
Employee Relations, Employment Law, Policy, Contract Negotiation, Corporate Law, Affirmative Action, Severance, Performance Management, Personnel Management, FLSA, Mediation, Risk Management, Corporate Governance, Litigation, Arbitration, Human Resources, Diversity, Legal, Succession Planning, Leadership, Training, Management, Immigration Law, Legal Compliance, Restructuring, FMLA, Securities, Insurance
Education
Brooklyn Law School
JD
Long Island University, Brooklyn Campus
BA, Political Science
Porter Wright Morris & Arthur LLP February 2014 - Present
CACI International Inc January 2012 - February 2014
Financial Industry Regulatory Authority 2010 - 2011
American Diabetes Association 2010 - 2010
Kelley Drye & Warren LLP September 2007 - May 2009
Skills
Civil Litigation, Commercial Litigation, Antitrust Law, Antitrust Counseling, Compliance Regulations, Securities Litigation, Broker-Dealer, Administrative Law, Securities Regulation, Policy, Constitutional Law, Legal Research, Legal Writing, Litigation
Education
Vanderbilt University Law School 2004 — 2007
Doctor of Law (JD), Law
Boston College 2000 — 2004
Bachelor of Arts (B.A.), Political Economy
United States Air Force July 2014 - Present
EY June 2013 - August 2013
Barclays Capital May 2012 - August 2012
Financial Industry Regulatory Authority May 2011 - August 2011
Aegis Capital May 2010 - August 2010
Skills
FX trading, FX Options, Equity Trading, Microsoft Excel
Education
State University of New York at Binghamton 2013 — 2014
Master of Science (MS), Accounting
State University of New York at Binghamton 2009 — 2013
Bachelor of Science, Accounting and Finance
North Shore High School 2005 — 2009
D1 Sports Training January 2015 - Present
The Newton School June 2013 - January 2015
Life Changing Fitness May 2012 - June 2013
Financial Industry Regulatory Authority April 2010 - June 2012
Skills
Fitness, Weight Management, Softball, Coaching, Student Development, Strength & Conditioning, Fundraising, Baseball, Organization, Verbal & Written...
Education
California University of Pennsylvania 2011 — 2012
Master's degree, Health & Exercise Science, 3.5
Shepherd University 2004 — 2008
Bachelor's degree, Recreation & Leisure Studies, 3.1
Financial Industry Regulatory Authority January 2013 - Present
Australia & New Zealand Bank 2010 - 2013
Deutsche Bank 2008 - 2010
National Bank of Canada 2005 - 2008
TD Securities 1996 - 2005
JPMorgan Chase 1983 - 1996
Skills
Credit, Financial Institutions, Counterparty Risk, Credit Risk, Credit Analysis, Risk, Financial Risk, Risk Management, Capital Markets
Education
Stanford University Graduate School of Business 1981 — 1983
Master of Business Administration (MBA), Business Administration and Management, General
Georgetown University
Master of Science (M.S.), Foreign Service
Bowdoin College
Bachelor's degree, Political Science and Government
Financial Industry Regulatory Authority November 2012 - Present
Canon Business Solutions June 2011 - November 2012
IKON Office Solutions May 2008 - October 2010
FedEx March 2006 - November 2007
Skills
Outlook, Microsoft Word, XP, PowerPoint, Windows 7, Microsoft Office, Microsoft Excel, Photoshop, Illustrator, Office Equipment, Fax, Adobe Acrobat, Networking, Computer Repair, Technical Support, Windows XP, Customer Service
Education
Career Technical Institute 2011 — 2012
A+/Network+ Certification, Help Desk/Computer Repair, 3.44
Financial Industry Regulatory Authority April 2013 - Present
State of Washington March 2005 - Present
Estrella Law November 2003 - March 2005
Washington State Department of Social and Health Services (DSHS) 2004 - 2005
Rao & Pierce PLLC June 2002 - January 2003
Seattle University School of Law 2000 - 2003
Whalen, Firestone, Landsman, Fleming, Dixon & Matson 2001 - 2002
Carleton College 1998 - 2000
Carleton College 1998 - 2000
Carleton College 1998 - 2000
Skills
Legal Research, Courts, Depositions, Litigation, Civil Litigation, Administrative Law, Legal Writing, Hearings, Mediation, Westlaw, Appeals, Public Policy, Arbitration, Criminal Law, Securities Litigation, Securities Regulation, Rulemaking, Contract Negotiation, Financial Reporting, Regulatory Compliance, Regulatory Reporting, Regulatory Documentation, SEC, Internal Control..., Employee Training, Office of Comptroller..., Municipal Bonds, Municipal Law, Banking Regulation, Fraud Claims, Fraud Investigations, Policy Analysis, Regulatory Examinations, FINRA Rules and Statutes, State and Federal..., Corporate Governance, Administrative...
Education
Carleton College 1996 — 2000
Bachelor's degree, Religion/Religious Studies
Seattle University School of Law 2000 — 2003
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
U.S. Securities and Exchange Commission June 2015 - Present
Banco Santander January 2015 - June 2015
National Futures Association September 2013 - December 2014
Moody's Corporation April 2013 - September 2013
Alpari (US), LLC September 2012 - December 2012
NYC Department of Finance June 2012 - August 2012
EFG Asset Management January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - November 2011
Moody's Investors Service June 2011 - August 2011
C Cakes February 2006 - August 2010
Skills
Legal Research, Due Diligence, Legal Writing, Westlaw, Securities, Bilingual-Spanish, Compliance, Hedge Funds, Corporate Governance, Legal Compliance, Securities Regulation, Financial Regulation, FINRA, AML, Policy, Corporate Law, Litigation, Anti Money Laundering
Education
Brooklyn Law School 2010 — 2013
Juris Doctor, Corporate and Securities Law
Universita di Bologna 2012 — 2012
Law
Florida International University
Bachelor of Arts, Psychology
Jeffry M. Bauer, JD, P.C. March 1984 - Present
American Red Cross September 1983 - Present
Make-A-Wish Michigan 2002 - January 2014
Financial Industry Regulatory Authority 1986 - January 2014
National Futures Association 1988 - 2014
MDOT MITSC 1998 - 2001
Skills
Arbitration, Dispute Resolution, Telecommunications, Mediation, Communications Law, Commercial Litigation, Alternative Dispute..., Securities, Litigation, Contract Negotiation, Compliance, Negotiation, Strategic Planning, Due Diligence, Public Speaking, Civil Litigation, Program Management, Problem Solving, Legal Research, Insurance, Non-profits, Mergers, Courts, Appeals, Employment Law, Budgets, Bankruptcy, Research, Customer Service, Fundraising, Legal Writing, Nonprofits, Policy, Corporate Governance, Hearings, Licensing, Government, Trials, Corporate Law, Legal Assistance, Family Law, Administrative Law, Criminal Defense, Fraud, Criminal Law, Litigation Management
Education
Naval Justice School 1981 — 1981
Art. 27 T/DC, Military Law
University of Detroit Mercy School of Law 1977 — 1980
JD, Commercial Law
Boston College 1975 — 1977
BA, Government/Economics
University Liggett School 1960 — 1973
diploma, General Studies
Financial Industry Regulatory Authority August 2011 - Present
CMIT SOLUTIONS February 2010 - July 2011
Community for Education Foundation DBA Overcoming Obstacles 2008 - 2008
Ching Rose and Co. 1997 - 2007
Skills
Vendor Management, Risk Management, Management, Team Building, CRM, Data Analysis, Strategic Planning, Analysis, Budgets, Human Resources, Trading, Public Speaking, FINRA
Education
Borough of Manhattan Community College
NEW YORK INSTITUTE OF FINANCE
Commonwealth Financial Network August 2013 - Present
Financial Industry Regulatory Authority February 2013 - Present
Commonwealth Financial Network November 2010 - August 2013
YMCA January 2010 - 2013
Sun Life Financial October 2007 - October 2010
Sun Life Financial September 2005 - October 2007
John Hancock Investments September 2004 - September 2005
MFS Investment Management 2002 - 2004
John Hancock Financial Services September 2000 - February 2002
Evergreen Investments December 1999 - September 2000
Skills
Investments, Mutual Funds, Financial Services, Due Diligence, Securities, Asset Managment, Alternative Investments, Hedge Funds, Internal Controls, Asset Management, Insurance, Relationship Management, Wealth Management, Financial Advisory, Retirement, Risk Management, Enterprise Risk..., Fraud Detection, Project Management, FINRA, Compliance, Hold Series 7
Education
New England College of Business and Finance 2011 — 2014
Master's Degree, Masters in Business Ethics and Compliance, Graduate
Brandeis University 2006 — 2009
MSPM, Project Management
Nichols College 2001 — 2002
MBA, Business
University of Massachusetts, Amherst 1993 — 1997
University of Arizona
Newton South High Schools 1989 — 1993
High School
SIFMA March 2013 - Present
Financial Industry Regulatory Authority May 2011 - March 2013
Financial Industry Regulatory Authority June 2010 - May 2011
NYSE Regulation - Market Surveillance July 2008 - June 2010
Bear Stearns October 2007 - July 2008
US Securities and Exchange Commission January 2007 - April 2007
NYSE May 2006 - November 2006
Morgan Stanley, Compliance January 2006 - April 2006
Skills
FINRA, Securities, Equities, Capital Markets, Trading, Legal Writing, Legal Research, Financial Regulation, Equity Trading, Options
Education
Brooklyn Law School 2004 — 2007
University at Albany, SUNY 2000 — 2004
BS, Finance, Economics
JPMorgan Chase December 2013 - Present
Morgan Stanley July 2012 - December 2013
Financial Industry Regulatory Authority 2001 - 2011
US Securities and Exchange Commission August 2000 - December 2000
NYSE Euronext August 1999 - May 2000
Milbank, Tweed, Hadley & McCloy LLP October 1996 - July 1998
Skills
FINRA, Enforcement, NYSE, Securities Regulation, compliance, Securities, Securities Fraud, French, Portuguese, Investigation, Appeals, Financial Regulation, Legal Compliance, Private Investigations, Equities, Capital Markets, Fraud, Legal Writing, Corporate Governance, Litigation, Compliance, Anti Money Laundering, Hedge Funds
Education
Brooklyn Law School 1998 — 2001
Doctor of Law (JD)
Washington University in St. Louis 1992 — 1996
Bachelor of Arts (B.A.), French and International Studies
Meltzer, Lippe, Goldstein & Breitstone, LLP June 2011 - May 2012
Professor Norman Poser June 2010 - May 2012
Financial Industry Regulatory Authority September 2010 - December 2010
Michael Kors September 2010 - December 2010
Skills
Microsoft Office, Social Media, Microsoft Word, Advertising, Blogging, Microsoft Excel, PowerPoint, Corporate Law, Marketing, Customer Service, Public Speaking, Social Networking, Employment Law, Social Media Marketing, Research, Legal Research
Education
Brooklyn Law School 2009 — 2012
Juris Doctorate
SUNY at Buffalo 2005 — 2009
Bachelor of Arts (B.A.), Liberal Arts and Sciences, General Studies and Humanities, 4.0
Port Authority of NY & NJ November 2012 - Present
Boston College Legal Assistance Bureau January 2012 - May 2012
Hiscock & Barclay, LLP September 2011 - December 2011
Financial Industry Regulatory Authority May 2011 - August 2011
Honorable Robert B. Collings January 2011 - April 2011
Norfolk County District Attorney June 2010 - August 2010
Cleary Gottlieb Steen & Hamilton LLP June 2007 - July 2009
Hamilton College Office of Admissions August 2006 - May 2007
Gravitas Communications June 2006 - August 2006
The Office of Manhattan Borough President Scott Stringer June 2005 - August 2005
Skills
Corporate Law, Legal Writing, Editing, Research, Legal Research, Spanish, Contract Negotiation, Writing, Public Speaking, Procurement Contracts, Arbitration, Civil Litigation, Bankruptcy, Dispute Resolution, Criminal Law, Motions
Education
Boston College Law School 2009 — 2012
J.D.
Hamilton College 2003 — 2007
B.A., World Politics
Universidad de Sevilla 2005 — 2005
Study Abroad
Pine Crest Preparatory School 1999 — 2003
High School
Financial Industry Regulatory Authority January 1994 - Present
Port Authority of NY and NJ April 1976 - April 1985
Skills
Outlook, Microsoft Excel, PowerPoint, Microsoft Word, Research, Microsoft Office, Administrative..., Customer Service, Enterprise Software, MAGI, CRD, Lexis Nexis, Data Entry, Proofreading, Billing Process, Telephone Customer..., Office Management
Education
Brookdale Community College
Associate's degree, Social Science
U.S. Department of Justice March 2014 - Present
Financial Industry Regulatory Authority September 2013 - December 2013
U.S. Securities and Exchange Commission May 2013 - August 2013
Federal Trade Commission June 2012 - August 2012
U.S. House of Representatives August 2007 - August 2011
Wayne County Third Circuit Court July 2006 - August 2006
Washtenaw County Office of Public Defender September 2005 - December 2005
Skills
Government, Research, Public Policy, Legal Research, Government Relations, Policy Analysis, Legislative, Political Science, Politics, Legislative Relations, International Relations, Political Campaigns, Press Releases, Legislation, Legislative Research, Policy, Community Outreach, Grassroots Organizing, Federal Government, Public Speaking, Strategic Communications, Lexis, Coalitions, Criminal Law, Trials, Grants, Westlaw, Nonprofits, Grant Writing, Courts, Civil Litigation, Foreign Policy, Fundraising, Legislative Affairs, Litigation, Appropriations, Political Consulting, Constituent Services, Public Affairs, Political Communication, Speech Writing, State Government, Governmental Affairs, Administrative Law, Legal Writing, Congress, Community Organizing, Policy Research, International Law, Message Development
Education
Boston College Law School 2011 — 2013
J.D.
University of Michigan 2003 — 2007
B.A, Political Science, Psychology and Sociology
Thomson Reuters August 2013 - Present
Brooklyn Law School January 2013 - July 2013
Storch Amini & Munves, PC January 2011 - January 2013
Kings County Supreme Court Law Department September 2010 - December 2010
Warnaco, Inc January 2010 - April 2010
Financial Industry Regulatory Authority September 2009 - December 2009
Federal Deposit Insurance Corporation May 2009 - August 2009
Chambers of Hon. Harold Baer January 2009 - April 2009
Boston City Council May 2008 - August 2008
Skills
Legal, Social Media, Social Networking, Law Firms, Legal Research, Legal Information, Legal Consulting, Recruiting, Litigation, Legal Assistance, Intellectual Property
Education
Brooklyn Law School 2008 — 2010
J.D., Magna Cum Laude
University of Sydney 2005 — 2006
Master's Degree, Public Policy
University of Richmond 2001 — 2005
School of Arts; Bachelor of Arts, and Sciences; Political Science; Liberal Arts; Dance
Financial Industry Regulatory Authority January 2013 - Present
FINRA April 2006 - December 2012
HP Enterprise Services March 2006 - December 2012
JPMorgan Chase June 2003 - March 2006
Cognizant Technology March 2001 - March 2006
Providian Financial March 2001 - May 2003
Tata Consultancy Services September 1999 - March 2001
TCS 1999 - 2001
Skills
Amazon Web Services..., Hadoop, Hive, Data Warehousing, ETL, HBase, Splunk, IT Service Management, Performance Tuning, ITIL, Solution Architecture, Data Warehouse..., Data Modeling, Database Design, Netezza, Datastage, Web Services, PL/SQL, Enterprise Architecture, Big Data, Unix, Greenplum, Database Administration, SOA, Application Architecture, Shell Scripting, Oracle, Software Project..., Unix Shell Scripting, Databases, SDLC, Data Integration, Requirements Analysis, PostgreSQL, ITIL Certified, Business Continuity, Project Management, Operations Management, Process Management
Education
Bharathiar University 1996 — 1999
MCA, Computer Applications
Madras Christian College 1993 — 1996
Bsc, Physics
Kendriya Vidyalaya 1985 — 1993
Financial Industry Regulatory Authority October 2010 - Present
Berke Legal Consulting Services March 2007 - Present
Primavera Systems, Inc. 2007 - 2008
Tyco Fire & Building Products March 2006 - March 2007
Fenningham, Stevens & Dempster LLP June 1998 - March 2007
Skills
Contract Negotiation, Insurance, Strategic Planning, Legal Research, Legal Writing, Intellectual Property, Team Leadership, Corporate Law, Mediation, Litigation, Employment Law, Negotiation, Licensing, Security, Due Diligence, Arbitration, Commercial Litigation, Trials
Education
Maurice A. Deane School of Law at Hofstra University 1994 — 1997
JD, Law
Binghamton University 1990 — 1994
BA, Political Science, concentration in Public Policy Analysis and Administration
AIG Property Casualty September 2014 - Present
AIG Property Casualty January 2014 - August 2014
AIG Property Casualty January 2013 - December 2013
The Regulatory Fundamentals Group LLC September 2011 - December 2012
Kings County Supreme Court August 2011 - September 2011
New York City Law Department January 2011 - April 2011
Brooklyn Law School May 2010 - April 2011
Financial Industry Regulatory Authority May 2010 - August 2010
Office of the Attorney General of the State of New York March 2010 - May 2010
NYSE August 2009 - December 2009
Skills
Securities Regulation, Financial Regulation, Securities, Corporate Governance, Corporate Finance, Investment Advisers Act, Legal Compliance, Legal Research, Dodd-Frank, Hedge Funds, CFTC, CFTC Regulation, Insurance Law, Global Regulatory..., Mediation, Compliance, Westlaw, Legal Writing, Commodity Exchange Act, Securities Exchange Act..., Insurance, Risk Management, Risk Assessment, OFAC, Economic Sanctions, Anti-corruption, AML, Anti-bribery, FCPA, Employment Practices..., D&O, E&O, Anti Money Laundering
Education
Brooklyn Law School 2008 — 2011
Juris Doctor, Business Law Certificate
Cornell University 2004 — 2006
Bachelor of Science, Policy Analysis and Management
Binghamton University 2002 — 2004
English Language and Literature, General
Bronx High School of Science 1998 — 2002
High School Diploma
Columbia College March 2015 - Present
Deutsche Bank July 2014 - Present
Financial Industry Regulatory Authority June 2012 - July 2014
H. Beck, Inc. August 2011 - May 2012
Capitol Financial Solutions August 2009 - March 2011
UBS Wealth Management January 2008 - October 2008
Wachovia Securities Financial Network October 2006 - January 2008
Skills
Series 24, Strategic Financial..., Asset Management, Investments, Securities, Microsoft Word, Research, PowerPoint, Series 7, Uniform Combined State..., Equities, Microsoft Office, Mutual Funds, FINRA, Customer Service, Risk Management, Financial Analysis
Education
University of Massachusetts Boston 2011 — 2014
Master of Arts (M.A.), Applied Linguistics
Capella University 2007 — 2010
Master of Business Administration (M.B.A.), Marketing/Marketing Management, General
James Madison University 2002 — 2006
Bachelor of Arts (B.A.), Foreign Languages and Literatures, General
James Madison University - College of Business 2002 — 2006
Bachelor of Business Administration (B.B.A.), International Business
Financial Industry Regulatory Authority March 2014 - March 2015
ICANN October 2013 - March 2014
New York Law School Securities Arbitration Clinic August 2011 - May 2012
TreppPort, LLC September 2011 - April 2012
Zurich Financial Services May 2011 - August 2011
New York Law School August 2010 - May 2011
Financial Industry Regulatory Authority January 2011 - April 2011
Skills
Legal Research, Securities, Corporate Law, Securities Regulation, Commercial Litigation, Legal Writing, Policy, Insurance, Criminal Law, Trials, Arbitration, Litigation, Corporate Governance, Civil Litigation, Westlaw
Education
New York Law School 2009 — 2012
Juris Doctor:, Securities Law, Corporate Law, Business Law and Policy
Brigham Young University 2004 — 2009
BA, History, Family Consumer Sciences
Clifton Budd & DeMaria September 2013 - Present
United States Postal Service January 2013 - April 2013
National Labor Relations Board, Division of Judges August 2012 - November 2012
National Labor Relations Board June 2012 - August 2012
Financial Industry Regulatory Authority January 2012 - April 2012
Brooklyn Law School August 2011 - December 2011
Legal Aid Society of Rochester June 2011 - August 2011
Cornell University February 2010 - September 2010
Monroe County District Attorney May 2009 - August 2009
Rochester Institute of Technology May 2009 - August 2009
Skills
Excel, PowerPoint, Microsoft Office, Research, Employment Law, Alternative Dispute..., Microsoft Excel, Mediation, Courts, Civil Litigation, Criminal Law, Traditional Labor Law, Dispute Resolution, Arbitration, Employment..., Class Actions, Bankruptcy
Education
Brooklyn Law School 2010 — 2013
J.D., Labor and Employment Law; Alternative Dispute Resolution
Cornell University 2007 — 2010
Bachelor of Science, Industrial and Labor Relations, Dean’s List, five semesters
American Express December 2014 - Present
Barclays Investment Bank March 2014 - December 2014
Barclays Investment Bank August 2011 - March 2014
Financial Industry Regulatory Authority May 2009 - December 2009
Skills
Securities Regulation, Securities, Regulatory Affairs, Compliance, Legal Research, Equities, Legal Writing, Investment Banking, Derivatives, Operational Risk..., Project Management
Education
Brooklyn Law School
Doctor of Law (J.D.)
Cornell University
Bachelor of Science (B.S.), Policy Analysis and Management
Financial Industry Regulatory Authority April 2011 - Present
Heavywater LTD October 2007 - Present
Data-Com Telecommunications October 2002 - October 2007
Graphnet March 1999 - July 2002
DataCard Corporation January 1997 - March 1999
Express Computer Services December 1995 - April 1997
Skills
VoIP, Switches, WAN, Routers, Troubleshooting, Disaster Recovery, LAN-WAN, Servers, Networking, Avaya, Hardware, Software Installation, Technical Support, Cabling, Computer Hardware, Software Documentation, Call Centers, IVR, Frame Relay, ISDN, Help Desk Support, T1, Unified Messaging, Project Management, IIS, Contact Centers, Video Conferencing, Management, HP, Telecommunications, Unified Communications, Cisco Technologies, Printers, Wireless, Sales Engineering, Training, IP, Data Center, Routing, SIP, Telephony, Network Design, MPLS, Network Engineering, Technical Writing, Network Architecture, Ethernet, VPN, TCP/IP, Programming
Education
Training at Avaya 2010 — 2010
ACSS, SME Communications
Dover Business College 1993 — 1995
Electronic Technology/Computer Repair Diploma
Aspect Corp.
Contact Center admintration and maintenance
Bergen Community College
Computer Science
Global Knowledge International
BCM, Design and Implementation
Global Knowledge International
Avaya Session and System Manager Administration
Training at Nortel
BCM/SRG, VOIP implementation
Wave Technologies International
MCSE
Morgan, Lewis & Bockius LLP December 2012 - Present
Fried Frank 2008 - November 2012
Financial Industry Regulatory Authority 2007 - 2008
NYSE Regulation Inc 2004 - 2007
Sidley Austin 2001 - 2004
Skills
Securities Regulation, Financial Regulation, Securities, Legal Compliance, Corporate Law, Legal Research, Private Equity, FINRA, Hedge Funds, Private Placements, Securities Litigation, Corporate Governance, Legal Writing, Commercial Litigation, Litigation, Legal Advice, Due Diligence, Lexis, Courts, Westlaw, Civil Litigation
Education
Brooklyn Law School 2004 — 2008
Juris Doctor
New York University 2000 — 2004
LI Lutheran High School
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Financial Industry Regulatory Authority June 2014 - June 2015
Financial Industry Regulatory Authority January 2014 - April 2014
United States District Court for the Eastern District of New York January 2013 - April 2013
Satterlee Stephens Burke & Burke LLP June 2009 - July 2011
Education
Brooklyn Law School 2011 — 2014
Juris Doctor (J.D.)
Tulane University 2005 — 2009
BA, History
Jim Barlow Advisors & Cetera Advisor Networks LLC 2001 - Present
Financial Industry Regulatory Authority 2011 - Present
The Church of Jesus Christ of Latter-day Saints July 2014 - Present
Weber State University 1999 - 2012
Clearfield City 1998 - 2006
Brigham Young University 1987 - 2002
Zions Investments Securities Inc. 1988 - 2001
EF Hutton 1985 - 1988
Skills
Asset Allocation, Investment Management, Investment Advisory..., Retirement Planning, Life Insurance, Certified Financial..., Strategic Financial..., Investment Strategies, Financial Advisory, Mutual Funds, Securities, Fixed Income, Disability Insurance, Investments, Fixed Annuities, Long-term Care, Financial Services, IRAs, Personal Financial..., Investment Advisory, 401k, Retirement, Insurance, Hedge Funds, Pensions, FINRA, Strategy, Financial Planners, Wealth Management, Equities, Series 7, Bonds, Separately Managed..., Variable Annuities, 401k Rollovers, REIT, Qualified Retirement..., Wealth Accumulation, 529 Plans, Defined Benefit, Retirement Plan..., Wealth Management..., High Net Worth..., Series 24, Asset Management, Portfolio Management, Alternative Investments, Wealth
Education
Brigham Young University 1969 — 1975
Bachelor of Science (B.S.), Marketing
College for Financial Planning
Master of Science (M.S.), Financial Planning and Services
Mediators Beyond Borders 2012 - Present
American Arbitration Association 2009 - Present
Financial Industry Regulatory Authority 2007 - Present
Seeche Dispute Resolution and Nonprofit Strategy Consulting 2005 - Present
Yad Chessed 2010 - April 2013
Public Conversations Project October 2010 - 2013
Facing Cancer Toegether 2009 - 2011
New England Association for Conflict Resolution 2007 - 2008
Jewish Community Day School of Boston 2004 - 2006
Arthur Andersen 1996 - 2001
Skills
Mediation, Dispute Resolution, Conflict Resolution, Arbitration, Non-profits, Tax, Negotiation, Alternative Dispute..., Facilitators, Mergers & Acquisitions, Nonprofits, Program Management, Public Speaking, Securities, Conflict Management, Litigation, Leadership Development, Workshop Facilitation, Strategic Planning
Education
Boston University School of Law 1974 — 1977
LLM, Taxation
Boston College Law School 1971 — 1974
JD, Tax Law/Taxation
Northeastern University 1969 — 1971
MS, Accounting
Boston University 1968 — 1969
AB, Psychology
University of Rochester 1965 — 1967
Transferred, Psychology
Financial Industry Regulatory Authority July 2012 - Present
Davis Polk & Wardwell LLP July 2010 - July 2012
Davis Polk & Wardwell February 2009 - July 2010
Securities and Exchange Commission 1993 - 2009
Skills
Securities, Corporate Governance, Corporate Law, Legal Research, Commercial Litigation, FINRA, Banking Law, Legal Advice, Dodd-Frank, Cross-border..., Legal Issues, Equities
Education
Harvard Law School 1977 — 1980
JD, Law
Bowdoin College 1973 — 1977
BA, History, Economics
Staples High School 1970 — 1973
Financial Industry Regulatory Authority June 2014 - Present
Novetta Solutions (formerly White Oak Technologies, Inc.) January 2008 - May 2014
AOL May 1998 - December 2007
AceComm January 1996 - April 1998
Skills
Python, C++, PostgreSQL, Perl, MySQL, Machine Learning, Algorithms, Django, Data Mining, jQuery, Oracle, Distributed Systems, Software Engineering, Linux, Java, Unix, Agile Methodologies, C, Software Development, Subversion, JavaScript, Computer Science
Education
Drexel University 1990 — 1994
BS, Electrical and Computer Engineering
Carnegie Mellon University 1988 — 1992
pursued BS, Computer Engineering
Hamlin Capital Management, LLC July 2015 - Present
Satovsky Asset Management February 2013 - June 2015
Satovsky Asset Management August 2012 - February 2013
US Securities and Exchange Commission January 2012 - April 2012
Robbins Geller Rudman & Dowd LLP June 2011 - July 2011
Financial Industry Regulatory Authority September 2010 - May 2011
U.S. District Court (S.D.N.Y.) June 2010 - August 2010
Skills
Legal Research, Legal Writing, Securities Regulation, Westlaw, Litigation, Corporate Law, Civil Litigation, Securities, Securities Litigation, Investment Company Act, FINRA, Investment Advisers Act, Equity Research, Portfolio Management, Capital Markets, Analysis, Asset Allocation, Correlation Analysis, Monte Carlo modeling, Asset Management, Hedge Funds, Investments, Equities, Bloomberg, Due Diligence, Corporate Governance, Private Equity, Legal Compliance
Education
Brooklyn Law School 2009 — 2012
JD cum laude, Certificate in Business Law
East Brunswick High School
Penn State University
Bachelor of Arts, Philosophy
HighTower 2015 - Present
National Futures Association October 2013 - January 2015
LDM Securities Consulting January 2011 - October 2013
Terra Nova Financial June 2009 - December 2010
Optiver 2008 - 2009
KPMG 2002 - 2008
Financial Industry Regulatory Authority 1996 - 2002
Skills
Securities Regulation, Compliance, Back Office, Operations, Financial Reporting, Proprietary Trading, Equities Trading, Options Trading, Advertising, AML, Registration, Soft Dollar, Foreign Finders, Options, Securities, Trading, Prime Brokerage, Market Making, Broker-Dealer, Trading Systems, Fixed Income, Corporate Actions, Derivatives, SEC, FINRA, Asset Management, Financial Markets, Financial Risk, Hedge Funds, Start-ups, Capital Markets, Series 7, Risk Management, Operational Risk, Equities, Alternative Investments, Financial Services, Finance, Investments, Auditing, Portfolio Management, Internal Controls, Equity Derivatives, Fund Of Funds, Bloomberg, Anti Money Laundering
Education
Boston University
BS, Finance
Gordon Tech HS
Farmers Insurance August 2015 - Present
CA Technologies August 2014 - August 2015
CA Technologies August 2013 - August 2014
CA Technologies July 2012 - August 2013
Financial Industry Regulatory Authority May 2011 - August 2011
Enterprise Holdings Inc. April 2010 - August 2010
U.S. House of Representatives June 2006 - August 2007
Skills
Spanish (Proficient), Excel, SPSS, PowerPoint, Data Analysis, Microsoft Office, Microsoft Word, Access, Research, Public Speaking, Analysis, Social Media, Fundraising, Non-profits, Event Planning, Microsoft Excel, Marketing, Finance, Business Analysis, Communication, Financial Analysis
Education
Binghamton University - School of Management 2013 — 2014
Master of Business Administration (M.B.A.), Business Administration and Management, General, 3.84
Binghamton University - School of Management 2008 — 2012
BS, Finance and Management, 3.6
University of Hawaii at Manoa 2010 — 2010
BS, Finance and Management
Snell & Wilmer March 2015 - Present
Houser & Allison, APC November 2012 - March 2015
Lewis and Roca LLP 2007 - 2012
Alverson Taylor Mortensen & Sanders August 2006 - March 2007
Financial Industry Regulatory Authority May 2005 - August 2005
Skills
Litigation, Commercial Litigation, Civil Litigation, Product Liability, Legal Research, Legal Writing, Courts, Trade Secrets, Personal Injury..., Bankruptcy, Trademarks, Arbitration, Trials, Personal Injury, Consumer Law, Consumer Lending, Appeals
Education
University of Utah S.J. Quinney College of Law 2003 — 2006
J.D., Law
Brigham Young University 1998 — 2003
Bachelor of Arts (B.A.), English Language and Literature, General
The Blackstone Group August 2013 - Present
The Blackstone Group January 2013 - August 2013
The Fiorentino Law Firm, P.C. September 2012 - June 2013
KKR September 2012 - December 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Professor David Reiss, Brooklyn Law School August 2011 - August 2012
EFG Asset Management January 2012 - April 2012
New Jersey Office of the Attorney General September 2011 - December 2011
Oppenheimer & Co. June 2011 - September 2011
World Information Transfer June 2009 - September 2009
Education
Brooklyn Law School 2010 — 2013
JD, Law
Rutgers University 2006 — 2010
BA, Political Science
立命館大学 / Ritsumeikan University 2009 — 2009
Winter Exchange Program, Political Science
Stifel Financial Corp. 2012 - Present
Financial Industry Regulatory Authority January 2012 - May 2012
Stifel Nicolaus & Company, Inc. May 2010 - January 2012
Zachys Wine Auctions Inc October 2007 - October 2009
Skills
Strategic Planning, Valuation, Investments, Financial Modeling, Securities, Due Diligence
Education
Brooklyn Law School 2009 — 2012
Juris Doctor, Business Law
Duke University 2001 — 2005
Bachelor of Arts, History
Clifford Chance US LLP September 2015 - Present
U.S. Securities and Exchange Commission September 2014 - December 2014
Allianz Global Investors June 2014 - August 2014
Financial Industry Regulatory Authority January 2014 - April 2014
United States Bankruptcy Court, E.D.N.Y. May 2013 - December 2013
Cravath, Swaine & Moore LLP July 2010 - July 2012
Cravath, Swaine & Moore LLP June 2009 - August 2009
Strategies for Wealth May 2008 - August 2008
Skills
Legal Research, Westlaw, Lexis, Litigation, Corporate Law
Education
Brooklyn Law School
University of Miami 2006 — 2010
BBA, Business Law, International Studies
Tel Aviv University 2009 — 2009
Financial Industry Regulatory Authority April 2014 - Present
JPMorgan Chase October 2013 - March 2014
Intellectual Property Clinic - Center for Law and Innovation January 2013 - May 2013
Hudson Cook, LLP August 2012 - January 2013
Cumberland Legal Aid Clinic August 2012 - January 2013
Greater Boston Legal Services May 2012 - August 2012
United States Attorney's Office January 2012 - May 2012
Pierce Atwood September 2011 - December 2011
New York Supreme Court (Commercial Division) May 2011 - August 2011
Columbia University Medical Center March 2010 - August 2010
Skills
Legal Research, Legal Writing, Microsoft Office, Microsoft Excel, Research, Human Rights, Public Speaking, Teaching, Bankruptcy, Westlaw, Public Policy, Civil Litigation, Appeals, Corporate Law, Litigation
Education
University of Maine School of Law 2010 — 2013
Juris Doctor, Law
Boston College 2004 — 2008
B.A., International Studies and Economics
Georgetown University 2005 — 2005
Bachelor of Arts (BA), Economics and Political Science
Cheverus High School 2002 — 2004
High School Degree
UBS March 2015 - Present
National Futures Association September 2013 - March 2015
Citi February 2013 - September 2013
Financial Industry Regulatory Authority September 2012 - December 2012
Skills
Securities, AML, Securities Regulation, FINRA, Due Diligence, Financial Regulation, Fixed Income, Investments, Equities, Capital Markets
Education
Brooklyn Law School 2009 — 2012
JD
Yeshiva University 2003 — 2008
BA; AA, Economics and Sociology; Judaic Studies
U.S. Securities and Exchange Commission June 2015 - Present
K&L Gates May 2015 - May 2015
Financial Industry Regulatory Authority November 2012 - June 2014
Financial Industry Regulatory Authority (FINRA) March 2009 - November 2012
Macroeconomic Advisers June 2007 - March 2009
Back Bay Financial Group May 2005 - May 2007
Skills
Analysis, FINRA, Economics, Macroeconomics, Securities, Securities Regulation, Research, Microsoft Office, Financial Regulation, Mutual Funds, Bloomberg, Financial Markets, Equities, Mathematics, SEC Regulations, Legal Research, LexisNexis, Westlaw, Legal Writing
Education
University of Virginia School of Law 2014 — 2017
J.D. Expected
Boston College 2003 — 2007
Bachelor of Science (B.S.), Management Major with a Concentration in Economics and a Minor in Mathematics
American Family Insurance March 2014 - Present
Financial Industry Regulatory Authority September 2004 - Present
CENTURY 21 REALTY/SOLID SOURCE REALTY/WYND REALTY January 2004 - Present
Sterling, Winchester & Long January 2006 - March 2014
Cobb County Superior Court April 2007 - April 2009
UNITED STATES POSTAL SERVICES January 1988 - January 2004
Skills
Employee Relations, Customer Service, Contract Negotiation, Real Estate, Conflict Resolution, Labor Relations, Organizational..., Employment Law, Leadership, Teaching, Communication, Team Building, Negotiation, HR Policies, Human Resource..., Change Management, Coaching, Interviews, Project Management, Policy, Personnel Management, Management, Workforce Planning, Strategy, Onboarding, Training
Education
Capella University 2011 — 2013
Bachelor of Science (BS), Business Administration Specializing in Human Resources, 4.0
Dekalb Tech 2009 — 2011
Associate of Arts and Sciences (A.A.S.), Human Resources Management, 3.8
The Gaddy School 2004 — 2004
Real Estate
Tidewater Community College, Virginia 1999 — 2001
Clinipace Worldwide May 2014 - July 2014
Financial Industry Regulatory Authority May 2013 - August 2013
First Citizens Bank May 2005 - August 2011
SECU January 2004 - May 2005
Skills
Securities, Legal Research, Finance, Corporate Finance, Corporate Law, Legal Writing, Banking, Retail Banking, Security Operations, Data Center, Dance, Contemporary Dance, Modern Dance, Ballet, Choreography, Cash Management, Team Leadership, Teamwork, Interpersonal..., Teaching, Teaching Adults, Piano, Options, FINRA, Mutual Funds, Estate Planning, Customer Service, Leadership, Microsoft Excel, Public Speaking
Education
Campbell University, Norman Adrian Wiggins School of Law 2011 — 2014
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
North Carolina State University 2000 — 2003
Bachelor of Science (BS), Business with a Finance, Concentration
Financial Industry Regulatory Authority May 2013 - Present
Snyder Kearney LLC September 2009 - May 2013
Columbia Aquatics Association May 2009 - August 2010
Skills
Securities, Financial Analysis, Portfolio Management, Mediation, FINRA, Securities Regulation
Education
Bucknell University 2005 — 2009
Bachelor of Arts (B.A.), English and French
Financial Industry Regulatory Authority April 1998 - Present
Skills
Analysis, Customer Service, Equities, FINRA, Financial Regulation, Mutual Funds, Securities, Banking, Finance, Strategic Planning, Due Diligence, Business Analysis, Leadership
Education
University of Phoenix
Master of Science, Computer Information Systems
California State University-Long Beach
Bachelor of Science (B.S.), Business Administration: Accountancy
Financial Industry Regulatory Authority May 2013 - Present
Education
Seton Hall University School of Law 2009 — 2013
Doctor of Law (J.D.)
Bucknell University 2005 — 2009
Bachelor of Arts (B.A.), cum laude, Economics & Classics
Goodwin Procter LLP August 2015 - Present
Wilson Sonsini Goodrich & Rosati September 2014 - August 2015
Kirkland & Ellis LLP August 2013 - August 2014
Kirkland & Ellis LLP February 2013 - May 2013
UC Berkeley September 2012 - January 2013
Financial Industry Regulatory Authority January 2012 - April 2012
Boston University School of Law September 2011 - April 2012
InsideTrack April 2006 - May 2009
Education
University of California, Berkeley - School of Law
Master of Laws (LL.M.), Corporate Law
Boston University School of Law
J.D., Securities Regulation, Corporate Law
Wheaton College
B.A.
CRT Capital Group LLC May 2001 - Present
UBS Investment Bank July 1997 - May 2001
Financial Industry Regulatory Authority February 1995 - July 1997
Salomon Brothers May 1990 - February 1995
Skills
Securities, FINRA, Hedge Funds, Series 7, Series 24, Capital Markets, Series 63, Fixed Income, Options, Alternative Investments, Equities, Trading, Derivatives, Asset Management, Bloomberg, Investments
Education
Fordham University - Graduate School of Business Administration 1993 — 1995
Master of Business Administration (MBA), Finance, General
SUNY Binghamton 1986 — 1990
Bachelor of Arts (BA), Economics
Aaronson Rappaport Feinstein & Deutsch, LLP December 2013 - Present
Wilson Elser Moskowitz Edelman & Dicker LLP February 2013 - November 2013
Bruno, Gerbino & Soriano, LLP January 2012 - February 2013
Reis Cooper LLP October 2010 - December 2010
Financial Industry Regulatory Authority January 2010 - August 2010
Queens District Attorney's Office May 2009 - July 2009
Edelman, Krasin & Jaye, PLLC February 2008 - June 2008
Rock 'N' Roll Fantasy Camp March 2007 - April 2007
Cove City Sound Studios, Inc. January 2007 - March 2007
Lifetime Television June 2006 - August 2006
Skills
Litigation, No-Fault, Securities Regulation, Legal Research, Legal Writing, Legal Advice, Legal, Liability, Automobile Liability, Courts, Civil Litigation, Depositions, Motions
Education
Brooklyn Law School 2008 — 2011
Juris Doctor
Indiana University - Jacobs School of Music 2002 — 2006
Bachelor of Science, Recording Arts
Ruskin Moscou Faltischek, PC September 2015 - Present
Landman Corsi Ballaine & Ford P.C. March 2014 - September 2015
Silberstein, Awad & Miklos, P.C. December 2012 - March 2014
Sepe & O'Mahony PLLC September 2012 - November 2012
Steve Zissou & Associates February 2012 - May 2012
Financial Industry Regulatory Authority January 2012 - May 2012
Hofstra University Securities & Arbitration Clinic August 2011 - December 2011
Medallion Financial June 2011 - August 2011
Hofstra Law School May 2011 - August 2011
Hon. Arthur M. Diamond, Nassau County Supreme Court January 2011 - May 2011
Skills
Legal Writing, Courts, Litigation, Corporate Law, Westlaw, Trials, Legal Issues, Legal Research, Commercial Litigation, Employment Law, Civil Litigation, Securities Litigation, Personal Injury, Hearings, Bankruptcy, Corporate Governance, Medical Malpractice, Traditional Labor Law
Education
Hofstra University School of Law 2009 — 2012
Doctor of Law (J.D.), 3.72
SUNY Binghamton 2004 — 2008
Bachelor's degree, Political Science and Government, 3.6
Mobilitie August 2015 - Present
Financial Industry Regulatory Authority June 2014 - August 2014
Mercado and Rengel January 2014 - March 2014
Domestic Violence Courthouse Project January 2013 - June 2013
Nancy Cannon State Farm Insurance Agency January 2011 - May 2011
Susan Davis International September 2010 - December 2010
California Lutheran University August 2008 - August 2010
Skills
Legal Research, Westlaw, Social Media Marketing, Legal Writing, Event Management, Microsoft Office, Community Outreach, Research, Recruiting, Social Media, Public Speaking, Event Planning
Education
DePaul University College of Law 2012 — 2015
Juris Doctor (J.D.)
Universidad Pontificia Comillas 2013 — 2014
LL.M. International and European Business Law, International Business, Trade, and Tax Law
California Lutheran University 2007 — 2011
Bachelor of Arts (B.A.), English
Lutheran College Washington Semester
New York City Law Department July 2011 - Present
Law Office of A. Adam Merhfar March 2011 - July 2011
New York City Law Department August 2010 - May 2011
Financial Industry Regulatory Authority May 2010 - August 2010
Honorable Richard L. Price, New York State Supreme Court, Criminal Division, Bronx, NY January 2010 - May 2010
Honorable S. Allan Alexander, United States District Court, N.D. Miss., Oxford, MS May 2009 - August 2009
Forman Perry Watkins Krutz & Tardy, Jackson, MS 2002 - 2005
Education
Brooklyn Law School 2009 — 2011
J.D., cum laude
University of Mississippi School of Law 2008 — 2009
J.D. Candidate
Mississippi State University 2001 — 2005
B.S., summa cum laude, Education
Nassau County Attorney's Office, Family Court Bureau February 2014 - Present
Nassau County Attorney's Office, General Litigation Bureau October 2013 - February 2014
Nassau County District Attorney’s Office January 2013 - April 2013
Financial Industry Regulatory Authority August 2012 - November 2012
Nassau County Attorney's Office, General Litigation Bureau June 2012 - November 2012
Barket Marion Epstein & Kearon, LLP June 2012 - August 2012
Sleepy's, The Mattress Professionals, In-House Legal Department January 2012 - May 2012
Nassau County Supreme Court for the Honorable Arthur M. Diamond June 2011 - August 2011
Lamb & Barnosky, LLP June 2011 - August 2011
Skills
Legal Writing, Legal Research, Lexis, Westlaw, Litigation, Microsoft Excel, Leadership, Motions, Nonprofits, Criminal Law, Hearings, PowerPoint, Corporate Law, Commercial Litigation, Document Review, Microsoft Office, Public Speaking, Licensing, Trials, Editing, Microsoft Word, Depositions
Education
Hofstra University School of Law 2010 — 2013
Doctor of Law (JD)
Binghamton University - School of Management 2009 — 2010
Master of Business Administration (MBA), Dual Concentration in Leadership & Consulting and Management Information Systems
Binghamton University - School of Management 2006 — 2009
Bachelor of Science (BS), Management; Dual Concentration in Finance and Marketing
Financial Industry Regulatory Authority 2010 - Present
Belcher Fitzgerald LLP 2007 - Present
Manchel & Brennan, P.C. 2005 - 2007
Stroock & Stroock & Lavan LLP 1997 - 2004
Skills
Commercial Litigation, Litigation, Arbitration, Trade Secrets, Dispute Resolution, Civil Litigation, Securities Regulation, Employment Law, Mediation, Securities Arbitration, General Business..., Trial Practice, Securities Litigation, Employment Matters, Complex Litigation, Non-compete Litigation, Business Litigation, Non-compete Agreements, Alternative Dispute..., Trials, Competition Law, Restrictive Covenants, Employment Contracts, Securities
Education
Boston College Law School 1994 — 1997
J.D., cum laude
Rutgers University-New Brunswick 1987 — 1990
B.A.
Saul Ewing LLP September 2007 - Present
Financial Industry Regulatory Authority May 1998 - June 2007
Financial Industry Regulatory Authority July 1995 - May 1998
Philadelphia Stock Exchange October 1990 - July 1995
Skills
Securities Regulation, Securities, Litigation, Commercial Litigation, Civil Litigation, Corporate Governance, Corporate Law, Legal Research, Mergers, White Collar Criminal..., Legal Writing, Due Diligence, Internal Investigations, Securities Litigation, Employment Law
Education
Rutgers University School of Law - Camden 2004 — 2007
Juris Doctor, Law
Drexel University - College of Business and Administration 1999 — 2001
MBA, Management and Finance
Brandeis University 1986 — 1990
BA, Economics
Brown & Altman, LLP May 2015 - Present
Bruckmann & Victory, LLP December 2014 - Present
NewOak October 2014 - December 2014
FXDD January 2014 - June 2014
NYC Department of Small Business Services September 2013 - December 2013
Financial Industry Regulatory Authority January 2013 - May 2013
Supreme Court of New York, Appellate Division September 2012 - December 2012
U.S. Bankruptcy Court, E.D.N.Y. May 2012 - August 2012
Shipkevich PLLC January 2012 - May 2012
The Law Office of Gregory Messer September 2011 - December 2011
Skills
Corporate Law, Legal Issues, Securities, Research, Hearings, Securities Regulation, Finance, Editing, Analysis, Legal Research, Pleadings, Legal Writing, Litigation, Lexis
Education
Brooklyn Law School 2010 — 2013
Doctor of Law (J.D.)
Villanova University 2001 — 2005
Bachelor of Science (B.S.), Finance & Marketing
Bowditch & Dewey, LLP March 2013 - Present
Tarlow Breed Hart & Rodgers, P.C. February 2011 - March 2013
Altran October 2010 - February 2011
Parker Scheer June 2009 - August 2009
Shoffner & Associates May 2009 - August 2009
Massachusetts Bar Association June 2008 - July 2009
Financial Industry Regulatory Authority September 2008 - December 2008
Office of the Secretary of the Commonwealth January 2008 - August 2008
Law Offices of J.D. Geraigery May 2007 - August 2007
Skills
Tax Law, Corporate Law, Business Law, Estate Planning, Mergers & Acquisitions, Non-profit Consulting
Education
Boston University School of Law 2011 — 2013
LL.M., Taxation
Suffolk University - Sawyer Business School 2008 — 2010
M.B.A., Business/Finance
Suffolk University Law School 2006 — 2010
J.D., Business Law and Financial Services
Vanderbilt University 2001 — 2005
B.S., Human & Organizational Development
Ernst & Young July 2012 - Present
Financial Industry Regulatory Authority August 2010 - April 2011
Husch Blackwell May 2010 - August 2010
Business Software Alliance January 2006 - June 2008
Education
Northwestern University School of Law 2011 — 2012
LL.M., Taxation
Chicago-Kent College of Law, Illinois Institute of Technology 2008 — 2011
J.D.
Carleton College 2001 — 2005
B.A.
Software Consortium November 2011 - Present
Bekwam, Inc. November 2007 - Present
ecommbi March 2012 - March 2012
New Age Tech October 2011 - November 2011
Marriott International January 2010 - January 2011
AAJ Interactive Technologies February 2010 - September 2010
Tech Systems, Inc June 2009 - June 2010
Marriott International 2009 - February 2010
Financial Industry Regulatory Authority July 2008 - July 2009
FINRA 2008 - 2009
Skills
Java Enterprise Edition, RichFaces, Talend Open Studio, Jasper Reports, JSF, Hibernate, EJB
Education
The Johns Hopkins University - Carey Business School 1999 — 2004
Masters, Business Administration
Bucknell University 1989 — 1993
Bachelor of Science, Computer Science and Engineering
Financial Industry Regulatory Authority June 2011 - Present
Skills
Microsoft Excel, Securities, Equities, FINRA, Public Speaking, Broker-Dealer, Financial Analysis, Team Leadership, Fixed Income, Capital Markets, PowerPoint, Access, AML, Risk Management, Hedge Funds
Education
Binghamton University 2007 — 2011
Binghamton University - School of Management 2007 — 2011
Marketing, Consulting & Leadership
Office of the Comptroller of the Currency January 2014 - Present
Corporate Executive Board March 2012 - December 2013
ASR Analytics, LLC April 2010 - March 2012
Li Yuan Primary School August 2009 - March 2010
The Leona M. and Harry B. Helmsley Charitable Trust May 2009 - July 2009
Financial Industry Regulatory Authority May 2008 - August 2008
Barclays Bank March 2008 - May 2008
Skills
Data Analysis, Strategy, Economics, SAS, Quantitative Analytics, Econometrics, R, Tableau, Data Validation, Data Visualization, Management Consulting, SPSS, Survey Design, Survey Research, Benchmarking
Education
Stanford University 2015 — 2016
Certificate in Data Mining and Applications, Statistics
Boston University 2007 — 2009
Master's degree, Economics
Boston University 2005 — 2009
Bachelor's degree, Economics
Financial Industry Regulatory Authority August 2007 - Present
New York Stock Exchange May 1999 - August 2007
Graubard Miller January 1999 - May 1999
Singer Frumento LLP September 1995 - January 1999
Skills
Securities Regulation, Financial Regulation, SEC, Securities, Corporate Governance, Securities Litigation, AML, FINRA, Capital Markets, Litigation, Corporate Law, Legal Compliance, FCPA, Arbitration, Dodd-Frank
Education
Brooklyn Law School 1993 — 1996
Global Resolution February 1995 - Present
American Arbitration Association July 2014 - Present
Morena Coaching International June 2014 - Present
CAMRJ Câmara Arbitral Marítima do Rio de Janeiro October 2013 - Present
CBMA Centro Brasileiro de Mediação e Arbitragem September 2013 - Present
CMAP Centre de Médiation et d'Arbitrage de Paris August 2013 - Present
CPR Institute September 2011 - Present
Financial Industry Regulatory Authority July 2011 - Present
Agency for Dispute Resolution February 2015 - Present
American Arbitration Association January 2011 - April 2012
Education
INSEAD 1986 — 1986
MBA
Boston University School of Law 1982 — 1985
JD
University of Pennsylvania 1977 — 1981
BA
Blake 1965 — 1977
JPMorgan Chase & Co. February 2015 - Present
JPMorgan Chase & Co. November 2013 - January 2015
Financial Industry Regulatory Authority April 2011 - November 2013
Gonzalez & Caride, Esqs. August 2006 - April 2011
Dauphin County Public Defender's Office May 2005 - September 2005
Skills
AML, Civil Litigation, FINRA, Legal Research, Legal Writing, Litigation, Securities, Securities Regulation, Westlaw, Mediation, Arbitration, Courts
Education
Widener University School of Law (PA) 2002 — 2005
Doctor of Law (J.D.)
Boston University 1996 — 2000
Bachelor of Arts (B.A.)
NATIONAL FIDUCIARY SERVICES LLC 2004 - Present
FINANCIAL INDUSTRY REGULATORY AUTHORITY 1996 - Present
ACERRA & ASSOCIATES (Legal, Tax & Financial Counsel) 1985 - Present
STATE STREET CORP. 1993 - 2003
SHEARSON LEHMAN AMERICAN EXPRESS 1990 - 1993
AT&T INFORMATION SYSTEMS 1980 - 1985
IBM CORP. 1980 - 1980
Education
Suffolk University Law School 1980 — 1984
Juris Doctor
Isenberg School of Management, UMass Amherst 1976 — 1980
B.B.A.
Boston Latin School 1970 — 1976
Boston University Questrom School of Business
Graduate Finance Program (Investment Analysis & Portfolio Management)
Harvard Law School
Post-Doctorate Program (Dispute Resolution)
Massachusetts Institute of Technology
Executive Program (Information Technology)
University of Pittsburgh - Joseph M. Katz Graduate School of Business
Accredited Investment Fiduciary Program (Center for Fiduciary Studies)
Financial Industry Regulatory Authority January 2013 - Present
The New York Stock Exchange October 2008 - Present
Chicago Board Option Exchange July 2006 - June 2008
Philadelphia Stock Exchange 2000 - 2006
Skills
Options, Derivatives, Equities, Securities, Risk Management, Capital Markets, Trading Systems, Business Analysis, Trading, Fixed Income, Bloomberg, Investigation, SDLC, Private Investigations, Surveillance, Financial Analysis, Financial Risk, Finance, Financial Markets, Asset Management
Education
Boston University Questrom School of Business 1998 — 2000
BSBA, Finance
Boston University 1996 — 1998
Bachelor of Business Administration (BBA), Finance
Financial Industry Regulatory Authority April 2012 - Present
Fannie Mae April 2006 - April 2012
Skills
Business Analysis, SDLC, Agile Methodologies, Oracle, Software Development
Education
Birla Institute of Technology and Science, Pilani 1991 — 1996
Financial Industry Regulatory Authority October 2011 - Present
FINRA September 2010 - October 2011
NYSE Euronext August 2007 - September 2010
New York Stock Exchange January 2006 - August 2007
New York Stock Exchange April 2005 - January 2006
New York Stock Exchange June 2003 - April 2005
New York Stock Exchange June 2001 - June 2003
Accenture/JPMorgan 1998 - 1998
Education
New York University - Leonard N. Stern School of Business 2007 — 2010
MBA with Distinction, Management of Technology and Operations; Leadership and Change Management
Bryn Mawr College 1997 — 2001
Religion
Stuyvesant High School
Stuyvesant High School
Financial Industry Regulatory Authority 2011 - Present
Kiva.org May 2014 - September 2014
Fidelity National Information Services February 2013 - April 2014
Various September 2008 - December 2012
City National Bank 2006 - June 2008
City National Bank 2002 - 2006
Bankers Trust Company 1994 - 1998
Fidelity Investments 1986 - 1993
Skills
Risk Management, Enterprise Risk..., Financial Risk, Securities, Financial Services, Corporate Governance, Management, Internal Audit, AML, Operational Risk, Risk Assessment, Compliance, Strategy, Internal Controls, Operational Risk..., Mediation, Financial Regulation, Regulations, Credit, Banking, Regulatory Risk, Process Improvement, BSA, Writing, Anti Money Laundering, Regulatory Compliance, Policies & Procedures
Education
Boston University School of Law
JD
University of Southern California 1999 — 2001
MFA, Stark Producing Program, Cinematic Arts
Brown University
AB, International Relations
Pepperdine University School of Law
Mediating the Litigated Case, Straus Institute for Dispute Resolution
Center For Dispute Resolution
Mediation and Conflict Resolution
LACBA/Center for Civic Mediation
Basic and Advanced Mediation Skills Practicum
Financial Industry Regulatory Authority March 2013 - Present
PHI September 2004 - March 2013
CyberKorp Inc January 2001 - September 2004
Smart Stream June 2000 - December 2000
Bharat Electronics December 1987 - June 2000
Skills
Integration, Vendor Management, Business Intelligence, Program Management, Engineering, Project Management, Software Project..., Business Analysis, Databases, Change Management, Data Modeling, Manufacturing, Cross-functional Team..., Unix, PL/SQL, Data Warehousing, Oracle, Enterprise Architecture, Security, Management, Microsoft SQL Server, Oracle RAC, MS Project, SaaS, ITIL, Database Design, Requirements Analysis, SDLC, Testing, RMAN, SQL, IT Strategy
Education
Birla Institute of Technology and Science
Master of Science (M.S.), Software Systems
CISSP Class
College of Engineering, Guindy
Bachelor of Engineering (BE), Mechanical Engineering
Madras University
M.B.A
Morgan Stanley June 2015 - Present
Royal Bank of Scotland March 2013 - June 2015
Financial Industry Regulatory Authority September 2006 - March 2013
U.S. Securities and Exchange Commission June 2005 - August 2005
Office of New York Attorney General October 2004 - May 2005
US Securities and Exchange Commission June 2004 - August 2004
NYSE Euronext June 2003 - August 2003
Arnhold and S. Bleichroeder August 1999 - June 2001
Gymnazium August 1998 - June 1999
Skills
Legal Writing, Securities Regulation, Licensing, Research, Securities, Corporate Governance, Litigation, Legal Research, Arbitration, Commercial Litigation, Employment Law, Intellectual Property, Administrative Law, Courts, Enforcement, Mediation, Competition Law, FINRA, FCPA, Trials, Appeals, Capital Markets, Financial Regulation, Securities Litigation, Civil Litigation, Corporate Law, Investment Advisers Act, Legal Compliance, Fraud, SEC, Financial Services, Westlaw, Due Diligence, AML, Litigation Support, Hedge Funds, Private Equity, Litigation Management, Law Enforcement
Education
State University of New York at Buffalo - School of Management 2003 — 2006
MBA
State University of New York at Buffalo - Law School 2002 — 2006
JD
Binghamton University 1994 — 1998
BA, History
PIMCO March 2013 - Present
BlackRock August 2008 - March 2013
HSH Nordbank June 2005 - August 2008
HSH N Financial Securities LLC June 2005 - August 2008
Financial Industry Regulatory Authority March 2004 - June 2005
Citi September 2000 - March 2004
Prudential Financial June 1999 - September 2000
Skills
Securities, FINRA, AML, Capital Markets, Mutual Funds, Series 7, Alternative Investments, Fixed Income, broker dealer, Advertising, Investment Advisory, Asset Management, Compliance, Series 24, Series 63, Marketing Compliance
Education
Brooklyn Law School 1997 — 2000
JD
Yeshiva University 1993 — 1997
BA, English
Financial Industry Regulatory Authority October 2012 - Present
Investment Company Institute December 2004 - October 2012
Education
Brown University 1970 — 1974
Bachelor of Arts (B.A.), American History and English Literature
PwC September 2013 - Present
PwC August 2012 - May 2013
PwC June 2012 - August 2012
Financial Industry Regulatory Authority January 2012 - April 2012
New York City Department of Consumer Affairs September 2011 - December 2011
Law Firm December 2010 - September 2011
United States District Court for the Eastern District of New York June 2011 - August 2011
Green Key Resources July 2007 - May 2009
Skills
Legal Research, Legal Writing, Litigation Support, Securities Regulation, Finance, Securities, Asset Managment, Derivatives, Corporate Law, Corporate Governance, Bankruptcy, Microsoft Excel, Corporate Finance, Asset Management, Litigation
Education
Brooklyn Law School 2011 — 2013
J.D., Business Law
Binghamton University - School of Management
B.S., Financial Economics
J. Richard Catten, P.C., Attorney at Law August 2012 - Present
State of Utah January 1990 - Present
Park City Municipal Corporation September 2013 - Present
Financial Industry Regulatory Authority June 2013 - Present
West Valley City April 1985 - April 2011
Skills
Local Government, Teaching, Administrative Law, Policy Analysis, Public Relations, Legal Writing, Government, Litigation, Land Use, Policy, Public Policy, Research, Legal Research, Politics, Municipalities, Public Speaking, Criminal Law, Community Outreach, Civil Litigation, Mediation, Redevelopment, Arbitration, Zoning, Employment Law
Education
Brigham Young University—J. Reuben Clark Law School 1981 — 1984
Juris Doctor, Law
University of Puget Sound 1980 — 1981
Law
University of Utah 1975 — 1979
B.S., Political Science
Financial Industry Regulatory Authority August 2012 - March 2015
Securities and Exchange Commission 1997 - July 2012
Education
The University of Texas School of Law 1982 — 1984
JD
Brown University 1977 — 1981
Financial Industry Regulatory Authority March 2012 - Present
Misick & Stanbrook and Caribbean Management Services 2009 - 2012
UBS Wealth Management 2008 - 2009
State Street Bank 2006 - 2008
TD Waterhouse Group, Inc. 2002 - 2006
UBS Wealth Management 2000 - 2002
Education
Boston University
Economics
FSA 2012 - Present
Financial Industry Regulatory Authority 2008 - 2012
E*TRADE Financial 2005 - 2008
Skills
Finance, Securities, Series 7, AML, Series 63, Securities Regulation, FINRA, Investments, Financial Services, Fraud, Litigation, Trading, Banking, Microsoft Excel, Investigation, Financial Regulation, USA PATRIOT Act, OFAC, Broker-Dealer, KYC, Bank Secrecy Act, Financial Analysis, Fraud Detection, Equities, Financial Risk, Analysis, Mutual Funds
Education
California State University-Sacramento 1998 — 2004
Finance & Risk Management and Insurance
Federal Defenders Office for the District of Connecticut July 2015 - Present
Financial Industry Regulatory Authority 2006 - July 2015
NEVINS LAW GROUP LLC January 2004 - July 2015
Pepe & Hazard LLP September 2002 - January 2004
Testa, Hurwitz & Thibeault, LLP October 1998 - July 2002
The Greater Boston Food Bank 1993 - 1994
Skills
Litigation, Appeals, Criminal Defense, Commercial Litigation, Courts, Civil Litigation, Family Law, Domestic Relations, White Collar Criminal..., Arbitration, Trials, Legal Writing, Legal Research
Education
Boston College Law School 1994 — 1997
J.D.
Saint Joseph's University 1989 — 1993
B.A., Politics
PwC Consulting August 2012 - Present
Financial Industry Regulatory Authority 2011 - 2011
U.S. Commodity Futures Trading Commission 2011 - 2011
Federal Trade Commission 2010 - 2011
UBS Wealth Management 2010 - 2010
Skills
Legal Research, Legal Writing, Due Diligence, Corporate Law, Public Policy, Policy Analysis, Litigation, Financial Services, Securities, Research, Finance, Civil Litigation, Risk Management
Education
Brooklyn Law School
Juris Doctor 2012
City University of New York-Queens College
BA, Cum Laude, Political Science
Financial Industry Regulatory Authority October 2009 - April 2010
Gottlieb, Rackman & Reisman, P.C. May 2009 - August 2009
Immigrant Defense Project May 2009 - August 2009
Foot Locker June 2004 - August 2007
Footstar November 2003 - June 2004
Education
Brooklyn Law School 2007 — 2010
J.D.
University at Albany 1998 — 2002
B.S., Economics
Financial Industry Regulatory Authority January 2011 - Present
US Securities and Exchange Commission 2011 - Present
Morrison & Foerster LLP August 2012 - September 2015
Law Offices of Norman Siegel June 2010 - December 2010
Storch, Amini and Munves August 2008 - August 2009
Dorsey & Whitney LLP 2007 - 2007
Education
Columbia University in the City of New York 2004 — 2008
B.A., Political Science
Brooklyn Law School
J.D., Legal Studies
Financial Industry Regulatory Authority September 2012 - Present
Quick Chek NJ Festival of Ballooning July 1998 - Present
Campbell University August 2002 - August 2009
NJ 101.5 FM January 1998 - February 2002
New Jersey Network September 1996 - December 1997
Nassau Broadcasting 1995 - 1995
Skills
Event Planning, Training, Non-profits, Program Management, Sales, Recruiting, Project Planning, Customer Service, Nonprofits, Microsoft Office, Leadership Development, Leadership, Public Speaking, Management
Education
Centenary College 2005 — 2007
MBA, Management
Campbell University 1992 — 1996
B.A., Mass Communications, Business Minor
Financial Industry Regulatory Authority January 2013 - Present
Rosen & Associates, P.C. June 2011 - December 2012
U.S. District Court for the Central District August 2010 - June 2011
Rosen & Associates January 2010 - August 2010
Loyola Law School May 2009 - August 2009
Caterpillar, Inc. May 2008 - August 2008
Caterpillar, Inc. December 2006 - May 2008
Office of Congressman Ray LaHood May 2004 - June 2007
Economic Development Council of Peoria February 2004 - December 2006
Skills
Litigation, Mediation, Civil Litigation, Legal Writing, Legal Research, Bankruptcy
Education
Loyola Law School, Loyola Marymount University 2008 — 2011
J.D.
Bradley University 2004 — 2008
B.A., English/Spanish
Wright Law Practice, LLC March 2006 - Present
Financial Industry Regulatory Authority May 2012 - Present
Ohio Department of Education August 2011 - Present
Ohio Unemployment Compensation Review Commission November 2007 - Present
Maguire & Schneider, LLP April 2004 - February 2006
Ohio Attorney General's Office September 2000 - April 2004
Skills
Civil Litigation, Litigation, Legal Writing, Legal Research, Employment Law, Appeals, Courts, Administrative Law, Hearings, Civil Rights, Trial Practice
Education
Capital University Law School 1996 — 1999
J.D., Law
UCLA 1988 — 1994
Bachelor of Arts (B.A.), Psychology
Fidelity Investments June 2015 - Present
Fidelity Investments September 2011 - May 2015
Lek Securities April 2007 - August 2011
Lek Securities January 2005 - April 2007
Lek Securities March 2003 - December 2004
Financial Industry Regulatory Authority July 2001 - March 2003
Skills
Securities, Hedge Funds, Series 63, FINRA, Series 7, Fixed Income, Equities, Asset Managment, Investments, Risk Management, Financial Risk, Derivatives, Financial Markets, Capital Markets, Credit, Portfolio Management, Asset Management, Options, Equity Trading, Trading Systems, Mutual Funds, Trading, Bloomberg, Electronic Trading, FX Options, Bonds
Education
iPEC 2010 — 2011
Boston University Questrom School of Business 1997 — 2001
BSBA, Finance, International Relations
Licenses
Financial Industry Regulatory Authority April 2014 - Present
Spears & Imes LLP August 2006 - March 2014
Richards Kibbe & Orbe LLP September 2004 - July 2006
State of Alaska, Department of Law October 2001 - August 2004
Skills
Commercial Litigation, Civil Litigation, Corporate Law, Appeals, Legal Research, Legal Advice, Mediation, Dispute Resolution, Legal Writing, Litigation
Education
Harvard Law School 1994 — 1997
Doctor of Law (JD)
Brandeis University 1989 — 1993
Bachelor of Arts (BA), American Government and Politics (United States)
Alpari (US), LLC January 2013 - May 2013
Financial Industry Regulatory Authority January 2012 - August 2012
Self-employed September 2007 - May 2010
Skills
Broker-Dealer Compliance, Investment management..., Financial Services, Futures Trading, Legal Compliance
Education
Brooklyn Law School 2010 — 2013
Doctor of Law (JD), 3.563
Bucknell University 2003 — 2007
Bachelor of Arts (B.A.), Mathematics (with Economics minor)
Financial Industry Regulatory Authority March 2014 - Present
Greenberg Traurig July 2004 - March 2014
Morgan Stanley January 2000 - June 2004
Skills
Arbitration, Securities Litigation, Securities Regulation, Litigation, Securities
Education
Brooklyn Law School
J.D., Law
BNP Paribas March 2014 - Present
Togut Segal & Segal LLP May 2012 - April 2013
Thomson Reuters January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - November 2011
New York State Unified Court System, Honorable Bernard Fried June 2011 - August 2011
Barclays Capital August 2009 - June 2010
Skills
Middle Office, Corporate Law, Legal Research, Legal Writing, Legal Compliance, Financial Regulation, Securities Regulation, Securities Litigation, Contract Review, Contract Writing
Education
Brooklyn Law School 2010 — 2013
Juris Doctor
Colgate University 2005 — 2009
BA, Economics and Political Science
Financial Industry Regulatory Authority May 2005 - Present
Federal Highway Administration February 1980 - Present
U.S. Department of Health and Human Services August 1975 - February 1980
Skills
Policy Analysis, Legal Writing, Civil Litigation, Administrative Law, Strategic Planning, Legal Research, Litigation, Public Speaking, Government
Education
State University of New York at Albany 1991 — 1995
M.P.A., Negotiation and Decision Making
Brooklyn Law School 1972 — 1975
J.D.
University of Binghamton 1968 — 1972
B.A, Political Science
Law Office of Kelly Belt Scibelli 2008 - Present
Financial Industry Regulatory Authority November 2006 - May 2008
Skills
Litigation, Community Relations, Criminal Defense, Family Law, Community Development, Legal Research, Courts, Legal Writing, Civil Litigation, Trials, Mediation, Criminal Law, Trial Practice, Appeals, Alternative Dispute..., Arbitration
Education
New England School of Law 1995 — 1999
JD
Brandeis University 1991 — 1995
Bachelor of Arts (B.A.), Politics
U.S. Customs and Border Protection November 2013 - Present
Brooklyn Law School February 2012 - May 2012
Financial Industry Regulatory Authority January 2012 - April 2012
Brooklyn Legal Services Corp. A August 2011 - January 2012
New York City Department of Investigation June 2011 - July 2011
New York County District Attorney's Office January 2011 - May 2011
Waterfront Commission of New York Harbor August 2010 - November 2010
Honorable Gilbert C. Hong at Kings County Criminal Court May 2010 - August 2010
N/A January 2008 - May 2009
Korean Committee for UNICEF August 2008 - January 2009
Skills
Fluent in Korean., Legal Research, Westlaw, Criminal Law, Administrative Law, Lexis, Legal Writing, Courts, Research
Education
Brooklyn Law School 2009 — 2012
J.D.
University of California, Santa Barbara 2003 — 2007
B.A., Law & Society, Art History minor
Acalanes High School
Davis Polk & Wardwell LLP April 2014 - Present
Direct Edge, A BATS Global Markets Company December 2013 - April 2014
Financial Industry Regulatory Authority January 2013 - April 2013
Ingalls & Snyder May 2012 - August 2012
Oppenheimer & Co. August 2011 - May 2012
Brooklyn Law School August 2011 - December 2011
Cowan DeBaets Abrahams & Sheppard LLP June 2011 - August 2011
Other Press March 2008 - August 2010
The Robbins Office June 2007 - March 2008
Education
Brooklyn Law School 2010 — 2013
Juris Doctor, Business Law Certificate
Macaulay Honors College-Hunter College 2003 — 2007
Bachelor of Arts, English and Special Honors
Financial Industry Regulatory Authority May 2014 - Present
Financial Industry Regulatory Authority January 2014 - May 2014
Allstate Financial Services, LLC 2010 - 2012
Chase Investment Services November 2008 - February 2010
Merrill Lynch February 2007 - November 2008
Morgan Stanley Dean Witter 2004 - 2007
Skills
Investments, Finance, Strategic Financial...
Education
Binghamton University 1998 — 2002
BA, Philosophy
Benjamin N. Cardozo School of Law, Yeshiva University
Fortress Investment Group July 2014 - Present
Conway & Conway April 2010 - July 2014
Financial Industry Regulatory Authority September 2009 - May 2010
Lehman Lee & Xu June 2009 - August 2009
Skills
Legal Research, Corporate Law, Bankruptcy, Legal Writing, Litigation, Securities, Westlaw, Trademarks, Securities Regulation, Civil Litigation, Commercial Litigation
Education
Brooklyn Law School 2008 — 2011
Doctor of Law (J.D.)
Marist College 2004 — 2007
Bachelor of Arts (B.A.)
John Jay high school
Financial Industry Regulatory Authority 2005 - Present
PaineWebber November 1978 - November 2002
Blyth Eastman Dillon 1978 - 1980
Dean Witter & Co November 1969 - December 1978
Skills
Process Improvement, Investments, Project Management, Program Management, Risk Management, Business Analysis, Strategic Planning, Vendor Management, Cross-functional Team..., Strategy, Training, Leadership, Management, Portfolio Management, Change Management, Financial Services, Customer Service, Team Building, Negotiation, Finance
Education
Pepperdine University, The George L. Graziadio School of Business and Management 1974 — 1975
MBA
California Polytechnic State University-San Luis Obispo 1958 — 1963
BS, Bacteriology
Acalanes High 1954 — 1958
ST. Leo's 1950 — 1954
Grammar School
Citizens Investment Services September 2014 - Present
Financial Industry Regulatory Authority June 2013 - September 2014
Financial Industry Regulatory Authority September 2010 - June 2013
Fidelity Investments February 2010 - June 2010
Suffolk University Fellowship Program September 2009 - December 2009
Maselan & Jones, P.C. January 2009 - May 2009
Massachusetts Department of Revenue January 2008 - August 2008
Skills
Financial Accounting, Financial Analysis, Research, Legal Research, Legal Writing, Legal Compliance, Financial Audits, Securities Regulation, Financial Regulation, Compliance, Compliance Regulations, Tax, Fixed Income, Fixed Income Analysis, Securities Market, Securities, Mutual Funds, Management, FINRA, Financial Services, Analysis, Equities, Anti Money Laundering, Finance
Education
Suffolk University Law School 2006 — 2009
Juris Doctor, Law
Bentley University 2002 — 2006
Bachelor of Science (BS), Corporate Finance & Accounting
Gemini Systems July 2012 - Present
Financial Industry Regulatory Authority April 2013 - Present
Warner Chilcott October 2012 - January 2013
Skills
Java, HTML, CSS, JavaScript, SQL, GXT, GWT, IBM Web Content..., Access, Microsoft Office, Data Analysis, Market Research
Education
Boston University 2008 — 2012
Bachelor of Business Administration (BBA)
One William Street Capital January 2013 - Present
BNP Paribas October 2012 - February 2013
Napoli, Bern, Ripka & Shkolnik, LLP. September 2011 - December 2011
Financial Industry Regulatory Authority January 2011 - August 2011
Law Offices of Santangelo, Benvenuto & Slattery June 2010 - August 2010
Skills
Securities Regulation, Hedge Funds, Corporate Law, Corporate Governance, Financial Regulation, Legal Writing, Financial Analysis, Legal Research, Private Equity, Securities, Westlaw, Legal Compliance, Arbitration, PowerPoint, Trade Compliance, Due Diligence, Financial Risk, Microsoft Office, Microsoft Excel, Microsoft Word, Litigation, Lexis, Financial Modeling, LexisNexis, Adobe Photoshop, Microsoft PowerPoint, Compliance, Financial Reporting, Bloomberg Software, Bloomberg, Cyber-security, Fixed Income, Credit Analysis, Credit Risk, ISDA negotiations
Education
Saint John's University School of Law 2009 — 2012
Juris Doctor, Law, Dean's List
Saint John's University - Peter J. Tobin College of Business 2009 — 2012
Master of Business Administration, Finance
Boston University - School of Management 2005 — 2009
Bachelor of Science in Business Administration, Finance
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Financial Industry Regulatory Authority April 2012 - June 2015
Financial Industry Regulatory Authority (FINRA) September 2002 - April 2012
Aon Consulting August 1998 - April 2002
Jersey Shore University Medical Center July 1989 - June 1999
Skills
Office Management, Administrative Support, Outlook, Event Planning, Spreadsheets, SharePoint, Program Management, Technical Writing, Business Communications, Team Building, Records Management, Access, Administrative..., Management, Training, Information Management, Visio, Integration, Leadership, Risk Management, Customer Service, Analysis, Microsoft Office, Microsoft Word
Education
University of Maryland University College 2003 — 2011
BA, Business Communication Studies
Monmouth University 1992 — 2000
Business/Corporate Communications
Brookdale Community College 1989 — 1991
AA, English Literature
Financial Industry Regulatory Authority February 2014 - Present
New York Technology Partners August 2011 - February 2014
Infosys August 2002 - August 2011
Tata Infotech October 1999 - August 2002
Skills
Software Project..., SDLC, Weblogic, Requirements Analysis, PL/SQL, Data Warehousing, Oracle, Java Enterprise Edition, Struts, JSP, Software Development, EJB, Java, Servlets
Education
BITS Pilani 2003 — 2004
MS, Software Systems
Sri Jayachamarajendra College of Engineering 1996 — 1999
BE, Mechanical Engineering
Ascensus College Savings, Inc. (formerly Upromise/SallieMae) April 2012 - Present
Fidelity Investments January 2000 - April 2012
Boston Stock Exchange July 1997 - January 2000
Financial Industry Regulatory Authority May 1995 - July 1997
Skills
Mutual Funds, Securities, Risk, Risk Management, Compliance, FINRA, Investments, Risk Assessment, Customer Relations, Customer Service, Equities, Financial Risk, Financial Services, Finance, Asset Management, Fixed Income, Business Analysis, Portfolio Management
Education
Boston University - School of Management 1989 — 1993
BS/BA, Finance
Boston Latin School 1984 — 1989
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Financial Industry Regulatory Authority January 2013 - August 2015
Financial Industry Regulatory Authority September 2012 - January 2013
Financial Industry Regulatory Authority April 2012 - September 2012
Council on Hemispheric Affairs January 2011 - December 2011
Council on Hemispheric Affairs January 2011 - April 2011
Missionary Training Center September 2009 - December 2010
Centro Hispano May 2010 - September 2010
Brigham Young University September 2009 - May 2010
Eclipse Marketing April 2008 - August 2008
Skills
Spanish, Research, Data Analysis, Java, HTML, Management, SQL, CSS, JavaScript, Oracle SQL Developer, Microsoft SQL Server, Eclipse, XML, jQuery, SCCM, JUnit, Visual Studio, ASP.NET MVC, XPath, Active Directory, Software Installation, Hardware Installation, Project Management, Writing, Editing, Proofreading, PHP, C#, Drupal
Education
Harvard Extension School 2012 — 2015
MLA, Information Technology, Information Management Systems
Brigham Young University
BA, Latin American Studies
JPMorgan Chase March 2014 - Present
EquiLend September 2013 - January 2014
Protiviti June 2012 - August 2012
Financial Industry Regulatory Authority May 2011 - August 2011
Bank of New York Mellon May 2010 - August 2010
Office of the Comptroller of the Currency June 2008 - August 2008
Skills
Risk Management, Management, Compliance, Analysis, Visio, Project Management, Leadership, Auditing, Internal Controls, Microsoft Office 2007, Microsoft Excel, FINRA, KYC, Bank Secrecy Act, USA PATRIOT Act, Internal Audit, Microsoft Office, Anti Money Laundering
Education
Binghamton University 2010 — 2013
B.A. Psychology
Davis Polk & Wardwell LLP March 2015 - Present
United States Bankruptcy Court September 2014 - March 2015
NYSE Euronext January 2014 - April 2014
Financial Industry Regulatory Authority May 2013 - July 2013
Hon. Edward W. Sweeney's Chambers, 22nd Judicial Circuit Court of Missouri June 2012 - August 2012
SUHO Legal Group 2009 - 2010
The Henry L. Stimson Center September 2008 - December 2008
Korea Trade-Investment Promotion Agency (KOTRA) June 2007 - August 2007
Rhode Island Commission for Human Rights June 2006 - July 2006
Education
Washington University School of Law 2011 — 2014
Doctor of Law (J.D.)
Brown University 2006 — 2008
Bachelor of Arts (B.A.), International Relations
Capital One May 2013 - Present
Financial Industry Regulatory Authority May 2012 - February 2013
Skills
Active Directory, Windows 7, Laptops, Printers, Switches, Routers, Desktop Computers, Disaster Recovery, Technical Support, Outlook, Visio, Troubleshooting, Network Administration, Operating Systems, Software Documentation, System Administration, ITIL, Vendor Management, SharePoint, Business Analysis, Process Improvement, Unix, Cisco Technologies, Servers, VPN, Windows Server
Education
Bowie State University
Bachelors of Science in Computer Technology, Network Administration
Financial Industry Regulatory Authority July 2007 - Present
New York Stock Exchange March 1988 - July 2007
Bronx County District Attorney Office September 1981 - March 1988
Education
NYU School of Law
LLM
Boston University School of Law 1978 — 1981
JD
University of Michigan 1975 — 1978
BA, High Honors, Psychology
US Securities and Exchange Commission April 1998 - Present
Financial Industry Regulatory Authority September 2007 - March 2008
Education
Cal Poly Pomona 1990 — 1994
BA, Behavioral Science
Prudential Financial August 2012 - Present
The Hartford July 2006 - August 2012
New York Life Insurance Company August 2004 - July 2006
Financial Industry Regulatory Authority September 2000 - August 2004
NVest Services/New England Funds September 1998 - August 2000
Skills
FINRA Series 7, FINRA Series 24, FINRA Series 51, Advertising Review, Broker/dealer compliance, Variable life insurance, mutual funds, variable universal life, Marketing Review, Compliance, Private Placements, Customer Service, RIA, Written Supervisory..., Qualified Retirement..., Retirement Savings, Variable Annuities, Series 24, Life Insurance, Mutual Funds, Series 7, Advertising, Insurance, Management, Retirement, Series 63
Education
The Johns Hopkins University 2001 — 2004
MBA, Management
Boston College 1994 — 1998
BA, Political Science
Law Office of Iris Taymore Schnitzer 2000 - Present
Financial Industry Regulatory Authority 1992 - Present
I & S Associates 1991 - Present
Private Clients Group at Fleet 1993 - 2000
The Financial Forum, Incorporated 1979 - 1991
Skills
Public Speaking, Estates and Trusts, Income, Estate, and..., Family Businesses, Investments, Insurance, Estate Law, Trusts, Estate Planning, Wealth Management, Financial Planners, Estate Administration, Wealth Management..., Family Business, High Net Worth..., Securities, Financial Advisory, Investment Management
Education
Boston University
Bachelor of Arts (B.A.), Economics
Massachusetts School of Law
Juris Doctor
Newton High School
University of North Carolina at Greensboro
Economics
Digital Federal Credit Union December 2013 - Present
Law Offices of Gilbert R. Hoy Jr. and Affiliates August 2012 - May 2014
Boston University School of Law September 2012 - March 2013
Financial Industry Regulatory Authority June 2012 - August 2012
Chilton Investment Company May 2011 - July 2011
Law Office of Vladimir Matsiborchuk, Esq. January 2004 - August 2010
Skills
Research, PowerPoint, Microsoft Office, Microsoft Excel, Social Media, Microsoft Word, Legal Research, Public Speaking, Event Planning, Legal Writing, Editing, Commercial Contracts
Education
Boston University School of Law 2010 — 2013
Juris Doctor
Fordham University 2006 — 2010
Bachelor of Arts (BA), Economics, Summa Cum Laude
Bronx Science
Bronx Science
Flagstar Bank September 2014 - Present
Flagstar Bank November 2012 - September 2014
JPMorgan Chase June 2012 - November 2012
JPMorgan Chase August 2011 - June 2012
Financial Industry Regulatory Authority May 2010 - July 2011
Skills
SQL, Mortgage Lending, SharePoint, Databases, Microsoft Excel, Process Improvement, Visio, Access, Business Analysis, Data Analysis, Loans, Banking, Microsoft Office, Requirements Gathering, Lotus Notes, Project Management, PeopleSoft, Call Centers, Mortgage Banking, PowerPoint, Outlook, Analytics, Requirements Analysis, Analysis, Finance, Risk Management, Financial Analysis
Education
Walsh College of Accountancy and Business Administration 2013 — 2015
Master of Science (MS), Information Systems
Boston College 2003 — 2007
Bachelor of Science (BS), Biology