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
KLE Consulting LLC January 2014 - Present
USTAS Techologies, Inc June 2009 - January 2014
Financial Industry Regulatory Authority 2009 - December 2013
Skills
Agile Methodologies, Spring, Ant, Hibernate, Tomcat, Web Services, Subversion, Java, Eclipse, Software Development, JUnit, REST, Maven, SQL, PL/SQL, Java Enterprise Edition, SOA, Linux, Continuous Integration, Distributed Systems, Test Driven Development, Microsoft SQL Server, JBoss Application Server, XML, Perl, Python, Unix, Design Patterns, JDBC, Object Oriented Design, Software Engineering, Hadoop, Databases, UML, Unix Shell Scripting, Scrum, Software Design, Oracle, Enterprise Architecture, Database Design, Solaris, C++, JavaScript, C#, SOAP, Architectures, C, Spring Framework, Shell Scripting
Education
National Technical University of Ukraine 'Kyiv Polytechnic Institute' 1996 — 2002
Master of Science (M.S.), Computer Science
PwC August 2014 - Present
Nomura June 2013 - August 2013
Financial Industry Regulatory Authority May 2012 - August 2012
Valley National Bank June 2011 - August 2011
Skills
Research, Microsoft Office, PowerPoint, Economics, Microsoft Excel, Mandarin, Social Media, Microsoft Word, Chinese, International Relations, SPSS, International..., English, Teamwork, Data Analysis
Education
New York University 2010 — 2014
Bachelor of Science (B.S.), Business and Political Economy
Florida Office of Financial Regulation August 2014 - Present
Scarlett, Gucciardo & Hirsch, P.A. April 2012 - July 2013
Financial Industry Regulatory Authority 2011 - 2012
Skills
Legal Research, Securities, Litigation Support, Fraud, Arbitration, Investments, Mediation, Litigation, Trials, Civil Litigation, FINRA, Legal Compliance, Commercial Litigation, Alternative Dispute..., Dispute Resolution, Document Review, Courts, Legal Issues, Corporate Governance, Legal Writing, Securities Regulation, Westlaw, Corporate Law, Legal Assistance, Employment Law
Education
Thomas M. Cooley Law School 2000 — 2003
JD, Cum Laude
Oakland University 1999 — 2003
BA
FINRA November 2014 - Present
FINRA December 2011 - Present
Financial Industry Regulatory Authority May 2011 - December 2011
Skills
Java, SQL, JavaScript, jQuery, Hive, Oracle SQL, Unix, WebDriver, Selenium, Java Concurrency, Object Oriented Design, XML, JSON, CSS, HTML, Hadoop, Maven, Unix Shell Scripting, C, Microsoft Office, Jenkins, C++, XPath, Cognos, Ant, Test Automation, Watij, RESTful WebServices, Atlassian JIRA, Confluence, Grails
Education
University of Maryland College Park 2008 — 2011
Bachelor of Science (BS), Computer Science
Montgomery College 2004 — 2007
Associate of Arts (A.A.), Business Administration and Management, General
M. A. DePompolo Products Investigations November 1996 - Present
Financial Industry Regulatory Authority May 2005 - Present
Bowman and Brooke December 1982 - October 1996
Education
University of Michigan-Dearborn 1975 — 1980
Bachelor of Arts (BA), Political Science and Government
Northwestern University 2005 — 2006
Traffic Accident Reconstruction I & II
Financial Industry Regulatory Authority September 2012 - Present
SEB July 2011 - September 2012
David A. Kaminksy & Associates May 2011 - July 2011
Locke Lord Bissell & Liddell LLP June 2009 - August 2009
Skills
Research, English, Excel, Litigation, Compliance, Legal Research, Corporate Finance, Derivatives, Securities Regulation, Legal Compliance, Financial Regulation, Legal Writing, Securities, Analysis, Financial Services, Capital Markets
Education
New York Law School 2009 — 2012
JD
University of Vermont 2002 — 2006
BA, Political Science, Art History
University of Westminster 2004 — 2005
Mesa Community College August 2012 - Present
Mesa Public Schools December 2011 - August 2012
Social Security Administration June 2009 - January 2011
The Law Office of Joy H Hansler September 2005 - June 2009
AIG Financial Advisors, Inc. February 2003 - September 2005
Pacific Select Distrubutors - Broker-dealer affiliate of Pacific Life Insurance Compan October 2000 - January 2002
Financial Industry Regulatory Authority April 1998 - September 2000
Financial Industry Regulatory Authority June 1994 - April 1998
Skills
Policy Analysis, Public Policy, Administrative Law, Government, Policy, Federal Government, Legal Research, Legal Writing, Legislative Relations, Westlaw, Litigation, Mediation, Employment Law, Legislation, Courts, Public Administration, FINRA, Financial regulation, Corporate Law, Analysis, Risk Assessment, Securities Regulation, Securities
Education
University of California, Riverside - A. Gary Anderson Graduate School of Management 1991 — 1993
Master of Business Administration (MBA), Finance, General
Willamette University College of Law 1981 — 1984
Doctor of Law (JD)
Occidental College 1970 — 1973
Bachelor's degree & Masters degree, English Language and Literature, General
Brown Brothers Harriman March 2015 - Present
JPMorgan Chase February 2014 - March 2015
US Securities and Exchange Commission 2013 - 2013
Financial Industry Regulatory Authority May 2012 - August 2012
Sedgwick LLP March 2008 - August 2010
Skills
Litigation, Legal Writing, Westlaw, Lexis, Securities Law, Bank Secrecy Act, Anti Money Laundering, USA PATRIOT Act, Financial Regulation, Trials, Legal Research, Civil Litigation, 1940 Act, Microsoft Excel, Windows 7, Computer Maintenance, Trademarks, Legal Assistance, Courts, Arbitration, Appeals, Legal Issues, Securities Regulation, Mediation, Criminal Law, Alternative Dispute..., Corporate Governance, Litigation Support, Employment Law, Depositions, Commercial Litigation, International Law, Immigration Law, Family Law, Corporate Law, Document Review, Intellectual Property, Investment Company Act, Antitrust Law, Global Regulatory..., Global Compliance, LexisNexis, Securities
Education
Princeton University 2003 — 2007
A.B., History
Rutgers University School of Law - Newark 2010 — 2013
Doctor of Law (J.D.), Law
Digital Intent June 2015 - Present
Digital Intent November 2014 - Present
LearnLeo May 2012 - November 2014
Financial Industry Regulatory Authority February 2013 - May 2013
Illinois Division of Banking May 2011 - September 2011
Cook County State's Attorney - Appellate Division January 2011 - May 2011
Battle Road Research May 2008 - March 2010
Skills
Illinois Attorney, Corporate Law, Litigation, Negotiation, Equities, Research, International..., French, Financial Analysis, Spanish, Banking Law, Appellate Practice, Financial Modeling, Product Development, Social Media Marketing
Education
Northwestern University School of Law 2010 — 2012
Doctor of Law (J.D.), Law
Tufts University 2004 — 2008
BA, History, Economics
MDB Communications November 2013 - Present
Minuteman Press April 2012 - December 2013
Financial Industry Regulatory Authority May 2013 - August 2013
Starbucks June 2008 - April 2013
Montgomery College December 2010 - February 2011
Skills
Adobe Creative Suite, InDesign, Illustrator, Photoshop, Offset Printing, Digital Printing, Pre-press, Dreamweaver, HTML, CSS, Microsoft Word, PowerPoint, Microsoft Excel, Web Design, Final Cut Pro, QuarkXPress, Corel Draw, After Effects, Brochures, Photography, Graphic Design, Layout
Education
University of Maryland Baltimore County
Bachelor of Arts (BA), Graphic Design
Montgomery College
Associate of Arts and Sciences (AAS), Graphic Design
Homeier & Law, P.C. August 2015 - Present
Sullivan & Cromwell LLP May 2015 - June 2015
Law Offices of Rosario & Rodriguez August 2014 - April 2015
JPMorgan Chase January 2014 - June 2014
Financial Industry Regulatory Authority January 2014 - June 2014
Securities Arbitration Clinic May 2013 - December 2013
Skills
Corporate Law, Securities Regulation, Finance, Corporate Finance, Attorneys, Spanish, PowerPoint, Research, Microsoft Office, Public Speaking, Social Media, Event Planning, Community Outreach, Leadership, Outlook, Customer Service, Time Management, Social Networking, Microsoft Word, Facebook, Microsoft Excel, Teamwork, Event Management, Nonprofits, Legal Writing, Legal Research, Litigation, Westlaw, Courts, Management, Mediation, Civil Litigation, Legal Assistance, Fundraising
Education
St John's University School of Law 2011 — 2014
Doctor of Law (J.D.), Law
Old Dominion University 2007 — 2011
Bachelors of Science, Finance, International Business
Grant Thornton LLP March 2015 - Present
WeiserMazars LLP August 2014 - March 2015
Financial Industry Regulatory Authority August 2013 - January 2014
Rothberg and Federman, P.C. May 2011 - August 2013
Education
Rutgers University School of Law - Camden 2012 — 2014
Juris Doctor (J.D.), Law
Penn State University 2007 — 2011
Bensalem High School
Bensalem High School
Pennsylvania State University
Bachelor of Science (BS), Finance
Blank Rome LLP January 2014 - Present
HSBC Securities September 2013 - December 2013
Nomura Securities January 2013 - May 2013
Financial Industry Regulatory Authority May 2012 - August 2012
Law Offices of Gerstein and Yu January 2012 - May 2012
Office of the Attorney General of the State of New York May 2011 - August 2011
DOUGLAS L. FROMME P.C., December 2009 - August 2010
Skills
LexisNexis, Westlaw, Microsoft Office, Litigation, Wordperfect
Education
New York Law School 2010 — 2013
JD, cum laude
University of Wisconsin-Madison 2005 — 2009
Bachelor of Science, Legal Studies and Business
Diversified Laboratory Repair, Inc. March 2014 - Present
Financial Industry Regulatory Authority March 2010 - January 2014
Skills
Microsoft Office, Leadership, Customer Service, Outlook, Teaching, Cold Calling, PowerPoint, Critical Thinking, Microsoft Excel, Public Speaking, Access, Microsoft Word, Research, Facebook, Teamwork, Call Centers
Education
Salisbury University 2007 — 2009
BA, Communication Arts
Montgomery College 2006 — 2007
General Studies
FireEye, Inc. August 2015 - Present
Financial Industry Regulatory Authority January 2014 - August 2015
TEKsystems July 2013 - January 2014
NC4 May 2011 - April 2013
International Telecommunications Satelite Organization June 2010 - August 2010
DSW November 2009 - June 2010
Skills
XML, JavaScript, Java, Eclipse, MySQL, C, C++, Linux, Servers, Networking, Software Engineering, Network Security, Software Development, Perl, HTML, Troubleshooting, SQL, Oracle SQL Developer, IntelliJ IDEA, Testing, Agile Methodologies, Software Documentation, Unix, Test Automation
Education
University of Maryland College Park 2007 — 2013
Bachelor of Science (B.S.), Computer Science
Montgomery College 2010 — 2010
Computer Science
University of Missouri - St. Louis 2012 - Present
Saint Louis University 2013 - Present
Better Business Bureau 2012 - Present
Financial Industry Regulatory Authority 2008 - Present
Maryville University January 2013 - December 2014
Edward Jones 2004 - 2008
Blackwell Sanders Peper Martin 2002 - 2004
U.S. District Court, E.D. Mo. 2000 - 2002
Skills
Adult Education, University Teaching, Distance Learning, Mediation, Arbitration, Securities Regulation, Business Ethics, Code of Ethics, Regulatory Compliance, Legal Compliance, Risk Assessment, Risk Management, Legal Research, Legal Writing, Career Development..., Classroom Instruction, Presentation Skills, Curriculum Design, Curriculum Development, Non-profit Volunteering, Piano Playing, Leadership, Fundraising
Education
St. Louis University 1997 — 2000
Doctor of Law (J.D.), Law
Murray State University 1993 — 1997
Bachelor of Science (BS), Business Administration and Management, General
Financial Industry Regulatory Authority September 2012 - Present
Wolverine Capital Markets, LLC September 2006 - March 2012
J Striecher Specialists, LLC January 2006 - September 2006
Cohen Specialists, LLC September 2004 - January 2006
GHA LLC April 1998 - September 2004
Skills
Bilingual-Polish, Strong multitasking..., Ability to work in a..., Excellent problem..., Strong organizational..., Excellent interpersonal..., Equity Trading, Options, Trading, Series 7, Financial Markets, FINRA, Equities, Technical Analysis, Securities, Market Making, Hedge Funds, Commodity, Derivatives, Series 63, Financial Services, Equity Derivatives, Fixed Income, Trading Systems, Bloomberg, ETFs, Risk Management, Series 24, Electronic Trading, Alternative Investments, Hedging, Proprietary Trading, Trading Strategies, Investment Management, Mutual Funds
Education
New York University 2008 — 2012
Bachelor of Science (BS), Leadership and Management Studies-International Business Concentration, 3.7
Townsend Harris High School at Queens College
1991-1995
Gallop Funeral Services Inc April 2007 - Present
Financial Industry Regulatory Authority May 2013 - August 2013
Ralph Lauren May 2012 - August 2012
Izod Men and Woman May 2012 - August 2012
Ralph Lauren May 2012 - August 2012
Skills
Microsoft Excel, Microsoft Word, PowerPoint, Computers, Managing Events, Athletics, Basketball, Managing Money, Critical Thinking, Team Leadership, Access, Time Management, Sales, Cash Register, Data Entry, Public Speaking, Customer Service, Leadership, Teamwork, Microsoft Office, Research, Social Networking
Education
North Carolina Agricultural and Technical State University 2011 — 2016
North Carolina Agricultural and Technical State University 2011 — 2016
MAJOR, Logistics, Materials, and Supply Chain Management
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Financial Industry Regulatory Authority June 2013 - January 2015
Skills
Securities, Mutual Funds, Investments, FINRA, Alternative Investments, Asset Management, Capital Markets, Equities, Fixed Income, Financial Services, Hedge Funds, Investment Advisory, Securities Regulation, Wealth Management, Series 7, Series 63, Bloomberg
Education
Pace University School of Law 1993 — 1996
Doctor of Law (JD), Environment
Villanova University
Bachelor's degree
Financial Industry Regulatory Authority March 2011 - Present
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Customer Service, PowerPoint, English, Research, Windows, Outlook, HTML, Public Speaking, Strategic Planning
Education
North Central College 2005 — 2011
Bachelor's degree, Sports Management
North Central College 2005 — 2009
Master of Business Administration (MBA), Concentration in Finance
Manning & Kass, Ellrod, Ramirez, Trester LLP December 2014 - Present
Manning & Kass, Ellrod, Ramirez, Trester January 2013 - Present
Browne George Ross LLP April 2013 - August 2013
Financial Industry Regulatory Authority January 2013 - August 2013
California Superior Court June 2012 - August 2012
Ticketmaster June 2009 - September 2009
Davie Brown Entertainment June 2008 - September 2008
Skills
Legal Writing, Legal Research, Litigation, Lexis, Courts, Civil Litigation, Trials, Litigation Support, Legal Assistance, Microsoft Office, Westlaw, Motions, Discovery Process, Criminal Law, Depositions, Arbitration, Mediation, Appeals, LexisNexis
Education
Pepperdine School of Law 2011 — 2014
Doctor of Law (JD)
UCLA 2007 — 2011
Bachelor of Arts (BA), Mass Communication/Media Studies, cum laude
Torrance High School
EagleRider August 2014 - February 2015
Missouri State University August 2013 - May 2014
Financial Industry Regulatory Authority May 2013 - August 2013
American Income Life Insurance Company January 2012 - May 2012
AmeriCorps September 2010 - September 2011
Skills
Human Resources, Hay Job Evaluation, Job Analysis, SPSS, Statistical Data..., PeopleSoft, Microsoft Word, Microsoft Office, Microsoft Excel, PowerPoint, Survey Design, SurveyMonkey, Qualtrics
Education
Missouri State University 2012 — 2014
Master's degree, Industrial and Organizational Psychology
North Carolina State University 2008 — 2012
Bachelor of Arts (B.A.), Psychology
Ogilvy & Mather 2013 - 2015
Las Vegas Sands Corp. June 2012 - August 2012
Fogel Neale Partners LLC May 2011 - July 2011
Financial Industry Regulatory Authority May 2010 - August 2010
Skills
Social Media Marketing, Management Consulting, Social Media, Leadership, Microsoft Office, Research, Digital Marketing, Marketing Strategy, Microsoft Excel, PowerPoint, Public Speaking, Corporate Finance
Education
New York University 2015 — 2017
Master of Science (M.S.), Real Estate Development
University of Oxford 2012 — 2013
Master of Arts (M.A.) - MSt. (UK), Modern European History
The George Washington University 2008 — 2012
Bachelor of Arts (B.A.), History, Magna Cum Laude
Portsmouth Abbey
NYSE Regulation April 2015 - Present
Financial Industry Regulatory Authority May 2011 - April 2015
FINRA June 2010 - June 2011
NYSE Regulation Inc. January 2008 - June 2010
NYSE Regulation Inc. May 2006 - January 2008
NYSE Regulation Inc. May 2005 - May 2006
NYSE Regulation Inc. June 2004 - May 2005
NYSE Regulation Inc. June 2003 - June 2004
NYSE Regulation Inc. November 2001 - June 2003
Gruntal & Co. LLC September 2000 - November 2001
Skills
Securities, Equities, Excel, Surveillance, Series 7, Financial Services, Securities Regulation, Trading Systems, Leadership, Series 63, Equity Trading, Asset Management, Analysis, Financial Risk, Options
Education
Pace University - Lubin School of Business 1989 — 1998
BBA, Finance
Financial Industry Regulatory Authority 2008 - Present
Spraul & Doan, LLC 2007 - Present
Hamilton County Board of Zoning Appeals 1996 - Present
St. Joseph Orphanage November 1990 - Present
Spraul, Veith & Doan, Co., LPA 1992 - 2007
New York Stock Exchange 1985 - 2007
Delhi Township Board of Zoning Appeals 1990 - 1995
Spraul & Reyering Co., LPA 1982 - 1991
Ohio Attorney General's Office 1983 - 1985
Skills
LLC, Estate Planning, Personal Injury, Probate, Litigation, Wills, Small Business, Family Law, Insurance, Real Estate, Appeals, Admiralty, Eminent Domain, Wrongful Death, Trusts, Commercial Litigation, Courts, Civil Litigation, Legal Research, Mediation, Legal Writing
Education
University of Cincinnati College of Law 1979 — 1982
J.D., Law
Miami University 1976 — 1979
Bachelor of Science (BS), Business Administration
Financial Industry Regulatory Authority July 2012 - Present
H&R Block December 2008 - April 2014
RedStone Wealth Management February 1999 - July 2012
Ameritas Investment Corp. December 2007 - December 2010
Premier Bank August 1997 - October 1998
Skills
Financial Planners, Risk Management, CIPP, Certified Information..., Series 7, Investments, Estate Planning, Securities, Insurance, Mutual Funds, Finance, Financial Planning, Asset Management, Tax, Financial Analysis
Education
Westminster College (MO) 1993 — 1997
International Business
MidAmerica Nazarene University
Bachelor of Arts (B.A.), Business Administration, Management and Operations
Morgan Stanley June 2013 - Present
Financial Services January 2012 - Present
HTK March 2013 - May 2013
Allstate Financial Services September 2006 - December 2011
Financial Industry Regulatory Authority May 2004 - September 2006
UBS Financial Services Inc. February 2004 - May 2004
Deutsche Bank Trust Company Americas August 2003 - November 2003
Datek Online Holdings Corp. December 2000 - April 2003
Alliance Capital March 2000 - December 2000
DAC Planning Group Inc. October 1996 - March 2000
Skills
Compliance, Securities, FINRA, Securities Regulation, Series 7, Series 24, Series 63, Supervisory Skills, Auditing, Insurance, Investments, Equities, Mutual Funds, Coaching, Staff Training, Fundraising, Public Speaking, Presentation Skills..., Deadline Driven, Financial Regulation, Financial Services, Relationship Management, Territory Management, Surveillance, Books and Records..., E-Mail Review, Training, Leadership, AML, Options, Finance, Fixed Annuities, Risk Management, Uniform Combined State..., KYC, Hedge Funds, Trading, OFAC
Education
Montclair State University 1990 — 1996
BA in Liberal Arts, Political Science
Bergen Catholic High School 1986 — 1990
CNSI April 2014 - Present
Fannie Mae November 2013 - April 2014
Financial Industry Regulatory Authority 2009 - 2013
Education
New Jersey Institute of Technology 2006 — 2007
M.S, Electrical and Computer Engineering
JPMorgan Chase October 2013 - Present
Financial Industry Regulatory Authority June 2008 - October 2013
Citi January 2005 - June 2008
JPMorgan Chase September 2003 - December 2003
Skills
Hedge Funds, Financial Analysis, Tax, Auditing, SEC filings, Due Diligence, Sarbanes-Oxley Act, Accounting, Financial Reporting, Fixed Income, Bloomberg, Financial Modeling, Internal Controls, Corporate Tax, Private Equity, Finance, Account Reconciliation, Series 7, Financial Regulation, SEC, Analysis, Private Placements, Valuation, Bank Secrecy Act, Broker-Dealer, Investments, OFAC, USA PATRIOT Act, Equities, Fraud, Mergers, Financial Markets, KYC, Sarbanes-Oxley, GAAP, Strategic Financial..., Investment Banking, PeopleSoft, Investment Advisory, Derivatives, Securities Regulation, Mutual Funds, Capital Markets, AML, Financial Services, Corporate Governance, Financial Statements, Internal Audit, Risk Management, Financial Risk
Education
New York University 2010 — 2013
Master of Science (M.S.), Management Information Systems, and Enterprise Risk Management
Pace University - Lubin School of Business 2004 — 2008
Bachelor of Business Administration (B.B.A.), Accounting
Murry Bergtraum high school
Marketing
Financial Industry Regulatory Authority January 2014 - Present
Year Up September 2013 - Present
Merkle Wildlife Sanctuary June 2012 - August 2012
Skills
Networking, Troubleshooting, Customer Service, Microsoft Office, Public Speaking, Computer Hardware, Technical Support, Professionalism, Leadership, Time Management, Teamwork, Facilitating, Microsoft Excel, Access, PowerPoint, Career Development, Outlook, Team Leadership, Computer Maintenance, Computer Repair, Information Technology, Social Networking, Research, Microsoft Word, Preventive Maintenance, Cabling, Switches, Data Center, Diversity, Respect, Facilitation, Telecommunications, Avaya
Education
Northern Virginia Community College 2013 — 2014
Computer Engineer, 2.8 GPA
Prince George's Community College 2012 — 2013
Computer Engineering
Suitland High School 2009 — 2012
Diploma
Lazard March 2015 - Present
JPMorgan Chase May 2014 - Present
Financial Industry Regulatory Authority June 2013 - Present
Skills
Microsoft Office, Bloomberg, Microsoft Excel, PowerPoint, Microsoft Word, Social Media, Research, Public Speaking, Data Analysis, Facebook, Leadership, Event Planning, Financial Analysis
Education
Northwestern University 2011 — 2015
Bachelor of Arts (B.A.), History, Legal Studies double major
The Pingry School 2007 — 2011
AIG July 2015 - Present
AIG June 2014 - August 2014
Financial Industry Regulatory Authority January 2014 - April 2014
Pace University September 2013 - December 2013
AIG June 2013 - August 2013
Merrill Lynch February 2013 - April 2013
Commercial Office of Peru - Peruvian Consulate September 2012 - December 2012
Spare Pair Vision Center March 2011 - September 2012
New York City Law Department June 2009 - August 2009
Skills
Tri-party repos, Repos, SPSS, Stata, Regression Analysis, Data Analysis, Game Theory, Research, Predictive Analytics, Predictive Modeling, Statistics, Financial Regulation, PowerPoint, Dodd-Frank, Public Speaking, Time Management, Leadership, Teamwork, Microsoft Excel, Economics, Finance, Market Research, Management, Customer Service, Economic Research, Financial Analysis, Analysis, Data Entry, TeamMate, Internal Controls, Microsoft Office, Microsoft Word, Outlook
Education
Pace University 2011 — 2015
Bachelor of Science in Business Economics, Minor in Statistics, 3.88/4.00
UBS November 2014 - Present
KPMG Advisory September 2010 - November 2014
Morgan Stanley Smith Barney May 2008 - September 2010
Deutsche Bank 2002 - 2008
KPMG Advisory 1999 - 2002
The Dover Group 1997 - 1999
Financial Industry Regulatory Authority 1993 - 1997
Skills
Management Consulting, Governance, Risk Management, Program Management, Operational Efficiency, Business Process..., Business Systems..., Business Intelligence, Finance Transformation, Outsourcing Advisory, Financial Modeling, Sarbanes-Oxley Act, Outsourcing, Managerial Finance, Operational Risk, Financial Analysis, Asset Management, Mergers & Acquisitions, Due Diligence, Financial Services, Change Management, Corporate Finance, Analysis, Portfolio Management, Finance, Business Transformation, Management, Internal Audit, Enterprise Risk..., Restructuring, Valuation, Financial Reporting, IFRS, Banking, Capital Markets, Cash Management, Acquisition Integration, Financial Risk, Private Equity, Auditing, Internal Controls, Corporate Governance, Executive Management
Education
Northwestern State University 1988 — 1991
BS, Business Administration
Edward Jones April 2015 - Present
Financial Industry Regulatory Authority June 2012 - Present
Edward Jones April 2006 - April 2015
Charles Schwab September 2000 - April 2006
Skills
Statistics and data..., Public Policy, Strong Communication...
Education
EDX.org (MIT, Harvard, University of Texas) 2014 — 2015
Data Analytics
Washington University in St. Louis 2009 — 2011
MBA (Olin Business School), Advanced Certificate International Affairs
Missouri State University 1994 — 2000
Finance & General Business
U.S. Trust June 2014 - Present
Nomura Asset Management June 2013 - August 2013
Financial Industry Regulatory Authority May 2012 - August 2012
U.S. House of Representatives May 2011 - August 2011
First Commonwealth Bank January 2010 - August 2010
Skills
Microsoft Office, Teamwork, Research, Accounting, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Public Speaking, Social Media, Financial Modeling, Data Analysis
Education
Penn State University 2010 — 2014
Bachelor of Science (B.S.), Finance, General, 3.75
Post Law Office December 2007 - Present
Family Promise of Greater Rockingham County September 2013 - Present
SCORE 2007 - Present
Financial Industry Regulatory Authority 2000 - Present
Southern New Hampshire Planning Commission 2013 - 2015
Faculty, UNH Law School (formerly Franklin Pierce Law Center) 2001 - 2002
Faculty, Rivier University 1988 - 2001
Skills
Contract Negotiation, Transactional Law, Business Organization, Dispute Resolution, Licensing, LLC, Leases, Employment Law, Legal Research, Estate Planning, Arbitration, Corporate Law, Non-profits, Writing, Nonprofits, Mediation, Legal Advice, Administrative Law, Mergers & Acquisitions, Civil Litigation, Litigation, Alternative Dispute..., Legal Writing, Corporate Governance, Wills, Trusts, Elder Law, Municipal Permitting, Legal Issues, Appeals, Securities, Business
Education
Montclair State University
Bachelor of Arts (B.A.), Foreign Language Education
Rutgers University School of Law - Camden
J.D., Law
Donovan LLP April 2013 - Present
Financial Industry Regulatory Authority September 2011 - December 2011
Wilson Elser Moskowitz Edelman & Dicker LLP June 2011 - August 2011
Mediterranean Shipping Company December 2007 - August 2010
Skills
Real Estate, Commercial Real Estate, Commercial Lending, Mortgage Lending, Contract Law
Education
New York Law School 2009 — 2012
Juris Doctor
Quinnipiac University 2005 — 2009
BA, History
Richmond University
Comcast September 2014 - Present
Financial Industry Regulatory Authority July 2012 - September 2014
ettain group 2012 - 2013
INetU Managed Hosting 2010 - 2011
Best Buy October 2009 - November 2010
Skills
Windows 7, Network Administration, Network Security, Windows Server, VMware, Active Directory, DNS, Servers, Microsoft Exchange, Disaster Recovery, VMware ESX, Computer Hardware, Red Hat Linux, System Administration, Troubleshooting, Customer Service, IIS, Data Center, Networking, Apache
Education
Penn State University 2008 — 2010
Associate of Science (A.S.), Information Science and Technology
Essextec October 2014 - Present
Financial Industry Regulatory Authority March 2013 - Present
Gemini Systems October 2005 - October 2014
FINRA January 2009 - October 2010
NYSE Euronext April 2008 - March 2009
NYSE Euronext 2005 - April 2008
Skills
Java, User Experience, JavaScript, Agile Methodologies, Information Architecture, Software Design, Mobile Applications, User Interface Design, REST, GWT, Usability and..., Accessibility, Cloud Applications, MeteorJS, Handlebars.js, Node.js, MongoDB, Apache Cordova, HTML 5, CSS3, Enterprise Software, JSP, Spring, Business Analysis, Software Development, Scrum, Subversion, User Interface, Cloud Computing, CSS, AJAX, SOA, XML, Apache, SOAP, Mobile Devices, Maven, Spring Framework
Education
Санкт-Петербургский Государственный Политехнический Университет / Saint Petersburg State Polytechnical University 1998 — 2004
Engineer - System Analyst, Computer Science, Master of Science in Engineering
Санкт-Петербургский Государственный Политехнический Университет / Saint Petersburg State Polytechnical University 1998 — 2002
Bachelor, Computer Science, Bachelor of Science in Information Technology
N3 June 2014 - Present
Financial Industry Regulatory Authority April 2012 - Present
Threshold Center for Autism October 2003 - June 2011
Threshold Center for Autism 2003 - 2011
Skills
Administrative..., Time Management, Employee Relations, Onboarding, Customer Service, PowerPoint, Outlook, Data Entry, Excel, Word, Administrative Support, Customer Relations, New Hire Orientation, Problem Solving, Background Checks, Research, Interviews, Microsoft Publisher, Calendaring, Management, Administrative..., Microsoft Excel, Microsoft Word, Leadership, Microsoft Office, New Hire Orientations
Education
Oglethorpe University 2011 — 2014
Bachelor's Degree, Psychology, 3.5
Seminole State College of Florida 2008 — 2011
Associate, Elementary Education
Morgan Stanley August 2013 - Present
Financial Industry Regulatory Authority October 2004 - Present
National Futures Association January 2011 - Present
Morgan Stanley April 2013 - September 2013
New York Life Insurance Company April 2008 - March 2012
TIAA-CREF March 1995 - April 2008
Pace University School of Law 2002 - 2008
RIMS (Risk and Insurance Management Society, Inc.) 1988 - 1995
American International Group 1986 - 1988
Skills
FINRA Arbitrator, National Futures..., FINRA Series 26..., FINRA Series 6..., Admitted to Practice in..., Admitted to Practice in..., Admitted to Practice in..., Author - Investor's..., Author - Directors and..., Author - Fodor's Guide..., Directors & Officers..., Securities, FINRA, Appeals, Westlaw, Investments, Corporate Law, Legal Research, Commercial Litigation, Arbitration, Insurance, Securities Regulation, Corporate Governance, Insurance Law, Financial Services, Alternative Dispute..., Mergers & Acquisitions, Litigation Support, Due Diligence, Litigation, Civil Litigation, ERISA, Licensing, Regulatory Requirements, Litigation Management, Legal Writing, Securities Litigation, Intellectual Property, Privacy Law, Joint Ventures, Regulatory Analysis, Estate Planning, Mediation
Education
Pace University School of Law 1998 — 2002
JD, Law
Queens College 1991 — 1995
MA, English Literature
Syracuse University 1984 — 1985
Master of Arts (MA), Communication and Media Studies
SUNY at Buffalo 1980 — 1984
Bachelor's degree, French/English
Financial Industry Regulatory Authority March 2010 - Present
Life Technologies 2008 - 2010
Skills
SOA, XML, Web Services, Java Enterprise Edition, SQL, Software Development, SDLC, Java, .NET, C/C++, Python, Oracle, JSP, Servlets, Netezza, Unix, Linux
Education
Novosibirsk State University (NSU) 1982 — 1989
Master of Science (MS), Physics
Financial Industry Regulatory Authority March 2014 - Present
LegalSource January 2013 - February 2014
Law Offices of Norman P. Jones August 2011 - October 2012
Superior Court of the Virgin Islands June 2010 - June 2011
US Securities and Exchange Commission September 2009 - December 2009
Simmons & Simmons July 2009 - August 2009
Commodity Futures Trading Commission January 2009 - April 2009
Domanski Zakrzewski Palinka (DZP) May 2008 - June 2008
Harvard Law School November 2004 - August 2007
US Navy May 2001 - December 2001
Skills
Securities Regulation, Mergers & Acquisitions, Transactional Law, Legal Writing, Corporate Law, Civil Litigation, International Law
Education
The Catholic University of America, Columbus School of Law 2007 — 2010
Juris Doctor, Securities Law and International Law (Corporate focus)
Northeastern University
Bachelor of Science (B.S.), magna cum laude, Political Science
Montgomery County Government Employees Organization September 2008 - Present
Montgomery County Government Employees Association September 2008 - Present
Financial Industry Regulatory Authority November 2005 - January 2010
American Red Cross July 2000 - September 2007
American Red Cross June 2000 - May 2007
Hughes Network January 2000 - November 2000
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Customer Service, PowerPoint, English, Windows, Research, Outlook, Teaching, Photoshop, Public Speaking, HTML, Strategic Planning, Budgets, Community Outreach, Analysis
Education
Montgomery College
Northwestern High School
Prince George's Community College
Business Administration
FireEye, Inc. October 2014 - Present
Financial Industry Regulatory Authority October 2013 - August 2014
Internal Revenue Service July 2012 - October 2013
Blockbuster July 2008 - April 2011
Skills
Linux, Windows, Java, C++, C, HTML, Microsoft Office, Ruby, OCaml, XML, Eclipse, x86 Assembly, Matlab, MySQL, Sequence Diagrams, JCL, JavaScript, Computer Science, Perl, Unix, OOP, Software Development, ClearCase, ClearQuest, SecureFX, UML diagrams, IBM Mainframe, SecureCRT, Spring Framework, Python, Testing, JDBC, SQL, Visual Studio, UML, Spring, Subversion
Education
University of Maryland College Park 2009 — 2013
Bachelor of Arts (B.A.), Philosophy
University of Maryland College Park 2009 — 2013
Bachelor of Science (BS), Computer Science
Prince George's Community College 2007 — 2008
Eleanor Roosevelt High School 2003 — 2007
High School Diploma
Financial Industry Regulatory Authority July 2013 - Present
BondDesk Group LLC July 2012 - April 2013
DTCC December 2010 - July 2012
UBS 2003 - 2010
UBS 1998 - 2003
UBS 1995 - 1998
SMBC Capital Markets (previously Sakura Global Capital) 1990 - 1995
Skills
Product Management, Fixed Income, Product Operations, Equity Capital Markets, Strategic Planning..., Change Management, Securities Lending, P&L Management, Presentation Development, Matrix Management, Client Engagement, Driving Revenue, Trading Systems, Strategic Planning, Derivatives, Equities, Capital Markets, Customer Engagement, Securities, Relationship Management, Financial Services, FINRA, Cross-functional Team..., Series 7, Electronic Trading, Leadership, Compliance, Bonds, Financial Markets, Credit, Management, Business Process, Wealth Management
Education
Franklin Covey
Certified Facilitator
University of Rochester
BA, Mathematics, Economics
Mount Holyoke College
St. Paul's School
Financial Industry Regulatory Authority August 2011 - Present
Mindbank Consulting Group, LLC January 2011 - June 2011
Skills
Data Analysis, Financial Analysis, VBA, Statistics, Economics
Education
Penn State University 2006 — 2010
Bachelor of Science (B.S.), Management Information Systems, General
Hinshaw & Culbertson LLP December 2014 - Present
Adler, Vermillion & Skocilich November 2013 - December 2014
Troutman Sanders LLP May 2012 - August 2012
Financial Industry Regulatory Authority May 2011 - August 2011
Volcom May 2008 - August 2008
Skills
Corporate Law, Corporate Governance, Mergers & Acquisitions, Legal Research, Legal Writing, Westlaw, Lexis
Education
New York University School of Law 2010 — 2013
J.D., Law
University of Wisconsin-Madison 2006 — 2010
B.B.A., Business- Management and Human Resources
Financial Industry Regulatory Authority April 1999 - Present
Skills
Securities, Series 7, Securities Regulation, FINRA, Equities, AML, Hedge Funds, Capital Markets, Series 24, Mutual Funds, Corporate Law, Due Diligence
Education
New York Law School
Doctor of Law (JD)
Syracuse University
Bachelor of Science (BS)
Morris, Laing, Evans, Brock & Kennedy August 2014 - Present
Chepenik Trushin LLP July 2013 - May 2014
University of Miami Investor Rights Clinic January 2013 - May 2014
Financial Industry Regulatory Authority May 2013 - August 2013
KPMG January 2010 - July 2011
Skills
Auditing, Arbitration, Legal Research, Legal Writing, Microsoft Office, Westlaw, Microsoft Excel, Public Speaking, Research, PowerPoint, Microsoft Word, LexisNexis, Hearings, Civil Litigation
Education
Unviersity of Miami School of Law 2011 — 2014
Doctor of Law (J.D.)
Penn State University 2005 — 2009
Bachelor of Science (BS), Finance, General
Pacific Life Insurance Company March 2013 - Present
Pacific Life Insurance Company January 2003 - March 2013
Law Offices of Jon A. Kodani May 2002 - December 2002
Financial Industry Regulatory Authority January 2001 - May 2001
Rhino Entertainment January 2000 - May 2000
Gibson, Dunn & Crutcher LLP May 1999 - August 1999
Autobytel September 1997 - September 1998
Skills
Estate Planning, Life Insurance, Succession Planning, Advanced Sales, Advanced Sales Training, Executive Benefits, Marketing Strategy, Problem Solving, Public Speaking, Retirement Strategies, Series 6, Series 26
Education
Pepperdine University School of Law 1998 — 2002
JD
Pepperdine University, The George L. Graziadio School of Business and Management 1999 — 2001
MBA, Finance
University of California, Santa Barbara 1995 — 1997
BA, History
Financial Industry Regulatory Authority April 2012 - Present
KPMG LLP September 2010 - April 2012
Deloitte LLP December 2006 - March 2009
Skills
Management Consulting, Due Diligence, Financial Analysis, Risk Management, Consulting, Internal Controls, Financial Services, Valuation, Enterprise Risk..., Management, Investments, Sarbanes-Oxley Act
Education
University of Florida 1999 — 2003
BS in Business Administration, Management
Nova Southeastern University 2005 — 2006
Master Of Business Administration
Wild Naiada Designs May 2013 - Present
Financial Industry Regulatory Authority August 2011 - January 2013
CreamTec LLC December 2010 - August 2011
FINRA May 2010 - December 2010
Montgomery County Literacy Council April 2010 - May 2010
Robert H. Smith School of Business January 2009 - June 2009
SeaWeb July 2007 - October 2007
Education
Creative Metalworks Studio 2014 — 2014
Continuing Education, Jewelry Fabrication
Montgomery College 2010 — 2013
Continuing Education, Computer Science
University of Maryland College Park 2006 — 2009
Undergraduate, Finance, Information Systems
Richard Montgomery HS 2002 — 2006
3M May 2015 - August 2015
North Carolina A&T State University September 2014 - April 2015
Financial Industry Regulatory Authority May 2014 - August 2014
River Grille May 2013 - January 2014
Young Men's Christian Association June 2013 - August 2013
Goodwill Industries International August 2012 - December 2012
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Budgets, PowerPoint, Teamwork, Research, English, Time Management, Public Speaking, Windows, Organization
Education
North Carolina Agricultural and Technical State University 2013 — 2016
Bachelor's degree, Accounting
Penn State University 2011 — 2012
JPMorgan Chase Bank, N.A. July 2011 - Present
Financial Industry Regulatory Authority September 1996 - July 2011
Dean Witter Reynolds July 1985 - September 1995
Education
St. John's University 1991 — 1995
Doctor of Law (JD), Law
Mount Saint Mary's College
Bachelor of Arts (BA)
UBS Wealth Management October 2014 - Present
Barclays Wealth and Investment Management October 2013 - October 2014
US Securities and Exchange Commission January 2013 - April 2013
US Securities and Exchange Commission September 2012 - December 2012
ILSA Journal of International & Comparative Law May 2011 - September 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Seiden Law Firm/ Family Business Mediation June 2011 - August 2011
Education
Nova Southeastern University 2010 — 2013
Master of Business Administration (M.B.A.), Entrepreneurship/Entrepreneurial Studies
Nova Southeastern University—Shepard Broad Law Center 2009 — 2013
Doctor of Law (J.D.), Law
University of Miami 2006 — 2009
Bachelor of Business Administration (B.B.A.), Finance, General
Conway & Conway Attorneys at Law May 2015 - Present
U.S. Securities and Exchange Commission December 2014 - April 2015
Financial Industry Regulatory Authority May 2014 - August 2014
The Law Firm of Conway & Conway October 2011 - June 2013
New York University May 2012 - August 2012
Linnen Co. LPA May 2009 - August 2009
Skills
Legal Research, PowerPoint, Microsoft Office, Legal Writing, Research, Microsoft Excel, Westlaw, Microsoft Word, Social Media
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2014 — 2016
Doctor of Law (JD)
American University, Washington College of Law 2013 — 2014
Doctor of Law (J.D.)
New York University 2009 — 2012
Bachelor of Arts (B.A.), History
Firestone High School 2005 — 2009
KPMG US March 2015 - Present
NYSE December 2012 - February 2015
Financial Industry Regulatory Authority February 2011 - December 2012
NYSE 2008 - 2011
NYSE Euronext June 2005 - January 2008
Financial Industry Regulatory Authority (FINRA) December 2003 - June 2005
Skills
Securities, Equities, Capital Markets, Options, Analysis, FINRA, Trading, Derivatives, Securities Regulation
Education
New York Law School 2006 — 2010
JD, Securities Law
Saint John's University 2000 — 2002
BS, Finance
Polytechnic University 1997 — 2000
Computer Engineering
Credit Suisse November 2014 - Present
Financial Industry Regulatory Authority November 2011 - October 2014
The Transaction Auditing Group, Inc. June 2008 - November 2011
City Parks Foundation January 2006 - June 2008
Pace University 2003 - 2005
City Parks Foundation 2002 - 2004
City Parks Foundation 2000 - 2002
Skills
Trading, Equities, FINRA, Securities, Hedge Funds, Capital Markets, Risk Management, Fixed Income, Market Data, Bilingual: English &..., Derivatives, Electronic Trading, Financial Services, Options, Control Room, Trade Preclearing, Trade Surveillance, Finance, Financial Regulation
Education
Pace University 2001 — 2005
Bachelor of Science, Information Systems
Madden Brockmann LLC September 2012 - Present
Northeastern University School of Law August 2013 - Present
Financial Industry Regulatory Authority January 2012 - Present
Providence College September 2008 - August 2013
Little Medeiros Kinder Bulman & Whitney PC September 2008 - August 2012
Roger Williams University, School of Law December 2010 - June 2011
The Madden Law Firm, P.C. 2000 - 2008
Jones Day 1997 - 2000
Donovan Leisure Newton & Irvine 1989 - 1991
Skills
Intellectual Property, Mergers, Corporate Governance, Non-profits, Securities, Arbitration, Private Equity, Commercial Lending, Litigation, Commercial Litigation, Mergers & Acquisitions, Licensing, Joint Ventures, Real Estate, Corporate Law, Securities Regulation
Education
New York University 1992 — 1996
MA, Political and Legal Theory
Northwestern University 1986 — 1989
JD, Law
Trinity College-Hartford 1982 — 1986
BA, With Interdisciplinary Honors
Financial Industry Regulatory Authority 2011 - Present
Independent Researcher August 2009 - November 2011
Morgan Stanley July 2007 - January 2009
E*Trade Financial May 2006 - July 2007
Research Institute on Financial Fraud November 2003 - November 2005
Skills
AML, Securities, Risk Management, Due Diligence, Banking, Fraud, FINRA, Series 24, Financial Risk, Hedge Funds, Asset Managment, Series 7, Capital Markets, Alternative Investments, Mutual Funds, Equities, Asset Management, Fixed Income, Investments, Financial Services
Education
Stockholm University 2004 — 2005
Erasmus
Otto-Friedrich-Universität Bamberg 1998 — 2005
Diplom-Psychologie
Universidad Pontificia de Salamanca 2001 — 2002
Erasmus
Otto-Friedrich-Universität Bamberg 1998 — 2001
Bachelor of Arts
RR Donnelley May 2015 - Present
InScope International June 2014 - May 2015
Regis & Associates, PC January 2013 - April 2014
Regis & Associates, PC October 2012 - April 2014
Financial Industry Regulatory Authority July 2008 - October 2011
Financial Industry Regulatory Authority December 1999 - October 2011
Financial Industry Regulatory Authority March 2005 - July 2008
Financial Industry Regulatory Authority December 1999 - March 2005
Sallie Mae, Inc May 1998 - December 1999
Mellon Bank October 1997 - May 1998
Skills
Risk Management, Securities, Analysis, Financial Analysis, Financial Reporting, FINRA, Mergers & Acquisitions, Financial Risk, Compliance, SEC, Account Reconciliation, Auditing, Management, Valuation, Investments, Training, Accounting, Process Improvement, Securities Regulation, Fixed Income, Due Diligence, Equities, Banking, Capital Markets, Policy, Bloomberg, Internal Controls, SEC filings, Trading, Financial Markets, Leadership, Team Leadership, Performance Management, Finance, Financial Services, Strategic Financial..., Mergers, Problem Solving, Performance Reviews, Dividends, SEC compliance, Bankruptcy, Liquidation, Reconciliation, Research, Supervisory Skills, Risk Analysis, Risk Assessment, Policy Analysis
Education
University of Maryland University College 2006 — 2008
MBA, Business
University of Maryland University College 2004 — 2006
MS, Financial Management
Morgan State University 1993 — 1997
BS, Accounting
LODOLCE ACADEMY OF REAL ESTATE
Bachelor of Science, Accounting
Osborne & Associates Law Firm, P.A. January 2015 - Present
Babbitt Johnson Osborne & LeClainche November 2009 - Present
Blum & Silver, LLP. March 2008 - December 2008
Financial Industry Regulatory Authority May 2007 - February 2008
Skills
Microsoft Office, Excel, Customer Service, Word, Customer Relations, LexisNexis, Westlaw, Findlaw, Real Estate, Public Speaking, Personal Injury, Microsoft Excel, Editing, Legal Research, Contract Negotiation, Commercial Litigation, Civil Litigation, Medical Malpractice, Microsoft Word, Arbitration, Securities Litigation, Legal Writing, Litigation, Securities, Securities Regulation, Lexis, Legal Issues, Bankruptcy, Nonprofits, Hearings, Insurance Law, Class Actions, White Collar Criminal..., Consumer Law
Education
Nova Southeastern University—Shepard Broad Law Center 2006 — 2008
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
University of Florida 2000 — 2003
Bachelor of Science (BS), Psychology
CEB September 2015 - Present
APCO Worldwide January 2015 - May 2015
inVNT May 2014 - August 2014
PR Collaborative January 2014 - April 2014
Michael Kors May 2013 - August 2013
Financial Industry Regulatory Authority May 2012 - August 2012
Abercrombie & Fitch December 2009 - August 2010
Skills
Event Planning, Marketing Communications, PowerPoint, Social Media, Microsoft Word, Microsoft Office, Customer Service, Microsoft Excel, Teamwork, Research, Sales, Public Speaking, Social Networking, Marketing, Facebook, Interpersonal..., Retail
Education
The George Washington University 2012 — 2015
Bachelor of Arts (B.A.), Organizational Sciences
DIS- Danish Institute for Study Abroad
Strategic Communication
Providence College 2010 — 2012
Calhoun County, MI May 2015 - August 2015
CSBS December 2011 - May 2015
Financial Industry Regulatory Authority November 2010 - December 2011
New World Systems March 2007 - November 2010
Abandoned Property Experts, LLC December 2006 - December 2006
Skills
Software Training, Web-based Training, Software Documentation, Software Implementation, Software Project..., Microsoft Office 2007, MS Project, Microsoft Publisher, Adobe Acrobat, Captivate, SnagIt, Leadership, SharePoint, Project Management, Employee Training, Visio, Process Improvement, Analysis, Microsoft Office, Hands-on Training
Education
Michigan State University 2002 — 2006
BA, Accounting
John Cabot University 2005 — 2005
N/A, Study Abroad
PwC July 2015 - Present
PwC September 2013 - June 2015
PwC January 2013 - March 2013
Meadowgate Technology June 2011 - August 2011
Financial Industry Regulatory Authority May 2010 - August 2010
Financial Industry Regulatory Authority May 2009 - August 2009
Education
Northeastern University 2012 — 2013
Masters in Accounting / MBA
Saint Michael's College 2008 — 2012
Bachelor of Science (B.S.), Business Administration
University College Dublin 2010 — 2010
Commerce
Georgetown Preparatory School 2004 — 2008
Financial Industry Regulatory Authority April 2013 - Present
Financial Industry Regulatory Authority November 2009 - March 2013
American Red Cross September 2008 - November 2009
Immediate System Resources, Inc. January 2007 - August 2008
Foley & Lardner LLP April 2005 - January 2007
Pillsbury Winthrop Shaw Pittman LLP October 2000 - April 2005
Pitney Bowes February 1998 - September 2000
Skills
Records Management, Document Management, Enterprise Content..., Policy, Process Improvement, Outlook, Litigation Support, Knowledge Management, Microsoft Office, Analysis, SharePoint, Project Management, Software Documentation, Microsoft Excel, Business Analysis, Research, Strategic Planning, Records, Access, Program Management, Project Planning, Government, Digital Preservation, Security, Budgets, Governance, Business Process..., SDLC, Document Imaging, Risk Management, Team Leadership, Leadership, Proposal Writing, Legal Research, Visio, Integration, Databases, Archives, Documentum, Information Management, Management, Human Resources, Training, Data Entry, CRM, System Administration, EDRMS, Enterprise Software, Document Review, Administration
Education
Morgan State University
Financial Industry Regulatory Authority 2012 - Present
The New York County District Attorney's Office August 2006 - November 2010
The Fortune Society August 2004 - January 2006
Skills
Legal Research, Westlaw, Office Management, Research, Microsoft Office, Customer Service, Management, PowerPoint, Microsoft Excel, Event Management, Nonprofits, Outlook, Microsoft Word, Community Outreach, Editing, File Management, Fundraising, Government, Marketing
Education
Monroe College 2004 — 2006
Bachelor of Science (BS), Criminal Justice/Law Enforcement Administration
The George Washington University
Master's degree, Paralegal
The George Washington University
Certification, Legal Assistant/Paralegal
Financial Industry Regulatory Authority November 1996 - Present
Education
NYU
Under Grad, Business Economics
Financial Industry Regulatory Authority June 2010 - Present
Skills
FINRA, Securities, Capital Markets, Equities, Electronic Trading, Series 7, Internal Controls, Operations Management, Procedure Development, Training and Education, Certified Regulatory..., Options, Financial Regulation, Series 63, Trading, Financial Services, Prime Brokerage, Trading Systems, Financial Markets, Equity Trading, Securities Regulation, Hedge Funds, Derivatives, Alternative Investments, Series 24
Education
New York University 1994 — 1997
MS, Perormance and Information System Auditing
Rutgers University-New Brunswick
BA, Economics
FINRA Institute for Professional Development and Wharton School of Business
Certified Regulatory and Compliance Professional (CRCP)
Financial Industry Regulatory Authority 1992 - Present
Kidder Peabody 1986 - 1988
Morgan Stanley 1983 - 1986
Goldman Sachs 1977 - 1983
Skills
Derivatives, Mutual Funds, Risk Management, Securities Regulation, Capital Markets, Securities, Financial Modeling, Financial Services, Equities, Financial Analysis, Finance, Fixed Income, Series 7, Due Diligence, Hedge Funds
Education
Pace University
Accounting
Financial Industry Regulatory Authority July 2014 - Present
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Teamwork, Social Media, Public Speaking, English
Education
Penn State University 2008 — 2013
Bachelor of Science (BS), Energy, Business and Finance
Goodwin Procter LLP October 2012 - Present
The Honorable Martin Glenn, U.S. Bankruptcy Court- Southern District of New York September 2011 - December 2011
Financial Industry Regulatory Authority June 2011 - August 2011
RD Management March 2011 - May 2011
Skills
Real Estate, Securities, Tax, Legal Research, Legal Writing, Securities Regulation, Commercial Real Estate, Corporate Law, Finance
Education
New York University School of Law 2009 — 2012
J.D.
Wesleyan University 2001 — 2005
B.A., Philosophy
Financial Industry Regulatory Authority March 2014 - Present
eGlobalTech May 2013 - February 2014
Tyler King Law September 2012 - May 2013
Columbus Community Legal Services January 2012 - May 2012
United States Postal Service - Office of Inspector General May 2010 - January 2012
Wellington Management January 2008 - June 2008
United States Department of Justice January 2007 - June 2007
Crowe, Paradis & Albren, LLP January 2006 - July 2006
Skills
Legal Research, Litigation, Courts, Legal Writing, Policy Analysis, Research, Westlaw, Due Diligence, Public Speaking, Editing, PowerPoint, Microsoft Excel, Private Equity, Securities Regulation, Policy, Legal Assistance, Legal Documents
Education
The Catholic University of America, Columbus School of Law 2009 — 2012
J.D., Law
Northeastern University 2004 — 2008
B.S., Criminal Justice/Psychology
Shenendehowa High School
Davis Polk & Wardwell LLP January 2014 - Present
Financial Industry Regulatory Authority June 2013 - January 2014
The George Washington University Law School Small Business & Community Economic Development Clinic September 2012 - May 2013
The George Washington University Law School, Small Business & Community Economic Development Clinic May 2011 - May 2013
US Securities and Exchange Commission May 2012 - December 2012
Commodity Futures Trading Commission January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
Transport for London May 2008 - July 2008
Education
The George Washington University Law School 2010 — 2013
Doctor of Law (J.D.)
Providence College 2006 — 2010
BA, Quantitative Economics, Political Science (minor) Magna Cum Laude
Financial Industry Regulatory Authority August 2011 - Present
Financial Industry Regulatory Authority October 2009 - August 2011
Fidelity Investments March 2008 - July 2009
de beaubien, Knight, Simmons, Mantzaris & Neal, LLP January 2005 - April 2006
United States Navy July 1999 - July 2004
Skills
Securities Regulation, Process Improvement, Program Management, Team Leadership, Risk Management, Government, Securities, Mergers, Financial Analysis, Analysis, Equities, Investments, Finance, Legal Research, Management, Financial Services, Legal Writing, Mergers & Acquisitions, Microsoft Office, Due Diligence, Series 63
Education
Nova Southeastern University Shepard Broad College of Law 2009 — 2012
J.D.
University of Florida - Warrington College of Business Administration 2006 — 2007
B.S.B.A., Management
Financial Industry Regulatory Authority March 2014 - Present
U.S. Attorney's Office for the District of New Jersey April 2010 - March 2014
Troutman Sanders LLP January 2008 - April 2010
U.S. Attorney's Office for the District of Columbia April 2003 - December 2007
U.S. Department of Justice, Civil Division December 2002 - April 2003
New Hampshire Democratic Party July 2002 - November 2002
The Honorable Ruben Castillo January 2001 - July 2002
Gore-Lieberman 2000 November 1999 - December 2000
Wilmer, Cutler & Pickering LLP August 1999 - November 1999
Clinton-Gore '96 December 1995 - September 1996
Skills
Litigation, Criminal Law, Trials, Legal Research, Securities Regulation, Legal Writing, Civil Litigation, Trial Practice, White Collar Criminal..., Appeals, Politics, Commercial Litigation, Enforcement, Courts, Law Enforcement
Education
Northwestern University School of Law 1996 — 1999
J.D.
Middlebury College 1992 — 1995
B.A.
St. Albans School 1989 — 1991
CommunityAmerica Credit Union July 2013 - May 2014
Ausdal Financial Partners, Inc. July 2012 - June 2013
Ausdal Financial Partners, Inc. May 2010 - June 2012
Financial Industry Regulatory Authority August 2002 - April 2010
Education
Northwest Missouri State University 1996 — 1999
Bachelor's degree, Finance
Financial Industry Regulatory Authority December 2009 - Present
Cambridge Interactive Development Corporation April 2008 - November 2009
Liberty Travel May 2005 - April 2008
Skills
Java Enterprise Edition, Enterprise Architecture, Spring, XML, Tomcat, Java, Hibernate, Project Coordination, Application Architecture, Databases, Data Warehousing, MySQL, Enterprise Software, Unix, Business Intelligence, ETL, Eclipse, Performance Tuning, SOA, Agile Methodologies, Web Services, Ant, Weblogic, Maven, GWT, JMS, Solution Architecture, Spring Framework
Education
Western Governors University 2007 — 2009
MBA, Management Information Technology
Novosibirsk State University (NSU) 1990 — 1995
Master of Science (MS), Particle Physics
Financial Industry Regulatory Authority 1994 - Present
Skills
FINRA, Microsoft Office, Securities Regulation, Microsoft Word, Customer Service
Education
Montgomery College 1998 — 2000
Occupy the SEC July 2015 - Present
Environment New York May 2015 - July 2015
Financial Industry Regulatory Authority June 2014 - August 2014
Sierra Real Estate 2013 - 2013
Siwanoy Day Camp June 2010 - August 2012
Skills
Leadership, Microsoft Office, Social Media, Public Speaking, Event Planning, Risk Management, Management, Strategic Communications, Real Estate, Social Media Marketing, Property Management, Construction Management, Political Science, International Relations, Securities Regulation, Federal Government..., Middle Eastern Studies, Survival Skills, National Security, Political Risk Analysis, Conflict Analysis, Counterterrorism, Legislative Research, Team Management, Campaign Strategies, Political Campaigns, Foreign Affairs
Education
Northwestern University 2012 — 2016
Bachelor of Science (B.S.), International/Global Studies
Northwestern University 2012 — 2016
Bachelor of Science (BS), Political Science
Horace Mann Upper School 2008 — 2012
Financial Industry Regulatory Authority July 2007 - Present
NYSE Euronext July 2005 - July 2007
Odyssey Logistics & Technology (formerly Rely Software and RightFreight) 2000 - 2005
Chase Manhattan Bank 1996 - 2000
Andersen Consulting 1995 - 1996
Skills
PMP, Scrum, Software Development, Cross-functional Team..., Management, Change Management, Project Management, Business Process..., SOA, Software Project..., Information Technology, Integration, Agile Methodologies, Business Analysis, Hibernate, Cloud Computing, XML, Web Services, Oracle, Leadership, Java Enterprise Edition, Usability, User Experience, Information Engineering, software, Enterprise Software, Software Development..., Agile Project Management
Education
University of Pennsylvania - The Wharton School 2014 — 2014
Executive Education
New York University - Leonard N. Stern School of Business 1997 — 2001
MBA
New York University 1992 — 1995
BA
Financial Industry Regulatory Authority July 2013 - Present
Merrill Lynch July 2011 - June 2013
American Express January 2010 - July 2011
InterDigital Communications May 2010 - October 2010
Skills
SQL, SAS, Matlab, VBA, Data Analysis, C++
Education
Princeton University 2007 — 2010
PostDoc Fellow
The University of Edinburgh 2003 — 2007
PhD
Jernberg Law Group, LLC March 2003 - Present
Alan E. Case, Attorney at Law February 2002 - Present
American Arbitration Association (AAA) February 1990 - Present
Financial Industry Regulatory Authority January 1990 - Present
Motorola, Inc. November 1997 - January 2002
Motorola, Inc. October 1989 - November 1997
Private practice October 1973 - October 1989
Skills
Commercial Litigation
Education
Northwestern University School of Law 1970 — 1973
JD
Vanderbilt University 1966 — 1970
FINRA April 2013 - Present
Financial Industry Regulatory Authority November 2011 - Present
Financial Industry Regulatory Authority February 2010 - November 2011
Hogan & Hartson LLP October 2004 - February 2010
Common Good November 2003 - September 2004
Hogan & Hartson May 1998 - October 2003
Simpson Thacher & Bartlett September 1994 - May 1998
Skills
Securities, Civil Litigation, FINRA, Securities Regulation, Corporate Governance, Arbitration, Securities Litigation, Litigation, Licensing, Commercial Litigation, Enforcement, Legal Writing, Legal Research, Intellectual Property, Due Diligence, Mediation, Privacy Law, Insurance
Education
New York University School of Law 1990 — 1993
JD, magna cum laude
University of Virginia 1983 — 1987
BA, English
Financial Industry Regulatory Authority 2014 - Present
Financial Industry Regulatory Authority 2012 - 2014
Financial Industry Regulatory Authority 2010 - 2012
RiskMetrics Group 2007 - 2010
Skills
Risk Management, Due Diligence, Corporate Governance, Investments, Asset Managment, Financial Analysis
Education
Mumbai University
BACHELOR OF LAW
Panjab University
B.A., Public Administration and Psychology
Financial Industry Regulatory Authority October 2012 - Present
Nasdaq Stock Market October 1996 - August 2012
Capital Realty Investors, Inc. January 1995 - October 1996
Chevy Chase Bank September 1989 - December 1994
Skills
Capital Markets, Equities, Derivatives, Securities, Financial Markets, Financial Services
Education
The George Washington University - School of Business 2005 — 2007
M.S., Accounting
The Johns Hopkins University - Carey Business School 2000 — 2003
M.S., Information & Telecommunications Systems
University of Maryland University College 1990 — 1994
M.G.A., Financial Management
Penn State University 1983 — 1987
B.S., Hotel, Restaurant, & Institutional Management
Financial Industry Regulatory Authority January 2013 - Present
Menzer & Hill, P.A. August 2012 - January 2013
Palm Beach State Attorney's Office January 2012 - July 2012
Powers, McNalis, Torres, & Teebagy June 2011 - December 2011
Nova Southeastern University May 2011 - August 2011
ML Rogers Agency May 2008 - May 2010
Polo Ralph Lauren October 2006 - May 2010
Grey February 2007 - November 2007
G-Whiz 2006 - 2006
Education
Nova Southeastern University—Shepard Broad Law Center 2010 — 2013
J.D, Health Law Concentration
Saint John's University 2006 — 2007
B.S. Advertising Communications, Marketing, Advertising, Communication
St. John's University, The Peter J. Tobin College of Business 2002 — 2005
Financial Industry Regulatory Authority April 2013 - Present
Ericsson (Fomerly Telcordia Technologies) April 2009 - March 2013
PNC Investments March 2008 - December 2008
Conexant Systems June 2007 - September 2007
Skills
SQL, Requirements Analysis, Oracle, Unix, PL/SQL, Testing, HTML, Oracle Forms, Tortoise SVN, Oracle Financial, QTP, Quality Center, SDLC, XML, C++, Oracle E-Business Suite, Analysis, Unix Shell Scripting, Programming, Java Enterprise Edition, SOA, Integration
Education
New Jersey Institute of Technology 2006 — 2007
Master's degree, Computer Science
University of Mumbai 2002 — 2006
Bachelors, Information Technology
Holy Cross 1989 — 2000
RBC Capital Markets 2014 - Present
Financial Industry Regulatory Authority 2012 - 2013
Dun & Bradstreet 2010 - 2012
NYSE Euronext 2008 - 2010
NYSE Euronext, (Formerly SIAC) 2005 - 2008
SIAC November 2001 - December 2005
Skills
Market Data, Electronic Trading, Trading Systems, Low Latency, SDLC, Equities, Vendor Management, Business Analysis, Equity Trading, Program Management, Financial Services, Business Continuity, Databases, Information Technology, Agile Methodologies, IT Strategy, Enterprise Architecture, CRM, Disaster Recovery, Integration, Project Management, IT Service Management, Risk Management, Leadership
Education
New York University - Polytechnic School of Engineering 2006 — 2008
MOT, Masters In Technology Management
University of Rochester 1979 — 1983
BA, History
Gibson, Dunn & Crutcher LLP August 2015 - Present
Desmarais LLP September 2012 - July 2015
Desmarais LLP May 2011 - July 2011
Financial Industry Regulatory Authority May 2010 - July 2010
Bechtel July 2007 - March 2009
Skills
Patent Litigation, Litigation, Civil Litigation, Patents, Greek, Intellectual Property, Legal Writing, Legal Research, Structural Engineering, German, Structural Analysis, Public Speaking
Education
New York University School of Law 2009 — 2012
J.D., Law
University of California, Berkeley 2006 — 2007
M.S., Structural Engineering
National Technical University of Athens
Diploma in Civil Engineering, Structural Engineering
Athens College
High School Diploma
Financial Industry Regulatory Authority Vice PresidentGoldman SachsJune 1997 - October 2011
Citibank April 1994 - June 1997
Education
Pace University - Lubin School of Business 1989 — 1995
Adelphi Academy
Financial Industry Regulatory Authority June 2010 - Present
NYSE 1998 - Present
NYSE Euronext 1998 - June 2010
Moore data Management Services 1995 - 1998
Skills
Cloud Computing, Derivatives, Electronic Trading, Equities, Equity Trading, IT Strategy, Market Data, Options, SDLC, SOA, Securities, Software Project..., Sybase, Trading Systems
Education
New Mexico State University 1985 — 1987
MS, Computer Science
University of Guyana 1977 — 1982
BA, Mathematics
Artech Information Systems June 2014 - Present
Fannie Mae June 2014 - Present
Infomerica July 2007 - June 2014
Ryder Supply Chain Solutions May 2013 - May 2014
CVS Caremark Corporation January 2013 - April 2013
Financial Industry Regulatory Authority July 2012 - January 2013
Giant Eagle August 2011 - June 2012
Northwestern Mutual October 2010 - August 2011
Kohls April 2010 - January 2011
JP Morgan Chase January 2008 - March 2010
Skills
Oracle, SDLC, PL/SQL, SQL, Data Warehousing, Unix, Databases, Business Intelligence, Requirements Analysis, Agile Methodologies, Software Project..., Visio, Software Development, Enterprise Architecture, XML, Web Services, Business Analysis, ASP.NET, .NET
Education
Osmania University 1995 — 2000
Master Of Science, Computer Science, Mathematics
Merchant Link August 2013 - Present
Financial Industry Regulatory Authority May 2012 - August 2013
American Airlines June 2007 - April 2012
American Airlines April 2007 - April 2012
American Eagle Airlines April 2000 - August 2007
AMERICAN EAGLE AIRLINES April 2000 - June 2007
Taxwise April 1999 - April 2000
UNIVERSAL TAX SYSTEMS, INC April 1999 - April 2000
Skills
Borland Delphi, C#, Oracle SQL, PL/SQL, UML, Java, C++, Web Services, NHibernate, Entity Framework, Light Speed, TCP/IP, CORBA, Database Design, Databases, VSS, Object Oriented Design, Design Patterns, .NET, Delphi, Software Design, Distributed Systems, Database Development, LINQ, WCF, SVN, Git, Netezza, Greenplum, Cygwin, SSH Client, WPF, ETL, Oracle, Agile Methodologies, Subversion, Architecture, SOAP, Hibernate, Architectures, Python, XML, Software Development, SOA, Scrum, Software Engineering
Education
Novosibirsk State University 1983 — 1990
MS, Computer Science
Novosibirsk State University (NSU) 1983 — 1990
MS of Science, Physics
Financial Industry Regulatory Authority January 2013 - Present
FINRA July 2008 - January 2013
MILO/The Golfe February 2006 - February 2008
The Ark Grooming & Pet Supply Store May 2007 - October 2007
Express Clothes Store August 2004 - February 2006
Freidkin, Matrone, & Horn CPA February 2004 - August 2004
Skills
Access, Training, Management, Outlook, Microsoft Excel, PowerPoint, Customer Service, Microsoft Office, Microsoft Word, Sales, Competitive Analysis, Editing, Finance, Databases, Securities, Financial Risk, Securities Regulation
Education
University of Maryland College Park 2006 — 2008
Bachelor of Science, International Business
Montgomery College 2004 — 2006
Associate's degree, Business/Commerce, General
Winston Churchill High School
Purple Land Management June 2014 - June 2015
Harris County District Attorney's Office March 2011 - May 2014
New Jersey Judiciary September 2009 - August 2010
New Jersey Judiciary August 2008 - April 2009
New York City Council May 2008 - August 2008
Financial Industry Regulatory Authority January 2008 - May 2008
Prudential Financial June 2007 - August 2007
Skills
Westlaw, Legal Research, Courts, Corporate Law, Legal Writing, Lexis, Civil Litigation, Litigation, Trials, Criminal Law, Insurance Law, Hearings, Appeals, Family Law, Microsoft Office, Commercial Litigation, Criminal Defense, Trial Practice
Education
New York Law School 2006 — 2009
University of Texas 2001 — 2005
Bachelor of Arts, Economics
Financial Industry Regulatory Authority March 2012 - Present
University of Maryland, College Park August 2009 - Present
University of Maryland, College Park August 2009 - May 2012
Center for Advanced Vehicular Systems December 2005 - August 2009
Skills
Java, JMeter, Ruby, Selenium, JUnit, Mercurial, Subversion, Eclipse, Ubuntu, C, ACT-R, Software Engineering, Hadoop, Software Design, Linux, Software Development
Education
University of Maryland College Park 2009 — 2015
Ph.D., Computer Science
Mississippi State University 2007 — 2009
M.S., Computer Science
Mississippi State University 2002 — 2006
B.S., Software Engineering, Computer Science
BlueIgnition, LLC May 2008 - Present
National Cancer Institute (NCI) March 2014 - September 2014
District of Columbia One City Youth Initiative December 2013 - March 2014
US Department of Health and Human Services - Healthcare.Gov July 2012 - September 2013
Financial Industry Regulatory Authority March 2012 - July 2012
Digital Management, Inc. August 2011 - March 2012
Constellation Energy November 2010 - August 2011
CQ Roll Call April 2010 - November 2010
U.S. Department of the Treasury January 2010 - April 2010
Aon September 2009 - December 2009
Skills
XML, CSS, JavaScript, HTML 5, Responsive Web Design, jQuery, Linux, Apache, MySQL, PHP, Drupal, Red Hat Linux, CentOS, Ruby, Rails, Jekyll, Prose, Google Search Appliance, User Experience Design, User Interface Design, User Acceptance Testing, Git, Github, Github Enterprise, Sharepoint, Sharepoint Designer, SharePoint, Web Development, E-commerce, CMS, Front-end, Programming, Java, Integration, Web Applications, XHTML, Microsoft SQL Server, Adobe Creative Suite, HTML, Joomla, Visual Studio, Databases, .NET, WordPress, Agile Methodologies, SQL, Oracle, Dreamweaver, SharePoint Designer, XSLT
Education
Montgomery College 1997 — 1999
Information Technology
InfoTech Training Institute
University of Guyana
Computer Science Diploma Program
Financial Industry Regulatory Authority September 2013 - Present
State of Michigan May 2011 - September 2013
State of Michigan April 2002 - May 2011
Skills
Financial Analysis, Finance, Financial Reporting, Auditing, Internal Audit, Internal Controls, Accounting, Financial Accounting, Financial Modeling, Customer Service, Due Diligence, Financial Risk, GAAP, Microsoft Word, Policy, Sarbanes-Oxley Act, Access, Microsoft Excel, Securities, Strategic Planning, Team Building, Investments
Education
Michigan State University 1998 — 2001
B.A., Finance
Bank of America 2011 - Present
Bank of America December 2009 - 2011
Financial Industry Regulatory Authority October 2007 - December 2009
Telcordia Technologies 2003 - 2005
Skills
Oracle, Spring, Java, Hibernate, XML, Databases, Python, Microsoft SQL Server, ETL, Multithreading, SOA, Agile Methodologies, J2EE Application..., SDLC, Integration
Education
Moscow Institute of Physics and Technology (State University) (MIPT) 1984 — 1990
MS
United States District Court Eastern District of New York January 1998 - Present
Law office of Krishna M. Vempaty October 1976 - Present
Krishna Vempaty, Esq. 1976 - Present
Law Office of Krishna M. Vempaty 1976 - Present
Financial Industry Regulatory Authority January 1987 - January 2009
West Publishing Company April 1969 - February 1983
Skills
Family Law, Legal Research, Civil Litigation, Personal Injury, Criminal Defense, Legal Writing, Dispute Resolution, Criminal Law, Legal Assistance, Litigation, Appeals, Arbitration, Commercial Litigation, Courts, Mediation, Hearings, Trials, Wills, Administrative Law, International Law, Immigration Law, Trusts
Education
University of Pennsylvania 1967 — 1968
LL.C.M., Law
Osmania University 1960 — 1962
LL.M., Constitutional and International Law
Intercontinental Exchange November 2013 - Present
NYSE Euronext May 2013 - November 2013
Financial Industry Regulatory Authority August 2012 - May 2013
FINRA October 2010 - August 2012
CME Group January 2010 - May 2010
FINRA May 2009 - August 2009
New York Mercantile Exchange October 2005 - July 2007
NYMEX February 2004 - 2005
Skills
Securities Regulation, Securities, FINRA, Legal Research, Legal Writing, Equities, Derivatives, Lexis, Legal Compliance, Analysis, Corporate Governance, Financial Regulation
Education
New York Law School 2007 — 2010
JD
SUNY New Paltz
Financial Industry Regulatory Authority April 2014 - Present
NYSE Euronext January 2012 - April 2014
CWI Software June 2011 - December 2011
Acxiom Brasil October 2008 - June 2011
Acxiom Brasil October 2008 - January 2011
CWI Software 2006 - 2008
Skills
JPA, JBoss Seam, JSF, EJB, Hibernate, iBatis, Eclipse, LDAP, JBoss, JBoss Portal, ETL, J2EE, Web Services, Weblogic, Oracle, Java Enterprise Edition, Software Development, Spring, Java, JBoss Application Server, Linux, XML, Agile Methodologies, JSP, Design Patterns, Scrum, jQuery, MySQL, Struts, Enterprise Architecture, AJAX, UML, PostgreSQL, Software Engineering, Tomcat, SOA, JUnit, PL/SQL, OOP, Spring Framework
Education
Pontifícia Universidade Católica do Rio Grande do Sul 2002 — 2006
Bachelor, Computer Science
Presence Behavioral Health ProCare Center March 2015 - Present
WINGS Program, Inc. October 2014 - March 2015
Presence Behavioral Health August 2013 - July 2014
IRMKO Tool Works October 2012 - August 2013
Foreside Inc. September 2011 - March 2012
Brewer Financial Group March 2010 - June 2010
NexGen Capital Advisors, LLC October 2009 - March 2010
Waterstone Financial Group September 2006 - September 2009
Financial Industry Regulatory Authority January 1997 - January 2006
Skills
Strength Based..., Case Management..., Individual Counseling..., Group Counseling..., Group Counseling..., Group Counseling..., Group Counseling..., Experience with..., Experience with..., Conducting..., Documentation of Client..., Candidate for CRSS...
Education
Argosy University Schaumburg 2012 — 2014
Master of Arts (M.A.), Community Counseling
Loyola University Chicago 1995 — 1997
Master, Business Administration; Finance
Northeastern Illinois University 1987 — 1991
Bachelor of Science, Finance
EQyance Consultants,LLC 2007 - Present
Financial Industry Regulatory Authority 1999 - 2007
FINRA 1996 - 1999
CNA Insurance 1989 - 1995
Skills
FINRA, Trading, Securities, OATS, Trading Systems, Electronic Trading, Equities, Capital Markets, Equity Trading, Market Data, Financial Markets, Back Office, Mutual Funds, Equity Derivatives, Securities Regulation, Middle Office, Hedge Funds
Education
Montgomery College
A.A.S
Winston-Salem State University
grade school/high school
Financial Industry Regulatory Authority January 2011 - Present
Financial Regulatory Authority January 2011 - Present
Financial Industry Regulatory Authority January 2010 - Present
Red Tail Golf Club September 2009 - December 2010
Redtail Golf Club August 2009 - December 2009
Chicago Steel Hockey Team December 2007 - December 2009
The Chicago Steel 2007 - 2009
North Central College 2005 - 2009
Education
North Central College 2009 — 2011
MBA, Finance Concentration
North Central College 2005 — 2009
Bachelor of Arts, Sport management, Business, LEV
North Central College
BA, Sport Management
Financial Industry Regulatory Authority October 1999 - Present
FDIC January 2011 - June 2013
FDIC November 2009 - January 2011
Federal Deposit Insurance Corporation March 1988 - November 2009
U.S. Department of Education December 1980 - March 1988
Wald Harkrader & Ross July 1978 - December 1980
Skills
Mediation, Corporate Law, Corporate Governance, Legal Writing, Commercial Litigation, Dispute Resolution, Risk Management, Banking Law
Education
New York University School of Law 1975 — 1978
J.D., Law
City College of New York 1971 — 1973
BA
Financial Industry Regulatory Authority December 2012 - Present
JMP Securities December 2007 - March 2012
Thomas Weisel Partners 2002 - 2007
Robertson Stephens 2000 - 2002
NASD Regulation April 1998 - September 2000
Federal Aviation Administration October 1991 - May 1994
Skills
Equities, FINRA, Options, Trading, Risk Management, Investments, Due Diligence, AML, SEC, Analysis, Internal Audit, Accounting, Management, Auditing, Series 7
Education
Northwestern University 1995 — 1997
Masters, Economics
University of California, Davis 1981 — 1986
B.S, Managerial Economics
Financial Industry Regulatory Authority August 2010 - Present
The World Bank August 2000 - August 2009
Verizon September 1998 - August 2000
Skills
PMP, SDLC, Data Mining, Business Analysis, Treasury Services
Education
Osmania University 1994 — 1997
Masters in Computer Applications
Osmania University 1991 — 1994
Bachelor's degree in Sciences (B.Sc), Mathematics, Physics and Computer Science
Vedder Price, P.C. December 2011 - Present
Freeborn & Peters LLP August 2011 - December 2011
Federal Trade Commission January 2011 - April 2011
Financial Industry Regulatory Authority September 2010 - December 2010
WilmerHale June 2010 - August 2010
The Honorable Robert E. Littlefield, Chief Judge of the U.S. Bankruptcy Court in Albany, NY June 2009 - August 2009
Education
Northwestern University School of Law 2009 — 2011
Juris Doctor, Law
Williams College 2004 — 2008
BA, Economics, Political Science
Financial Industry Regulatory Authority February 2011 - Present
State Street August 2008 - February 2011
OakStar Bank March 2007 - July 2008
US Bank June 2006 - March 2007
Education
Missouri State University 2006 — 2008
Masters
Missouri State University 2002 — 2006
Bachelor's of Music
Financial Industry Regulatory Authority April 2013 - Present
General Dynamics Information Technology August 2012 - March 2013
Tata Consultancy Services March 2012 - August 2012
Comcast August 2009 - May 2012
Verizon Data Services November 2008 - July 2009
Visa March 2008 - October 2008
IBM April 2005 - March 2008
MindTree January 2003 - February 2005
Skills
SOA, Weblogic, Integration, JMS, Oracle SOA Suite, Oracle BPEL, Oracle ESB, XML, XSLT, XQuery, Java, J2EE Web Services, J2EE Application..., Messaging, Enterprise Architecture, JAX-WS, JAXB, JAX-RPC, UML, JIRA, Maven, Spring, Hibernate, SOAP, SoapUI
Education
National Institute of Technology Tiruchirappalli 2000 — 2002
Masters in Computer Applications, computers
Bank of America Merchant Services December 2013 - Present
Financial Industry Regulatory Authority August 2009 - November 2013
Aerotek June 2008 - July 2009
First Data Corporation October 2002 - May 2008
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Customer Service, PowerPoint, English, Research, Windows, Outlook, Photoshop, Recruiting
Education
Penn State University 1998 — 2001
Bachelor's degree, Graphic Design
Financial Industry Regulatory Authority September 2011 - Present
Financial Industry Regulatory Authority April 2010 - September 2011
Skills
Accounting, Financial Analysis, Auditing, Financial Reporting, Account Reconciliation, Sarbanes-Oxley Act, Investment Analysis, Stock Market Analysis, Trade Compliance, Strength & Conditioning..., Internal Controls
Education
North Carolina A&T State University 2005 — 2009
BS, Accounting
Calvert Hall College High School 2001 — 2005
High School Diploma
Financial Industry Regulatory Authority June 2010 - Present
American Stock Exchange 2005 - 2009
Education
New York University
Bachelor of Arts (BA), Economics
Forward Financing September 2013 - Present
Mass Insight Corporation November 2010 - August 2013
Congressional Quarterly - Roll Call Group June 2010 - November 2010
Bain Capital 2006 - 2008
Ashton Partners May 2005 - September 2006
Financial Industry Regulatory Authority February 2003 - May 2005
Skills
Public Policy, Sales, Business Development, Project Management, Small Business Lending
Education
The Johns Hopkins University 2008 — 2010
MPP, Public Policy
Northeastern University
B.S., Political Science
Financial Industry Regulatory Authority August 2011 - Present
T Rowe Price June 2006 - August 2011
Skills
Mutual Funds, Financial Analysis, Investments, Bloomberg, Equities, Securities, FINRA, Accounting, Due Diligence, Securities Regulation, Analysis, Series 63, Asset Management
Education
University of Phoenix 2007 — 2008
MBA, Business Administration
Morgan State University 1998 — 2002
BS, Finance
McGladrey January 2015 - Present
Federal Deposit Insurance Corporation November 2013 - April 2014
Financial Industry Regulatory Authority May 2013 - August 2013
Education
Northern Illinois University 2011 — 2014
Doctor of Law (J.D.), Law
Northern Illinois University 2010 — 2011
Master of Science (M.S.), Accounting
North Central College 2006 — 2010
Bachelor of Arts (B.A.), Accounting and Finance
WilmerHale September 2012 - Present
U.S. Department of Justice June 2011 - August 2011
Financial Industry Regulatory Authority October 2010 - May 2011
The Catholic University of America May 2010 - November 2010
Skills
Legal Research, Legal Writing, Westlaw, Public Policy, Research, Intellectual Property, Policy Analysis, Litigation, Microsoft Office, Stata, Criminal Law, PowerPoint
Education
The Catholic University of America, Columbus School of Law 2009 — 2012
Doctor of Law (J.D.)
Providence College 2005 — 2009
Bachelor's of Science, Finance, Economics
Financial Industry Regulatory Authority May 2004 - Present
Education
Middlesex County College 2008 — 2012
Associate of Arts and Sciences (A.A.S.), Business Administration
Financial Industry Regulatory Authority January 2012 - Present
Martin F. McMahon & Associates May 2010 - August 2010
Napoli Bern Ripka LLP August 2009 - April 2010
NYC Human Resources Administration May 2009 - September 2009
Skills
Legal Writing, Arbitration, Securities, Securities Regulation, Legal Research, FINRA, Policy, Management, Motions, Trials, Civil Litigation, Criminal Law, Courts
Education
New York Law School 2008 — 2011
Juris Doctor
HSBC Global Banking and Markets June 2015 - Present
Financial Industry Regulatory Authority 2007 - 2014
Financial Industry Regulatory Authority (FINRA) 1995 - 2007
Skills
Securities, Underwriting, Broker-Dealer, Regulatory Compliance, Anti Money Laundering, Fraud Investigations, Trade Regulation, Suitability Analysis, Report Writing, Depositions, Investments, Capital Markets, Mutual Funds, Fixed Income, Equities, Trading, AML, Financial Regulation, Due Diligence, FINRA, Hedge Funds, Series 7, Securities Regulation, Series 24, Investment Advisory, Financial Risk, SEC
Education
New York University - Leonard N. Stern School of Business
Master of Business Administration (M.B.A.), Finance, General
New York University
Bachelor of Arts (B.A.), History & Political Science
Financial Industry Regulatory Authority October 2011 - January 2012
Education
Prairie State College 1999 — 2005
N/A, Pre-reqs: Economics; Psychology; Western History, Anatomy
Northern Illinois University
Organic Chemistry
Financial Industry Regulatory Authority July 2010 - Present
Financial Industry Regulatory Authority April 2007 - July 2010
Financial Industry Regulatory Authority June 2005 - April 2007
US Securities and Exchange Commission August 2004 - June 2005
PwC September 2002 - August 2004
Skills
Series 7, Management, Financial Risk, Securities, FINRA, AML, Financial Services, Hedge Funds, Securities Regulation, Anti Money Laundering, Capital Markets, Due Diligence, Equities, Mutual Funds, Fixed Income, Investments
Education
Monmouth University 1998 — 2002
Bachelor of Science (BS), Accounting
Legg Mason February 2008 - Present
Morgan Stanley January 2005 - January 2008
Financial Industry Regulatory Authority 2001 - 2004
Education
Morgan State University
Bachelor of Science (BS), Finance, General
Providence College
Financial Industry Regulatory Authority 2003 - Present
RDA Corporation 2000 - 2003
PRC 1995 - 2000
Skills
SOA, Unix, SDLC, Risk Management
Education
The George Washington University 2003 — 2008
Master's degree, Project Management
Penn State University 1994 — 1996
Master of Arts (M.A.), Meteorology
Penn State University 1990 — 1993
Bachelor of Applied Science (B.A.Sc.), Meteorology
Financial Industry Regulatory Authority (FINRA) August 2013 - Present
Financial Industry Regulatory Authority March 2009 - July 2013
MedImmune April 2007 - March 2009
MedImmune January 2004 - March 2007
Weichert Realtors February 1999 - January 2003
Skills
Accounts Payable, SAP, PeopleSoft, Yardi, Notary Public, Cpr Certified, AED, Refereeing, Microsoft Excel, Account Reconciliation, Sarbanes-Oxley Act, Software Documentation, Time Management, Leadership, Accounting
Education
Montgomery College
Financial Industry Regulatory Authority December 2004 - Present
Skills
FINRA, Equities, Series 7, Securities, Financial Services, Finance, Securities Regulation, Risk Management, Hedge Funds, Business Analysis
Education
Norfolk State University
Financial Industry Regulatory Authority November 2011 - Present
HP Enterprise Services June 2010 - November 2011
Robert Half International July 2009 - June 2010
Education
Baran Institute of Technology
Certificate, Electronics
Norwalk Community College
Associate of Science (A.S.), Electrical Engineering Technologies/Technicians
Lustig, Glaser & Wilson, P.C. July 2012 - Present
The Law Office of Matthew Hranitz 2010 - 2012
Financial Industry Regulatory Authority August 2009 - December 2009
Massachusetts Appeals Court May 2009 - August 2009
Orange County District Attorney May 2008 - August 2008
Skills
Civil Litigation, Civil Procedure, National Banking Act, Gramm-Leach-Bliley, Financial Regulation, Securities Regulation, The Fair Debt..., Truth in Lending Act, Fair Credit Reporting..., FDCPA, TILA, FCRA, Collections, LexisNexis, Westlaw, PACER, Microsoft Office
Education
New England School of Law 2007 — 2010
Juris Doctor, Magna cum laude
State University of New York College at Oswego 2003 — 2007
Bachelor of Arts (BA), Philosophy, Magna cum laude
Provident Electric LLC May 2012 - Present
Morgan Stanley October 2007 - April 2012
Touchet Gallery August 2006 - January 2008
Financial Industry Regulatory Authority July 1998 - September 2006
Skills
Strategic Planning, Budgets, Contract Negotiation, Project Management, Project Planning, Contract Management, Team Building, Negotiation, Management, New Business Development, Program Management, Customer Service, Leadership, Business Strategy, Fundraising, Microsoft Office
Education
University of Maryland University College 2002 — 2004
Bachelor of Science (BS), Marketing
Montgomery College 1999 — 2002
Associate of Arts (AA), Business Administration and Management, General
FI Consulting May 2014 - Present
Financial Industry Regulatory Authority 2007 - 2013
Skills
Management, SAS programming, Financial Analysis, Analysis, Data Analysis, Management Consulting, Program Management
Education
Northwestern University 1995 — 1999
Bachelor of Arts (BA), Economics
Morgan Stanley May 2014 - Present
Barclays Investment Bank June 2012 - May 2014
Financial Industry Regulatory Authority May 2011 - June 2012
Financial Industry Regulatory Authority May 2010 - August 2010
Skills
Regulatory Analysis, Risk Management, Change Management, User Acceptance Testing, Microsoft Excel, Data Analysis, Dodd-Frank, Trade Reporting, Derivatives, Financial Risk
Education
Penn State University 2007 — 2011
Bachelor of Science (BS), Economics