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
US Securities and Exchange Commission March 2012 - Present
Financial Industry Regulatory Authority January 2008 - March 2012
Skills
Securities Regulation, FINRA, Securities, Securities Litigation, Internal Investigations, FCPA, SEC, Broker-Dealer, AML, Fraud, Arbitration, Litigation, Corporate Governance, USA PATRIOT Act, Commercial Litigation, Trials, Hedge Funds, Courts, Investment Advisers Act, White Collar Criminal..., Financial Regulation, Series 24, Legal Compliance, Securities Offerings, Private Placements, Broker-Dealer Compliance, Litigation Management, Investments
Education
SMU 1976 — 1979
Doctor of Law (JD)
Seattle Funding Group September 2000 - Present
Financial Industry Regulatory Authority 1999 - Present
A.G. Edwards & Sons 1997 - 2000
Prudential Securities 1994 - 1997
Shearson Lehman Bros. 1992 - 1994
Law Firm of Smith Alling Lane 1991 - 1992
Nordstrom 1986 - 1990
Skills
Loans, Investments, Commercial Real Estate, Due Diligence, Finance, Real Estate, Portfolio Management, Sellers, Residential Homes, Real Estate Financing, Refinance, Mortgage Lending, Foreclosures, Real Estate Transactions, Negotiation, Credit, Legal Research
Education
Seattle University School of Law
J.D., Law
University of Puget Sound
B.A., Business Admin
Independent May 2013 - Present
ADF Solutions, Inc. March 2012 - May 2013
Financial Industry Regulatory Authority May 2011 - January 2012
ISN Corporation October 2010 - May 2011
Skills
Microsoft Office, Copywriting, Copy Editing, Outlook, Customer Service, Travel Planning, Business Travel, Travel Management, Writing, Salesforce.com, Microsoft Word, Microsoft Excel, Blogging, Social Media, Management, Creative Writing, Proofreading, Freelance Writing, Magazines, Literature, Web Content, Newsletters, Editing
Education
St. Mary's College of Maryland 2006 — 2010
Bachelor's degree, English Language and Literature/Letters, 3.73
Kalorama Partners Llc August 2015 - Present
U.S. Securities and Exchange Commission December 2014 - Present
Morgan, Lewis & Bockius LLP September 2014 - December 2014
U.S. Securities and Exchange Commission January 2014 - April 2014
US Securities and Exchange Commission May 2013 - August 2013
US Securities and Exchange Commission January 2013 - May 2013
Financial Industry Regulatory Authority August 2012 - November 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Morgan Stanley Smith Barney September 2010 - August 2011
Skills
Series 7, Retirement Planning, Uniform Combined State..., Wealth Management, Asset Allocation, Investment Advisory, 401k Rollovers, Mutual Funds, Investment Strategies, Saving for Education, Strategic Financial..., Alternative Investments, Investments, Financial Advisory, Retirement, 529 Plans, IRAs, Estate Planning, Series 66
Education
Georgetown University Law Center 2014 — 2016
LL.M, Securities and Financial Regulation
The Catholic University of America, Columbus School of Law 2011 — 2014
J.D., Banking, Corporate, Finance, and Securities Law, cum laude
University of Wisconsin-Madison 2007 — 2009
Bachelor of Arts, Economics, Finance, Spanish
The Catholic University of America 2005 — 2007
International Business, Finance, Spanish
FINRA 2010 - Present
Financial Industry Regulatory Authority 2008 - 2010
Financial Industry Regulatory Authority 2005 - 2008
National Association of Securities Dealers 2003 - 2005
The Adrenaline Group, Inc. 2000 - 2003
Winstar Communications June 1999 - July 2000
SRA International, Inc. July 1994 - May 1999
Education
Rutgers University 1990 — 1994
Bachelors of Science in Electrical Engineering
Norris Financial Group January 2015 - Present
Financial Industry Regulatory Authority November 2011 - November 2014
TCA TrustCorp America March 2009 - January 2010
Wachovia Retirement Services June 2007 - March 2009
Skills
Investments, Securities, Mutual Funds, Wealth Management, Asset Management, Business Development, FINRA, 401k, Portfolio Management, Private Placements, Equities, Financial Planning, Investment Management
Education
Rollins College - Crummer Graduate School of Business 2010 — 2011
MBA, Finance, Marketing
Rollins College 2002 — 2006
BA, Economics
Janney Montgomery Scott August 2000 - Present
Janney Montgomery Scott LLC January 2014 - Present
EY January 2015 - Present
Pennoni Associates January 2013 - Present
Philadelphia Securities Association January 2007 - December 2010
J-Net Global Indexes, LLC June 2007 - November 2010
Financial Industry Regulatory Authority June 2004 - December 2006
Skills
Investment Banking, Mergers & Acquisitions, Private Placements, IPO, Capital Markets, Venture Capital, Leveraged Finance, Corporate Finance, Finance, Private Equity, Alternative Investments, Financial Structuring, Financial Advisory, Due Diligence, Investments, Fairness Opinions, Leadership, Valuation, Management, Water, Utility Industry, Financial Analysis, Debt & Equity Financing, Nonprofits, Board of Directors, Board Governance, Equity Capital Markets, Oil & Gas Industry, Wastewater, Desalination, Follow-on Offerings, MLP, Secondary Offerings, Mentoring, Change Management, Team Building, Team Management, Equities, Equity Research, Equity Trading, Syndicate, Shipping, Trading, Institutional Sales, Financial Modeling, Securities, Strategic Planning
Education
Swarthmore College 1996 — 2000
Bachelor of Arts (B.A.), Economics
Interboro High School 1992 — 1996
Glenolden School 1982 — 1992
Megrant Corporation June 2009 - Present
NYSE Euronext January 2004 - June 2009
Financial Industry Regulatory Authority January 2004 - June 2009
Grassi & Co. January 2002 - December 2004
Holtz Rubenstein Reminick LLP January 2000 - December 2002
Skills
FINRA, Auditing, Internal Controls, Accounting, Financial Reporting, Financial Analysis, Internal Audit, SEC filings, Financial Accounting, Sarbanes-Oxley Act, Due Diligence, GAAP, Accounts Receivable, General Ledger, Tax, Income Tax
Education
Saint John's University
Master of Business Administration (MBA)
Saint John's University - Peter J. Tobin College of Business
Bachelor of Science (B.S.), Accounting
University of Phoenix
Master of Science (M.S.), Accounting
Financial Industry Regulatory Authority August 2007 - Present
General Dynamics Information Technology November 2006 - January 2007
General Dynamics Information Technology February 2003 - November 2006
Education
University of Washington
Bachelor of Arts (B.A.), Accounting and Finance
Tacoma Community College 2005 — 2007
Associate of Arts (A.A.), International Business
NewVantage Partners 2014 - Present
Financial Industry Regulatory Authority 2011 - 2013
Bridgewater Associates 2009 - 2011
CIT 2004 - 2009
Best of Breed Consulting 2002 - 2004
Braun Consulting 2000 - 2002
Emerging Technologies Consultants Inc (ETCI) 1997 - 2000
Scitex 1992 - 1997
3dbm Inc. (now WV-Communications) 1991 - 1991
Israeli Air Force 1988 - 1991
Skills
Analytics, Data Warehouse..., Software Engineering, Human-computer..., Workflow Solutions, B2B eCommerce, Portals, Enterprise Architecture, Program Management, Business Strategy, High Performance Teams, High Performance..., Grid Computing, Cloud Computing, Hadoop, HDFS, SaaS, Virtualization, Organizational Change, Leading Change, Publishing, Compliance Management, Operational Excellence, Capital Budgeting, Multimedia, Mobile Technology, Field Service, Salesforce Automation, Call Center, Strategic Partnerships, Design Conceptualization, Banking Technology, Hedge Funds, M&A due diligence, Offshoring, Change Management, CRM, Product Management, Banking, IT Strategy, E-commerce, Big Data, Strategy, SDLC, Vendor Management, Data Warehousing, Management, Consulting, Leadership, Executive Management
Education
University of Warwick 1994 — 1997
B.Eng, Computer Systems Engineering
Tel Aviv University
Financial Industry Regulatory Authority May 2013 - Present
Legal & General January 2013 - May 2013
FINRA December 2002 - January 2013
Skills
FINRA, Securities, Microsoft Word, Research, Customer Service, Financial Services, Outlook, SharePoint, Microsoft Office, PowerPoint, Leadership, Process Improvement, Caseload Management, Customer Driven, Risk Management, Access, Training, Insurance, Public Relations, Public Speaking, Risk Assessment, Social Media Marketing, Fitness Industry, Weight Loss Coaching, Singing, Creative Writing, Meeting Planning, Billing Process, Baking, Microsoft Project, MS Project, Analysis, Management, Strategic Planning, Microsoft Excel
Education
Southern NH University 2012 — 2013
Bachelor's degree, Creative Writing, 3.0
University of Phoenix 2009 — 2011
Associate of Arts (AA), Communication, General
Wells Fargo April 2015 - Present
Financial Industry Regulatory Authority April 2014 - April 2015
Marriott International February 2013 - April 2014
IBM August 2007 - February 2013
Freddie Mac June 2006 - August 2007
Citi Groups February 2006 - May 2006
Skills
Unix, Shell Scripting, Linux, Unix Shell Scripting, Apache, Weblogic, WebSphere Application..., Tomcat, Websphere, Integration, Solaris, Databases, Disaster Recovery, Middleware
Education
Texas A&M University 2003 — 2005
Masters, Electricals
Vaagdevi College of Engineering 1999 — 2003
Bachelor's degree, Electrical, Electronics and Communications Engineering
ICF International August 2015 - Present
DISYS October 2012 - August 2015
Blackboard Inc. June 2012 - September 2012
Financial Industry Regulatory Authority May 2011 - August 2011
Education
Virginia Polytechnic Institute and State University - Pamplin College of Business 2009 — 2012
Marketing Management
Telecom Paris
Chappuis Halder & Co. January 2013 - Present
Magno Underwear January 2014 - Present
SKEMA Business School (ESC Lille & CERAM) September 2011 - December 2012
DaybyDay May 2012 - November 2012
Abengoa January 2011 - July 2011
Edmond de Rothschild July 2010 - January 2011
FINANCIAL INDUSTRY REGULATORY AUTHORITY September 2009 - November 2009
Temple University January 2008 - November 2008
BNP Paribas Financial Services June 2008 - July 2008
Skills
Analysis, Technical Analysis, Bloomberg, VBA, Spanish, French, Microsoft Excel, PowerPoint, English, Financial Markets, Research, Databases, Financial Modeling, Financial Analysis, Portfolio Management, Equities, Investments, Economics, Commodity Markets, Consulting, Trading
Education
SKEMA Business School 2011 — 2012
MSc Financial Markets & Investments, Financial markets
Temple University 2006 — 2010
Bachelor, Business Administration; Finance, 3.5 GPA
Saint Louis University 2009 — 2009
Bachelor of Business Administration (BBA), Finance
JBA Wealth Management January 2002 - Present
Securities America, Inc. Member FINRA/SIPC February 2010 - Present
Financial Industry Regulatory Authority February 2010 - Present
SIPC -Financial Industry Regulatory Authority February 2010 - Present
Assurity Life February 2002 - Present
Skills
Retirement Income..., Retirement Planning, Strategic Financial..., Charitable Gift Planning, Social Security Planning, Securities, Critical Illness, Disability Insurance, Fixed Annuities, Long-term Care, Life Insurance
Education
The American College 2013 — 2015
Chartered Financial Consultant®
The American College 2003 — 2014
Retirement Income Certified Professional ®
Rochester Institute of Technology 1972 — 1975
BS
FireEye, Inc. May 2013 - Present
Financial Industry Regulatory Authority October 2011 - May 2013
Loidap,LLC May 2007 - March 2013
AOL, LLC September 2007 - March 2011
Financial Industry Regulatory Authority May 2006 - September 2007
AOL July 2004 - May 2006
UUNET January 1999 - July 2004
Stac, Inc May 1997 - November 1998
HireRight September 1996 - January 1997
Laser Diagnostic Instruments, Inc September 1995 - August 1996
Skills
Java, C++, Mobile Product..., Enterprise Software, Distributed Systems, C#, Android, Software Development, Web Applications, Perl, Mobile Applications, Linux, Software Engineering, Microsoft SQL Server, Objective-C, Git, .NET, Agile Methodologies, Software Design, Databases, JSON, REST, XML, Visual Basic, Mobile Devices, Scrum, Oracle, Web Services, SOAP, SOA, IIS, Tomcat, System Architecture, Apache, Design Patterns, XSLT, Agile Project Management
Education
Tallinna Tehnikaülikool 1989 — 1998
BS/MS, Computer Science
Lucosky Brookman LLP November 2014 - Present
Lucosky Brookman LLP August 2013 - October 2014
Lucosky Brookman LLP May 2013 - August 2013
Financial Industry Regulatory Authority January 2013 - April 2013
U.S. Court of International Trade August 2012 - December 2012
Tax Court of New Jersey May 2012 - August 2012
John Coverdale, Seton Hall University School of Law May 2012 - August 2012
Superior Court of New Jersey, Chancery Division, Family Part February 2012 - April 2012
L. Knife & Son, Inc. April 2010 - August 2011
L. Knife & Son, Inc. May 2009 - September 2009
Education
Seton Hall University School of Law 2011 — 2014
Doctor of Law (J.D.)
Loyola University Maryland 2006 — 2010
Bachelor of Business Administration (B.B.A.), Finance Concentration
University of International Business and Economics 2008 — 2008
Duxbury High School 2002 — 2006
Association for Financial Professionals July 2015 - Present
Association for Financial Professionals March 2013 - Present
Bates White Economic Consulting June 2012 - September 2012
Financial Industry Regulatory Authority August 2011 - March 2012
Saint Anselm College August 2010 - May 2011
Skills
Public Speaking, Editing, Research, Budgets, Team Building, Nonprofits, Cold Calling, Archival Research, Spanish, Data Analysis, Microsoft Office Suite, Quality Assurance, Event Planning, Project Management, Process Improvement, Program Development, Spanish-Conversational, Financial Certifications, Corporate Education, WebEx, HTML, Curriculum Development, Social Media Marketing, Financial Platforms and..., Financial Analysis
Education
Saint Anselm College 2007 — 2011
Bachelor of Arts (B.A.), History, Minor in Spanish
JPMorgan Chase July 2014 - Present
JNA Institute of Culinary Arts November 2013 - Present
KPMG/Software Specialists November 2013 - April 2014
Elman Technology Law, P.C. October 2013 - November 2013
Financial Industry Regulatory Authority January 2013 - May 2013
Elman Technology Law, P.C. May 2011 - January 2013
Skills
Trademarks, Copyright Law, Patent Prosecution, Legal Writing, Patents, Legal Research, Securities, AML, Due Diligence, Legal Compliance, Broker-Dealer, Team Management, Regulatory Requirements, Licensing, Litigation, Anti Money Laundering, Management, Commercial Litigation, Bankruptcy, Finance
Education
Rensselaer Polytechnic Institute
Bachelor of Science (B.S.), Business, Management, Marketing, and Related Support Services
Temple University - James E. Beasley School of Law
Master of Laws (LL.M.) Candidate, Taxation
Rutgers University School of Law 2010 — 2013
Doctor of Law (JD), Law
Two Sigma Securities May 2014 - Present
Financial Industry Regulatory Authority February 2008 - May 2014
Skills
Analysis, Financial Regulation, Financial Regulations, Project Management, Compliance, Financial Markets, Highly Organized &..., Interagency Coordination, Team Leadership, Effective Problem..., Communication Skills, Internal Audit, SEC, Broker-Dealer, Trading, Financial Risk, Insurance, FINRA, Series 7, Equities, Mutual Funds, Securities
Education
St. John's University 1997 — 2001
Bachelor's degree, Finance, 3.45
KCG Holdings, Inc. May 2015 - Present
BlackRock March 2013 - May 2015
Bank of America July 2012 - February 2013
Morgan Stanley April 2011 - January 2012
Bridgewater Associates, LP March 2010 - April 2011
Financial Industry Regulatory Authority May 2008 - August 2008
Skills
Legal Research, Legal Writing, Contract Negotiation, Securities, Corporate Law, Hedge Funds, Financial Services, Capital Markets
Education
SUNY Buffalo Law School 2006 — 2009
J.D., Financial Transactions
University of Wisconsin-Madison 2001 — 2005
B.S., Psychology
US Army June 2015 - Present
US Army November 2014 - June 2015
Financial Industry Regulatory Authority June 2014 - November 2014
National Stock Exchange March 2014 - June 2014
INTERPOL Washington May 2012 - August 2012
College Works Painting January 2011 - September 2011
Herz Co. Ltd. June 2010 - August 2010
Lincoln Financial Group September 2008 - June 2009
Origal LLP June 2006 - April 2008
Skills
Microsoft Word, PowerPoint, Microsoft Office, Microsoft Excel, Marketing, Customer Service, Management, Analysis, Budgets, Sales, Recruiting, Leadership, Social Media, Social Networking, Event Planning, Fundraising, Time Management, Market Research, Retail, Data Analysis, Public Speaking, Research, Training, Team Leadership, Outlook, Teamwork, Regulatory Examinations, Securities Regulation
Education
Rutgers, The State University of New Jersey-New Brunswick 2009 — 2013
Bachelor of Arts - Magna Cum Laude, Economics, Political Science, Japanese, 3.8
Bergen County Academies 2005 — 2009
High School Diploma, Academy for Telecommunications and Computer Science
Financial Industry Regulatory Authority August 2013 - January 2014
SRJ Marketing Communications 2012 - 2012
Education
St. Olaf College 2009 — 2013
Bachelor of Arts (B.A.), Economics
Financial Industry Regulatory Authority September 2010 - Present
Cathy Sparkle! LLC June 2010 - July 2013
Goodwill Industries of the Chesapeake, Inc 1997 - 2001
Sinclair Broadcast Group 1995 - 1997
Arthur Andersen 1993 - 1995
Skills
Customer Service, Entrepreneurship, Leadership, Management, Microsoft Office, New Business Development, Public Speaking, Strategic Planning
Education
Roger Williams University 1989 — 1993
BS, Accounting, Finance
Adaptable Enterprise Solutions, Inc. April 2013 - Present
Financial Industry Regulatory Authority June 2012 - April 2013
JAcademy, Corp. (formely Atlantis Technologies, Inc.) 2003 - 2013
BMO Financial Group June 2010 - June 2012
McGraw-Hill 2009 - 2010
Office of the Chief Technology Officer, Government of the District of Columbia 2009 - 2009
US Department of Homeland Security 2008 - 2009
CNA Insurance 2007 - 2008
ABN AMRO Bank N.V. 2006 - 2008
Allstate 2005 - 2007
Skills
Enterprise Architecture, Technology Delivery, Leadership, SOA, Technology, SDLC, Business Process, Data Modeling, Management, Security, IT Strategy, Enterprise Software, Agile Methodologies, Architecture, UML, Strategy, Project Management, EAI, TOGAF, Information Technology, CMMI, PMO, Integration, Solution Architecture, Governance, Architectures, Business Intelligence, Analysis, IT Management, PMP, Software Project..., Cloud Computing, Application Architecture, Business Process Design, Requirements Analysis, Project Portfolio..., Data Warehousing
Education
Saint Petersburg State Electrotechnical University "LETI" 1979 — 1985
Master of Science (MS), 0608, 5
Barclays November 2014 - Present
Financial Industry Regulatory Authority July 2014 - October 2014
University of Delaware February 2012 - December 2013
SevOne Inc July 2012 - September 2013
BusinessProcess of Shanghai Syntrans International Logistics Co.,Ltd February 2009 - July 2011
YangXu Electronics Technology Co.,Ltd November 2006 - June 2008
Remote Control Car September 2004 - June 2005
Skills
Java, Hadoop, Machine Learning, Python, JavaScript, PHP, AngularJS, Django, Java Web Start, SQL, TCP/IP, Selenium, C++, Linux, Unix, Freemarker, jQuery, Wireshark, Matlab, .NET, C, Bash, Apache, Eclipse, Software Development, Project Management, Git, Dreamweaver, CSS, OPNET, Shell Scripting, Pascal, HTML, CCNA, Windows Server, Cisco IOS, SSH, IIS, Ruby on Rails, CCNP, Business Process..., International Logistics, Algorithms, Data Structures, Quality Assurance, Test Automation, Distributed Systems, SDLC, Subversion, Software Engineering
Education
University of Delaware 2011 — 2014
MS, Computer Science, 3.6
Shanghai Jiao Tong University 2002 — 2006
BS, Information Engineering
Shanghai No.2 Middle School
Financial Industry Regulatory Authority January 2011 - Present
Financial Industry Regulatory Authority July 2006 - December 2010
Skills
Securities, FINRA, AML, Equities, Series 7, Risk Management, Financial Risk, Fixed Income, Securities Regulation, Capital Markets, Hedge Funds, Series 63, Financial Analysis, Investments, Derivatives
Education
Queens College 1997 — 2001
Accounting and Economics
Ultimus Fund Solutions, LLC June 2013 - Present
Financial Industry Regulatory Authority May 2012 - April 2013
US Securities and Exchange Commission January 2012 - April 2012
NCR Corporation May 2011 - August 2011
Skills
Legal Writing, Legal Research, Securities Regulation, Corporate Law, Securities Law, Financial Regulation, Compliance, Securities Market, Westlaw, Mutual Funds, 1940 Act, Closed-end Funds, Securities Exchange Act..., Fund Administration, Corporate Governance, Securities, Research
Education
The Catholic University of America, Columbus School of Law 2010 — 2013
J.D.
University of Dayton 2006 — 2010
B.S.B.A.
Chaminade Julienne High School 2002 — 2006
Social Security Administration June 2014 - Present
Basyuk & Klaproth LLP February 2011 - February 2014
District of Columbia Office of the Attorney General, Civil Enforcement Section November 2010 - February 2011
Judge Thomas Porteous United States Senate Impeachment Proceeding, Defense Team September 2010 - November 2010
The George Washington University Law School Immigration Clinic January 2010 - May 2010
Financial Industry Regulatory Authority June 2009 - August 2009
Superior Court of the District of Columbia September 2008 - November 2008
United States Bankruptcy Court May 2008 - August 2008
Skills
Immigration Law, Legal Research, Courts, Bankruptcy, Legal Issues, Hearings, Immigration Issues, Visas, H-1B, Document Review, Legal Writing, Litigation, Westlaw, Appeals, Civil Litigation, Corporate Law, Motions, Legal Advice, Employment-based..., U.S. Immigration, Naturalization, Administrative Law, Personal Injury, Corporate Governance, International Law
Education
The George Washington University Law School 2007 — 2010
JD, Law
Rutgers, The State University of New Jersey-New Brunswick 2002 — 2006
Bachelor of Arts (B.A.), History, GPA 3.96/4.0
Tax Court of New Jersey August 2015 - Present
United States Attorney's Office September 2014 - November 2014
Port Authority of NY & NJ May 2014 - August 2014
Financial Industry Regulatory Authority September 2013 - November 2013
United States District Court for the District of New Jersey February 2013 - July 2013
Office of the Attorney General of the State of New York June 2012 - August 2012
MetLife February 2009 - October 2010
Merrill Lynch December 2007 - February 2009
Edward Jones March 2006 - December 2007
Sesame Workshop December 2004 - October 2005
Skills
Corporate Finance, Mergers & Acquisitions, Finance, Investments, Securities, Management, Analysis, Broadcast Television, Digital Media
Education
Seton Hall University School of Law 2011 — 2014
Doctor of Law (J.D.), Corporate Finance, Accounting for Lawyers, Federal Income Tax
University of Michigan 1988 — 1990
Bachelor of Arts, School of Literature, Science and Art
Wall Street Prep
Excel Financial Modeling
Goldman Sachs December 2014 - Present
Southwestern Law School January 2014 - May 2014
Southwestern Law School August 2011 - May 2014
Financial Industry Regulatory Authority August 2013 - December 2013
Coleman & Horowitt, LLP May 2013 - August 2013
Federal Trade Commission January 2013 - April 2013
Los Angeles District Attorney's Office: Appellate Division August 2012 - December 2012
Coleman & Horowitt, LLP May 2012 - August 2012
Portfolio Recovery Associates, Inc. March 2011 - August 2011
First Investors Corporation January 2011 - May 2011
Education
Southwestern University School of Law 2011 — 2014
University of California, San Diego 2007 — 2011
Bachelor of Arts, International Relations
Stifel Financial Corp. May 2015 - Present
Financial Industry Regulatory Authority March 2012 - April 2015
Matarin Capital Management September 2011 - December 2011
Syracuse University Securities Arbitration and Consumer Law Clinic September 2010 - June 2011
US Department of Transportation, Federal Highway Administration June 2010 - August 2010
Trombly Business Law May 2009 - August 2009
Morgan, Lewis & Bockius LLP June 2006 - July 2008
Skills
Securities Regulation, Corporate Governance, Legal Research, SEC, Research, Securities, Legal Writing, FINRA, Due Diligence, Westlaw, Lexis, Bloomberg, Economics, Investments, Securities Litigation, Analysis
Education
Syracuse University College of Law 2008 — 2011
J.D., Law
The George Washington University 2002 — 2006
B.A, Economics
Financial Industry Regulatory Authority February 2014 - Present
Financial Industry Regulatory Authority January 2013 - February 2014
Godwin Ronquillo PC March 2011 - January 2013
Sayles Werbner, PC September 2009 - March 2011
Baker Botts L.L.P. October 2000 - September 2009
United States Court of Appeals for the Fifth Circuit 1999 - 2000
Deloitte & Touche 1995 - 1996
Skills
Commercial Litigation, Litigation, Civil Litigation, Appeals, Class Actions, Intellectual Property, Product Liability, Business Litigation, Trade Secrets, Trial Practice, Arbitration, Bankruptcy, Trials, Courts, Alternative Dispute..., Mediation, Securities Regulation, Criminal Law, Corporate Governance, Personal Injury, Securities Litigation, Depositions, Corporate Law, Legal Assistance, Westlaw, Dispute Resolution, Medical Malpractice, Wills, White Collar Criminal..., Family Law, Construction Law, Torts, Employment Law, Dispute, Breach Of Contract, Wrongful Death, Legal Research, Legal Writing, Non-compete Agreements, Licensing, Trademarks, Litigation Support, Hearings
Education
Southern Methodist University Dedman School of Law 1996 — 1999
J.D., Summa Cum Laude
University of Oklahoma 1991 — 1995
BAcc, Accounting, Summa Cum Laude
The Depository Trust & Clearing Corporation April 2013 - Present
Merrill Lynch January 2005 - February 2013
Bank of America Merrill Lynch 2005 - 2012
Financial Industry Regulatory Authority July 2004 - January 2005
Skills
FINRA, Banking, Risk Management, Securities, Insurance, Litigation, Investment Banking, Securities Regulation
Education
Seton Hall University 1995 — 2001
Bachelor's degree, English Language and Literature, General
Seton Hall University
Cystic Fibrosis Foundation August 2013 - Present
Financial Industry Regulatory Authority 1998 - 2011
Skills
Fundraising, Outlook, Administrative..., Event Planning, Office Management, Nonprofits, Event Management, Access, Administration, Data Entry, Microsoft Excel, Microsoft Word, Time Management, Microsoft Office, Research, Newsletters, Community Outreach, Public Speaking, Social Media, Social Networking, Customer Service, Public Relations, Budgets, Human Resources
Education
Southern Virginia University
RBC Capital Markets October 2015 - Present
Financial Industry Regulatory Authority May 2013 - Present
National Grid August 2009 - April 2013
Mitsubishi UFJ Securities (USA), Inc. November 2008 - April 2009
Skills
Energy Markets, Commodity Markets, Energy, Bloomberg, Trading, Financial Analysis, Risk Management, Financial Risk, Commodity, Microsoft Excel, Finance, Regulatory Compliance, Financial Risk..., FINRA
Education
Siena College 2004 — 2008
Bachelor's degree, Finance
Siena College 2004 — 2008
Bachelor of Science (B.S.), Finance
White & Case LLP September 2015 - Present
San Francisco Superior Court March 2014 - March 2015
Financial Industry Regulatory Authority August 2013 - March 2014
Santa Clara University May 2012 - May 2013
US Securities & Exchange Commission September 2012 - December 2012
Sutter Health May 2012 - July 2012
Santa Clara University February 2012 - March 2012
Bay Area Legal Aid September 2010 - April 2011
Towers Watson 2007 - 2009
Skills
Legal Research, Legal Writing, International Law, Corporate Law, Research, Securities Regulation, Westlaw, Securities
Education
Santa Clara University School of Law 2010 — 2013
Doctor of Law (J.D.)
Purdue University 2002 — 2005
B.S., Management
Financial Industry Regulatory Authority May 2013 - Present
Fidelity Investments May 2012 - January 2013
Ameriprise Financial Services, Inc. March 2010 - March 2012
Skills
Excel, PowerPoint, Customer Relations, Customer Service, Teamwork, Financial Reporting, Database Analysis, Research, Portfolio Management, Mac/PC proficient, Open Minded, Employee Loyalty, Compliance, Compliance Testing, Microsoft Excel, GRC
Education
Suffolk University 2009 — 2013
Finance
Weymouth High School 2005 — 2009
Sadis & Goldberg LLP October 2006 - Present
Financial Industry Regulatory Authority 1998 - Present
Carlin Financial Group August 2002 - April 2006
VIOCO August 1995 - June 2005
US Securities and Exchange Commission August 1992 - August 1995
Skills
Structures and..., Regulatory Compliance, Compliance Policy..., Mock SEC compliance..., Compliance Training, Investments, Hedge Funds, FINRA, SEC, Securities, Options, Equities, Financial Markets, Alternative Investments, Asset Management, Capital Markets, Derivatives, Trading, Private Placements, Broker-Dealer, Private Equity, Corporate Governance, Securities Regulation, Trading Systems, Arbitration, Litigation, Commodity, Due Diligence, Investment Advisers Act, Securities Litigation, Venture Capital, Investment Company Act, AML, Series 24, ERISA, Investment Management, Series 7, Financial Regulation, Corporate Law, Fund Of Funds, Mutual Funds, Dodd-Frank, Investment Advisory, Financial Services, Equity Trading, Proprietary Trading, Prime Brokerage, ETFs, Securities Offerings, Structured Finance
Education
Saint John's University School of Law 1993 — 1996
Doctor of Law (J.D.), Law
Saint John's University 1989 — 1992
Bachelor of Science (B.S.), Finance, General
Fire Solutions, Inc. - Finance Insurance Regulation Education April 2013 - Present
Financial Industry Regulatory Authority May 2011 - Present
RBC Wealth Management May 1997 - February 2001
Principal Financial Securities October 1996 - April 1997
Piper Jaffray August 1995 - October 1996
Skills
Securities Regulation, Securities, FINRA, SEC, Series 24, Series 7, Mutual Funds
Education
Southern Methodist University
Bachelor of Science, Political Science
Southern Methodist University Dedman School of Law
Juris Doctorate
Maker, Fragale & Di Costanzo, LLP July 2015 - Present
McMillan, Constabile, Maker & Perone, LLP September 2009 - Present
Meirowitz & Pellegrino August 2008 - December 2008
Tyre and DeThomas July 2008 - August 2008
Scarpino Westchester May 2008 - July 2008
Financial Industry Regulatory Authority January 2008 - April 2008
Volunteer Income Tax Assistance December 2007 - April 2008
Vandenberg & Feliu May 2007 - August 2007
Skills
Legal Research, Estate Planning, Legal Writing, Westlaw, Lexis, Research, Hearings, Wills, Trusts, Elder Law, Microsoft Excel, Community Outreach, Guardianship, Legal Advice, Legal Issues, Powers of Attorney, Estate Law
Education
Brooklyn Law School 2007 — 2009
J.D.
Franklin Pierce Law Center 2006 — 2007
Smith College 2002 — 2006
BA, Economics, Philosophy
KCC Solutions September 2010 - Present
Financial Industry Regulatory Authority September 2008 - August 2010
HumanR 2002 - 2008
Skills
360 Feedback, Employee Engagement, Leadership Development, Talent Management, Performance Management, Training, Succession Planning, Recruiting, Leadership, Change Management, Human Resources
Education
San Diego State University-California State University
Masters
University of Delaware
B.S.
Financial Industry Regulatory Authority September 2011 - Present
Washington Financial Group June 2006 - May 2010
Corporate Health Resources October 2005 - May 2006
Generations Financial Advisors March 2004 - May 2005
Skills
Analytics / Research, Financial Regulation, Financial Modeling, Analysis, Financial Analysis, Data Analysis, Portfolio Management
Education
Salisbury University 2003 — 2005
BS - Finance, Finance, Economics, Accounting
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Financial Industry Regulatory Authority July 2014 - July 2015
Pershing, a BNY Mellon company June 2013 - August 2013
Financial Industry Regulatory Authority (FINRA) May 2012 - August 2012
Financial Industry Regulatory Authority (FINRA) January 2012 - May 2012
Skills
Work Ethic, Securities Regulation, Securities, Risk Management, Multitasking Skills, Microsoft Excel, Fixed Income, Financial Modeling, Financial Analysis, Finance, FINRA
Education
St. Francis College 2010 — 2014
Bachelor of Science (B.S.), Finance
Xaverian Highschool 2006 — 2010
Advanced Regents Diploma
Condon & Forsyth LLP January 2012 - Present
Financial Industry Regulatory Authority August 2010 - December 2010
Financial Industry Regulatory Authority May 2010 - August 2010
Universal Music Group June 2009 - August 2009
National Media Group/ NBA Coaches Association June 2007 - August 2007
Education
Saint John's University School of Law 2008 — 2011
J.D.
University of Maryland College Park 2004 — 2008
B.A.
Financial Industry Regulatory Authority January 2014 - Present
U.S. Department of Justice February 2008 - January 2014
WilmerHale October 2005 - January 2008
Jones Day September 2002 - August 2004
Education
The Catholic University of America, Columbus School of Law 1998 — 2002
Doctor of Law (JD)
The College of William and Mary 1992 — 1996
Bachelor of Arts (B.A.), English & Economics
Guggenheim Securities September 2013 - Present
MKTG INC September 2011 - September 2013
Financial Industry Regulatory Authority January 2013 - April 2013
William E. Gens Law Offices, P.C April 2012 - December 2012
Treiser Collins June 2011 - August 2011
Central Bank of Southwest Florida May 2010 - July 2010
Appleton Creative August 2008 - December 2008
Skills
Capital Markets, Securities, Corporate Development, Marketing, Equities, Real Estate, Litigation, Securities Regulation, Licensing, Westlaw, FINRA, Document Review, Securities Litigation, Legal Compliance, Investments, Microsoft Excel, Finance, Event Planning, CRM Databases, Pitch Development, Management, Social Networking, Social Media
Education
Suffolk University Law School 2010 — 2013
Juris Doctor, Business Law, Financial Services
University of Central Florida 2006 — 2010
BA, Advertising and Public Relations, Marketing, Political Science
Barron Collier High School 2002 — 2006
Dixon Hughes Goodman LLP July 2013 - Present
Financial Industry Regulatory Authority June 2010 - June 2013
Skills
Securities Regulation, Forensic Accounting, Certified Fraud Examiner, Fraud Detection, Corporate Fraud..., Financial Investigation, Market Regulation, Corporate Actions, Capital Markets, Securities Fraud, Due Diligence, Mergers & Acquisitions, Financial Analysis
Education
Salisbury University - Perdue School of Business 2005 — 2009
Bachelor of Science (BS), Cum Laude
Financial Industry Regulatory Authority 2014 - Present
Skills
Microsoft Excel, Microsoft Office
Education
Salisbury University 2007 — 2011
Bachelor of Arts (B.A.), History
Conference of State Bank Supervisors July 2015 - Present
Conference of State Bank Supervisors September 2013 - Present
Financial Industry Regulatory Authority October 2012 - September 2013
Sam's Club February 2004 - May 2012
Skills
Microsoft Word, PowerPoint, Microsoft Excel, Management, Budgets, Customer Service, Inventory Management, Retail, Sales, Event Planning, Training, Social Media, Data Entry, Outlook
Education
Texas A&M University 2003 — 2007
Bachelor of Arts (BA), Telecommunication Media Studies
University of Salamanca
Salamanca, Spain, Spanish Studies, Semester
Financial Industry Regulatory Authority March 2012 - Present
eBay Inc., San Jose CA February 2007 - February 2012
Comtec Consultants Inc December 2004 - January 2008
Agistics Inc a Visage Mobile Company, Pleasanton CA October 2007 - November 2007
Visage Mobile Inc,San Franscisco CA March 2005 - February 2007
Wannastation.com (M) Sdn Bhd, Malaysia March 2000 - November 2004
STS Offshore Services (M) Sdn Bhd , Malaysia December 1999 - May 2000
InndSoft Systekh Limited August 1998 - November 1999
National Institute of Oceanography December 1997 - July 1998
Skills
J2EE, JavaScript, Web Services, Servlets, JSP, java, C++, c, PHP, Python, REST, Jersey, jQuery, Spring, Ehcache, Backbone.js, Node.js, Java, Java Enterprise Edition, Hibernate, .NET, JBoss Application Server, Oracle, Web Applications, MySQL, JUnit, Weblogic, EJB, Databases, SDLC, Microsoft SQL Server, CSS, Websphere, Architectures, Spring Framework, WebLogic
Education
Sri Venkateswara University 1996 — 1998
MS, Computer Science
Sri Venkateswara University 1996 — 1998
Master's degree, Computer Science
New York Legal Assistance Group June 2015 - Present
New York City Bar Association March 2015 - Present
Grimaldi & Yeung, LLP March 2015 - June 2015
Prudential Financial November 2012 - January 2015
Lynette Morrow Esq. February 2012 - November 2012
Honorable Jack Cook, 15th Judicial Circuit of Florida January 2011 - May 2011
St. Thomas University School of Law May 2009 - May 2011
State of Florida, Office of Financial Regulation August 2010 - December 2010
11th Judicial Circuit of Florida May 2010 - August 2010
Financial Industry Regulatory Authority August 1994 - November 2007
Skills
FINRA, Securities Regulation
Education
Pace University School of Law 2015 — 2015
New Directions for Attorneys
St. Thomas University 2008 — 2011
J.D., Law
The Ohio State University
Bachelor of Science, Economics
Financial Industry Regulatory Authority July 2012 - Present
CGI Federal July 2011 - August 2012
U.S. Green Building Council July 2010 - August 2010
Skills
CSS, MySQL, XML, Java, Java Enterprise Edition, SQL, HTML, JavaScript, Objective-C, PHP, JSP, Android, Mobile Devices, Software Development, PeopleSoft, PeopleCode, Oracle, SOAP, SQR, Front-end, Web Development, SDLC, Technical Design, User Interface, JIRA, Software Prototyping, Subversion, ClearCase, ClearQuest, StarTeam, Databases
Education
Radford University 2007 — 2011
Bachelor of Science (BS), Computer Science
Financial Industry Regulatory Authority July 2014 - Present
Thompson Hotels - Commune Hotels & Resorts August 2012 - April 2014
Fort Funding Corp June 2013 - August 2013
Skills
Microsoft Excel, PowerPoint, Microsoft Office, Microsoft Word, Research, Teamwork, Accounting, Public Speaking, English, Customer Service, Financial Analysis, Financial Accounting
Education
Seton Hall University 2010 — 2014
Bachelor's Degree, Accounting and Finance
Municipal Securities Rulemaking Board March 2014 - Present
Wealth Engine November 2011 - March 2014
Financial Industry Regulatory Authority October 2010 - June 2011
Skills
Oracle SQL, Data Analysis, Research, Policy Analysis, Legal Writing, Analysis, Public Policy, Access, Investments, Public Speaking, Microsoft Excel, Report Writing, Financial Analysis, Microsoft Office, PowerPoint
Education
Salisbury University 2007 — 2010
Bachelor of Arts, Political Science
Goldman Sachs July 2014 - Present
Financial Industry Regulatory Authority January 2014 - July 2014
Financial Industry Regulatory Authority November 2012 - January 2014
Kreindler & Kreindler LLP January 2012 - May 2012
Rutgers Law School-Newark December 2010 - January 2012
US Securities and Exchange Commission May 2011 - September 2011
U.S. Department of Labor-Office of the Solicitor, Plan Benefits Security Division May 2010 - August 2010
Ipreo January 2007 - August 2008
Skills
Legal Research, Legal Writing, Bankruptcy, Westlaw, Securities, Immigration Law, Criminal Law, Fraud, Litigation, Civil Litigation, Product Liability, Lexis, Courts, Commercial Litigation
Education
Rutgers University School of Law - Newark 2009 — 2012
JD
University of Maryland College Park 2002 — 2006
Dacheng Law Offices March 2015 - Present
Washington University in St. Louis September 2011 - Present
Financial Industry Regulatory Authority January 2014 - June 2014
Kaye Scholer LLP May 2013 - August 2013
Zhao & Co. Law Firm March 2010 - September 2010
The Walt Disney Company August 2009 - February 2010
Skills
Piano, Time Management, Teamwork, Mandarin, Social Networking, Legal Writing, Legal Research, Chinese
Education
Washington University in St. Louis School of Law 2012 — 2014
Doctor of Law (J.D.), Law
Shanghai University 2007 — 2011
Bachelor of Arts (B.A.), Law
TydenBrooks SPG September 2014 - Present
TydenBrooks SPG November 2013 - August 2014
TydenBrooks SPG September 2010 - November 2013
Stoffel Seals Corporation February 2006 - September 2010
Graph-Tech March 1995 - February 2006
National City Mortgage January 1992 - November 1992
Financial Industry Regulatory Authority August 1988 - December 1991
Skills
Continuous Improvement, Customer Service, Logistics, Operations Management, Process Improvement, Supply Chain, Supply Chain Management, Cross-functional Team..., Forecasting, Inventory Management, Purchasing, Team Leadership, Management, Manufacturing, Team Building, Customer Relations, Marketing Communications
Education
St. Thomas Aquinas College
Bachelor's Degree, Business Administration and Management, General
U.S. Securities and Exchange Commission, Division of Enforcement: Asset Management Unit January 2015 - April 2015
Bank of China International August 2014 - December 2014
Securities Arbitration Clinic May 2014 - August 2014
Financial Industry Regulatory Authority September 2013 - November 2013
Financial Industry Regulatory Authority May 2013 - August 2013
Billah Law Firm PLLC October 2011 - August 2012
U.S. House of Representatives Timothy Bishop, 1st District, N.Y. January 2011 - May 2011
Skills
Legal Writing, Research, Legal Research, Microsoft Office, Arbitration, Westlaw, Mediation, Microsoft Excel, PowerPoint, Microsoft Word, Editing, Corporate Law, Legal Research Skills, Lexis, LexisNexis, Public Speaking, Policy Analysis, Customer Service, Photoshop, Teaching, Negotiation, lexis nexis, Bloomberg law, AML, Broker-Dealer, Corporate Finance, Income Tax, Accounting, Mutual Funds, Security Analysis, Securities Arbitration, Hedge Funds, Private Equity, REIT, Policies and Procedures, Asset Management, Investment Management
Education
Saint John's University School of Law 2013 — 2015
Doctor of Law (J.D.)
SUNY Stony Brook 2010 — 2011
Master's degree, Public Policy Analysis
Financial Industry Regulatory Authority 2014 - Present
RFTHOMPSON.COM October 2012 - Present
TCC / Project Feasibility & Management, Inc. 1991 - Present
Towne-Cascade Capital, LLC 2004 - Present
Skills
Entrepreneurship, Experienced Speaker, Public Speaking, Arbitration, Judicial, New Business Development, Business Development, Operations Management, Decision Analysis, Organizational..., Goal Orientation, Sales Operations, Process Improvement, Leadership, Strategic Planning, Start-ups, Marketing, Management, Negotiation, Team Building, Coaching, Business Process..., Leadership Development, Training, Project Management, Program Management
Education
Rochester Institute of Technology
Bachelor of Science (BS), Industrial Engineering
St. Joseph's University
MBA, International Business
Financial Industry Regulatory Authority May 2014 - Present
Financial Industry Regulatory Authority September 2012 - May 2014
Financial Industry Regulatory Authority (FINRA) September 2010 - September 2012
Skills
PowerPoint, Word, Outlook, Customer Service, Microsoft Word, Customer-focused, Case Managment, Account Management, Recruiting, Time Management, Management, Analysis, Research, Policy, Microsoft Excel, Finance, Case Management, Microsoft Office, Social Media, Event Planning, Social Networking
Education
Salisbury University 2006 — 2009
Bachelor of Arts, Psychology; Arts
John F. Kennedy Catholic High School 2001 — 2005
C.WADE Networks June 2008 - Present
Columbia University Medical Center June 2015 - August 2015
COMMONGROUND/MGS October 2014 - May 2015
Commonground Marketing February 2014 - October 2014
City University of New York September 2012 - October 2013
DimensionU August 2009 - December 2009
Financial Industry Regulatory Authority March 2008 - February 2009
J. Walter Thompson Worldwide (JWT) March 2006 - January 2008
Conde Nast November 2005 - February 2006
Ethical Culture Fieldston School February 2005 - August 2005
Skills
Windows Server, Troubleshooting, Active Directory, Software Documentation, Technical Support, Social Media, Networking, Integration, Software Installation, Windows, Microsoft Office, XP, Security, Hardware, TCP/IP, Network Administration, Access, HTML, ITIL, Laptops, System Administration, Windows XP, IT Operations, OS X, Documentation
Education
State University of New York College at Oswego
Bachelor of Arts, English Creative Writing and Studio Art
Amazon September 2013 - January 2014
Parity Energy, Inc March 2012 - November 2012
Financial Industry Regulatory Authority September 2011 - January 2012
TradingScreen March 2011 - July 2011
Privamed March 2010 - March 2011
Lehman Brothers June 2007 - August 2007
Computer Associates, Inc February 2006 - August 2006
Intel September 2004 - March 2005
Skills
Java, Testing, Design Patterns, Perl, C++, Java Enterprise Edition, Subversion, XML, Eclipse, Unix, MySQL, JavaScript, Git, Linux
Education
Rochester Institute of Technology 2003 — 2010
B.S./M.S. of Science, Computer Science
Rochester Institute of Technology
Bachelor of Science (B.S.), Computer Science
Rochester Institute of Technology
Master's Degree, Computer Science
Ardian April 2015 - Present
Industrial and Commercial Bank of China (ICBC) Financial Services LLC July 2011 - April 2015
KDC Securities July 2008 - April 2011
Quadriserv Securities August 2005 - July 2008
Jefferies & Company March 2004 - August 2005
Goldman Sachs September 2000 - January 2002
Financial Industry Regulatory Authority July 1996 - September 2000
Brown Brothers Harriman March 1993 - July 1996
Skills
Securities Lending, Prime Brokerage, Bloomberg, Equities, Microsoft Office, Series 63, Bloomberg Terminal, Series 7, Trading, Euroclear, DTC, Collateral Management, Settlement, Strategic Planning, Series 24, Series 55, FINRA, Series 27, Middle Office, Capital Markets, Financial Risk, Securities, Financial Services, Options, Fixed Income, Hedge Funds, Banking, Trading Systems, Derivatives
Education
St. John's University 1999 — 2003
Master of Business Administration (MBA), Finance, General
Bernard M. Baruch, CUNY 1988 — 2002
Bachelor of Business Administration (BBA), Finance
US Securities and Exchange Commission January 2014 - May 2014
Southwestern Law School August 2013 - March 2014
Financial Industry Regulatory Authority August 2013 - December 2013
Southwestern Law School May 2013 - August 2013
LA District Attorney June 2012 - August 2012
Pearlman & Tishbi April 2011 - August 2011
Skills
Corporate Law, Legal Research, Lexis, Litigation, Intellectual Property, Mediation, Westlaw, Legal Writing, Research, Civil Litigation, Courts
Education
Southwestern University School of Law 2011 — 2014
TIAA-Cref October 2014 - Present
Financial Industry Regulatory Authority May 1999 - October 2014
Prudential Securities Incorporated January 1995 - March 1999
U.S. Securities and Exchange Commission August 1990 - December 1994
Peterson, Ross, Schloerb & Seidel June 1988 - July 1990
Office of U.S. Senator Bill Bradley January 1988 - May 1988
Skills
Legal Research, Legal Writing, Securities Regulation, Litigation, Private Investigations, SEC, Risk Management, FINRA, Policy, Insurance, Dispute Resolution, Contract Negotiation, Broker-Dealer, Legal Issues, Securities
Education
Washington University School of Law
J.D
Smith College
B.A, Political Science
Marymount High School – International BaccalaureateLondon
Denbeaux & Denbeaux August 2012 - Present
Seton Hall Law Center for Policy and Research May 2010 - May 2012
Financial Industry Regulatory Authority June 2011 - July 2011
Consulting Actuaries Incorporated January 2008 - July 2009
Skills
Public Speaking, Microsoft Office, Arbitration, Dispute Resolution, Westlaw, Lexis, Negotiation, Mediation, Legal Research, Legal Writing, Bankruptcy, Alternative Dispute..., Government, Administrative Law, Patent Litigation, Policy Analysis, Legal Issues, Trials, Tax Law, Document Review, Securities Regulation, Contract Law, Privacy Law, Copyright Law, Hearings, Competition Law
Education
Seton Hall University 2009 — 2012
Doctor of Law (J.D.), Law
University of Massachusetts, Amherst 2003 — 2007
Bachelor of Business Administration (B.B.A.), Finance and Operations Management
Financial Industry Regulatory Authority December 2013 - Present
Skills
Form PF analysis, Form N-MFP analysis
Education
Texas Tech University - Rawls College of Business 2004 — 2008
PhD, Finance
ODTU 1995 — 1999
Bachelor of Business Administration (B.B.A.)
Financial Industry Regulatory Authority May 2012 - Present
U.S. Securities and Exchange Commission May 2011 - May 2012
Skills
Bloomberg, CRD, Derivatives, Fixed Income, Capital Markets, Microsoft Office, Access, Excel, SQL, VBA, Data Analysis, Financial Analysis, Research, Economics, Time Management, Securities Regulation, Compliance, FINRA, SEC, LexisNexis, Microsoft Excel, Securities, Financial Risk
Education
Seton Hall University 2008 — 2012
Bachelor of Science, Business Administration; Finance, Economics
Somerville High School 2004 — 2008
Financial Industry Regulatory Authority December 2013 - Present
Financial Industry Regulatory Authority November 2013 - December 2013
Financial Industry Regulatory Authority July 2012 - November 2013
Financial Industry Regulatory Authority August 2010 - July 2012
UBS June 2007 - August 2010
Skills
Microsoft Excel, Microsoft Office, Securities, FINRA, Series 7, AML
Education
Rollins College 2000 — 2004
Bachelor of Arts (B.A.), Economics
Altisource Labs February 2014 - Present
SKCC USA, Corfire April 2012 - January 2014
consilium1 May 2011 - March 2012
Financial Industry Regulatory Authority January 2008 - May 2011
ChoicePoint August 2007 - December 2007
ChoicePoint February 2006 - August 2007
ChoicePoint September 2003 - February 2006
ChoicePoint September 2001 - September 2003
Witness Systems October 1997 - August 2001
Deloitte Consulting June 1996 - September 1997
Skills
Perl, Ant, Tomcat, CruiseControl, NAnt, Release Management, StarTeam, Software Configuration..., Scrum, Subversion, Software Development, Configuration Management, JBoss Application Server, Maven, Software Project..., Requirements Analysis, SQL, Windows Batch, XML, Software Engineering, Ksh, Jenkins, SDLC, DB2, BMC Patrol, Unix, Weblogic, Agile Methodologies
Education
Southern Polytechnic State University 1990 — 1996
Bachelor of Science, Mechanical Engineering
PayPal July 2013 - Present
FINRA March 2010 - November 2012
The Potomac School September 2008 - May 2009
ICMA Retirement Corporation October 1997 - March 2002
BDM International April 1996 - October 1997
Financial Industry Regulatory Authority December 1991 - April 1996
BB&T April 1990 - December 1991
Skills
Compliance, Analysis, Corporate Finance, Underwriting, Investor Relations, Customer Service, Technical Writing, Legal Research, Legal Writing, Team Leadership, Team-oriented, Mentoring, Training, Organization, Microsoft Excel, Microsoft Office, Internet, Requirement..., User Acceptance Testing, Securities Regulation, Management, Investments, Mergers & Acquisitions, Capital Markets, Due Diligence, Risk Management
Education
Radford University 1986 — 1990
BS, Economics
Langley High School 1982 — 1986
diploma
Jaffe & Asher April 2013 - Present
Oppenheimer & Co. January 2012 - April 2012
New York State Attorney General's Office, Investor Protection Bureau August 2011 - December 2011
Financial Industry Regulatory Authority May 2011 - August 2011
Securities Arbitration Clinic January 2011 - May 2011
New York County Defenders Services August 2010 - December 2010
Nassau County District Attorney's Office May 2010 - August 2010
Barst Mukamal & Kleiner LLP May 2007 - July 2009
Assemblyman Kim Jae Yun May 2006 - August 2006
Skills
Westlaw, Legal Writing, Legal Research, Litigation, Document Drafting, Research, Civil Litigation, Legal Assistance, Corporate Law, Mediation, Bankruptcy, Courts, Lexis, LexisNexis
Education
Saint John's University School of Law 2009 — 2012
J.D
University of Illinois at Urbana-Champaign 2003 — 2007
B.A, Speech Communications
Asurion April 2010 - Present
Akal Sahai Technology Solutions September 2008 - Present
Financial Industry Regulatory Authority July 2012 - February 2013
Conservation International April 2009 - December 2011
Fortrex Technologies March 2008 - March 2009
AMERICAN SYSTEMS March 2008 - September 2008
Command Information 2004 - March 2008
Fannie Mae 2004 - 2007
Ishi Systems 2003 - 2004
Cymbal Corporation 2000 - 2002
Skills
Agile Methodologies, SDLC, Process Improvement, Project Planning, Management, Requirements Analysis, Hibernate, Leadership, Software Project..., Business Analysis, Analysis, Java, Java Enterprise Edition, Team Building, Spring, SOA, Business Intelligence, Enterprise Software, Software Development, Integration
Education
Thapar Institute of Engineering and Technology 1995 — 1999
BE
BNP Paribas August 2015 - Present
Barclays November 2014 - July 2015
Signature Bank August 2014 - November 2014
Crowe Horwath LLP May 2014 - August 2014
Financial Industry Regulatory Authority August 2013 - May 2014
Education
Seton Hall Law School
Doctor of Law (JD), Law
Rutgers, The State University of New Jersey-Camden
Bachelor's degree, Liberal Studies/Political Science
Financial Industry Regulatory Authority June 2007 - Present
Skills
FINRA, Securities Regulation, Compliance, Financial Regulation, AML, Securities, Risk Assessment, Series 7, Equities, Hedge Funds, Bloomberg, Fixed Income, Financial Risk, Auditing, Accounting, Trading, Investment Banking, Risk Management, Options, USA PATRIOT Act, Brokerage, Broker-Dealer, Team Leadership, Leadership, Investigation, Testing, System Testing, Fraud, Fraud Detection, Securities Fraud, Interviewing Skills, Series 63
Education
St. Bonaventure University 2003 — 2007
Bachelor of Science (B.S.), Finance, General
Sterne Agee/WRP August 2002 - Present
Cornerstone Professional Advisor Services,LLC September 2001 - Present
Financial Industry Regulatory Authority January 1992 - Present
Skills
Asset Allocation, Strategic Financial..., Holistic Financial..., Series 7, series 66, General Insurance, FINRA Arbitrator, Expert Witness, Long Term Care Insurance, Securities, Tax, Retirement Planning, Uniform Combined State..., Investment Advisory, Financial Planning, Insurance, Retirement, Wealth
Education
St. Francis College 1967 — 1971
Bachelor of Business Administration (BBA), Accounting and Finance
Eni Trading & Shipping September 2011 - Present
Department of Justice, Criminal Division June 2014 - August 2014
Chevron October 2010 - August 2011
Chevron June 2006 - September 2010
Financial Industry Regulatory Authority May 2005 - August 2005
Merrill Lynch June 2004 - December 2004
Skills
Analysis, Internal Audit, Risk Assessment, Due Diligence, Leadership, Regulatory Compliance, Operational Risk..., Legal Research, Legal Writing, Legal Compliance
Education
University of Houston Law Center 2011 — 2015
Candidate for Juris Doctor
Texas A&M University 2002 — 2006
Bachelors of Business Administration, Finance
Chesapeake Energy June 2013 - Present
Bracewell & Giuliani LLP 2007 - 2013
Financial Industry Regulatory Authority 2010 - 2011
Munsch Hardt Kopf & Harr, P.C. 1998 - 2007
US Securities and Exchange Commission 2003 - 2005
Skills
Internal Investigations, White Collar Criminal..., Regulatory Agencies, Securities Litigation, Securities Regulation, Litigation, FINRA, Corporate Governance, SEC, Civil Litigation, Competition Law, Private Investigations, Securities, FCPA, Criminal Law, Fraud, Litigation Support, Broker-Dealer, Trials, Mediation, Employment Law, Arbitration, Dispute Resolution, Courts, Appeals, Legal Compliance, Banking Law, Commercial Litigation, Class Actions, Corporate Law, Business Litigation, Licensing
Education
Southern Methodist University Dedman School of Law 1994 — 1997
JD
Wabash College 1990 — 1994
McDermott Will & Emery LLP November 2011 - Present
Bryan Cave LLP October 2010 - November 2011
Baker & McKenzie LLP September 2007 - October 2010
Financial Industry Regulatory Authority May 2006 - December 2006
United States Securities and Exchange Commission January 2006 - April 2006
International Law Institute May 2003 - June 2004
Education
The Catholic University of America, Columbus School of Law 2004 — 2007
Juris Doctor
San Francisco State University 1995 — 2001
Bachelor of Arts, Philosophy
Greenville, SC April 2014 - Present
Morgan Stanley September 2013 - October 2013
Chapin Davis January 2010 - June 2013
Financial Industry Regulatory Authority October 2010 - August 2011
Ferris, Baker, Watts April 1998 - March 2009
Ferris, Baker, Watts September 1986 - April 1998
Skills
Fixed Income, Portfolio Management, Investments, Trading, Leadership, Training, Series 7, Instructional Design, Strategic Planning, Asset Managment, Microsoft Excel, Needs Analysis, Securities, Capital Markets, Financial Services, Retirement Planning, Bloomberg, Vendor Management, Mutual Funds, Credit Analysis, Adult Education, Analysis, Options, Captivate, Financial Analysis, Investment Management, Blended Learning, Banking, Instructor-led Training, Due Diligence, FINRA, Series 63, Equity Trading, Asset Management, Bonds, Structured Finance, Learning Management, Alternative Investments, Risk Management, Finance, ADDIE, Loans, Series 24, Funding, Credit
Education
University of Maryland Baltimore County 2008 — 2010
Graduate Certificate, Instructional System Design/Instructional Technology
St. Joseph's College
B. A. Education, Education
Standard & Poor's August 2013 - Present
Kroll Bond Rating Agency, Inc. November 2011 - August 2013
Jefferies & Company May 2006 - November 2011
Nomura November 2005 - May 2006
Credit Suisse May 2004 - November 2005
Financial Industry Regulatory Authority July 2003 - May 2004
UBS Wealth Management July 2001 - July 2003
Cravath, Swaine & Moore LLP August 1999 - July 2001
Skills
Securities, Series 7, FINRA, Trading, Capital Markets, Fixed Income, Series 24, Financial Services, Risk Management
Education
Rutgers University School of Law - Newark 2005 — 2009
JD, Law
University of Virginia 1995 — 1999
BA
Financial Industry Regulatory Authority November 2013 - Present
Financial Industry Regulatory Authority August 2007 - November 2013
The NASDAQ Stock Market, Inc. March 2004 - August 2007
Skills
FINRA, AML
Education
State University of New York at Buffalo - School of Management 1999 — 2003
Financial Industry Regulatory Authority 2007 - Present
Santa Rosa Junior College Foundation July 1998 - Present
Douglas Pavese Consulting 1998 - Present
Santa Rosa High School Foundation 1988 - Present
Morgan Stanley 1968 - 2007
United States Navy November 1963 - August 1989
Skills
Investments, Strategic Planning, Portfolio Management, Nonprofits, Investment Management, Securities, Asset Allocation, Leadership, Non-profits, Investment Advisory, Wealth Management, Alternative Investments, Asset Management, Business Planning, Coaching, Mutual Funds, Estate Planning, Series 7, Small Business, FINRA, Compliance, Arbitration, Equities, Retirement Planning, Wealth, Mentoring, Bonds, Options, Managed Furures, Organizational..., Management, Microsoft Office, Public Speaking, Finance
Education
The University of Chicago - Booth School of Business 2005 — 2005
Advanced Institutional Consulting Certification, Investment Management
University of Pennsylvania - The Wharton School
CIMA Certification, Investment Management
San Jose State University 1961 — 1963
Bachelor of Science (BS), Business Management
Santa Rosa Junior College 1958 — 1961
Associate of Arts (AA), Business Administration
Santa Rosa High School 1955 — 1958
Financial Industry Regulatory Authority 2013 - Present
NFA 2010 - 2012
Deutsche Bank 2009 - 2010
UBS Wealth Management 2008 - 2009
UBS Wealth Management 2001 - 2009
Deloitte & Touche 1999 - 2001
Skills
Financial Analysis, Internal Controls, Financial Reporting, Auditing, General Ledger, Budgets, Account Reconciliation, Variance Analysis, Compliance, Due Diligence, Insurance, Finance, GAAP, Accounting, Financial Risk, Internal Audit, Financial Accounting, Analysis, Financial Services, Investments, Credit, Risk Management, Financial Modeling, Risk Assessment, Strategic Financial..., Corporate Finance, Enterprise Risk..., Hedge Funds, Equities
Education
Rutgers, The State University of New Jersey - Rutgers Business School 2009 — 2013
Masters, Accountancy
Rutgers, The State University of New Jersey-Newark 1994 — 1998
Bachelors, Accounting
Seton Hall Preparatory School 1989 — 1993
HS Diploma, College Preparatory
Elara Securities, Inc. April 2013 - Present
Fundamental Compliance Consulting, LLC April 2012 - Present
Financial Industry Regulatory Authority October 2005 - April 2012
Skills
FINRA, Securities, Securities Regulation, Series 7, AML, SEC, Hedge Funds, Securitization, Broker-Dealer, Financial Regulation, Series 24, Private Placements, Fixed Income, Series 63, Capital Markets, Equities, Investment Advisory, Due Diligence, USA PATRIOT Act, OFAC, Broker-Dealer Compliance, Fraud, KYC, Dodd-Frank, Equity Trading, Options, Anti Money Laundering, Mutual Funds, Alternative Investments, Prime Brokerage
Education
State University of New York College at Buffalo 2001 — 2004
Robert W. Baird & Co. July 2012 - Present
Financial Industry Regulatory Authority May 2010 - July 2012
Financial Industry Regulatory Authority April 1998 - April 2010
Bank One January 1997 - January 1998
Education
Saint Louis University
Bachelor of Science, Business Administration, Finance
The University of Chicago Booth School of Business
Master, Business Administration; Economics, Econometrics and Statistics, and Finance
Lowenstein Sandler LLP September 2014 - Present
United States Bankruptcy Court, Eastern District of New York September 2013 - August 2014
Forman Holt Eliades Ravin & Youngman May 2012 - August 2012
US Securities and Exchange Commission January 2012 - April 2012
Financial Industry Regulatory Authority September 2011 - January 2012
St. John's University School of Law June 2011 - September 2011
Honorable Martin E. Ritholtz, Supreme Court, Queens County June 2011 - July 2011
Education
St. John's University School of Law 2010 — 2013
J.D., Law
Queens College 2007 — 2010
B.A., English, cum laude
Financial Industry Regulatory Authority August 2013 - Present
PAC Real Estate Investments October 2013 - Present
SAC Real Estate Investments June 2010 - Present
Goldman Sachs January 2008 - August 2013
Goldman Sachs October 2005 - January 2008
Deloitte June 2004 - October 2005
Skills
Hedge Funds, Bloomberg, Fixed Income, Equities, Risk Management, Finance, Mergers & Acquisitions, Derivatives, Financial Reporting, Investments, Securities, Financial Risk, Analysis, Accounting, Account Reconciliation, Internal Controls, Prime Brokerage, Credit, FINRA, Internal Audit, Capital Markets, Operational Risk, Management, Leadership, Financial Analysis, Mergers
Education
St. John's University, The Peter J. Tobin College of Business 2004 — 2005
MS, Accounting
St. John's University, The Peter J. Tobin College of Business 2000 — 2004
BS, Accounting
Deutsche Bank January 2012 - Present
Financial Industry Regulatory Authority June 2008 - January 2012
Lehman Brothers 2007 - 2007
Banking Department, New York State 2007 - 2007
New York Community College Trustees, Inc. 2004 - 2006
Skills
Auditing, Finance, Analysis, Financial Analysis, Investments, Risk Management, Accounting, Securities, Financial Risk, Equities, Capital Markets
Education
University at Albany, State University of New York 2006 — 2008
Masters, Public Administration
University at Albany, State University of New York 2004 — 2006
Bachelor in Science, Business Administration
Orange County Community College, State University of New York 2001 — 2004
Associate in Science, Business Administration
Financial Industry Regulatory Authority April 2012 - Present
Financial Balance Group March 2011 - May 2012
The Washington Group July 2008 - April 2011
Lincoln Financial Distributors September 2006 - February 2008
Skills
Series 7, Strategic Planning, Annuities, Retirement Planning, Investments, Succession Planning, Financial Planning, Coaching, Team Building, Strategic Financial..., Fixed Annuities
Education
Shippensburg University of Pennsylvania 1987 — 1991
Bachelor of Science, Business Administration
Experient September 2012 - Present
Professional and Scientific Associates January 2012 - July 2012
Professional and Scientific Associates September 2010 - January 2012
Financial Industry Regulatory Authority October 2005 - September 2010
Hiltons of Washington June 2003 - October 2005
HILTON PITTSBURGH January 2001 - January 2003
Hampton January 1999 - January 2001
Skills
Meeting Planning, Event Management, Event Planning, Contract Negotiation, Hospitality, Registration, Public Relations, Marketing, Trade Shows, Budgets, Proposal Writing, Fundraising, Hotels, Non-profits, Customer Service, Strategic Planning, Negotiation, Social Media, Marketing Communications, Project Management, Management, Research, Leadership, Process Improvement, Program Management, Sales, Team Building, Logistics, Analysis, Nonprofits, Account Management
Education
Robert Morris University 1999 — 2001
Bachelor of Science, Business Administration, Hospitality Management
Robert Morris University
B.S.B.A, Hospitality
Financial Industry Regulatory Authority May 2014 - Present
PNC Financial Services Group, Inc. September 2012 - May 2014
Seward & Kissel LLP May 2008 - May 2011
Boehringer Ingelheim Pharmaceuticals, Inc. May 2005 - November 2007
Bank of America, N.A. October 2003 - May 2005
Citigroup Global Markets Inc. June 2004 - August 2004
Pfizer, Inc. 2001 - 2002
Skills
Legal Research, Management, Legal Writing, Leadership, Corporate Law, Litigation, Entrepreneurship, CRM, Spanish, Risk Management, Microsoft Office, Westlaw, Start-ups, Analysis, Finance, Banking, Lotus Notes, Compliance, Collaboration, Communication, Financial Services, LexisNexis, osCommerce, Public Interest, Securities Regulation
Education
Seton Hall University School of Law 2007 — 2011
Doctor of Law (J.D.)
Seton Hall University 2001 — 2005
Bachelor of Science in Business Administration (B.S.)
Financial Industry Regulatory Authority March 2012 - Present
Morgan Stanley Smith Barney October 2010 - June 2011
Allied Irish Bank March 2003 - September 2010
Allied Irish Banks plc March 1999 - March 2003
Allied Irish Bank June 1996 - March 1999
Skills
Fixed Income, Bloomberg, Trading, Derivatives, Financial Analysis, Valuation, Asset Management, Capital Markets, Portfolio Management, Investments, Bonds, Series 7, Excel, Customer Relations, ABS, Asset, PowerPoint, Word, Analysis, Banking, MBS, Microsoft Office, Securities, Risk, Due Diligence, Debt, Credit, Treasury Management
Education
St. John's University, The Peter J. Tobin College of Business 1992 — 1996
B.S., Finance
Financial Industry Regulatory Authority 1996 - Present
Investment Company Institute 1992 - 1996
US Securities and Exchange Commission 1987 - 1992
Skills
Securities, Capital Markets, Equities, FINRA, Securities Regulation, Corporate Governance, Due Diligence, Corporate Law, Hedge Funds, Private Equity, Mergers & Acquisitions, Alternative Investments, Mutual Funds, Financial Services
Education
The University of Texas School of Law 1980 — 1983
Doctor of Law (J.D.), Law
Rice University 1976 — 1980
Bachelors of Arts, Economics and History
Intercontinental Exchange July 2015 - Present
Financial Industry Regulatory Authority April 2012 - Present
Bella Skye Culinary Kitchens March 2011 - Present
Goldman Sachs May 1994 - July 2011
Skills
Equity Trading, Electronic Trading, Options, Securities, Financial Markets, Series 7, Series 63, Bloomberg, Culinary Skills, Personal Chef Services, ETFs, FINRA, Equities, Trading, AML, Asset Management, Back Office, Bonds, Equity Research, FX Options, Financial Services, Securities Regulation, Risk Management
Education
Queens College 1987 — 1991
Bachelor of Arts (BA), Accounting
Archbishop Molloy High School 1983 — 1987
Financial Industry Regulatory Authority May 2014 - Present
FINRA Investor Education Foundation December 2013 - Present
Financial Industry Regulatory Authority (FINRA) June 2007 - May 2014
NASD Regulation, Office of General Counsel September 1997 - June 2007
Baker Botts 1995 - 1997
Education
The George Washington University Law School 2011 — 2014
Juris Doctor (J.D.)
The Catholic University of America 2010 — 2011
Doctor of Law (JD)
The Johns Hopkins University 2001 — 2005
MBA
University of Maryland College Park 1990 — 1993
BA, Government and Politics
Financial Industry Regulatory Authority October 2001 - Present
New York Stock Exchange 2001 - 2007
PaineWebber 1995 - 2001
Mabon Securities 1993 - 1995
Advantage Business Systems 1991 - 1993
Skills
Agile Methodologies, Sybase, SDLC, IT Strategy, Business Analysis, Requirements Analysis, Program Management, Software Development, Solution Architecture, Oracle, Project Management, Business Intelligence, Agile Project Management, Risk Management, Software Project..., Vendor Management
Education
Stevens Institute of Technology 1999 — 2002
MS, Information Management
Rensselaer Polytechnic Institute 1987 — 1991
BS, Computer Science
Standard Chartered Bank 2011 - Present
Financial Industry Regulatory Authority 2007 - 2011
New York Stock Exchange 2005 - 2007
Credit Suisse First Boston LLC 2005 - 2005
Nomura Holding America Inc. 1989 - 2004
Securities and Exchange Commission 1986 - 1989
Skills
Derivatives, Swaps, Securities, Securities Regulation, Securities Litigation, Trials, Structured Finance, Investment Banking, FCPA, Legal Compliance, Mergers & Acquisitions, Arbitration, KYC, Equities, Financial Services
Education
Saint John's University School of Law
J.D.
Stony Brook University
B.A., English
Stuyvesant High School
Financial Industry Regulatory Authority July 2011 - Present
Price Waterhouse Coopers January 2011 - April 2011
Financial Industry Regulatory Authority (FINRA) December 2006 - January 2011
Oppenheimer & Co. Inc June 2005 - December 2006
Joseph Stevens & Company, Inc August 2004 - June 2005
Skills
Finance, Auditing, Securities, Analysis, Financial Risk, Equities, Internal Controls, Hedge Funds, Accounting, Financial Services, Management, Series 7
Education
St. John's University, The Peter J. Tobin College of Business 2000 — 2004
Bachelors of Science, Finance
Fannie Mae January 2012 - Present
Financial Industry Regulatory Authority January 2011 - December 2011
Fannie Mae February 2010 - January 2011
AT&T March 2009 - February 2010
Fannie Mae April 2004 - February 2009
Skills
Requirements Gathering, Requirements Analysis, Business Analysis, Agile Methodologies, SDLC, Software Project..., Analysis
Education
Madras University
B.E.
Stony Brook University
M.S., Electrical and Computer Engineering
Financial Industry Regulatory Authority November 2012 - Present
FINRA September 2009 - November 2012
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
JD
Virginia Polytechnic Institute and State University 2002 — 2006
BS, Finance
MDRC July 2013 - Present
Gerald R. Ford School of Public Policy 2011 - 2013
IOM June 2012 - September 2012
Financial Industry Regulatory Authority February 2010 - January 2011
Center for Preventing Hate June 2010 - October 2010
IntertechPira July 2008 - May 2009
IntertechPira April 2008 - August 2008
IntertechPira May 2006 - April 2008
Syracuse University - Office of Student Affairs September 2001 - May 2003
Skills
Market Research, Online Marketing, Social Media, Strategic Planning, Budgets, Copy Editing, Research, Leadership, Management, Market Analysis, Marketing Strategy, B2B, Marketing Communications, Business Development, Lead Generation, Competitive Analysis, Event Management, New Business Development, Business Strategy, Email Marketing, B2B Marketing, Trade Shows
Education
University of Michigan 2011 — 2013
MPP, Quantitative Policy Analysis
University of Michigan - Gerald R Ford School of Public Policy 2011 — 2013
Master of Public Policy (MPP), Quantitative Analysis & International Policy, 4.0 (4.0 Scale)
Syracuse University 1999 — 2003
B.A., Political Science and Psychology
Financial Industry Regulatory Authority December 2010 - Present
Fannie Mae June 2009 - December 2010
FINRA/NASD September 2001 - June 2009
Tata Consultancy Services April 2000 - November 2004
Tata Infotech July 1999 - April 2000
Education
Shivaji University 1995 — 1999
B.E., Electronics
PwC July 2014 - Present
Financial Industry Regulatory Authority January 2014 - April 2014
Superior Court of New Jersey August 2012 - September 2013
Rutgers Community Law Clinic January 2012 - May 2012
Legal Research and Writing Program, Rutgers School of Law-Newark August 2011 - May 2012
Crow & Associates May 2011 - July 2011
Legal Research and Writing Program, Rutgers School of Law-Newark January 2011 - May 2011
Essex-Newark Legal Services June 2010 - August 2010
PPM America June 2008 - August 2008
Merrill Lynch June 2007 - August 2007
Skills
Legal Research, Westlaw, Legal Writing, Lexis, Mediation, Intellectual Property
Education
Fordham University School of Law 2013 — 2014
Master of Laws (LLM), Banking, Corporate, and Finance Law, magna cum laude
Rutgers University School of Law - Newark 2009 — 2012
J.D., cum laude
The University of Chicago 2005 — 2009
B.A., Economics
Questar Assessment, Inc. June 2015 - Present
Evidera January 2014 - April 2015
Financial Industry Regulatory Authority 2011 - 2013
Educational Testing Service 2004 - 2010
UMDNJ 2002 - 2004
Skills
SAS, Statistics, Data Analysis, SPSS, Research, Program Evaluation, Testing, Psychometrics, Analysis, Modeling, SQL, Job Analysis, Educational Assessment, R, Survey Design, Statistical Modeling, Survey Research
Education
Rutgers, The State University of New Jersey-New Brunswick 2004 — 2009
Doctor of Philosophy (PhD), Educational Measurement
Smith College 1996 — 2000
Bachelor's degree, Mathematics
Roedean School 1994 — 1996
UWC
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First Allied Securities, Inc. 2000 - Present
Financial Industry Regulatory Authority 1989 - Present
The GMS Group, a wholly owned subsidiary of Gruntal 1990 - 2000
Dean Witter Reynolds Inc. 1979 - 1989
Skills
Municipal Bonds, Corporate Bonds, Fixed Income, Valuation, Due Diligence, Financial Risk, Macroeconomics, Securities Regulation
Education
Texas A&M University
Bachelor of Science (B.S.), Economics
Reed Smith LLP September 2014 - Present
Reed Smith LLP October 2013 - April 2014
Landman Corsi Ballaine & Ford P.C. June 2013 - August 2013
New Jersey Office of Attorney General May 2013 - June 2013
Financial Industry Regulatory Authority January 2013 - April 2013
United States Bankruptcy Court, District of New Jersey June 2012 - August 2012
Bloomberg June 2011 - August 2011
The College of New Jersey May 2009 - May 2011
Bloomberg June 2010 - August 2010
Ulster Savings Bank June 2008 - August 2009
Skills
Financial Analysis, Legal Research, Legal Writing, Westlaw, Microsoft Office, Microsoft Excel, PowerPoint, Data Analysis, Financial Modeling, Research, Bloomberg Terminal, Public Speaking
Education
Seton Hall Law School 2011 — 2014
J.D.
The College of New Jersey 2007 — 2011
B.S., Finance
Seashine Capital Management February 2015 - Present
Los Angeles Unified School District 2014 - 2015
Mental Health Advocacy Services 2013 - 2014
Mental Health Advocacy Services October 2012 - January 2013
Courteau & Associates 2013 - 2013
Financial Industry Regulatory Authority January 2012 - April 2012
Niagara Bottling, LLC May 2011 - August 2011
University of Southern California May 2010 - May 2011
H Street Clinic January 2009 - August 2009
Skills
Microsoft Office, Legal Research Skills, Legal Writing, Employee Handbooks, Human Resources, Legal Research, Commercial Litigation, Litigation, Public Policy, Administrative Law, Due Diligence, Criminal Law, Lexis, Policy, Westlaw, Research, Legal Issues, Employment Law, Intellectual Property, Mediation, Corporate Law, Immigration Law, Trials, Appeals, Courts, Civil Litigation, Legal Assistance, Trademarks, Copyright Law
Education
University of Southern California, Gould School of Law 2009 — 2012
Juris Doctor, Law
Texas Christian University - M.J. Neeley School of Business 2005 — 2008
B.B.A., cum laude, Finance; Entreprenurial Management
Financial Industry Regulatory Authority June 2014 - Present
Centric Business Systems, Inc. March 2013 - June 2014
National City Bank May 2011 - March 2013
Capital One March 2010 - May 2011
Skills
Outlook, Leadership, Customer Service, Microsoft Excel, Management, Microsoft Office, Social Networking, PowerPoint
Education
Salisbury University 2006 — 2009
Citigroup Global Markets Inc January 2007 - Present
Citigroup Global Markets Inc January 2007 - Present
Citigroup February 2003 - Present
Citigroup January 2005 - December 2006
Citigroup January 2005 - December 2006
Citigroup February 2003 - January 2005
Citigroup February 2003 - January 2005
Financial Industry Regulatory Authority June 2000 - February 2003
NASD Regulation, Inc June 2000 - February 2003
NASD Regulation, Inc June 2000 - February 2003
Skills
Trading, FINRA, AML, Equities, Fixed Income, Securities, Analysis, Financial Risk, Financial Services, Capital Markets, Hedge Funds, Series 7, Derivatives, Series 63
Education
St. John's University, The Peter J. Tobin College of Business 1996 — 2000
BS, Business Managemenrt
Saint John's University
MBA Program, Finance Concentration
Saint John's University
Bachelor of Science, Business Management
Saint John's University
Bachelor of Science, Business Management
Saint John's University
MBA Program, Finance Concentration
JBA Wealth Management Group March 1984 - Present
Securities America, Inc. Member FINRA/SIPC February 2010 - Present
SIPC - Securities Investor Protection Corporation February 2010 - Present
Financial Industry Regulatory Authority February 2010 - Present
Assurity Life November 1975 - Present
Skills
Disability Insurance, Fixed Annuities, Retirement, Securities, Long-term Care, Life Insurance, Strategic Financial..., Tax-advantaged...
Education
The American College 1992 — 1995
LUTCF, General Studies
The American College 1986 — 2000
CLU®
The American College 2001 — 2009
ChFC®
The American College 1981 — 1985
LUTCF
The American College 2006 — 2009
FSS
Financial Industry Regulatory Authority January 2014 - Present
U.S. Department of Justice November 2007 - January 2014
Woodrow Wilson International Center for Scholars September 2012 - January 2013
Skills
Westlaw, Research, Spanish, Microsoft Office, RATS, Lexis/Nexis, Stata, Editing, Legal Writing, Public Policy, Politics, Blogging
Education
The Johns Hopkins University 2010 — 2013
Master of Arts (M.A.), Government
The Catholic University of America 2006 — 2010
B.S.B.A., International Economics and Finance, Minor: Politics
The Masters School 2002 — 2006
Financial Industry Regulatory Authority May 2014 - Present
Scott+Scott LLP September 2012 - May 2014
Wolf Haldenstein Adler Freeman & Herz LLP November 2010 - September 2012
Rutgers University Department of Public Safety July 2008 - May 2010
Middlesex Country Prosecutor's Office September 2009 - April 2010
Rutgers University Television Network March 2007 - May 2008
Skills
Bloomberg Terminal, Westlaw, Lexis, Securities Litigation, PACER, Microsoft Office, Adobe Creative Suite, Collaborative Problem..., Bluebook, SharePoint, Trial Preparation, Litigation, Trials, Class Actions, Courts, Legal Research, Document Review
Education
Rutgers University-New Brunswick 2006 — 2010
Bachelor's of Arts, Political Science, Criminal Justice
FLHS 2002 — 2006
Richard W. Vallario Matrimonial Early Settlement PanelistSuperior Court, Essex County vicinageJanuary 2008 - September 2013
Financial Industry Regulatory Authority 1989 - 2013
Skills
Matrimonial litigation,..., Arbitration, Civil Litigation, Corporate Law, Mediation, Securities, Securities Regulation, Legal Writing, Courts, Litigation, Legal Research, Appeals, Dispute
Education
University of Virginia 1968 — 1971
JD, Law
Seton Hall University 1964 — 1968
BA, English
JPMorgan Chase June 2012 - Present
Financial Industry Regulatory Authority December 2010 - June 2012
NYSE Euronext May 2004 - December 2010
University of Medicine August 2000 - May 2004
Skills
Outlook, Spreadsheets, Administrative..., Microsoft Excel, Lotus Notes, Travel Arrangements, PowerPoint, Microsoft Office, Microsoft Word, File Management, Customer Service, Office Management, Human Resources, Process Scheduler, Training
Education
Rutgers, The State University of New Jersey-Newark 2014 — 2018
Bachelor's degree, Accounting
Middlesex County College 2008 — 2012
Associate of Arts (AA), Liberal Arts Business
Katharine Gibbs Business School 1998 — 1999
Certificate, Business Administration
DDB New York March 2014 - Present
Neo@Ogilvy July 2013 - December 2013
Financial Industry Regulatory Authority June 2012 - July 2013
Office of Professor C.F. Lee July 2012 - January 2013
The Burgiss Group May 2012 - August 2012
State of New Jersey May 2011 - May 2012
Skills
Social Listening, Social Analytics, Web Analytics, Google Analytics, Adobe Analytics, WebTrends Analytics, Microsoft Excel, Data Analytics, Tableau, DFA, JavaScript, SQL, Python, SAS, Microsoft Access, HTML, InDesign, MathType, Microsoft Publisher, Securities, Broker-Dealer, Valuation, LexisNexis
Education
Rutgers, The State University of New Jersey-New Brunswick 2009 — 2013
Bachelor's degree, Major-Finance, Minor-Political Science
North Brunswick High School 2005 — 2009
Financial Industry Regulatory Authority May 2012 - Present
MFS Investment Management September 2008 - April 2012
State Street August 2006 - September 2008
Skills
Financial Reporting, Mutual Funds, Financial Analysis, Equities
Education
Simmons College - Simmons School of Management 2010 — 2012
Master of Business Administration (MBA)
University of Massachusetts, Amherst 2002 — 2006
Resource Economics
Financial Industry Regulatory Authority August 1996 - Present
Education
Kent State University 1992 — 1993
MBA, International Finance
Purdue University 1988 — 1992
BS, Management
UBS June 2006 - Present
Financial Industry Regulatory Authority June 2004 - June 2006
Education
Syracuse University
Bachelor of Science (BS), Finance, General, 3.67
Morgan Stanley March 2015 - Present
Financial Industry Regulatory Authority January 2014 - March 2015
Financial Industry Regulatory Authority October 2011 - January 2014
Royal Health Care May 2010 - August 2010
State of New Jersey January 2010 - May 2010
Skills
Microsoft Office, Economics, Networking, Finance, Management, Outlook, Microsoft Excel, Research, PowerPoint, Microsoft Word, Customer Service, Project Management, Financial Markets, FINRA, NYSE, Stock Exchange, Equities, Compliance, Financial Services, Series 7, Trading, Equity Trading, Financial Regulation, OATS, Reg Sho, Trade Reporting, Fixed Income
Education
Rider University 2007 — 2011
B.A, Economics
Newfield High School 2003 — 2007
Advance Regents Diploma
The Professional Alliance, Inc. February 2014 - Present
John Hancock Funds, LLC October 2006 - May 2013
Financial Industry Regulatory Authority September 2001 - October 2006
Pioneer Investments May 1998 - September 2001
Skills
Mutual Funds, Financial Risk, FINRA, Internal Controls, Procedure Development, Supervision, Internal Audit, External Audit, Policy Analysis, Financial Services, Securities, Investments, Series 7, Equities, AML, Wealth Management, Risk Management, Retirement, Series 6, Series 63, Series 24
Education
Suffolk University 1994 — 1998
Bachelor's degree, Finance, General
Financial Industry Regulatory Authority March 2014 - Present
Corporate Solutions, NASDAQ OMX January 2012 - September 2013
Duane Morris LLP 2011 - December 2011
Skills
Microsoft Excel, Data Analysis, Microsoft Office, SPSS, Market Research, Bloomberg, Public Speaking, Financial Analysis, Research
Education
Temple University 2007 — 2011
Bachelor of Arts, Political Science, Business
Financial Industry Regulatory Authority 2005 - Present
Skills
Securities, FINRA, Legal Research, Securities Regulation, Due Diligence, Corporate Governance, Securities Litigation, Legal Writing, Arbitration, Fraud, Litigation Support, AML, Legal Compliance
Education
Siena College 1998 — 2002
Bachelor's degree, Finance
Financial Industry Regulatory Authority March 2007 - Present
Bear Stearns & Company March 1997 - February 2007
Education
Seton Hall University 1981 — 1985
Bachelors, Business, Marketing, Psychology
Dickinson Financial Corporation - Academy Bank, a division of Armed Forces Bank 2012 - Present
Edward Jones August 2011 - March 2012
RPS Financial Group October 2008 - July 2011
Financial Industry Regulatory Authority June 2006 - October 2008
UMB Bank January 2006 - June 2006
Waddell & Reed November 1998 - January 2006
Skills
Financial Analysis, Financial Modeling, Strategic Planning, New Business Development, Retirement Planning, Leadership Development, Finance, FINRA Series 7, FINRA Series 10, FINRA Series 63, FINRA Series 65, Life and Health..., FINRA Examiner..., Financial Reporting, Financial Accounting, Change Management, Project Management, Program Management, Investments, Risk Management, Financial Services, Portfolio Management, Banking, Insurance, Leadership, Asset Allocation, Management, Analysis, Cash Management, Mutual Funds, Financial Risk, Retirement, Accounting, Regulatory Compliance, Auditing
Education
Rockhurst University 2003 — 2004
MBA, Business Administration
Rockhurst University
BA, Economics
Medidata Solutions February 2015 - Present
Financial Industry Regulatory Authority May 2013 - February 2015
The NPD Group June 2012 - January 2013
Columbia University Medical Center June 2011 - August 2011
Stony Brook University January 2011 - May 2011
Skills
Microsoft Excel, Java, SQL, Microsoft Office, PowerPoint, Access, Microsoft Word, Data Analysis, Statistics, VBA, Visio, JIRA, QC Tools, Wireframes, MS Project, Visual Basic
Education
State University of New York at Stony Brook 2009 — 2013
Bachelor of Science (B.S.), Applied Mathematics and Statistics, Economics
Axiom June 2015 - Present
JPMorgan Chase September 2013 - June 2015
Financial Industry Regulatory Authority January 2013 - May 2013
United States Attorney- Criminal Division September 2012 - December 2012
Kings County District Attorney- Money Laundering Bureau June 2012 - August 2012
NYPD Legal Bureau June 2011 - August 2011
Skills
Legal Research, Legal Writing, Criminal Law, Lexis, Languages, Research, Westlaw, Litigation Support, Depositions, Courts, Trials, Enforcement, Motions, Document Drafting, Hearings, Criminal Justice, Police, English, Appeals, Legal Issues, Civil Litigation, Securities Regulation, Law Enforcement, Mediation, Anti Money Laundering, Transactional Analysis, Legal Compliance, Criminal Procedure, Civil Law, Civil Procedure, Arbitration, Statutory Compliances, Regulations, Dodd-Frank, Broker-Dealer, Prime Brokerage, Contract Law, Policies & Procedures, LexisNexis
Education
Touro College Jacob D. Fuchsberg Law Center 2010 — 2013
Doctor of Law (J.D.)
St. John's University 2005 — 2009
Bachelor’s of Science, Criminal Justice
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Financial Industry Regulatory Authority 2012 - September 2014
Financial Industry Regulatory Authority 2010 - 2012
Snyder Kearney LLC 2010 - 2010
Robinson & Cole LLP 2008 - 2010
Skills
Legal Research, Legal Writing, Securities Regulation, Westlaw, Securities, FINRA, Financial Regulation, Corporate Governance
Education
University of Pennsylvania - The Wharton School
Certified Regulatory and Compliance Professional (CRCP) Certification (in progress)
Quinnipiac University School of Law 2005 — 2008
Doctor of Law (JD), Law
Quinnipiac University - School of Business 2006 — 2008
Master of Business Administration (MBA)
University of Maryland Baltimore County 2003 — 2004
Bachelor of Arts (BA), History
Financial Industry Regulatory Authority October 2012 - Present
Skills
Legal Writing, Intellectual Property, Corporate Governance, Litigation, Commercial Litigation
Education
Rutgers, The State University of New Jersey-Newark 1998 — 2001
Doctor of Law (J.D.)
University of Rochester 1991 — 1996
Bachelor of Arts (B.A.), Liberal Arts and Sciences, General Studies and Humanities
Financial Industry Regulatory Authority May 2006 - April 2013
Skills
Securities, FINRA, AML, Equities, Mutual Funds, Fixed Income, Access, Regulations, Microsoft Excel, Outlook, Financial Services
Education
Seton Hall University 2003 — 2005
Master of Business Administration (MBA), Finance, General
Seton Hall University 1997 — 2001
Bachelor of Science (BS), Business Administration and Management, General
Waste Management September 2011 - Present
Financial Industry Regulatory Authority January 2010 - April 2011
Neptune's January 2009 - December 2010
Skills
Computer Proficiency, Salesforce.com, Analysis and Modeling..., MAS, Green Pages, Microsoft Office, Adobe
Education
Salisbury University - Perdue School of Business 2006 — 2009
Bachelor of Science (B.S.), Business, Management, Marketing, and Related Support Services, 3.5
Capital Guardian LLC January 2014 - Present
Cohen & Company November 2010 - January 2014
Financial Industry Regulatory Authority May 2006 - November 2010
Queens College CUNY January 2006 - May 2008
Locker Associates June 2001 - December 2005
Bank of New York June 2000 - May 2001
Skills
Series 7,24,53,55,63
Education
Fordham University Graduate School of Business
Masters of Business Administration in Finance
CFA Institute
Chartered Financial Analyst (CFA)
Queens College
Bachelor of Arts (BA), Economics
Nebraska Elite Volleyball Club November 2014 - Present
Metro Volleyball Club November 2013 - March 2014
Omaha South High School August 2013 - November 2013
Blazer Volleyball Club November 2012 - April 2013
Como Park High School May 2012 - December 2012
Convent of The Visitation August 2010 - May 2012
Club Sota Volleyball November 2011 - April 2012
Club Dakota Volleyball November 2009 - May 2010
Financial Industry Regulatory Authority January 2007 - February 2009
InterContinental Hotels Group January 2006 - January 2007
Skills
MS Excel
Education
Southeastern Louisiana University 2003 — 2006
Bachelor's degree, International Business