Financial Industry Regulatory Authority (FINRA)
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 (FINRA) Employees
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
DDK & Company LLP July 2011 - July 2014
Sky Express Inc February 2010 - June 2011
ParenteBeard, LLC February 2008 - February 2010
United Aline Co. Ltd June 2007 - January 2008
Citicorp Smith Barney February 2007 - May 2007
Skills
Income Tax, Accounting, Financial Reporting, Payroll, Budgeting, Accounts Payable, Budgets, Microsoft Office, Auditing, PowerPoint, Tax, Bookkeeping, Tax Returns, Accounts Receivable, Financial Statements
Education
Baruch College 2012 — 2014
Master of Science (M.S.), Taxation
Pace University - Lubin School of Business 2006 — 2008
Bachelor of Business Administration; CPA, Public Accounting
Twitter April 2014 - Present
Inflection June 2012 - April 2014
Brand My Mail September 2011 - December 2011
Financial Industry Regulatory Authority (FINRA) April 2008 - August 2010
US Department of Agriculture (USDA) October 2007 - January 2008
University of Southern Mississippi February 2006 - May 2007
BYU Independent Study August 2003 - June 2005
Microsoft January 2002 - January 2003
Skills
Adobe Creative Suite, 3D Studio Max, Visio, HTML + CSS, jQuery, Spanish, Portuguese, HTML, Information Architecture, InVision, Interaction Design, Human-Centered Design, User Experience Testing, Visual Design, User Research, Human Computer..., User Experience, Usability, CSS, Wireframes, User Interface, User-centered Design, User Interface Design, User Experience Design, Heuristic Evaluation, Web Applications, Persona, Usability Testing, Agile Methodologies, Wire Framing, Human-centered Design, User Scenarios, Card Sorting, Contextual Inquiry, Usability Engineering, Service Design, Paper Prototyping, Axure, OmniGraffle
Education
Carnegie Mellon University 2010 — 2011
Masters, Human-Computer Interaction
Universidade da Madeira 2010 — 2011
Masters, Human-Computer Interaction
Brigham Young University 1998 — 2004
BA, Political Science
J.P. Morgan September 2014 - Present
J.P. Morgan August 2013 - August 2014
J.P. Morgan May 2013 - August 2013
The Lawyering & Legal Writing Center, Benjamin N. Cardozo School of Law August 2012 - May 2013
Hon. Debra Freeman, U.S. District Court, Southern District of New York August 2012 - November 2012
Hon. Denis R. Hurley, U.S. District Court, Eastern District of New York May 2012 - August 2012
Financial Industry Regulatory Authority (FINRA) June 2010 - August 2010
Lincoln Financial Group April 2009 - August 2009
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2011 — 2014
Juris Doctor, Cum Laude, Corporate Law
Erivan K. Haub School of Business, Saint Joseph's University 2007 — 2011
Bachelor of Science, Magna Cum Laude, Finance and Economics
Prudential Financial June 2015 - Present
Financial Industry Regulatory Authority (FINRA) July 2014 - June 2015
Prudential Financial June 2013 - July 2014
Marcus Brody Ford Kessler & Sahner March 2012 - June 2013
Financial Industry Regulatory Authority August 2011 - December 2011
Prudential Financial May 2011 - August 2011
Skills
Legal Compliance, FINRA, Securities Regulation, Regulatory Analysis, Regulatory Submissions, SEC filings, Legal Writing, Market Regulation, Reg SHO, Reg NMS, Market Access Rule, Investments, Civil Litigation
Education
Seton Hall University School of Law 2010 — 2013
Doctor of Law (J.D.), Law
Albright College 2004 — 2008
Bachelor of Science (B.S.), Business Administration and Management, General
Red Bank Catholic High School 2001 — 2004
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
Federal Communications Commission August 2014 - December 2014
Guercio & Guercio, LLP June 2014 - August 2014
Nassau County Attorneys Office June 2013 - August 2013
Kramer Levin Naftalis & Frankel LLP September 2010 - July 2012
Apple December 2009 - August 2010
Skills
PowerPoint, Editing, Outlook, Spanish, Research, Negotiation, Microsoft Excel, Microsoft Word, Customer Service, Event Management, Social Networking, Microsoft Office, English, Windows, Photoshop, Public Speaking, Strategic Planning, Transformative Mediation, Westlaw, Legal Writing
Education
Hofstra University School of Law 2012 — 2015
Doctor of Law (J.D.)
Boston University 2005 — 2009
Bachelor of Science (BS), Communication and Media Studies
South Side High School 2001 — 2005
International Baccalaureate
NYS Division of Criminal Justice Services September 2014 - Present
Excelsior College January 2011 - Present
Financial Industry Regulatory Authority (FINRA) November 2001 - Present
Essex County March 2011 - August 2014
Lake Placid/North Elba Joint Review Board March 2009 - August 2014
CapOrt Emergency Response and Mitigation Consulants, LLC. March 2012 - March 2014
Homeward Bound Adirondack 2014 - 2014
Grantham University April 2010 - February 2012
North Country Community College 2003 - 2011
Port Authority of NY October 1985 - March 2003
Skills
Teaching, Criminal Justice, Administration, Law Enforcement, Emergency Management, Public Speaking, Microsoft Office, Research, Negotiation, Higher Education, Writing, Enforcement, Supervisory Skills, Policy, Homeland Security, System Administration, Program Management, Crisis Management, Leadership, Government, Leadership Development, Military, Business Ethics, Security, Police, Training, Professional Ethics, Patrol, Staff Development, Risk Assessment, Counterterrorism, Criminal Investigations, Conflict Resolution, Criminal Law, Policy Analysis, Interviews, Analysis, Fraud, Community Development, National Security, Team Building, Private Investigations, Management, Evidence, Team Leadership, Incident Command, Internal Investigations, Firearms, Executive Protection, Background Checks
Education
Walden University 2007 — 2014
PhD, Public Policy and Administration: Criminal Justice and Homeland Security
Walden University 2007 — 2009
MPA, Public Policy and Administration: Criminal Justice and Homeland Security
New York University 1993 — 1996
Master of Science, Real Estate Development
Adelphi University 1980 — 1982
Bachelor of Arts, Business Administration
Chaminade High School
Superior Court of Fulton County (Business Court) June 2015 - August 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - May 2015
The Cuffie Law Firm December 2012 - August 2013
SunTrust Bank November 2007 - November 2012
Boy Scouts of America July 2004 - January 2007
Skills
Financial Analysis, Sports, Negotiation, New Business Development, Accounting, Accounts Payable, Accounts Receivable, Bookkeeping, QuickBooks, Needles, Payroll Services, Sales, Leadership, Strategic Planning, Investments, Life Insurance, Event Planning, Banking, Customer Service, Training, Finance, Insurance, Loans, Credit, Sports Management, Nonprofits, Coaching, Microsoft Office, Research, Fundraising, Marketing, Time Management, Recruiting, Outlook, Budgets, Analysis, PowerPoint, Sports Marketing, Microsoft Excel
Education
Atlanta's John Marshall Law School 2013 — 2016
Doctor of Law (J.D.)
Georgia State University 2009 — 2010
Master of Science (M.S.)
Albany State University 2000 — 2004
Bachelor of Arts (B.A.)
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
City of New York June 2009 - Present
Touro Law Center February 2015 - May 2015
Financial Planner January 2010 - May 2015
United States Attorney's Office: Eastern District January 2015 - April 2015
National Black Law Students Association February 2014 - February 2015
New York County District Attorney's Office June 2014 - August 2014
Touro Law Center August 2013 - May 2014
Honorable Frederick D. R. Sampson February 2013 - June 2013
United States Air Force August 2004 - December 2006
Skills
Program Management, Policy Analysis, Grant Writing, Strategic Planning, Organizational..., Microsoft Office, Program Evaluation, Government, Research, Program Development, Statistics, SPSS, Community Outreach, Public Speaking, Nonprofits, Budgets, Westlaw, LexisNexis, Policy, Legal Writing
Education
Touro College Jacob D. Fuchsberg Law Center 2012 — 2016
Doctor of Law (J.D.), Law, 2L
City University of New York-Baruch College 2009 — 2010
MPA, Policy Analysis and Evaluation
Monroe College 2006 — 2008
BBA, Bachelors of Business Management
Financial Industry Regulatory Authority (FINRA) November 2000 - Present
U.S. Securities and Exchange Commission 1996 - 2000
Commodity Futures Trading Commission 1994 - 1996
US Court of Appeals for Veterans Claims 1992 - 1994
Weil, Gotshal & Manges LLP 1991 - 1992
Skills
Securities, Litigation, Financial Regulation, Investigation, Regulatory Compliance, Securities Regulation, Securities Litigation
Education
Maurice A. Deane School of Law at Hofstra University 1988 — 1991
Doctor of Law (J.D.), Law
American University 1983 — 1987
Bachelor of Arts (BA), International/Global Studies
American Beacon Advisors June 2011 - Present
American Beacon Advisors, Inc. July 2006 - June 2011
American Beacon Advisors, Inc. November 2004 - July 2006
Financial Industry Regulatory Authority (FINRA) August 2003 - November 2004
1st Global, Inc February 2000 - August 2001
Education
Baylor University - Hankamer School of Business 2001 — 2003
MBA, Business Administration
The University of Texas at Austin 1993 — 1997
BBA, Management
The University of Texas at Austin - Red McCombs School of Business 1993 — 1997
BBA, Management
Garland High School 1989 — 1993
Carey Financial, LLC March 2013 - Present
Financial Industry Regulatory Authority (FINRA) August 2007 - March 2013
New York Stock Exchange August 2006 - July 2007
Torys LLP June 2005 - August 2005
Skills
Securities Regulation, Securities, AML, Hedge Funds, FINRA, Corporate Law, Legal Writing, Series 7, Series 63, Series 24, Financial Services, Alternative Investments, Financial Analysis, Anti Money Laundering, Capital Markets, Equities, Fixed Income, Mutual Funds
Education
Boston College 2002 — 2006
B.A., Major in History, Minor in Irish Studies
Fordham Preparatory School 1999 — 2002
High School
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
Raytheon March 2012 - August 2013
Macy's April 2012 - August 2012
Skills
Counseling Psychology, Project Management, Anti-corruption
Education
University of Arizona 2015 — 2017
Master of Business Administration (M.B.A.), Business Administration, Management and Operations
Pima Community College 2012 — 2015
Associate's degree, Business
ESIAG - Ecole Supérieure d'Informatique Appliquée à la Gestion 2005 — 2008
Commerce International, Business/Commerce, General, Bac+4
Koumandian Keita 3 2000 — 2002
Scientific, Mathematics
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
PwC January 2015 - July 2015
Florida Atlantic University August 2011 - January 2015
PricewaterhouseCoopers January 2014 - March 2014
Sheridan Technical Center June 2012 - December 2013
Deeply Kneaded Massage July 2011 - September 2012
Massage Envy January 2010 - September 2012
Skills
PowerPoint, Microsoft Excel, Microsoft Word, Microsoft Office, Accounting, Research, Financial Accounting, Public Speaking, Data Analysis, Teamwork, Time Management, Auditing, Financial Analysis, Bookkeeping, Statistics, Financial Reporting, Data Entry, Customer Service, Tax, Critical Thinking, Accounts Payable, GAAP, Accounts Receivable, Account Reconciliation, Leadership
Education
Florida Atlantic University 2011 — 2014
Bachelor of Business Administration (BBA), Accounting, 3.974
Broward College 2006 — 2008
Associate of Arts (AA), Pre-Chiropractic Studies
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Confie Seguros August 2014 - August 2015
Prospect Mortgage, LLC April 2012 - August 2014
Bank of America March 2010 - June 2012
JP Morgan Chase September 2008 - March 2010
Countrywide Mortgage April 2005 - March 2008
Education
California State University-Northridge 2009 — 2012
BA Economics, Business/Managerial Economics
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Los Angeles Superior Court June 2014 - August 2014
Jafari Law Group, Inc. February 2013 - May 2013
Law Firm of Higbee & Associates June 2012 - August 2012
Philadelphia Insurance Companies June 2012 - August 2012
Macy Law Firm, P.C. June 2011 - August 2011
Control4 June 2010 - August 2010
Skills
Marketing, PowerPoint, Social Media, Customer Service, Microsoft Office, Microsoft Word, Microsoft Excel, Research, Legal Writing, Competitive Analysis, Legal Research, Courts, Facebook, Management, Public Speaking, Legal Assistance
Education
University of Notre Dame Law School 2013 — 2016
Doctor of Law (J.D.), Law
Chapman University, The George L. Argyros School of Business and Economics 2009 — 2013
B.A., Economics, Political Science, Business Administration
Robbins Geller Rudman & Dowd LLP November 2014 - April 2015
Financial Industry Regulatory Authority (FINRA) August 2014 - October 2014
US Securities and Exchange Commission January 2014 - May 2014
Banker's Hill Law Firm, A.P.C. February 2013 - September 2013
San Diego Volunteer Lawyer Program February 2013 - July 2013
TD Ameritrade August 2006 - December 2011
Grant Thornton LLP April 2010 - April 2011
Skills
Corporate Law, Business Planning, Financial Services, Strategic Financial..., Securities Regulation, Securities License, Estate Planning, Leadership, Legal Research, Legal Writing, Civil Litigation, Motions, Wills
Education
California Western School of Law 2012 — 2014
Doctor of Law (JD), Business Law
Texas Tech University 2001 — 2004
Bachelor of Arts (B.A.)
Maryland Assessment Research Center (MARC) August 2014 - Present
Financial Industry Regulatory Authority (FINRA) June 2015 - August 2015
Maryland Population Research Center March 2014 - March 2015
National Cancer Institute (NCI) July 2014 - August 2014
University of Maryland, Joint Program for Survey Methodology October 2013 - August 2014
International Food Policy Research Institute (IFPRI) June 2014 - July 2014
State Key Laboratory of Earth Surface Processes and Resource Ecology March 2012 - June 2013
State Key Laboratory of Earth Surface Processes and Resource Ecology January 2013 - January 2013
Skills
Mathematical Modeling, R, SPSS, Matlab, Regression Analysis, Multivariate Analysis, Probabilities, Time Series Analysis, SAS, Stata, Openbugs, Statistical Data..., Statistics, Statistical Modeling, LaTeX, Data Analysis, Teaching, Research Design, Higher Education, Qualitative Research, Research
Education
University of Maryland College Park 2013 — 2015
Master of Arts (M.A.), Educational Assessment, Testing, and Measurement
Beijing Normal University 2009 — 2013
Bachelor of Science (BS), Mathematics and Statistics
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Massachusetts Securities Division January 2015 - May 2015
Massachusetts Securities Division December 2011 - January 2015
US Securities and Exchange Commission June 2010 - August 2010
MetLife May 2009 - August 2009
Financial Industry Regulatory Authority May 2008 - August 2008
Petillon Hiraide and Loomis LLP May 2007 - August 2007
Skills
Corporate Law, Securities, Securities Regulation, Corporate Governance, FINRA, Legal Research, Private Placements, Litigation, Broker-Dealer, SEC, Alternative Investments, Investment Advisor..., Investment Advisers Act, Investment Company Act
Education
Boston College Law School 2007 — 2011
Doctor of Law (JD), Securities and Corporate Law
Harvard University 2009 — 2011
Master of Arts (M.A.), Regional Studies-East Asia
University of California, Berkeley 2002 — 2006
Bachelor of Arts (B.A.), Economics and Legal Studies
West Torrance High School
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Bryan Cave June 2015 - July 2015
United States Attorney's Office May 2014 - August 2014
Arizona State University February 2013 - May 2013
First Western Trust Bank June 2012 - February 2013
Arizona State University January 2011 - May 2012
Striking Renovations May 2011 - August 2011
Skills
Tutoring
Education
University of Notre Dame Law School 2013 — 2016
Juris Doctor (J.D.)
Arizona State University, W. P. Carey School of Business 2009 — 2013
Bachelor of Science (B.S.) Finance, Summa Cum Laude, GPA: 4.0
Barrett, The Honors College, Arizona State University 2009 — 2013
Ellenberg & Partners, LLP June 2014 - May 2015
Brooklyn Law School August 2012 - May 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
Edward F. Cunningham, Esq. May 2013 - January 2015
New York Legal Assistance Group September 2013 - December 2013
Brooklyn Bar Association November 2012 - December 2013
AHRC New York City May 2013 - August 2013
THE HEAVENLY CHEF December 2008 - June 2013
CAMP ANCHOR PROGRAM July 2004 - August 2012
Law Offices of Callahan and Malone April 2011 - December 2011
Skills
Legal Writing, Guardianship, Legal Research, Legal Assistance, Legal Compliance, Preparation of Wills, Health Care Proxies, Living Will, Regulatory Policy, Real Estate Transactions, Immigration Law, Legal Counseling, Legal Documents, Fair Housing, Interview Preparation, Special Needs Trusts, Revocable Trusts, Legal Contract Review, Deeds, Trust Deeds, Litigation, Contract Negotiation, Motions, PowerPoint
Education
Brooklyn Law School 2012 — 2015
Juris Doctor (J.D.), Law; Banking, Corporate, Finance, and Securities Law; Health Law; Property Law
Binghamton University 2006 — 2010
BA, English
SUNY BINGHAMTON 2006 — 2010
NYBachelor of Arts, English
Financial Industry Regulatory Authority (FINRA) 2015 - Present
Georgia Institute of Technology August 2014 - December 2014
Carnegie Mellon University August 2012 - May 2013
Skills
Statistics, Data Analysis, C++, R, Data Mining, SAS, Machine Learning, Statistical Modeling, Mathematical Modeling, Python, Quantitative Analytics, LaTeX, SQL, Java, Matlab
Education
Georgia Institute of Technology 2013 — 2015
Master’s Degree, Computer Science
Carnegie Mellon University 2012 — 2013
Master’s Degree, Statistics
Wake Forest University 2008 — 2012
Bachelor’s Degree, Mathematical Economics
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
MicroStrategy June 2014 - September 2014
Teredesai, McCann & Associates June 2013 - April 2014
ABeam Consulting July 2011 - August 2011
People’s Bank of China July 2010 - August 2010
Skills
Java, C, SQL, HTML, MySQL, JavaScript, Microsoft Excel, Microsoft Office, PHP, PowerPoint, Apache, CSS, Algorithms, Visio, Business Intelligence, Project Management, Data Mining, Databases, Distributed Systems, Database Design, Data Analysis, Eclipse, Web Development, Android, Microsoft SQL Server, XML
Education
Carnegie Mellon University 2012 — 2013
Master's degree, Management Information Systems, General
Nanjing University 2008 — 2012
Bachelor of Business Administration (B.B.A.), E-Commerce/Electronic Commerce
U.S. Department of Justice July 2015 - Present
Financial Industry Regulatory Authority (FINRA) May 2015 - July 2015
U.S. Securities and Exchange Commission January 2015 - April 2015
US Department of Homeland Security August 2014 - March 2015
American University Washington College of Law May 2014 - September 2014
American University Washington College of Law June 2014 - July 2014
Citi December 2012 - August 2013
Law Offices of Joel Lieberman October 2011 - August 2012
USTA August 2009 - August 2012
Attis Development May 2011 - August 2011
Skills
Lexis, Westlaw, Legal Writing, Legal Research, Customer Service, International Business, International Law, Microsoft Excel, Corporate Finance, Research, Public Speaking, Teamwork, PowerPoint, Microsoft Office, Microsoft Word, Government, Intellectual Property, Appeals, LexisNexis
Education
American University, Washington College of Law 2013 — 2016
Doctor of Law (JD)
Instituto Cervantes, Spain 2011 — 2011
Spanish Certificate
City University of New York-Baruch College 2007 — 2011
Bachelor of Business Administration (BBA), Finance and Investments, Dean's List
Archbishop Molloy High School 2003 — 2007
Advanced Regents Diploma
Financial Industry Regulatory Authority (FINRA) May 2014 - December 2014
U.S. Securities and Exchange Commission January 2014 - April 2014
Office of the Public Defender Maryland June 2013 - August 2013
Educational Services Center January 2012 - April 2012
Bronx County Supreme Court, Honorable La Tia W. Martin June 2011 - August 2011
Honorable Jeffrey G. Berry, Orange County Supreme Court, Goshen, New York June 2010 - August 2010
Skills
Securities Regulation, Financial Regulation, Securities Litigation, International Relations, Legal Research, Legal Writing, Litigation, Westlaw, Corporate Law, Editing, Publishing, Public Speaking, Research
Education
American University Washington College of Law 2012 — 2015
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law; White Collar Crime, 3L
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Mayer Brown, The Gair Law Group, Sidley Austin, Kirkland & Ellis February 2013 - May 2015
Attorney June 2013 - May 2014
Ulmer & Berne LLP September 2012 - April 2013
Jenner & Block August 2008 - September 2012
Skills
Corporate Law, Litigation, Litigation Support, Arbitration, Mediation, Commercial Litigation, Trials, Legal Writing, Foreign Corrupt..., White Collar Criminal..., Securities Litigation, Corporate Internal..., Bankruptcy, Securities Regulation
Education
University of Iowa College of Law 2005 — 2008
J.D, Law
Harvard University 1998 — 2001
Near Eastern Languages and Civilizations
Indiana University Bloomington 1995 — 1998
M.A., Comparative Literature
Brown University 1991 — 1995
B.A.
Pinnacle Advisor Solutions 2014 - Present
Foundation for Financial Planning 2014 - Present
Financial Industry Regulatory Authority (FINRA) June 2005 - Present
Financial Planning Association (FPA) January 2003 - Present
Skills
GFS - Global Fiduciary..., Series 7, Business Strategy, Strategic Planning, Practice Management, Kinder Institute of..., Governance, Agile Collaboration, Fiduciary, Institute, Financial Transitions, Wealth Management, Investment Advisory, Coaching, Investments, Strategic Financial..., Marketing Strategy, Financial Advisory, Project Planning, Leadership, Business Development, Investment Management, Retirement Planning, Asset Allocation, 401k, Financial Planners, Retirement, Wealth, Investment Strategies, Estate Planning, Mutual Funds, Finance, Asset Management, Personal Finance, Financial Services, Securities, Fixed Annuities, Financial Planning
Education
College for Financial Planning 2013 — 2014
CFP - Personal Financial Planning
Arizona State University
MBA, Marketing
Purdue University
BSEE, Electrical and Electronics Engineering
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates March 2015 - Present
Financial Industry Regulatory Authority (FINRA) August 2014 - February 2015
US Securities and Exchange Commission January 2014 - May 2014
Financial Industry Regulatory Authority January 2014 - May 2014
U.S. District Court for the District of Columbia August 2013 - December 2013
United Nations Committee Against Torture Project August 2013 - November 2013
US Securities and Exchange Commission May 2013 - August 2013
Public International Law & Policy Group April 2012 - May 2013
Eisenstein Malanchuck LLP September 2012 - April 2013
International Bar Association May 2012 - August 2012
Skills
Legal Research, Legal Writing, International Law, Public International Law, French, Conflict Analysis, Westlaw, Securities Regulation, International Business..., Bluebook, Lexis, Constitutional Law, Rule Of Law, Securities Fraud, Mergers and Acquisitions, Competition Law, European Union, Comparative Law, Courts, Research, Litigation
Education
American University, Washington College of Law 2011 — 2014
Doctor of Law (J.D.)
DePauw University 2007 — 2011
Bachelor of Arts (B.A.), Political Science and Government
University College Cork 2010 — 2010
International Relations and Affairs
Institut d'Etudes politiques de Strasbourg 2009 — 2009
International Relations and Affairs
Sound Exchange 2015 - Present
Under Armour 2014 - 2015
TEKsystems 2014 - 2015
Financial Industry Regulatory Authority (FINRA) 2014 - 2014
Learning Objects 2012 - 2014
University of Alaska 2010 - 2012
Ningbo Institute of Technology February 2009 - September 2010
RMIT University February 2008 - February 2009
Missouri State University February 2007 - February 2008
NDCHealth February 2000 - December 2001
Skills
java, sql, mysql, Statistics, Subversion, CVS, Data Analysis, Symfony, jQuery, Programming, SAS, Databases, Linux, JavaScript, PHP, Unix, XML, CSS, R, Analysis, Database Design, Bioinformatics, Access, LaTeX, Teaching, Technical Writing, UML, Spring, Selenium, Git, Bash, Multicultural..., angularJS, Node.js, Java, Python, E-Learning, Web Development, Apache, Tomcat, MySQL, Web Applications, Perl, SQL
Education
McGill University 2002 — 2005
Master of Science, Computer Science
Bowling Green State University 1997 — 1999
Master of Science, Applied Statistics
James Madison University 1993 — 1996
Bachelor of Science, Psychology
Financial Industry Regulatory Authority (FINRA) November 2014 - Present
Butzel Long November 2013 - October 2014
Butzel Long January 2009 - November 2013
Dreier LLP 2000 - 2008
Schulte Roth & Zabel LLP May 1999 - August 2000
White & Case January 1997 - April 1999
Skills
Litigation, Intellectual Property, Corporate Law, Commercial Litigation, Civil Litigation, Real Estate, Empl, Securities Litigation, Contractual Agreements, Employment Law, Arbitration, Competition Law, Trade Secrets, Bankruptcy, Class Actions, Appeals, Mediation, Trademark Infringement
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1993 — 1996
Doctor of Law (J.D.), Law
New York University 1989 — 1993
Bachelor of Arts (B.A.), Political Science and Government
Yeshivah of Flatbush 1985 — 1989
High School
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
U.S. Attorney's Office; Department of Justice February 2008 - September 2014
Simpson Thacher & Bartlett November 2004 - January 2008
U.S. Court of Appeals for the Ninth Circuit November 2003 - September 2004
Sedgwick Detert Moran & Arnold February 2003 - November 2003
Kelly Gill Sherburne September 2001 - October 2002
Clifford Chance Rogers & Wells May 2000 - July 2000
Colorado Fourteeners Initiative May 1997 - October 1997
Genesee Valley Outdoor Learning Center September 1996 - November 1996
Appalachian Mountain Club June 1996 - August 1996
Skills
Litigation, Trials, Criminal Law, Fraud Investigations, Communication, Negotiation, Persuasive Writing
Education
University of Colorado School of Law 1998 — 2001
J.D.
Brown University 1991 — 1995
AB
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Concept One Accessories May 2014 - August 2014
J.R. Williams Law LLC June 2013 - April 2014
News America Marketing February 2012 - August 2012
Law Office of Thomas M. Shanley May 2009 - February 2012
Irish Centre for Human Rights June 2010 - July 2010
Darien Sport Shop April 2008 - August 2008
Sugar Shoes Boutique January 2008 - May 2008
Fairfield Beach Club May 2006 - August 2007
Skills
Human Rights, Research, Courts, Social Media
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2012 — 2015
Juris Doctor (J.D.), Business Law Certificate
Lehigh University 2008 — 2012
Bachelor’s Degree, Political Science, Minor in Global Studies
Financial Industry Regulatory Authority (FINRA) June 2015 - August 2015
New York State Unified Court System, Suffolk County Supreme Court, Commercial Division June 2015 - August 2015
John T. Mather Memorial Hospital June 2011 - June 2014
Suffolk County District Attorney's Office January 2014 - April 2014
The Law Office of Tamarra L. Strawn October 2013 - December 2013
Skills
Microsoft Office, Microsoft Excel, PowerPoint, Microsoft Word, Social Media, Research, Public Speaking, Event Planning, Customer Service, Editing, Strategic Planning, Outlook, Access
Education
Boston University School of Law 2014 — 2017
Juris Doctor, Law, 1L
State University of New York at Binghamton 2010 — 2013
Bachelor of Arts (BA), Philosophy, Politics and Law
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Financial Industry Regulatory Authority January 2014 - Present
Skills
Software Quality..., SDLC, Project Management, Change Management, Agile Methodologies, Agile Testing, Risk Management, Test Automation, Vendor Management, Program Management, Process Improvement, Agile Project Management
Education
AMITY University Gurgaon 2008 — 2010
Master of Business Administration (M.B.A.), Finance & International Business
Birla Institute of Technology and Science, Pilani 2002 — 2004
MS, Software Systems
Annamalai University 1991 — 1995
BE, Production Engg
St. Thomas Matric Hr. Sec. School 1976 — 1991
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
FEI Systems July 2014 - September 2014
University of Maryland April 2014 - June 2014
Cognizant Technology Solutions August 2011 - May 2013
St.Josephs College of engineering June 2010 - March 2011
Skills
Requirements Analysis, SQL, SDLC, DB2, Microsoft SQL Server, Web Services, XML, Requirements Gathering, Microsoft Office, Data Mining, Data Analysis, Management Consulting, .NET, Business Analysis, Servers, Java, Project Management
Education
University of Maryland - Robert H. Smith School of Business 2013 — 2014
Master's Degree, Management Information Systems, General, 3.5
Anna University 2007 — 2011
Bachelor's Degree, Computer Science, 3.4
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Citi June 2008 - June 2015
Financial Industry Regulatory Authority (FINRA) September 2014 - December 2014
Steps 2006 - 2008
Skills
Retail Banking, Loans, Commercial Banking, Banking, Credit, Relationship Management, Credit Risk, Finance, Risk Management, Credit Cards, Microsoft Office, Microsoft Excel, Capital Markets, Financial Analysis, Financial Services
Education
City University of New York-Baruch College
Bachelor's Degree, finance and investments
Bailey & Dixon, LLP January 2007 - Present
North Carolina State University 2006 - Present
Financial Industry Regulatory Authority (FINRA) 1998 - Present
Foreign Trade Zone - Number 93 1997 - Present
Wake County SmartStart 1997 - January 2009
Weisel for North Carolina State Treasurer September 2007 - May 2008
North Carolina General Assembly June 2006 - December 2006
Taylor, Penry, Rash & Riemann, PLLC 2003 - December 2006
North Carolina Railroad Company (NCRR) 1999 - 2004
Wake County Democratic Party 1999 - 2003
Skills
Election Law, Campaign Finance, Corporate Finance, Commercial Real Estate, Asset Management, Mergers, Crisis Management, Lobbying, Political Campaigns, Arbitration, Corporate Law, Corporate Governance, Administrative Law, Legislative Relations, Joint Ventures, Licensing, Litigation, Politics, Securities, Private Equity, Mediation, Political Consulting, Real Estate Development, Non-profits, Elections, Government, Mergers & Acquisitions, Venture Capital, Real Estate, Courts, Due Diligence, Employment Law, Legal Research, Legislation, Nonprofits
Education
Duke University 2002 — 2011
(ABD) Ph.D., Business History
North Carolina State University 1999 — 2003
M.A., History
Campbell University, Norman Adrian Wiggins School of Law 1977 — 1980
J.D., Law
Guilford College 1974 — 1977
B.S., Business Management and History
Ward Melville High School 1971 — 1974
High School Honors Diploma
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
Entergistix, Inc November 2013 - Present
Comcast November 2012 - April 2014
Coach December 2011 - October 2012
Williams-Sonoma, Inc. February 2011 - December 2011
Walmart August 2010 - January 2011
Hooker Furniture Corporation August 2009 - June 2010
Dorman Products December 2008 - June 2009
Strategic Technology Solutions June 2006 - October 2008
InfoConsulting International, LLC March 2001 - May 2006
Skills
Certified Scrum Master..., Product Management, Project Management, SDLC, ERP, Business Process, Business Process..., Business Analysis, Process Improvement, Enterprise Architecture, Manufacturing, Logistics, Process Scheduler, Warehousing, Invoicing, Program Management, Leadership, Strategic Planning, Cross-functional Team..., Requirements Analysis, New Business Development, Product Lifecycle...
Education
PMP, PMI 2014 — 2014
PMP
CSM, Scrum Alliance 2010 — 2010
CSM
CSCP - APICS, South Jersey Chapter
CSCP
Birla Institute of Technology & Science, Pilani
BE (Hons)
Cathedral & John Connan School
ISC
Brooklyn Journal of Corporate, Financial & Commercial Law May 2015 - Present
Ropes & Gray LLP May 2015 - July 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
Federal Trade Commission September 2014 - December 2014
Hon. Charles L. Brieant Fellowship in chambers of Chief Judge Loretta A. Preska, S.D.N.Y. June 2014 - August 2014
Buddakan March 2013 - August 2013
Hayden 5 Media LLC January 2013 - March 2013
Commander's Palace June 2010 - June 2012
Bencomo & Associates August 2009 - November 2009
Bobo Restaurant May 2008 - August 2008
Skills
Customer Service, SPSS Predictive..., Microsoft Office, Sales, Management, Restaurants, Customer Satisfaction, Teamwork, Time Management, Public Speaking, Facebook, Research, Editing, Report Writing, Marketing, Legal Writing
Education
Brooklyn Law School 2013 — 2016
Juris Doctor, Law
Tulane University 2007 — 2011
Bachelor of Arts (B.A.), Sociology, Psychology, and English
Fiorello H. LaGuardia High School 2003 — 2007
High School Diploma, Music
Financial Industry Regulatory Authority (FINRA) June 2014 - Present
Cablevision November 2010 - June 2014
BRQ November 2005 - November 2010
Banco Itaú S.A. April 1998 - September 2005
Skills
Java Enterprise Edition, Enterprise Software, SQL, UML, JavaSE, Hibernate, Spring, Java, Operating Systems, WebSphere Portal, Sun Certified Java..., MySQL, WebSphere Application..., Portals, Oracle, Scrum, SOA, Application Architecture, JSP, Core Java, RUP, Software Development, Microsoft SQL Server, Design Patterns, XML, JBoss Application Server, jQuery, PL/SQL, Tomcat, Web Services, Spring Framework, Apache Tomcat
Education
FIAP 2004 — 2005
Pós Graduação, Enterprise Solution Provider em Objetos Distribuídos com Java
Centro Universitário Sant'Anna 1999 — 2003
Graduação, Administração
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Grant Thornton LLP June 2014 - August 2014
PVH February 2014 - May 2014
Bank of America June 2013 - August 2013
US Securities and Exchange Commission March 2012 - May 2013
Watching America October 2011 - November 2012
BELL & COMPANY LLP January 2011 - February 2012
Mount Sinai Medical Center October 2008 - May 2009
Skills
Microsoft Excel, Accounting, PowerPoint, Outlook, Microsoft Word, Microsoft Office, Analysis, English, QuickBooks, Financial Reporting, Spreadsheets, Financial Accounting, Financial Analysis, Access, Auditing, Teamwork, Finance, Data Analysis, Account Reconciliation, Accounts Receivable
Education
Baruch College, City University of New York (CUNY) 2014 — 2015
Master of Science (MS), Accounting
City University of New York-Baruch College 2010 — 2015
Bachelor of Business Administration, Accounting
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
Rutgers School of Law Community & Transactional Lawyering Clinic August 2015 - Present
Goldman Sachs June 2015 - August 2015
Morris County Surrogate Court September 2014 - December 2014
Goldman Sachs May 2014 - August 2014
Skills
Legal Writing, Courts, Westlaw, Legal Research, Lexis
Education
Rutgers University School of Law - Newark 2013 — 2016
City University of New York-Baruch College 2008 — 2012
Bachelor of Business Administration (BBA), Entrepreneurial and Small Business Operations. Minors in Political Science and Business Law
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Education
Boston University
Bachelor of Science (B.S.), Journalism, Summa Cum Laude
Boston University
Bachelor of Arts (B.A.), International Relations, Summa Cum Laude
Dublin City University
Charles Schwab January 2015 - Present
Financial Industry Regulatory Authority (FINRA) December 2014 - January 2015
CBOE October 2012 - December 2014
CBOE August 2012 - October 2012
Trean Group LLC May 2012 - July 2012
Rosenthal Collins Group March 2011 - May 2012
Village of Lombard August 2009 - July 2011
CME Group January 1990 - January 2011
Skills
Compliance, Futures, Derivatives, Equities, CBOE, CME, CBOT, NYMEX, COMEX, ICE, Commodities, Compliance Audits, OTC, GMI, Large Trader Reporting, Investigations, Dodd-Frank, Surveillance, Commodity, Options, Index Options, Research, Analysis, Regulatory Affairs, Equity Options, Securities
Education
Benedictine University 1997 — 2000
Master's degree
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Hunton & Williams LLP December 2011 - January 2015
Troutman Sanders LLP January 2010 - December 2011
Shoemaker & Associates (law firm) June 2009 - December 2009
Ross, Dixon & Bell, LLP June 2008 - August 2008
Citizens for Responsibility and Ethics in Washington May 2007 - November 2007
Skills
Litigation, Legal Research, Legal Writing, Courts, Civil Litigation, Commercial Litigation, Depositions, Westlaw, Motions, Securities Litigation, Trial Practice, Legislative Relations, Arbitration, Trade Secrets, International..., Document Review
Education
The George Washington University Law School 2006 — 2009
J.D., with honors
Bard College at Simon's Rock 2000 — 2004
B.A., Cross-Cultural Relations
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Astoria Bank July 2014 - March 2015
Financial Buzz Media April 2014 - August 2014
Skills
Leadership, Press Releases, Banking, Research, Public Speaking, Social Media, Media Relations, News Writing, Customer Service, Proofreading, Eviews, Blogging
Education
Binghamton University 2010 — 2014
BS, Financial Economics; BA, Philosophy, Politics, and Law
West Hempstead High School 2006 — 2010
DAI June 2015 - Present
Financial Industry Regulatory Authority (FINRA) February 2015 - June 2015
Total Wine & More January 2013 - January 2015
Self-employed May 2012 - January 2013
Texas Department of State Health Services 2008 - 2009
The Mosaic Company 2006 - 2008
Popular Financial Holdings 2004 - 2006
Skills
Articulate Storyline, Adobe Premiere Elements, Captivate, Leadership, ADDIE, Instructional Design, Training, E-Learning, WebEx, Articulate Suite, Microsoft Office, Adobe eLearning Suite, Survey Monkey, Adobe Professional, Needs Analysis, Instructor-led Training, Qwest, Inquisite, Ceridian, Powtoons, SnagIt, Blended Learning, Evaluation, Leadership Development, Curriculum Design, Adobe Creative Suite
Education
Boston University 1993 — 1997
Bachelor's degree, English Language and Literature/Letters
Boston University
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
abas-USA January 2015 - May 2015
Curb (App) May 2014 - January 2015
George Mason University January 2014 - May 2014
George Mason University September 2013 - January 2014
ACM November 2012 - November 2012
HCL Technologies June 2011 - June 2011
Skills
Machine Learning, Algorithms, Programming, CSS, Java, JavaScript, HTML, HTML 5, jQuery, jQuery UI, C, CSS3, MySQL, Oracle, PHP, Perl, PowerPoint, Microsoft Office, C++, Statistics, University Teaching, Python, Computer Science, Artificial Intelligence, Weka, Struts, MVC
Education
George Mason University 2013 — 2015
Master of Science (MS), Computer Science
Anna University 2009 — 2013
Bachelor of Engineering (B.E.), Computer Science and Engineering, 8.49
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
US Trust, Bank of America Private Wealth Management August 2012 - September 2015
US Trust, Bank of America Private Wealth Management January 2011 - August 2012
Bank of America August 2009 - December 2010
Skills
Financial Services, Wealth Management, Cross Selling, Wealth Management..., Retail Banking
Education
Boston University 2015 — 2016
Financial Planning
New England College of Business and Finance 2012 — 2013
Master of Science (MS), Business Ethics and Compliance
Suffolk University 2004 — 2009
Bachelor of Science (BS), Sociology (Criminology & Law) and American History
Bishop Hendricken High School 2000 — 2004
High School Diploma
KKR July 2014 - Present
J.P. Morgan August 2012 - June 2014
Financial Industry Regulatory Authority (FINRA) August 2011 - April 2012
Skills
Securities, Legal Writing, Legal Research, Litigation, Due Diligence, Compliance, Securities Regulation, Risk Management, Risk Assessment, Anti Money Laundering, KYC, Operational Risk, USA PATRIOT Act, Bank Secrecy Act, Regulatory Guidelines, Regulatory Analysis, Financial Crimes..., Financial Risk, Trade Compliance, Financial Regulation, FINRA, Investments
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2009 — 2012
J.D., Law
New York University, College of Arts & Science 2004 — 2008
Bachelor of Arts, Economics and Psychology, Magna Cum Laude
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Wellsfargo Bank (Insurance) October 2014 - March 2015
3M (Health Information Systems) October 2013 - October 2014
Wellsfargo Bank July 2008 - September 2013
UPS October 2004 - July 2008
Apple Retail December 2002 - July 2004
Skills
Active Directory, Disaster Recovery, SharePoint, SQL, Integration, Visio, SDLC, Process Improvement, System Administration, Business Analysis, Microsoft SQL Server, Troubleshooting, Management, Requirements Analysis, Windows Server, Network Administration, Windows, Amazon Web Services..., SCCM, SCOM, VMware 4.5, VMWare 5, VMware 5.5, VMware 6, VMWare Cloud, VMWare SRM
Education
Towson University 2010 — 2012
Master's degree, Applied Information Technology, 3.85 GPA
Brunel University 1998 — 2002
Bachelors, Information Systems, 3.58 GPA
Richmond upon Thames College 1996 — 1998
A-Levels, Information Technology, Distinction
Elliot School, SW London 1994 — 1996
Diploma, High School
FGC Ogbomosho
Lincoln Financial Group January 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2013 - January 2015
MetLife December 2004 - July 2013
Ernst & Young September 1999 - December 2004
Skills
Internal Audit, Auditing, Sarbanes-Oxley Act, GAAP, Internal Controls, Financial Services, Enterprise Risk..., Risk Management, Sarbanes-Oxley, CPA, Insurance, Financial Reporting, Accounting, US GAAP, Financial Risk, Financial Analysis, IT Audit, Strategic Financial..., Operational Risk..., Financial Accounting, Anti Money Laundering, Privacy Compliance, Data Privacy
Education
Baruch College, City University of New York (CUNY) 1995 — 1998
MBA, Finance
University of Technology 1984 — 1987
BA, Business Administration
Rusea's High School 1977 — 1980
Physics, Accounting
K2 Advisors October 2014 - Present
EFG Asset Management August 2014 - October 2014
EFG Asset Management February 2012 - August 2014
EFG Asset Management January 2010 - February 2012
Capital Management Advisors North America, Inc. September 2009 - November 2009
Financial Industry Regulatory Authority (FINRA) June 2009 - August 2009
Bank of America January 2009 - May 2009
Tiffany June 2008 - December 2008
Skadden Arps June 2005 - July 2007
Skills
Hedge Funds, Asset Management, Alternative Investments, Legal Research, Litigation, Operational Due..., Contract Negotiation, Financial Regulation, Private Equity, Securities, Due Diligence, Securities Regulation, Fund Of Funds
Education
Brooklyn Law School 2007 — 2010
Juris Doctorate, Certificate in Business Law
The George Washington University 2001 — 2005
B.A., International Affairs
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Ballet Petite and Youth Performing Arts School October 2006 - Present
Municipal Securities Rulemaking Board October 2013 - March 2015
Municipal Securities Rulemaking Board March 2011 - September 2013
DataLab USA August 2010 - February 2011
GEICO June 2009 - August 2010
American University August 2008 - August 2010
Greystone Grill May 2006 - April 2007
Skills
Data Analysis, Databases, SQL, Analysis, Data Mining, Access, Microsoft SQL Server, Database Analysis, Securities Regulation, Microsoft Excel, Microsoft Office, Agile Methodologies, SAS, Oracle SQL, Kanban, Scrum, Municipal Bonds, Group Instruction, SQL Server, Translation, Excel, SPSS, Information Quality, Spanish, French, French to English, PostgreSQL, US Equities, Equities Technology, Financial Regulation, Training, Business Impact Analysis, Business Systems..., Business Process...
Education
American University - Kogod School of Business 2006 — 2010
BSBA, Management, Statistics, French Language
Susquehannock High School 2002 — 2006
SmartThings May 2015 - Present
naisA Global August 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - April 2015
United Nations June 2014 - November 2014
Les Mills International June 2011 - October 2014
Carnegie Mellon University January 2013 - May 2014
New York Software Engineers April 2014 - April 2014
Big Data Finance Workshop February 2014 - February 2014
SYNTEK SEMICONDUCTOR CO., LTD June 2011 - July 2012
National Conscription Agency March 2010 - April 2011
Skills
Programming, Databases, Networking, HTML, Licensed Emergency..., Licensed..., Optimization, Sales, C++, Java, SQL, Machine Learning, Firmware, Video, C, Data Analysis, Research, Microsoft Office, Fitness, C#, Matlab, Image Processing, Computational..., Python, Software Development, Visual Studio, Algorithms, Windows, Signal Processing, Entrepreneurship, Leadership
Education
Carnegie Mellon University 2013 — 2014
Master's degree, Computer Engineering
University of Pittsburgh 2012 — 2012
Master of Engineering (MEng), Biomedical/Medical Engineering
National Taiwan University 2005 — 2010
Bachelor's degree, Electrical Engineering
University of California, Los Angeles 2006 — 2007
Exchange, Computer Engineering
National Chiao Tung University 2004 — 2005
Bachelor's degree, Electrical and Electronics Engineering
Taipei Municipal Jianguo High School 2002 — 2004
台北市立建國中學
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Financial Industry Regulatory Authority June 2014 - June 2015
Financial Industry Regulatory Authority January 2014 - April 2014
United States District Court for the Eastern District of New York January 2013 - April 2013
Satterlee Stephens Burke & Burke LLP June 2009 - July 2011
Education
Brooklyn Law School 2011 — 2014
Juris Doctor (J.D.)
Tulane University 2005 — 2009
BA, History
National Council of State Boards of Nursing May 2013 - Present
Michigan State University August 2007 - August 2013
Financial Industry Regulatory Authority (FINRA) June 2012 - August 2012
Center for Statistical Training & Consulting at MSU January 2012 - May 2012
College of Education at Michigan State University August 2007 - December 2011
Skills
Psychometrics, Statistics, Educational Research, Data Analysis, Computerized adaptive..., Educational measurement, Licensure tests, Teacher Evaluation, Education Policy, Dual PhD degree in..., SPSS, SAS, MATLAB, BILOG, IRTPRO, Microsoft Office, Quantitative Research, Program Evaluation, Classroom, Qualitative Research, Analysis, Research
Education
Michigan State University 2007 — 2013
PhD candidate, Measurement and Quantitative Methods
Zhejiang Normal University 2003 — 2006
Master's degree, Curriculum and Instruction
Financial Industry Regulatory Authority (FINRA) December 2010 - Present
Bank of New York / Mellon June 2010 - June 2010
ING Financial Markets LLC February 2010 - May 2010
AMRO INC January 2000 - October 2009
INTERNAL CONTROL January 1996 - January 1999
CITICORP SECURITIES SERVICES INC January 1991 - January 1999
Newbridge/Citigroup Sec Ser. Inc 1991 - 1999
INTERNAL CONTROL January 1991 - January 1996
Security Pacific National Bank January 1983 - January 1991
Drexel Burnham Lambert January 1979 - January 1983
Skills
Capital Markets, Securities, Equities, Broker-Dealer, 15c3-3
Education
Baruch College, City University of New York (CUNY) 1971 — 1972
No, Accounting/Business Management
John Adams High School 1967 — 1971
BERNARD BARUCH COLLEGE
Accounting / Business Management
Staib Wealth Management~Securities offered through LPL Financial, Member FINRA/SIPC April 2010 - Present
Prestonwood Country Club Dallas, Texas April 2011 - Present
Society of International Business Fellows (SIBF) October 2011 - December 2014
Financial Industry Regulatory Authority (FINRA) January 2012 - October 2014
Sunergos October 2012 - October 2013
Dallas Business Club 2010 - 2013
Merrill Lynch 2006 - 2010
Dallas Symphony Orchestra 1997 - 2007
Morgan Stanley Smith Barney 2001 - 2006
BEA Systems 1998 - 2002
Skills
Investments, Strategy, Risk Management, Portfolio Management, Finance, Leadership, Strategic Planning, Wealth Management, Start-ups, Strategic Financial..., Financial Services, Business Development, Financial Modeling, Entrepreneurship, Executive Management, Valuation, Asset Management, Mergers & Acquisitions, Securities, Business Planning, Private Equity, Financial Analysis, Mutual Funds, Retirement Planning, Investment Advisory, Corporate Development, Financial Planning, Due Diligence, Insurance, Series 63, Business Strategy, Small Business, Banking, Retirement, Investor Relations, New Business Development, Alternative Investments, Management Consulting, Credit, Cash Management, Series 7, Funding
Education
CEG Breaking Through 2014 — 2015
Baylor University - Hankamer School of Business 2003 — 2005
Master of Business Administration (M.B.A.), Finance, Management
Landmark Education 1997 — 2002
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
American Arbitration Association August 2012 - Present
Private Law Practice 2001 - Present
Chartered Institute of Arbitrators (CIArb) May 2012 - May 2014
Prenova, Inc. 2001 - March 2012
i2Go June 2000 - January 2001
Johnson Controls, Inc. 1994 - 2000
Johnson Controls World Services, Inc. 1992 - 1994
Private Legal Practice 1987 - 1992
Frank E. Basil 1984 - 1987
Skills
Dispute Resolution, Intellectual Property, Risk Management, Strategic Planning, Facilities Management, Insurance, Acquisitions, Operations Management, Construction, Real Property, International..., Arbitration, International Law, Alternative Dispute..., Joint Ventures, Mediation, Corporate Law, Corporate Governance, International..., Contract Negotiation, Mergers, Employment Law, Negotiation, Contract Management, Licensing, Due Diligence, Mitigation, Mergers & Acquisitions, Civil Litigation, Start-ups, Business Development, Construction Law, Legal Advice, Energy, Dispute, Commercial Litigation, Management, International Business..., Leadership, Litigation, Executive Management, Competition Law, Contract Law, Legal Assistance, Strategy
Education
Emory University - Goizueta Business School 1998 — 1999
MBA, Business
American University Washington College of Law 1982 — 1986
JD, Law
Jamiat Al-Malik Saud 1979 — 1980
Arabic Language Study, Arabic Language
American University 1976 — 1978
MPA, Public Administration
University of Vermont 1972 — 1976
BA, Political Science
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
McCormick & O'Brien LLP May 2014 - November 2014
Mediant Communications May 2014 - November 2014
United States Attorney's Office January 2014 - May 2014
Supreme Court of Ireland June 2013 - July 2013
Center on National Security January 2013 - May 2013
Davis Polk & Wardwell LLP April 2010 - July 2012
Operation HOPE June 2008 - August 2008
Skills
Litigation, Corporate Law, Securities Regulation, Legal Writing, Commercial Litigation, Intellectual Property, Civil Litigation, Westlaw, Securities, Legal Research, Private Equity, Corporate Governance, Mergers, Lexis, Due Diligence, iManage, DocuMatrix, Bankruptcy, Employment Law, International Law, Legal Assistance, Capital Markets, Mergers & Acquisitions, LexisNexis
Education
Fordham University School of Law 2012 — 2015
Juris Doctor (J.D.), Law
Boston College 2005 — 2009
Bachelors, Philosophy, Economics
Portsmouth Abbey School 2002 — 2005
Imperial Capital, LLC July 2000 - Present
Financial Industry Regulatory Authority (FINRA) November 1995 - July 2000
Great Western Financial Securities April 1994 - November 1995
Invest Financial Corporation March 1992 - April 1994
California Federal Bank March 1992 - April 1994
Skills
Microsoft Office, Management, Microsoft Excel, Microsoft Word, Research, Sales, Leadership, Training, Legal and Compliance
Education
The Wharton School - FINRA Institute for Professional Development 2001 — 2002
Phase 1 of the Certified Regulatory and Compliance Professional ("CRCP"), Broker-Dealer Compliance, Completed Phase 1
California State University-Northridge 1988 — 1993
Bachelor of Science (B.S.), Finance, General
Financial Industry Regulatory Authority (FINRA) May 2015 - August 2015
U.S. Court of International Trade August 2014 - May 2015
Benjamin N. Cardozo School of Law August 2014 - December 2014
Federal Maritime Commission May 2014 - August 2014
University of Florida August 2012 - May 2013
PRMA Holdings June 2009 - September 2011
Skills
Event Planning, Fundraising, PowerPoint, Data Entry, Word, Spanish, Facebook, Excel, Customer Service, Public Speaking, Microsoft Word, Leadership, Team Leadership, Higher Education, Microsoft Office, Nonprofits, Teamwork, Social Media Marketing, Data Analysis, SPSS, Research, Critical Thinking, Microsoft Excel, Public Relations, Social Networking, Social Media, Training
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2013 — 2016
Juris Doctor, Law, 3L
FINRA Annual Conference Webinars 2015 — 2015
CLE Credit, Securities Law and Regulation
Hispanic National Bar Association Annual Convention Panels 2015 — 2015
CLE Credit
Council on Legal Education Opportunity (CLEO) Summer Institute 2013 — 2013
Pre-Law, Scholar
UF Hough Graduate School of Business 2012 — 2013
Masters of International Business
Semester at Sea - Institute of Shipboard Education 2012 — 2012
Study Abroad Program, International Relations
University of Florida 2008 — 2012
Bachelors of Arts, Political Science/International Relations
Jericho Project June 2015 - Present
Financial Industry Regulatory Authority (FINRA) December 2014 - March 2015
Intradeco June 2014 - August 2014
Travelzoo February 2014 - April 2014
Associated Press November 2013 - December 2013
Extell Development Company May 2013 - June 2013
Markit April 2013 - May 2013
AIG August 2009 - May 2012
Levi Strauss & Co. February 2009 - February 2009
The Reciprocity Foundation 2009 - 2009
Skills
Facebook, Microsoft Office, Human Resources, Event Planning, Twitter, Social Media, Public Speaking, Modeling, Fashion, Social Networking, Travel Arrangements, Data Entry, Talent Acquisition, Travel Planning, Executive Calendar..., Sourcing, Employee Training, Scheduling, Acting, Written Skills, Internet Research, Telephone Skills, Organizing, Filing, Salesforce.com, Microsoft Excel, Management, Onboarding, Interviews, Recruiting, Marketing
Education
Borough of Manhattan Community College 2003 — 2004
Financial Industry Regulatory Authority (FINRA) June 2014 - August 2014
Oakmont Partners, LLC June 2014 - August 2014
Author November 2013 - April 2014
ArtCereal 2011 - 2012
Cooley Manion Jones LLP May 2011 - August 2011
Skills
Public Speaking, Strategic Planning, Legal Research, Legal Writing, Valuation Modeling, Financial Statement..., Business Strategy, Corporate Finance, Antitrust Economics, Presentations, Investor Presentations, International Business..., Corporate Law, Start-ups
Education
DePaul University College of Law 2012 — 2014
Juris Doctor (J.D.), Corporate
Universidad Pontificia Comillas
Master's Degree, International and European Business Law
Boston University Questrom School of Business 2008 — 2012
BSBA, Business Administration and Management
Bishop Guertin High School
High School
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
Bank Of America May 2014 - September 2015
Syntel consulting Inc November 2012 - May 2014
Syntel September 2011 - October 2012
Infosys Technologies Ltd October 2009 - September 2011
Infosys January 2009 - October 2009
Skills
MapReduce, Hadoop, Hive, Apache Pig, Sqoop, Big Data, MongoDB, Java, Unix Shell Scripting, Data Warehousing, PL/SQL, Unix, ETL, Teradata, Shell Scripting, Abinitio, SQL, Agile Methodologies, Ab Initio, Data Science, R, Oracle
Education
Birla Institute of Technology and Science 2011 — 2013
Master of Science (M.S.), Computer Software Engineering, 8.67/10
Amrita School Of Engineering 2005 — 2009
Bachelor of Technology (B.Tech.), Computer Science, 7.9/10
SRV Higher Secondary School 2003 — 2005
12th Standard, 95.17%
Saru Higher Secondary School 2000 — 2003
10th Standard, 89.9%
Financial Industry Regulatory Authority (FINRA) May 2014 - Present
Bufete Landrau & Deliz March 2014 - Present
Bufete Landrau & Deliz March 2014 - Present
Public Buildings Authority May 2002 - February 2014
Skills
Administrative Law, Employment Law, Construction Law, Government, Environmental Law, Legal Advice, Litigation, Legal Writing, Civil Litigation, Dispute Resolution, Arbitration, Contract Law, Document Drafting, Appeals, Legal Research, Consumer Law, International Law, Competition Law
Education
American University, Washington College of Law 2005 — 2006
LL.M, Administrative Law and Environmental Law
University of Puerto Rico School of Law 1998 — 2001
j.D., Law
The University of Connecticut School of Law 2000 — 2000
N/A, Law
University of Puerto Rico 1994 — 1998
B.A., Labor Relations
American Express June 2012 - Present
Financial Industry Regulatory Authority (FINRA) July 2011 - June 2012
Financial Industry Regulatory Authority (FINRA) November 2009 - July 2011
Brown Brothers Harriman & Co July 2006 - February 2008
Skills
Analysis, Strategy, Financial Analysis, Financial Risk, Financial Services, AML, International Business, Financial Control, Financial Markets, Strategic Analysis, Business Strategy, Managerial Finance, Business Analysis, Risk Management, Auditing, Bank Secrecy Act, Business Planning, Business Process..., Compliance Audits, Compliance Management, Due Diligence, Enterprise Risk..., Financial Reporting, Financial Management, Financial Regulation, FINRA, Global Business..., Internal Audit, Internal Controls, Investments, Italian, Management, Management Consulting, Marketing, Operational Risk, Operational Risk..., Operations, Product Management, Program Management, Regulatory Compliance, SEC compliance, Securities, Strategy Development, Strategic Financial..., Terrorist Financing, Trading
Education
St. John's University Rome Campus Graduate Programs 2008 — 2009
Master of Business Administration (M.B.A.), International Business, 3.84
Marist College 2002 — 2006
Bachelor of Science, Finance
Morgan Stanley February 2015 - May 2015
Financial Industry Regulatory Authority (FINRA) May 2014 - December 2014
Conway& Conway Securities Law January 2014 - May 2014
FAA June 2013 - November 2013
US Embassy London January 2010 - August 2010
Education
Brooklyn Law School 2012 — 2015
Northeastern University 2007 — 2011
Bachelor of Arts (BA), International Relations and Affairs; Journalism; Middle East Studies
U.S. Securities and Exchange Commission June 2015 - Present
K&L Gates May 2015 - May 2015
Financial Industry Regulatory Authority November 2012 - June 2014
Financial Industry Regulatory Authority (FINRA) March 2009 - November 2012
Macroeconomic Advisers June 2007 - March 2009
Back Bay Financial Group May 2005 - May 2007
Skills
Analysis, FINRA, Economics, Macroeconomics, Securities, Securities Regulation, Research, Microsoft Office, Financial Regulation, Mutual Funds, Bloomberg, Financial Markets, Equities, Mathematics, SEC Regulations, Legal Research, LexisNexis, Westlaw, Legal Writing
Education
University of Virginia School of Law 2014 — 2017
J.D. Expected
Boston College 2003 — 2007
Bachelor of Science (B.S.), Management Major with a Concentration in Economics and a Minor in Mathematics
DRB Capital March 2010 - Present
Law Offices of Marshall C. Watson, P.A. September 2009 - February 2010
Peachtree Settlement Funding March 2005 - September 2009
Financial Industry Regulatory Authority (FINRA) October 2004 - February 2005
GRP Financial Services July 2002 - September 2004
Reboul, MacMurray n/k/a Ropes and Gray November 1998 - March 2002
Reboul, MacMurray n/k/a Ropes and Gray January 1998 - November 1998
Reboul, MacMurray n/k/a Ropes and Gray April 1994 - December 1997
Reboul, MacMurray n/k/a Ropes and Gray January 1993 - March 1994
Skills
Bankruptcy, Legal Research, Legal Assistance, Litigation, Due Diligence, Document Review, Westlaw, Lexis, Pleadings, Legal Documents, Litigation Support, PACER, Document Drafting, Trials, Legal Writing
Education
Berkeley College 2000 — 2002
Associate's degree, Paralegal Studies
New Rochelle High School 1987 — 1991
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Financial Industry Regulatory Authority (FINRA) October 2013 - August 2015
US Securities and Exchange Commission January 2013 - May 2013
US Securities and Exchange Commission May 2012 - August 2012
The Spencer Law Firm July 2011 - December 2011
Kaplan Test Prep September 2009 - August 2010
C.K. Cooper & Company May 2007 - September 2008
Oyster Capital Management May 2006 - December 2006
Skills
Legal Research, Legal Writing, PowerPoint, Corporate Finance, Litigation, Corporate Law, Securities Regulation, LexisNexis, Corporate Governance, Westlaw
Education
University of San Diego School of Law 2010 — 2013
Doctor of Law (J.D.), Law
University of Notre Dame - Mendoza College of Business 2005 — 2007
Master of Business Administration (M.B.A.), Banking, Corporate, Finance, and Securities Law
The University of Hong Kong 2004 — 2005
Master's degree, Linguistics
Carleton College 1999 — 2003
Bachelor of Arts (B.A.), History
KPMG Corporate Finance LLC October 2009 - Present
KPMG LLP 2005 - September 2009
Fidelity Investments 2004 - 2004
Wachovia Securities, LLC 2000 - 2004
Financial Industry Regulatory Authority (FINRA) 1993 - 2000
Skills
Due Diligence, Securities, AML, Private Equity, Capital Markets, Financial Services, Finance, SEC, Financial Risk, Mergers & Acquisitions, Risk Management, Corporate Governance, Corporate Finance, Fraud, Hedge Funds, Anti Money Laundering, Financial Analysis, Financial Modeling
Education
Boston College 1984 — 1988
BA, Political Science, Philosophy
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Newedge September 2013 - May 2015
MarketStar June 2013 - September 2013
U.S. Cellular January 2008 - August 2012
U.S. Cellular January 2007 - December 2007
EDS Group August 2004 - January 2007
Skills
Sales Management, Account Management, Customer Satisfaction, Sales Operations, Cross-functional Team..., Team Building, Sales, Retail, Marketing Strategy, B2B, Customer Service, Market Planning, Sales Process, Strategic Planning, Strategic Consulting, Cellular Communications, Indirect Channel Sales, Vendor Relationships, Management Consulting, Channel Relationship..., Telecommunications, Channel, Wireless, Channel Relationships, Training, Leadership, Selling, Quotas, Customer Retention, Employee Training, Customer Experience, Project Management, Business Development, Building Relationships, Cold Calling, Budgets, Direct Sales, Product Management, Strategy, Team Leadership, Management, Merchandising, Mobile Devices, Business Planning, Product Marketing, Advertising, Sales Presentations, Integrated Marketing, Competitive Analysis, Program Management
Education
Benedictine University 2011 — 2013
Master of Business Administration (MBA), Entrepreneurship & Managing Innovation, 4.0 GPA
Eastern Illinois University 1996 — 2002
Bachelor of Arts (B.A.), English Language and Literature, General
Marist High School 1991 — 1995
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
CBOE March 2013 - December 2014
CBOE January 2012 - March 2013
Salvi, Schostok & Pritchard P.C. August 2009 - January 2012
Salvi, Schostok & Pritchard P.C. May 2008 - August 2008
Skills
Personal Injury, Securities Litigation, Medical Malpractice, Securities Regulation, Trials
Education
Capital University Law School 2006 — 2009
JD
Augustana College 2002 — 2006
BA
U.S. Securities and Exchange Commission August 2015 - Present
The George Washington University Law School February 2015 - Present
Financial Industry Regulatory Authority (FINRA) May 2015 - July 2015
Boston College English Department May 2013 - May 2014
Boston College September 2011 - May 2014
Boston Ballet May 2013 - August 2013
Education
The George Washington University Law School 2014 — 2017
Doctor of Law (J.D.)
Boston College 2010 — 2014
Bachelor of Arts (B.A.), English Language and Literature, Psychology
law firms and corporate counsel 1999 - Present
Financial Industry Regulatory Authority (FINRA) 2015 - Present
Freeman Huber Law PLLC 2014 - Present
Loose, Brown & Hobkirk, P.C. 2007 - Present
Ellis & Baker, P.C. 1999 - 2010
Ellis, Baker & Porter, P.C. 1993 - 1999
Ellis, Baker & Porter, P.C. 1992 - 1993
Accenture 1989 - 1990
Skills
Commercial Litigation, Civil Litigation, Business Litigation, Litigation Management, Complex litigation, Case Management, Legal Writing, Legal Research, Commercial Torts, Business Torts, Business Divorce, Breach of Fiduciary Duty, Corporate Governance, Restrictive Covenants, Non-compete Litigation, Non-compete Agreements, Unfair Competition, Directors & Officers..., Construction Litigation, Real Estate Litigation, Legal Malpractice..., Breach Of Contract, Torts, Securities Fraud, Securities Unsuitability, Outside General Counsel, Corporate Counsel, Management Of Outside..., Legal Advice, Alternative Dispute..., Arbitration, Contract Attorney, Contract Lawyer, Westlaw, Microsoft Office
Education
Arizona State University 1990 — 1993
J.D., cum laude, Sandra Day O’Connor College of Law
University of Illinois at Urbana-Champaign 1984 — 1989
B.S., B.A., Engineering, Liberal Arts
Swansea University 1986 — 1987
Junior Year Abroad Program
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
BDO USA, LLP April 2014 - June 2015
Raich Ende Malter & Co., LLP October 2012 - April 2014
Marcum LLP January 2012 - June 2012
MSG CPA March 2008 - December 2011
Depfa Bank June 2007 - August 2007
Skills
QuickBooks, Financial Reporting, Accounting, Internal Controls, Account Reconciliation, Auditing, GAAP, Accounts Payable, Financial Analysis, Accounts Receivable, Microsoft Excel, Outlook, Microsoft Word, Due Diligence, Finance, Sarbanes-Oxley, PowerPoint, Access, Microsoft Office, Business Valuation, Managerial Finance, Financial Audits, Financial Accounting, Tax Preparation, SEC filings, Assurance, Forensic Accounting, Tax, US GAAP, Financial Statements, CPA, SEC Filings, Sarbanes-Oxley Act
Education
Adelphi University 2006 — 2010
Bachelor of Business Administration, Accounting
Herskovits PLLC June 2015 - Present
Brooklyn Law School August 2013 - Present
U.S. Securities and Exchange Commission January 2015 - April 2015
Financial Industry Regulatory Authority (FINRA) September 2014 - December 2014
Kinetic Partners May 2014 - August 2014
Allen & Overy August 2012 - August 2013
PSBM March 2011 - June 2012
Gabor & Marotta LLC 2010 - 2010
Angiuli & Gentile, LLP 2009 - 2009
Skills
Corporate Law, Ringtail, LiveNote, CaseMap, Microsoft Office, Litigation Support, Accounting, Document Review, Intellectual Property, Bankruptcy, Legal Documents, Litigation
Education
Brooklyn Law School 2013 — 2016
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law, 2L
New York University - Leonard N. Stern School of Business 2008 — 2012
Bachelor of Science (BS), Finance and International Business
SS&C Technologies September 2015 - Present
Siguler Guff & Company May 2009 - June 2015
WestLB Mellon Asset Management July 2008 - April 2009
Financial Industry Regulatory Authority (FINRA) October 2005 - July 2008
Grosvenor Capital Management, LP August 1999 - September 2005
Stein Roe and Farnham, Inc. April 1998 - July 1999
Skills
Financial Analysis, Accounting, Management, Alternative Investments, Asset Management, Financial Reporting, Portfolio Management, Private Equity, Valuation, Hedge Funds, Finance, Financial Modeling, Equities, Investments, Financial Planning
Education
Bradley University 1993 — 1997
Bachelor's degree, Accounting
Freddie Mac February 2009 - Present
Freddie Mac August 2006 - February 2009
Freddie Mac February 2004 - August 2006
Freddie Mac January 2001 - February 2004
Freddie Mac November 2000 - January 2001
Freddie Mac October 1998 - November 2000
Abu Dhabi Commercial Bank February 1994 - October 1995
UBAF Arab American Bank January 1980 - September 1981
Yemen Bank For Reconstruction and Development February 1979 - January 1980
Financial Industry Regulatory Authority (FINRA) January 1977 - February 1979
Skills
Risk Management, SOX, Business Requirements, Project Management, Compliance, Operational Risk, Sarbanes-Oxley Act, Operational Risk..., Governance, Financial Risk, Enterprise Risk..., Business Process..., Banking, Process Improvement, Financial Services
Education
Professional Risk Management Institute 2014 — 2014
Certified - Associate Professional Risk Management, Risk Management, Certified APRM
Project Management Institute 2013 — 2013
Project Management Professional Certification, Project Management
Villanova University 2013 — 2013
Six Sigma Green Belt, Financial Services, Six Sigma Green Belt Certified
Ashford University
Bachelor of Arts (B.A.), Organizational Management, 3.95
Hofstra University
3 credits short of Bachelor of Science Degree, Management with and Economics Minor
U.S. Securities and Exchange Commission August 2015 - Present
CBOE April 2015 - August 2015
Chicago Kent College of Law, Institute for Compliance January 2015 - April 2015
Financial Industry Regulatory Authority (FINRA) September 2014 - December 2014
Cook County College Teachers Union July 2014 - September 2014
The Honorable Chief Judge Richard C. Schoenstedt June 2014 - August 2014
Chicago-Kent College of Law June 2014 - August 2014
LawVision Group LLC January 2014 - May 2014
The 41st Parameter January 2013 - June 2013
U.S. Department of State August 2012 - May 2013
Skills
Financial Institutions, Securities Regulation, Microsoft Office, Research, Social Media, Critical Thinking, Management, Nonprofits, Articulation, Financial Services, Salesforce.com, Project Management, Community Outreach, Microsoft Excel, Client Services, Volunteer Coordinating, Volunteer Management, Digital Marketing, International Relations, Critical Analysis, Microsoft SQL Server, NoSQL, Enterprise Databases, Problem Solving, Deceptive Trade..., PowerPoint, Public Speaking
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2013 — 2016
Doctor of Law (J.D.)
Arizona State University 2011 — 2013
Bachelor of Arts (B.A.), Political Science, Summa Cum Laude
Auburn University 2009 — 2011
transferred, Business
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
TDEE TRADING January 2010 - December 2014
MBF TRADING, INC January 2007 - December 2009
TDEE TRADING May 1998 - December 2006
MBF Clearing Corp. June 1992 - May 1998
Skills
Trading, Commodity, Options, Risk Management, Electronic Trading, Technical Analysis, Trading Strategies, Proprietary Trading, Traders, Hedging, Market Making, Bloomberg, Derivatives, Investments, Trading Systems, Hedge Funds, Equities, Volatility, Swaps, Equity Trading, Financial Markets, Commodity Markets, FX Options, Currency, Electronic Trading..., FX trading
Education
Baruch College, City University of New York (CUNY) 1997 — 2000
MBA, Finance
Rutgers University-New Brunswick 1986 — 1990
BA, Economics
AARP February 2015 - Present
Lewis-Burke Associates LLC September 2014 - December 2014
Financial Industry Regulatory Authority (FINRA) August 2013 - January 2014
University of Maryland August 2012 - May 2013
University of Maryland May 2011 - May 2013
University of Maryland May 2011 - July 2012
University of Maryland September 2011 - May 2012
Skills
Community Outreach, Research, Microsoft Office, Social Networking, Social Media, Training, Facilitating Dialogue, Atlas.ti, Qualitative Research, Team Leadership, Conflict Resolution, Editing, Public Speaking, Transcribing, Data Coding, Conducting Interviews, Appointment Scheduling, Answering Telephones, Customer Service, Presentations, SharePoint, Stata, Quantitative Research
Education
American University 2014 — 2016
Master of Public Policy (MPP)
University of Maryland College Park 2009 — 2013
Bachelor of Arts (B.A.), Cultural Anthropology
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
MicroStrategy April 2014 - February 2015
MicroStrategy October 2010 - April 2014
Arnold & Porter LLP September 2007 - October 2010
Arnold & Porter LLP May 2006 - July 2006
Brooks, Pierce, McLendon, Humphrey & Leonard LLP May 2005 - July 2005
Department of Anthropology, Arizona State University August 2000 - May 2003
UCI Extension November 1999 - June 2000
Skills
Intellectual Property, Licensing, Software Licensing, Mergers & Acquisitions, Corporate Law
Education
Washington and Lee University School of Law 2004 — 2007
J.D., Law
Arizona State University 2000 — 2004
M.A., Anthropology
Stanford University 1995 — 1999
A.B., Anthropology
Moritt Hock & Hamroff LLP February 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - December 2014
Goldberg & Rimberg PLLC May 2014 - August 2014
Cardozo Journal of Law and Gender August 2013 - May 2014
New York City Law Department January 2014 - April 2014
New York State Supreme Court, Commercial Division February 2013 - November 2013
The Seaport Title Agency May 2012 - August 2012
The Sands Atlantic Beach May 2008 - September 2011
Skills
Microsoft Excel, Microsoft Word, Microsoft Powerpoint, Adobe Photoshop, Westlaw, LexisNexis
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2012 — 2015
Doctor of Law (J.D.)
University of Wisconsin-Madison 2008 — 2012
Bachelor of Science, Consumer Affairs in Government
Bellmore JFK High School 2004 — 2008
Arnold & Porter LLP August 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - August 2015
Arnold & Porter June 2012 - September 2014
Arnold & Porter 2007 - May 2012
Clutch Legal Staffing 2007 - 2007
Skills
Litigation, Legal Research, Legal Assistance, Litigation Support, Editing, Research, Marketing Communications, Copy Editing, Press Releases, Social Media, Document Review, Westlaw, Legal Writing, Strategic Communications, Media Relations, Administrative Law
Education
Pace University 2003 — 2006
Bachelors, Media & Communication Arts
American University 2005 — 2005
Fayetteville-Manlius High School 1998 — 2002
High School Diploma
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Andreas M. Kelly, P.A. December 2007 - Present
Doral Business Council 2009 - 2010
SEIPP, FLICK & KISSANE, Coral Gables, FL. May 2005 - 2009
DEMAHY, LABRADOR, DRAKE, PAYNE & CABEZA December 2002 - May 2005
ANDREAS M. KELLY, P.A., October 2000 - December 2002
CORPAG SERVICES USA, INC November 2001 - November 2002
Corporate Creations January 1999 - November 2000
DEMAHY, LABRADOR, DRAKE, PAYNE & CABEZA August 1997 - June 1999
Skills
Litigation, Injury, Public Liability, Personal Injury, Legal Writing, Wrongful Death, Commercial Litigation, Mediation, Civil Litigation, Corporate Law, Insurance, Bankruptcy, Product Liability, Attorneys, Legal Research, Medical Malpractice, Courts, Claim, Construction Law, Personal Injury..., Licensing, Pleadings, Depositions, Automobile Accidents, Litigation Support, Creditors' Rights, Slip & Fall, Intellectual Property, Document Review, Arbitration, Estate Planning, Motions, Dispute Resolution, Legal Assistance, Entertainment Law, Family Law, Trials, Torts, Trial Practice, Appeals, International Law, Corporate Governance, Foreclosure Defense, Chapter 13 Bankruptcy, Professional Malpractice, Chapter 7, Consumer Law, Appellate Practice, Trademarks, Business Litigation
Education
University of Miami School of Law 1995 — 1998
JD
University of Massachusetts at Lowell 1993 — 1995
BSBA, Music Performance
Landeskonservatorium fur Vorarlberg 1989 — 1992
Classical Music
Internationale Akademie für Philosophie 1988 — 1989
Philosophy
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - May 2015
Financial Industry Regulatory Authority May 2013 - September 2014
Alston & Bird LLP January 2010 - March 2013
Alston & Bird LLP September 2005 - December 2009
Dechert LLP September 2002 - August 2005
Skills
Litigation, Securities Litigation, Government..., Employment Litigation, Internal Investigations, Alternative Dispute..., Commercial Litigation, Employment Law, Bankruptcy, Corporate Law, Government, Trial Practice, Courts, Class Actions, International Law, Securities Regulation, Appeals, Legal Writing, Legal Research
Education
Case Western Reserve University School of Law
J.D., Law
Duke University
Bachelor of Arts (B.A.)
Brookwood High School
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
American Express October 2013 - Present
Marriott International January 2013 - October 2013
Sapient October 2010 - December 2012
Fidelity Worldwide Investment July 2007 - October 2010
Birlasoft July 2006 - July 2007
FCS Software Solutions September 2005 - July 2006
Versions technologies December 2003 - August 2005
Skills
Struts, Spring, Hibernate, Core Java, JavaScript, SOAP, Weblogic, openlink, PL/SQL, Sybase, SOA, Java, OpenJVS, BFSI, TRM, JDBC, Design Patterns, OOAD, Servlets, J2EE, Web Services, Ant, JSP, Eclipse, Websphere, JUnit, UML, XML, Agile, Oracle SQL, Subversion, VSS, ClearCase, CVS, Application Development, Agile Methodologies, Quality Center, REST, Java Enterprise Edition, Tomcat, JMS, Hadoop, MapReduce, Hive, Data Analysis, HBase, Big Data, SDLC, Oracle, J2EE Application...
Education
Vidyasagar Viswavidyalaya
MBA, Operations and Systems
Kurukshetra University 1999 — 2003
Bachelor of Technology, Computer Engineering
M.A.S.D Public School 1987 — 1999
X & XII, Physics, Chemistry, Mathematics
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
Honorable Robert E. Gerber, U.S. Bankruptcy Court, S.D.N.Y. May 2015 - August 2015
Wilson Elser June 2014 - August 2014
University at Buffalo Investment Fund September 2013 - May 2014
Paramax Corporation September 2013 - January 2014
Wilson Elser June 2013 - August 2013
Union Bank of Switzerland May 2012 - July 2012
Skills
Microsoft Excel, Microsoft Office, Windows, Mac, PowerPoint, English, Golf, Microsoft Word, Outlook, Social Media, Investments, Mergers & Acquisitions, Research
Education
Brooklyn Law School 2014 — 2017
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law
SUNY at Buffalo 2010 — 2014
Bachelor of Business Administration (B.B.A.), Finance
Lawrence High School 2006 — 2010
Civil Term, Kings County Supreme Court May 2015 - August 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
New York Law School August 2014 - December 2014
Office of Brooklyn Borough President Eric L. Adams June 2014 - August 2014
Margolis Law Firm December 2012 - June 2013
United Nations World Food Programme July 2010 - October 2012
International Institute of Boston January 2010 - May 2010
Boston University August 2008 - May 2009
Lefkowicz and Gottfried May 2008 - August 2008
Skills
International..., Microsoft Office, PowerPoint, Immigration Law, Community Outreach, Burmese (verbal fluency), Research, Nonprofits
Education
New York Law School 2013 — 2016
Doctor of Law (JD)
Boston University 2006 — 2010
BA, International Relations, English
Marymount School of New York 1995 — 2006
NERA Economic Consulting February 2015 - Present
FINRA Dispute Resolution November 2008 - Present
Federal Housing Finance Agency (OIG) December 2011 - February 2015
FTI Consulting October 2002 - December 2011
NASDAQ May 1998 - October 2002
Financial Industry Regulatory Authority (FINRA) May 1998 - October 2002
Skills
Capital Markets, Securities, Valuation, Derivatives, Economics, Financial Modeling, Hedge Funds, FINRA, Due Diligence, Corporate Finance, Fixed Income, Equities, Financial Markets, Bloomberg, Trading, Options, Investment Banking, Investments, Alternative Investments, Mergers & Acquisitions
Education
Vanderbilt University 1994 — 1998
Ph.D., M.A., Economics and Finance
Belmont University 1990 — 1993
B.B.A., Economics
Financial Industry Regulatory Authority (FINRA) February 2014 - Present
U.S. Department of Justice June 2013 - February 2014
United States Attorney's Office July 2012 - February 2013
Integreon 2011 - 2012
Skills
Legal Research, Legal Writing, Litigation, Westlaw, Criminal Law, Civil Litigation, Trials, Courts, Legal Assistance, Commercial Litigation, Immigration Law, Litigation Support, Trial Practice, Hearings, Contract Law, Corporate Law, Corporate Governance, Legal Advice, Legal Issues, Document Review, Lexis, Depositions
Education
Golden Gate University, School of Law 2005 — 2008
Doctor of Law (J.D.), Law
California State University-Sacramento 1995 — 1999
BS, Accounting
Lygase Consulting March 2009 - Present
Financial Industry Regulatory Authority (FINRA) August 2008 - January 2009
Fannie Mae September 2006 - August 2008
MCI Telecommunications May 2004 - October 2005
MCI Telecommunications September 2001 - May 2004
MCI Telecommunications July 1999 - September 2001
Litton / PRC June 1998 - May 1999
HP Enterprise Services January 1997 - December 1998
AT&T January 1998 - May 1998
American Red Cross March 1991 - December 1996
Education
George Mason University
Bachelor of Science, Finance
Baylor University 1987 — 1990
Baylor University
Bachelor of Science, Pre-Med
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
U.S. Securities and Exchange Commission May 2012 - May 2015
Deustche Bank November 2009 - April 2012
Celeritas Capital October 2008 - March 2009
Nico Trading March 2008 - October 2008
Deutsche Bank June 2007 - August 2007
Goldman Sachs September 2006 - February 2007
Wachovia June 2005 - August 2006
Skills
Quantitative Analytics, Equities, Trading, Derivatives, Fixed Income, Proprietary Trading
Education
Carnegie Mellon University - Tepper School of Business 2006 — 2007
Computational Finance
University of North Carolina at Charlotte - Belk College of Business 2005 — 2006
Master, Mathematical Finance
Financial Industry Regulatory Authority (FINRA) 2007 - Present
New York Stock Exchange 2001 - 2007
New York County District Attorney's Office 1991 - 2001
Skills
Trials, Legal Research, Securities Regulation, Litigation, Enforcement
Education
Boston University School of Law
J.D.
Cornell University
B.A., History
Morgan, Lewis & Bockius LLP November 2014 - Present
Bingham McCutchen October 2013 - November 2014
Financial Industry Regulatory Authority (FINRA) April 2005 - October 2013
Skills
Securities Regulation, FINRA, Securities, Regulated Industries, Securities Litigation, Enforcement, Securities Law, SEC
Education
Georgetown University Law Center 2005 — 2008
LLM, with distinction, Securities and Financial Regulation
American University Washington College of Law 1998 — 2001
JD, cum laude
Marquette University 1994 — 1998
BA, English & Philosophy
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
NYC Data Science Academy February 2015 - April 2015
Huron Consulting Group/Synergy Legal Staffing September 2009 - November 2014
Asano Legal Consulting PLLC January 2012 - October 2014
Skills
Litigation, Legal Writing, Legal Research, Civil Litigation, Westlaw, R, Data Science, Machine Learning, Statistical Inference, Big Data, Arbitration, Alternative Dispute..., Project Management, Due Diligence, Git, Python, Hadoop, Corporate Law, Intellectual Property, Commercial Litigation, Courts, Appeals, Mergers & Acquisitions, Data Mining, Data Analysis, D3.js
Education
NYC Data Science Academy 2015 — 2015
12 Week Immersive Data Science Boot Camp
Brooklyn Law School 2005 — 2008
Juris Doctor, Law
Cornell University 1999 — 2003
Bachelor of Arts (BA), Religious Studies
Friends Academy 1995 — 1998
Northwestern Mutual Life November 1991 - Present
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Splendiforous By Angel, LLC January 2010 - Present
DRH Photos August 2013 - Present
Skills
Insurance, Sales, Leadership, Microsoft Excel, Microsoft Office, PowerPoint, Microsoft Word, Public Speaking, Risk Management, Financial Analysis, Strategic Planning, Data Analysis, Process Improvement, Team Building, Management, Training, Access
Education
University of Wisconsin- Whitewater 1988 — 1991
MBA, Finance, General
Carroll College 1975 — 1979
BS, Biology
Consumer Financial Protection Bureau August 2012 - Present
Consumer Financial Protection Bureau April 2014 - October 2014
Federal Deposit Insurance Corporation 2007 - August 2012
Pillsbury Winthrop Shaw Pittman LLP 2005 - 2006
Financial Industry Regulatory Authority (FINRA) 2001 - 2005
U.S. Securities and Exchange Commission 1996 - 2001
Skills
Financial Regulation, Financial Services, Banking Law, Consumer Law, Policy, Regulatory Analysis, Fraud, Administrative Law, Legislation, Risk Management, Capital Markets, Banking, Securities Regulation, Securities, Finance, Financial Risk, Economics, Corporate Law, Privacy Law
Education
American University, Washington College of Law 1990 — 1994
JD/MBA, International Finance and Law, Business/Corporate Law
McGill University 1985 — 1989
Bachelor of Commerce, French Certificate, International Business, Management Policy, French
Bernstein Shur January 2014 - Present
Davidoff Hutcher & Citron LLP December 2011 - January 2014
New York City’s Office of Environmental Remediation (OER) September 2011 - November 2011
NY Civil Court Consumer Law Clinic January 2011 - May 2011
Davidoff Hutcher & Citron LLP May 2010 - December 2010
Hon. Carla E. Craig, U.S. Bankruptcy Court, E.D.N.Y. January 2010 - April 2010
Financial Industry Regulatory Authority (FINRA) September 2009 - November 2009
Hon. Robert E. Grossman, U.S. Bankruptcy Court, E.D.N.Y. June 2009 - August 2009
Davis Polk & Wardwell May 2007 - July 2008
Ruder Finn June 2006 - May 2007
Skills
Litigation, Legal Writing, Bankruptcy, Corporate Law, Westlaw, Appeals, Depositions, Motions, Legal Research, Pleadings, Court Appearances, Data Analysis, Civil Litigation, Dispute Resolution, Mergers & Acquisitions, Legal Advice
Education
Brooklyn Law School 2008 — 2011
J.D., Law
College of the Holy Cross 2002 — 2006
Bachelor of Arts (B.A.), History, Philosophy
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Avior Automation June 2012 - Present
NCI, Inc. December 2014 - April 2015
Computech, Inc. October 2013 - December 2014
Liquidity Services, Inc July 2012 - October 2013
Vision Systems & Technology, Inc. January 2010 - July 2012
Vision Systems & Technology, Inc. February 2009 - April 2010
Endeca September 2007 - November 2008
Ford Motor Credit Company May 2006 - September 2007
Ford Motor Company August 2004 - September 2007
Skills
Amazon Web Services..., Tomcat, Maven, Bamboo, JUnit, JIRA, UML, Eclipse, TestNG, RedHat, Selenium, Jetty, Mule ESB, Wicket, JMeter, KVM
Education
Carnegie Mellon University 2003 — 2004
Masters, Information Systems Management
Carnegie Mellon University 2000 — 2004
BS, Information Systems
Mount Saint Charles Academy 1996 — 2000
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Chicago Board Options Exchange October 2008 - December 2014
Cabot Microelectronics April 2004 - May 2008
Chicago Board Options Exchange April 2002 - April 2004
AAR Corp March 1999 - October 2001
Skills
SDLC, Oracle, Agile Methodologies, Business Analysis, SQL, Enterprise Software, Agile, Java, Vendor Management, Management, Data Modeling, ETL, Data Warehousing, RUP Methodologies, Project Management, System Architecture, Oracle Applications, Java Enterprise Edition, Engineering, UML, RAD, Six Sigma, TQM, Written & Oral..., Environmental..., Water Treatment, Hazardous Waste..., Wastewater Treatment, Air Quality Engineering, OSHA, Remediation Engineering, PLC, Teradata Data Warehouse, Business Intelligence, Relational Databases, BI Visualization Tools, QlikView, QlikView Development
Education
Kansas State University 1993 — 1995
MS, Environmental Engineering
Bangalore University 1987 — 1990
BE, Civil Engineering
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE July 2012 - December 2014
Financial Industry Regulatory Authority June 2010 - August 2012
NYSE Euronext March 2008 - June 2010
City of Chicago May 2005 - March 2008
CIB Bank 2002 - 2003
Skills
Compliance, Regulatory Risk, Financial Crime, Litigation, Civil Litigation, Securities Regulation, FINRA, Equities
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2003 — 2006
Juris Doctor
University of Illinois at Urbana-Champaign 1998 — 2002
Bachelor of Science
University of Illinois at Urbana-Champaign 1998 — 2002
Debevoise & Plimpton August 2015 - Present
Lowenstein Sandler LLP May 2012 - August 2015
United States Bankruptcy Court October 2011 - May 2012
Financial Industry Regulatory Authority (FINRA) August 2010 - December 2010
United States Bankruptcy Court May 2010 - August 2010
NYSE August 2009 - December 2009
New York State Appellate Division First Department June 2009 - July 2009
Chadbourne & Parke LLP June 2007 - August 2007
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2008 — 2011
Doctor of Law (J.D.)
Touro College 2002 — 2007
BS, Finance
Financial Industry Regulatory Authority (FINRA) August 2004 - Present
Morgan Stanley July 2002 - August 2004
Morgan Stanley May 1999 - July 2002
Skills
Municipal Bonds, Anti Money Laundering, Securities Regulation, Securities Market, Regulatory Examinations, Fraud Detection, SEC, Financial Analysis, SEC Financial Reporting, Financial Accounting, Accounting, Tax, Risk Management, FINRA, Financial Regulation, Series 7, Mutual Funds, Capital Markets, Hedge Funds, Securities, Fixed Income, Financial Risk, Equities, Investment Advisory, Due Diligence
Education
Baruch College, City University of New York (CUNY) 1999 — 2000
MS, Accounting
Baruch College, City University of New York (CUNY) 1996 — 1999
BBA, Computer Information Systems
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
AT&T March 2010 - May 2012
J&J 2007 - 2009
Skills
Sarbanes-Oxley Act, Internal Audit, Financial Reporting, GAAP, Financial Analysis, Auditing, Financial Accounting, Financial Audits, Internal Controls, SDLC, Analysis, Finance, Business Process, Process Improvement, Payroll, US GAAP, CPA, Accounting, Sarbanes-Oxley, Financial Statements, Account Reconciliation
Education
City University of New York-Baruch College 2002 — 2006
Bachelor of Business Administration (BBA), Accounting
Dentons January 2015 - Present
RK ADLER LLP August 2014 - Present
Rosenberg, Fortuna & Laitman, LLP April 2012 - August 2014
Deloitte 2011 - 2012
Brooklyn Law School Incubator & Policy Clinic January 2010 - May 2010
Deloitte Tax LLP June 2009 - August 2009
Honorable Richard K. Eaton, U.S. Court of International Trade January 2009 - May 2009
Financial Industry Regulatory Authority (FINRA) August 2008 - December 2008
Honorable Martin Glenn, United States Bankruptcy Court - SDNY May 2008 - August 2008
Deloitte October 2004 - October 2007
Skills
Litigation, Corporate Governance, Courts, Licensing, Appeals, Trials, Tax, Trademarks, Accounting, Securities, Internal Audit, Start-ups, Hearings, International Tax, Corporate Tax, Investments, Legal Writing, Commercial Litigation, Legal Research
Education
Brooklyn Law School 2007 — 2010
State University of New York at Binghamton 2000 — 2004
BS in Accounting, Minor in Economics
Midwood H.S.
University of Chicago, Institute for Molecular Engineering March 2015 - Present
National Automatic Merchandising Association June 2011 - March 2015
Right Management (VMercer HR Consulting) June 2006 - December 2010
Financial Industry Regulatory Authority (FINRA) July 2003 - March 2005
National Equity Fund (NEF) June 1993 - June 2000
Federal Home Loan Bank of Chicago June 1990 - June 1993
Skills
Workforce Planning, Affirmative Action, Legal Compliance, SPHR, HR Consulting, Organizational..., EEO, EEOC, Personnel Management, Job Descriptions, Performance Appraisal, FLSA, ADP Payroll, Leadership, Employee Relations, Payroll
Education
Chicago State University
Bachelor of Arts (BA), Psychology
Roosevelt University
Master of Arts (MA), Industrial and Organizational Psychology
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
North Beach Performing Arts Center 2012 - Present
CSC January 1995 - December 2012
Hughes Electronics 1986 - 1995
Price Waterhouse 1979 - 1986
Skills
IT Strategy, Program Management, Outsourcing, IT Outsourcing, Enterprise Architecture, Vendor Management, IT Management, Change Management, Business Process..., Business Intelligence, Management Consulting, Consulting, Executive Management, Healthcare Information..., Information Security..., Management, Analysis, SOA, SAP, Service Delivery, Telecommunications, Business Development, Integration, Business Process, PMP, PMO, Project Portfolio..., IT Service Management, Governance, Business Transformation, ITIL, SDLC
Education
California State University-Northridge
MS, Business/Operations Research
University of California, Los Angeles
Executive Management
Maricopa Community Colleges May 2007 - Present
Arizona Board of Regents August 1998 - June 2007
Financial Industry Regulatory Authority (FINRA) 1994 - 1998
U.S. Commodity Futures Trading Commission 1991 - 1994
Skills
Auditing, Internal Audit, Internal Controls, Accounting, Financial Reporting, US GAAP, Financial Accounting, General Ledger, Sarbanes-Oxley Act, Financial Analysis, PeopleSoft, Account Reconciliation, Microsoft Excel, Accounts Payable, Nonprofits, Microsoft Office, Variance Analysis, Budgets, Risk Management, Access, Risk Assessment
Education
Baruch College, City University of New York (CUNY) 1992 — 1998
MBA, CIS
Barnard College 1983 — 1987
Bachelor's degree, Psychology
Amtrak Office of Inspector General 2012 - Present
DC Water and Sewer Authority 2008 - 2012
Financial Industry Regulatory Authority (FINRA) 1998 - 2008
Providence Hospital October 1996 - October 1998
Skills
Benefits Administration, Executive Pay, Employee Benefits, Deferred Compensation, Open Enrollment, Performance Management, Vendor Management, Benefits Plan Design..., Project Management, Human Resources, HRIS, Business Planning, Employee Relations, Workforce Planning, Recruiting, New Hire Orientations, Program Management, Leadership, Change Management
Education
Campbell University 1992 — 1994
MBA, Business Administration
Howard University 1983 — 1987
BBA, Insurance
American Express November 2011 - Present
Wilmer Cutler Pickering Hale and Dorr LLP January 2008 - November 2011
Financial Industry Regulatory Authority (FINRA) May 2005 - December 2007
New York County District Attorney's Office September 1999 - May 2005
Education
Brooklyn Law School 1996 — 1999
JD
Lehigh University 1991 — 1995
BA
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Financial Industry Regulatory Authority June 2013 - February 2015
Financial Industry Regulatory Authority October 2012 - June 2013
Financial Industry Regulatory Authority October 2010 - October 2012
Albany Law School Clinic & Justice Center: Securities Arbitration Clinic August 2009 - May 2010
New York State Bar Association May 2008 - May 2010
Skills
Financial Regulation, Securities Regulation, Capital Markets, NYSE, Securities, Legal Research, Policy, Litigation, Corporate Law, Arbitration
Education
Albany Law School of Union University 2007 — 2010
J.D., Law
Saint Bonaventure University 2006 — 2007
M.B.A., International Business
Saint Bonaventure University 2002 — 2006
B.A., Philosophy-Pre Law
Financial Industry Regulatory Authority (FINRA) October 2002 - Present
Fried Frank 2000 - October 2002
Citigroup/Smith Barney 1997 - 2000
Skills
Securities, FINRA, Securities Regulation
Education
Bowdoin College
Bachelor's degree
Southern Illinois University, Edwardsville
MA
The Catholic University of America
JD
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Robert Half December 2013 - Present
Woodbury Financial Services March 2011 - May 2013
Piper Jaffray October 2010 - April 2011
Ameriprise Financial August 2001 - December 2009
Ameriprise Financial Services, Inc. 1994 - 2009
RBC Dain Rauscher July 1983 - August 1989
Skills
FINRA, Problem Solving, Cross-functional Team..., Team Leadership, Financial Services, Financial Services..., Series 7, Risk Management, Risk Assessment, Securities, Series 24, Employee Training, Mutual Funds, Leadership, Series 6, Training, Analysis, Management, Investments, Insurance
Education
Augsburg College 2006 — 2015
Masters, Leadership
Augsburg College
BA, Business with a marketing emphasis
University of Minnesota-Twin Cities
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Various New York Law Firms and Corporations December 2009 - May 2015
MILBANK, TWEED, HADLEY & McCLOY LLP October 2006 - June 2009
MILBANK, TWEED, HADLEY & McCLOY LLP June 2002 - July 2003
KENYON & KENYON January 2002 - June 2002
CT CORPORATION SYSTEM December 2000 - December 2001
PAINE WEBBER, INC. January 2000 - December 2000
KENYON & KENYON November 1994 - December 1999
Skills
Litigation, Real Estate, Securities, Bankruptcy, Banking, Document Review, Due Diligence, SEC compliance, SEC, Legal Research, Legal Writing, Securities Regulation
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2003 — 2006
J.D., Business Law
Baruch College, City University of New York (CUNY) 1997 — 1999
M.B.A., Finance
University of Miami 1986 — 1990
B.A., Psychology
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Northbrook Racquet Club November 2012 - Present
Chicago Board Options Exchange October 2011 - December 2014
UBS (Successor to ABN AMRO's Global Futures Business) October 2006 - November 2009
ABN AMRO 2001 - 2006
Skills
Derivatives, Equities, Trading, Options, Electronic Trading, Proprietary Trading, Commodities, Financial Markets, Contract Negotiation, Legal Compliance, Legal Documentation, Futures, Commodity, Financial Risk, Securities, Trading Systems, Tennis, Tennis Teaching, Tennis Coaching, Series 7, Capital Markets, Fixed Income, Hedge Funds
Education
Chicago-Kent College of Law, Illinois Institute of Technology 1998 — 2001
Juris Doctor, Law
The University of Kansas 1993 — 1997
BGS, Psychology
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Accounting Asia February 2014 - May 2014
Benjamin N. Cardozo School of Law August 2011 - May 2014
Touro College Office of the General Counsel and Institutional Compliance June 2013 - August 2013
Yeshiva University January 2013 - June 2013
Heritage Health and Housing General Counsel September 2012 - December 2012
Law Offices of Kathleen Harvey June 2010 - July 2010
AC Lion June 2009 - August 2009
Skills
Legal Research, Research, Community Outreach, Writing, PowerPoint, Technical Recruiting, Hebrew, Social Media, Event Planning, Editing, Blogging, Nonprofits, Legal Writing, Public Speaking, Microsoft Excel, Interviews, Microsoft Word, Spanish, Recruiting, Family Law, Immigration Law
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2011 — 2014
Juris Doctor, Law
Yeshiva University 2007 — 2011
Bachelor's degree, Psychology
MHS
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE June 2013 - December 2014
Great Point Capital, LLC August 2002 - June 2013
Skills
Electronic Trading, Proprietary Trading, Trading Strategies, Equity Trading, Training & Development
Education
University of North Carolina at Chapel Hill 2000 — 2002
B.A., Economics and English
Albion College 1998 — 2000
Elk Rapids High School 1994 — 1998
Federal Reserve Bank of New York July 2012 - Present
Financial Industry Regulatory Authority July 2011 - July 2012
Financial Industry Regulatory Authority (FINRA) January 2011 - June 2011
Financial Industry Regulatory Authority (FINRA) July 2009 - December 2010
National Futures Association (NFA) June 2006 - June 2009
National Futures Association (NFA) May 2004 - May 2006
National Futures Association (NFA) June 2001 - April 2004
Skills
Securities, Compliance, Derivatives, Risk, Series 7, FX, Risk Management, Financial Reporting, Financial Analysis, Auditing, Operational Risk, Regulatory Reporting, Financial Markets, Audit, Internal Controls
Education
New York University - Leonard N. Stern School of Business 2008 — 2012
MBA, Quantitative Finance/Finance
Baruch College, City University of New York New 1999 — 2001
Bachelor of Business Administration, Finance and Investment
Pukyong National University 1991 — 1998
BBA, International Business
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Medallion Financial February 2012 - January 2015
Presidio International Inc December 2008 - February 2012
Presidio International Inc. December 2007 - December 2008
Institutional Investment Advisors Corp May 2007 - November 2007
Skills
Leadership, Management, Business Process..., Microsoft Excel, Financial Analysis, Statistics, Analysis, Finance, Internal Audit, Auditing, Budgets, Financial Modeling, Banking, Risk Management, Accounting, Software Documentation, Time Management, Portfolio Management, Account Reconciliation, Access, Credit, Forecasting, Sarbanes-Oxley Act, Microsoft Office, Strategic Financial..., Bloomberg, Investments, Financial Reporting, Financial Statements, Corporate Finance, Teamwork, Due Diligence, Financial Accounting
Education
City University of New York-Baruch College - Zicklin School of Business 2009 — 2011
Baruch College, City University of New York, New York, NY
Contemporary American Business Practices Certificate, Finance & Accounting
National Cheng Kung University, Tainan, Taiwan
Bachelor, Engineering Science
ACA Compliance Group 2014 - Present
Financial Industry Regulatory Authority (FINRA) April 2005 - Present
Charles Schwab March 2002 - April 2005
Charles Schwab February 1999 - March 2002
JB Oxford & Company June 1998 - February 1999
Skills
Regulatory Compliance..., Net Capital Requirements, AML Program Compliance, Equities/Mutual..., Research, Regulation S-P, Management, FINRA, Series 7, Equities, Investments
Education
Northeastern University 2005 — 2006
Graduate Certificate, Forensic Accounting
Boston University 1994 — 1998
BA, Economics and International Relations
J.P. Morgan Asset Management September 2014 - Present
Financial Industry Regulatory Authority (FINRA) May 2013 - September 2014
Pacific Global Advisors LLC August 2011 - May 2013
J P Morgan Chase May 2007 - July 2011
Aris Global 2002 - 2004
Skills
Hadoop, Apache Storm, HBase, Phoenix, Apache Kafka, Java, Java Enterprise Edition, SOA, Agile Methodologies, PL/SQL, Core Java, SDLC, Sun Certified Java..., Scrum, XML, SQL, JMS, Spring, Hibernate, Maven, Oozie, JAXB, HDFS
Education
BITS Pilani 2003 — 2006
Master of Science (MS), Software Systems
LPL Financial LLC September 2015 - Present
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. October 2014 - September 2015
Financial Industry Regulatory Authority June 2007 - October 2014
Financial Industry Regulatory Authority (FINRA) June 2006 - October 2007
Financial Industry Regulatory Authority (FINRA) November 2003 - June 2006
FINRA July 2000 - November 2003
US Securities and Exchange Commission August 1987 - July 2000
Skills
FINRA, Securities Regulation, Fixed Income, AML, Securities, SEC, Policy, Private Investigations, Compliance, Broker-Dealer, Series 24, Securities Litigation, Financial Regulation, Leadership, Series 7, Capital Markets, Fraud, Corporate Governance, Litigation, Enforcement, Hedge Funds, Program Management, Mutual Funds, USA PATRIOT Act, Dodd-Frank, Private Placements, Investment Advisory, Internal Investigations, Investment Advisers Act, OFAC, Anti Money Laundering
Education
American University, Washington College of Law
J.D.
Gettysburg College
B.A., Political Science
Citi July 2014 - Present
Citi July 2012 - July 2014
UBS September 2011 - December 2011
Financial Industry Regulatory Authority (FINRA) June 2011 - August 2011
Solomon R. Guggenheim Museum June 2011 - August 2011
Northwestern Mutual June 2010 - August 2010
Education
Baruch College, City University of New York (CUNY) 2008 — 2012
Bachelor’s Degree
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
Citi February 2011 - July 2014
UBS Wealth Management August 2010 - December 2010
Skills
Microsoft Excel, Regulatory Requirements, Options, Securities Regulation, VBA, Bloomberg, Capital Markets, Gap Analysis
Education
City University of New York-Baruch College - Zicklin School of Business 2008 — 2010
BBA, Accounting
Laguardia Community College 2006 — 2008
Associate Degree in Accounting, Accounting and Finance
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
City of Chicago Law Department May 2015 - September 2015
Chambers of the Honorable Judge Laura Cordero October 2012 - June 2013
Department of Commerce, Office of the Chief Counsel for Import Administration September 2011 - April 2012
American Arbitration Association International Center for Dispute Resolution June 2011 - August 2011
War Crimes Research Office August 2010 - May 2011
Education
American University Washington College of Law 2009 — 2012
University of Michigan 2001 — 2005
BA, Communications, Political Science
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Stathis Enterprises LLC March 2010 - September 2014
Deloitte, Westfield, NJ 2009 - 2010
Law Offices of Anatta Levinsky P.C., Brooklyn, NY 2008 - 2009
Hutner Klarish LLP May 2007 - August 2007
Merrill Lynch 2007 - 2007
Skills
FINRA, Regulatory Compliance, Broker-Dealer Compliance, Commercial Litigation, Corporate Governance, Risk Management, Legal Research, General Commercial..., Legal Writing, Trademarks, Legal Compliance, Microsoft Excel, Real Estate Transactions, Non-disclosure..., Negotiation, Public Speaking, Construction Law, Mechanics Liens, Vendor Contracts, Employment Law
Education
St. John's University School of Law 2005 — 2008
Juris Doctor, Law
Baruch College 2000 — 2004
Bachelor of Business Administration (BBA), Marketing/Marketing Management, General
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Financial Industry Regulatory Authority April 2012 - June 2015
Financial Industry Regulatory Authority (FINRA) September 2002 - April 2012
Aon Consulting August 1998 - April 2002
Jersey Shore University Medical Center July 1989 - June 1999
Skills
Office Management, Administrative Support, Outlook, Event Planning, Spreadsheets, SharePoint, Program Management, Technical Writing, Business Communications, Team Building, Records Management, Access, Administrative..., Management, Training, Information Management, Visio, Integration, Leadership, Risk Management, Customer Service, Analysis, Microsoft Office, Microsoft Word
Education
University of Maryland University College 2003 — 2011
BA, Business Communication Studies
Monmouth University 1992 — 2000
Business/Corporate Communications
Brookdale Community College 1989 — 1991
AA, English Literature
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Financial Industry Regulatory Authority January 2013 - August 2015
Financial Industry Regulatory Authority September 2012 - January 2013
Financial Industry Regulatory Authority April 2012 - September 2012
Council on Hemispheric Affairs January 2011 - December 2011
Council on Hemispheric Affairs January 2011 - April 2011
Missionary Training Center September 2009 - December 2010
Centro Hispano May 2010 - September 2010
Brigham Young University September 2009 - May 2010
Eclipse Marketing April 2008 - August 2008
Skills
Spanish, Research, Data Analysis, Java, HTML, Management, SQL, CSS, JavaScript, Oracle SQL Developer, Microsoft SQL Server, Eclipse, XML, jQuery, SCCM, JUnit, Visual Studio, ASP.NET MVC, XPath, Active Directory, Software Installation, Hardware Installation, Project Management, Writing, Editing, Proofreading, PHP, C#, Drupal
Education
Harvard Extension School 2012 — 2015
MLA, Information Technology, Information Management Systems
Brigham Young University
BA, Latin American Studies
Financial Industry Regulatory Authority (FINRA) 1991 - Present
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates 1986 - 1992
NPS Group 1982 - 1986
Sterndent Corporation 1975 - 1981
Skills
Litigation, Legal Research, Microsoft Office, Commercial Litigation, Microsoft Excel, Intellectual Property, Civil Litigation, Legal Writing, Microsoft Word, PowerPoint, Legal Assistance, Securities, Risk Management, Securities Regulation, Corporate Finance
Education
Boston University School of Law 1967 — 1970
J.D, Magna cum laude
Boston University CLA 1963 — 1967
AB. Cum laude, Political Science and Government
Financial Industry Regulatory Authority (FINRA) January 2006 - Present
BP August 2000 - January 2004
Education
Nova Southeastern University 2000 — 2000
Master of Business Administration (M.B.A.)
Barry University
BSc, Accounting
HolyChildhood
Nova Southeastern University
MBA, Business Administration
State of New Jersey Bureau of Securities 2012 - Present
Exploring Opportunities September 2011 - Present
Financial Industry Regulatory Authority (FINRA) 2009 - 2011
Financial Industry Regulatory Authority (FINRA) 2004 - 2009
NASD n/k/a Financial Industry Regulatory Authority (FINRA) 2001 - 2004
NASD n/k/a Financial Industry Regulatory Authority (FINRA) 1999 - 2001
NASD n/k/a Financial Industry Regulatory Authority (FINRA) 1996 - 1999
NASD n/k/a Financial Industry Regulatory Authority (FINRA) 1995 - 1996
Skills
Problem Solving, Group Presentations, Attention To Detail, Managerial Experience, Staff Training, Writing Skills, Code Compliance, Critical Analysis, Staff Development, Reliability, Subject Matter Expert
Education
Fordham University - Graduate School of Business Administration 2000 — 2003
MBA, Finance, Communications
Benjamin N. Cardozo School of Law, Yeshiva University 1991 — 1994
JD
State University of New York at Binghamton 1987 — 1991
BA, Mathematics, Spanish
Bronx High School of Science 1984 — 1987
Financial Industry Regulatory Authority (FINRA) 1988 - 2015
Law Practice 1985 - 2015
Kidder, Peabody & Co., Inc. 1977 - 1980
Skills
arbitration, Alternative Dispute..., Privilege Review, FINRA, legal writing, Civil Litigation, Securities Litigation, Securities Regulation
Education
Suffolk University Law School 1981 — 1984
Juris Doctor (J.D.)
Boston University
Bachelor's Degree, Philosophy and Political Science, Summa Cum Laude
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
Travelers August 2012 - March 2014
eBay May 2011 - June 2012
E*TRADE Financial November 2009 - April 2011
Wipro Technologies November 2007 - March 2009
Cognizant Technology Solutions April 2005 - November 2007
Skills
Selenium Webdriver, Core Java, Grid 2.0, TestNG, Oracle SQL, JUnit, JMeter, BPM, ActiveMQ, Tomcat, J2EE Application..., Web Service Development, Design Patterns, eBay API, SOA, Velocity, Agile Methodologies, Kanban, XML, Hibernate, Java Enterprise Edition, SDLC, SQL, Ant, Struts, Test Automation
Education
Anna University 2008 — 2010
Master of Business Administration (M.B.A.), General Management
Bharathiar University 2000 — 2004
Bachelor of Engineering (B.E.), Information Technology
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
The Fund for Public Schools March 2014 - May 2014
NYU Polytechnic School of Engineering March 2014 - May 2014
New York Stock Exchange Euronext March 2013 - August 2013
AboutTown of Northern Dutchess & Columbia Counties June 2008 - August 2009
Skills
Java, Java Enterprise Edition, Spring Framework, Git, JavaScript, Python, PHP, Perl, C++, Databases, SQL
Education
Polytechnic University 2012 — 2014
Bachelor of Science (BS), Computer Science
Bard College
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Coach October 2011 - May 2014
Deutsche Bank April 2009 - October 2011
Deutsche Bank April 2009 - April 2010
Deutsche Bank July 2008 - March 2009
Robeco December 2007 - June 2008
Morgan Stanley July 2006 - November 2007
Skills
•Experienced..., analytical skills..., Microsoft Word, Excel,..., Fluent in Spanish, SWIFT, Citidirect..., Forecasting, Financial Analysis, Business Analysis, Management, Analysis, Process Improvement, Fixed Income
Education
City University of New York-Baruch College 2002 — 2006
Bachelor of Business Administration (BBA), Finance, General
U.S. Securities and Exchange Commission January 2013 - May 2014
Financial Industry Regulatory Authority (FINRA) January 2011 - January 2013
Skills
Futures Trading, Securities Regulation, Forensic Analysis, Fraud, Corporate Fraud..., Compliance, SEC filings, SEC Financial Reporting, FINRA, Securities, Alternative Investments, Anti Money Laundering, Civil Litigation, Corporate Governance, Due Diligence, Finance, Hedge Funds, Investments, Legal Research, Legal Writing, Management, Litigation
Education
Brooklyn Law School 2004 — 2007
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law, Ranked top 9%
Penn State University 1998 — 2001
Bachelor of Science (B.S.), Finance with emphasis in Accounting
Financial Industry Regulatory Authority (FINRA) May 2004 - Present
New York County District Attorney's Office September 1992 - May 2004
Skills
Litigation, Courts
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1989 — 1992
Doctor of Law (J.D.), Law