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.
Financial Industry Regulatory Authority (FINRA) List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Financial Industry Regulatory Authority (FINRA). You can filter them based on skills, years of employment, job, education, department, and prior employment.
Financial Industry Regulatory Authority (FINRA) Salaries. You can even request information on how much does Financial Industry Regulatory Authority (FINRA) pay if you want to. Learn about salaries, pros and cons of working for Financial Industry Regulatory Authority (FINRA) directly from the past employees.
Find People by Employers You can rekindle an old relationship, reconnect with a long-lost friend, former boss, business acquaintance who might be useful in your new line of work. With our employee database, the possibilities are endless. All you have to do is type in a couple of keywords and we'll bring you the exact information you wanted!
753 Financial Industry Regulatory Authority (FINRA) employees in database. Find out everything there's to know about Financial Industry Regulatory Authority (FINRA) employees. We offer you a great deal of unbiased information from the internal database, personal records, and many other details that might be of interest to you.
Financial Industry Regulatory Authority (FINRA) Employees
Head of Procurement and Logistics September 2011 - Present
Hampden-Sydney College August 2010 - May 2014
Financial Industry Regulatory Authority (FINRA) May 2012 - August 2012
Calkain Companies, Inc May 2011 - August 2011
Education
Hampden-Sydney College 2009 — 2013
Bachelor's Degree, Economics with a Concentration in Mathematics, 3.15
Financial Industry Regulatory Authority (FINRA) February 2014 - Present
FINRA June 2010 - Present
NYSE Euronext February 2008 - September 2010
Skills
Securities Regulation, FINRA, Series 7, Equities, Financial Risk, Hedge Funds, ETFs, Securities, Litigation, SEC, Capital Markets, Options, Risk Management, AML
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2004 — 2006
JD, Litigation
Michigan State University 1998 — 2003
BA, Political Theory, Consitutional Democracy
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Global Mediations LLC October 2010 - June 2015
Global Mediations LLC October 2010 - June 2015
Mowrey Law Firm February 2014 - May 2015
Financial Industry Regulatory Authority May 2014 - August 2014
Skills
Alternative Dispute..., Mediation, Arbitration, Civil Litigation, Dispute Resolution, Legal Research, Legal Writing, Westlaw, Dispute, Corporate Law, Conflict Resolution, Conciliation, Securities Regulation, Microsoft Office, Legal Issues
Education
Florida State University College of Law 2013 — 2015
Doctor of Law (J.D.), Securities Regulation; Corporations; Closely Held Business Organizations; Legislation and Regulation
Florida International University 2008 — 2010
Graduate Certificate, Conflict Resolution and Analysis
University of Florida
BA, Political Science and International Relations
Titusville High School
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
Summit Brokerage Services, Inc. June 2012 - June 2014
Florida State University January 2010 - April 2012
Best Buddies International May 2011 - July 2011
Thyssenkrup Elevators May 2009 - August 2009
Lucid Marine LLC May 2007 - August 2007
Education
Florida State University 2008 — 2012
Bachelor of Science, Finance & Marketing
Florida State University - College of Business 2008 — 2012
Bachelor of Science (BS), Marketing
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Sammons Financial Group Member Companies September 2014 - December 2014
Sullivan International Group July 2012 - June 2014
Credit Suisse 2004 - 2011
Skills
Type 60 wpm, Switchboard Operator, Microsoft Office, Excel, Outlook, Data Entry, written and verbal..., Multitasker, PowerPoint, Video Conferencing, Typing, Telephone Skills, Administrative Support, Word, Spreadsheets, Office Administration, Access, Lotus Notes, Customer Service, Billing, Scheduling, Microsoft Works, Teamwork, Online Research, Problem Solving, Inventory Management, Accounts Receivable, Call Center, Facebook, Customer Relations, 10 Key, Fax, Writing, Phone Etiquette, Internet Explorer, Office Equipment, Administrative Work, Microsoft Office 2007, Multi-line Phone, Travel Arrangements, Calendars, Confidentiality, Executive Support
Education
DeVry University 2008 — 2009
Hyde Park Career Academy 1988 — 1992
High School Diploma
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Financial Industry Regulatory Authority May 2013 - April 2014
Turing's Craft June 2012 - June 2013
Skills
Python, Linux, SQL, Shell Scripting, Java, Bash, PostgreSQL, Greenplum, Oracle, Netezza, HTML, jQuery, C++, C, Spring, Perl, Maven, Eclipse, SpringMVC, Spring Framework, JSP, CSS, JavaScript, Solaris
Education
City University of New York-Brooklyn College 2015 — 2018
Master's Degree, M.A. Computer Science
City University of New York-Brooklyn College 2009 — 2014
Bachelor of Computer Science, Bachelor of Business Administration (BBA), Computer Science; Business Fiance
James Madison HS 2005 — 2009
Advanced Regents Diploma
The Berson Firm, P.C. September 2010 - Present
Berson Seminars September 2012 - Present
Private law practice October 2003 - August 2010
Delaware Court of Chancery August 2002 - August 2003
Financial Industry Regulatory Authority (FINRA) June 2000 - August 2000
Standard & Poor's 1999 - 1999
Offices of Congressman Rick Lazio 1998 - 1998
Skills
Negotiation, Real Estate, Estate Administration, Due Diligence, Corporate Governance, Elder Law, Commercial Litigation, Legal Writing, Arbitration, Estate Planning, Mediation, Appeals, Wills, Joint Ventures, Mergers & Acquisitions, Powers of Attorney, Business Analysis, Small Business, S Corporations, LLC, Condos, Business Formation, Employment Contracts, Employee Handbooks, Public Speaking, Buy-sell Agreements, Mechanics Liens, Secured Transactions, Debtor/creditor Law, Guardianship, Customer Service
Education
Cornell Law School 2000 — 2002
Juris Doctor, Law
Hofstra University 1996 — 1999
BBA, Banking and Finance
West Islip High School 1992 — 1996
Regents Diploma, Arts and Sciences
Epiq Systems August 2015 - Present
TEKsystems June 2012 - August 2015
TEKsystems March 2011 - June 2012
League Corp. April 2010 - February 2011
Cygnus Atratus, LLC February 2009 - March 2010
NYSE Euronext February 2007 - February 2009
Financial Industry Regulatory Authority (FINRA) September 2005 - February 2007
Equitec Proprietary Markets February 2000 - July 2005
Skills
Trading Systems, Commodities, Proprietary Trading
Education
Colorado State University 1996 — 2000
B.S., Finance
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE December 2012 - December 2014
CBOE December 2009 - December 2012
CBOE July 2006 - December 2009
CBOE July 2002 - July 2006
CBOE February 2001 - July 2002
Skills
Risk Management, Options, Trading Systems, Financial Risk, Fixed Income, Equities, Derivatives, Trading, Market Data, Electronic Trading, Capital Markets, Bloomberg, Financial Markets, Commodity, Investments
Education
Dallas Theological Seminary 1986 — 1991
Masters of Theology, Theology
Baptist Bible College 1983 — 1986
Bachelors of Science, Pastoral Ministry
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - June 2015
University of Notre Dame May 2013 - May 2014
Colgate University August 2010 - May 2013
Colgate University August 2009 - May 2013
Telephonics Corporation June 2011 - August 2012
Diageo November 2011 - December 2011
CVS Caremark Corporation August 2007 - August 2009
Skills
Matlab, Hockey, Mathematical Analysis, Economics, Team Leadership, Accounting, Business Analysis, Microsoft Excel, Microsoft Word, PowerPoint
Education
University of Notre Dame - Mendoza College of Business 2013 — 2014
Master of Science (MS), Business Administration and Management, General
Colgate University 2009 — 2013
BA, Economics
Colgate University 2009 — 2013
BA, Mathematics
Financial Fraud Solutions, LLC 2014 - Present
Financial Industry Regulatory Authority (FINRA) 2012 - Present
Karl Strohbehn, Esq. 2000 - Present
Cuyahoga County 2012 - 2013
NASA, Office of Inspector General September 2004 - July 2011
NASA, Office of Inspector General December 1991 - September 2004
IRS - Criminal Investigation Division April 1983 - December 1991
Skills
Private Investigations, Fraud, Enforcement, Criminal Investigations, Money Laundering, Internal Investigations, Government, Criminal Justice, Criminal Law, Courts, Evidence, Federal Government..., Interrogation, Homeland Security, Policy, White Collar Criminal..., Litigation Support, Cybercrime, Police, Litigation, Certified Fraud Examiner, Legal Research, Counterterrorism, Surveillance, Counterintelligence, Law Enforcement
Education
Cleveland State University - Cleveland-Marshall College of Law
Juris Doctor (J.D.), Law
University of Nevada-Las Vegas
Master of Business Administration (M.B.A.), Tax
University of Iowa - Henry B. Tippie College of Business
Bachelor of Business Administration (B.B.A.), Accounting
NextEra Energy Resources June 2015 - Present
University of Miami February 2014 - May 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
Cantera and Associates, Inc. March 2014 - June 2014
US Securities and Exchange Commission September 2013 - November 2013
Swindell, Bohn, Durden & Phillips May 2013 - August 2013
Rothstein Kass November 2011 - May 2012
Skills
Accounting, SEC filings, Tax, PowerPoint, Microsoft Excel, Financial Reporting, Financial Accounting
Education
University of Miami 2012 — 2015
Juris Doctor (JD), Cum Laude
The London School of Economics and Political Science (LSE) 2011 — 2011
Leadership in Organizations
University of Florida 2010 — 2011
Master of Science (MS), Accounting
Florida State University 2005 — 2009
Bachelor of Science (BS), Accounting
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Hamilton Miller & Birthisel October 2013 - Present
Charles-Collins Law, PA September 2013 - Present
American Arbitration Association October 2010 - Present
University of Miami September 2014 - Present
Charles-Collins Law, PA January 2011 - September 2014
Publix Super Markets September 2008 - January 2013
Helms & Greene, LLC December 2003 - August 2006
Chubb Insurance May 2000 - December 2003
Muller Mintz May 1998 - April 2000
Skills
Mediation, Human Resources, Arbitration, Employee Relations, Public Speaking, Contract Negotiation, Courts, Conflict Resolution, Legal Compliance, Training, Leadership Development, HR Consulting, HR Policies, Internal Investigations, Employee Training, EEOC Investigations, Human Resources Training, Alternative Dispute..., Employee Handbooks, Succession Planning, Personnel Management, Conflict Management, Legal Advice, Hearings, Employment Law, Civil Litigation, Dispute Resolution, Leadership, Litigation
Education
American Arbitration Association 2010 — 2010
Abitrator Certification Training
Justice Center of Atlanta 2007 — 2007
Mediator Certification, Mediation
Golden Gate University, School of Law 1993 — 1995
JD, Law
Johnson & Wales University 1990 — 1992
MBA, International Business Management
Johnson and Wales University 1986 — 1990
B.S., Marketing and Retail Management
Santander Investment Securities Inc September 2014 - Present
Financial Industry Regulatory Authority (FINRA) January 2013 - September 2014
State of Florida Office of Financial Regulation March 2010 - January 2013
Skills
Financial Analysis, Investments, Due Diligence, Securities, Securities Regulation, Financial Modeling, Analysis, Banking, Microsoft Excel, Risk Management, Research, Bloomberg, Corporate Finance, Microsoft Office, Data Analysis, Auditing, Investment Advisory, FINRA, Equities, Fixed Income, Asset Management, Mutual Funds
Education
Florida Atlantic University 2010 — 2012
M.S., Economics
Dickinson College 2003 — 2007
B.A., Economics
Financial Industry Regulatory Authority (FINRA) May 2014 - July 2014
Xingyuan Certificated Public Accountants June 2013 - August 2013
Industrial and Commercial Bank of China May 2012 - July 2012
Hui Lau Shan Food Manufacturing Co Ltd March 2010 - July 2010
Skills
Microsoft Excel, PowerPoint, Microsoft Word, Social Media, Research
Education
Emory University - Goizueta Business School
Emory Goizueta BBA, Accounting
Deloitte Advissory October 2014 - Present
Financial Industry Regulatory Authority (FINRA) March 2004 - September 2014
Legal Source September 2003 - February 2004
NASD January 2003 - April 2003
U.S. Securities and Exchange Commission May 2001 - August 2001
NYSE May 2000 - August 2000
Skills
Securities Regulation, Securities Litigation, Securities, FINRA, Fraud, Depositions, Financial Regulation, SEC, Broker-Dealer, Bank Secrecy Act, Certified Anti-Money..., Legal Research, Legal Writing, USA PATRIOT Act, Management, Investment Advisor..., Regulatory Compliance, KYC, Policies & Procedures..., Gap Analysis, Risk Assessment, Anti Money Laundering, Banking, Business Process..., Project Management, Securities Market, NYSE, Investment Management
Education
Georgetown University Law Center 2002 — 2003
Master of Laws (LLM), Securities & Financial Regulation
University of Miami School of Law 1999 — 2002
Doctor of Law (JD)
University of Miami - School of Business 1998 — 1999
Master of Professional Accounting
University of Miami - School of Business 1996 — 1997
Master of Business Administration (MBA), Finance
University of Florida 1986 — 1991
BSBA, Finance
Financial Industry Regulatory Authority (FINRA) February 2014 - Present
Publicis Groupe August 2013 - January 2014
Research Foundation of The City University of New York April 2013 - August 2013
City University of New York September 2008 - August 2013
Skills
Microsoft Office, HTML, Microsoft Word, PowerPoint, Customer Service, Microsoft Excel, Public Speaking, Research, Access, WordPress, Data Entry, Customer Satisfaction, Mac, Computer Hardware, Java, Technical Support, Active Directory, Networking, Databases
Education
Kaplan University 2013 — 2015
Master's Degree, Information Technology Project Management
CUNY New York City College of Technology 2008 — 2013
Bachelor of Science (BS), Computer Engineering
CUNY New York City College of Technology 2008 — 2012
Associate of Science (AS), Electromechanical Engineering
City University of New York-Hunter College
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Florida Department of Financial Services June 2013 - April 2015
Palatka Police Department October 2009 - June 2013
US Army July 2005 - January 2009
Skills
Criminal Investigations, Criminal Law, Fraud, Financial Crimes..., Insurance Fraud, Financial Markets, Regulatory Compliance, Financial Services
Education
Florida Atlantic University
Master of Business Administration (MBA)
University of Central Florida
Bachelor of Arts (BA), Criminal Justice
Neuberger Berman November 2013 - June 2014
Financial Industry Regulatory Authority (FINRA) April 2013 - November 2013
UBS Global Asset Management June 1999 - May 2012
GE Capital Information Technology Solutions October 1998 - June 1999
Technisource January 1996 - October 1998
Skills
Human Resources, Performance Management, Employee Relations, Recruiting, Organizational..., Leadership Development, Talent Acquisition, HR Transformation, Change Management, Succession Planning, Alternative Investments, Project Management, Technical Recruiting, Financial Recruiting, Workforce Planning, HR Metrics, Compensations, Employment Law, International Mobility, Employee Benefits, Personnel Management
Education
DePaul University 2010 — 2010
Certificate of Achievement, Professional in Human Resources
DePaul University 1998 — 1998
Certificate of Achievement, Principles of Human Resource Management
Purdue University 1991 — 1995
BS, Biology
The Law Offices of Andrew J. Schatkin February 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - November 2014
Oppenheimer & Co. Inc. May 2014 - July 2014
Capell Barnett Matalon & Schoenfeld LLP May 2013 - August 2013
The Lodge at Woodloch July 2011 - April 2012
Centre for Cooperation in the Mediterranean January 2011 - May 2011
Skills
Spanish-speaking, Creative Writing, PowerPoint, Social Media, Microsoft Word, Microsoft Excel, Public Speaking, Social Media Marketing, Event Management, Facebook, Customer Service, Social Networking, Marketing, Event Planning, Research, Marketing Strategy, Microsoft Office, Fundraising, Teamwork, Legal Research, Legal Writing
Education
Hofstra University School of Law 2012 — 2015
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
Fordham University 2008 — 2012
Bachelor of Arts (B.A.), Political Science and Government
Fordham Prep 2005 — 2008
Fordham Prep 2005 — 2008
Giles Aseron PLLC December 2014 - Present
Farm and Ranch Freedom Alliance August 2014 - Present
Blackbaud July 2013 - August 2013
Financial Industry Regulatory Authority (FINRA) May 2013 - June 2013
Muscogee County Probate Court June 2012 - July 2012
Education
University of Georgia School of Law 2011 — 2014
JD
Georgia Institute of Technology 2008 — 2011
Bachelor of Science, Business Management
Brookstone School 2004 — 2008
High School
Washington University in St. Louis September 2015 - Present
US Army May 2012 - Present
Lewis Brisbois Bisgaard & Smith LLP February 2015 - August 2015
Washington University in St. Louis School of Law January 2015 - May 2015
Financial Industry Regulatory Authority (FINRA) August 2014 - December 2014
Superior Court of CA, County of San Diego May 2014 - August 2014
Law Office of Marvin Nodiff, P.C. September 2013 - April 2014
BARBRI Inc. August 2012 - August 2013
Alamance County District Attorney's Office December 2011 - May 2012
Elon University December 2011 - May 2012
Skills
Public Speaking, Legal Writing, Legal Research, LexisNexis Law, WestlawNext, Qualitative Research, FINRA Rules and..., Policy, Trials, Westlaw, Condominium Association...
Education
Washington University in St. Louis School of Law 2013 — 2015
Doctor of Law (JD)
Elon University 2008 — 2012
BA, Political Science
South View High School 2004 — 2008
International Baccalaureate Diploma
TD Ameritrade June 2015 - Present
Financial Industry Regulatory Authority (FINRA) April 2013 - July 2014
Skills
Fixed Income, Mutual Funds, Series 6, Series 63, Life & Health Insurance..., Fixed Annuities, Ethics, Financial Markets, Financial Advisory, NMLS Licensed, AML, Private Equity, Investment Banking, Broker-Dealer, Options, Equities, Compliance, Legal Writing, Legal Research, Legal Compliance, Banking, Financial Risk, Commercial Banking, Finance, Risk Management, Anti Money Laundering, Securities, Investments, Financial Modeling
Education
Fordham University - Graduate School of Business Administration 2012 — 2015
Master of Business Administration (M.B.A.), Finance and Risk, GPA: 3.8
Manhattanville College 2005 — 2009
Bachelor's Degree, Finance and Psychology
.
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
The Collagist August 2013 - Present
Phoebe June 2014 - May 2015
George Mason University August 2013 - May 2015
Fuel Education LLC June 2014 - August 2014
Phoebe May 2013 - May 2014
Public Financial Management October 2012 - May 2014
K12 June 2013 - August 2013
George Mason University Writing Center August 2012 - May 2013
Public Financial Management August 2011 - August 2012
Skills
Higher Education, Teaching, Tutoring, Research, Editing, Public Speaking, Academic Writing, Community Outreach, Creative Writing, University Teaching, Copy Editing, Proofreading, Technical Writing, Blogging, Copywriting, Literature, Speech Writing, Books, Poetry
Education
George Mason University 2012 — 2015
Master of Fine Arts (MFA), Creative Writing: Poetry, 4.00
Susquehanna University 2007 — 2011
Bachelor of the Arts, Creative Writing, 3.89
Financial Industry Regulatory Authority (FINRA) October 2010 - Present
Alfred Real Estate, Inc. March 2008 - Present
Freelance Legal Consulting January 2007 - Present
Morgan Stanley July 1986 - December 2006
Skills
Real Estate, Real Estate Transactions, Employment law, Arts Administration, Securities Litigation, Securities Industry, Due Diligence, Investment Properties, Marketing, Property Management, Mergers & Acquisitions
Education
Fordham University School of Law
J.D.
McGladrey September 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - November 2014
Office of the Attorney General of the State of New York June 2014 - August 2014
Legal Services NYC August 2013 - April 2014
DANDRIA Studio Legale July 2013 - August 2013
Financial Industry Regulatory Authority February 2011 - August 2011
Skills
Microsoft Word, Microsoft Excel, Italian languages, French, Spanish, Qualitative Research, Legal Research, Legal Writing, PowerPoint, Courts, Westlaw, Trials, Social Media
Education
St. John's University School of Law 2012 — 2015
Juris Doctor, Concentration in Taxation
Fordham University 2008 — 2012
Bachelor's degree, International Political Economy; French Language & Literature; Business Administration, Magna Cum Laude
New York University in Paris
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
OppenheimerFunds May 2015 - September 2015
Zito Partners April 2013 - April 2015
NYSE Euronext January 2008 - December 2012
New York Stock Exchange/NYSE Group 2000 - 2007
New York Stock Exchange 1997 - 1999
New York Stock Exchange 1994 - 1996
New York Stock Exchange 1988 - 1993
Central Bergen Reporter / Northern Bergen Review / This Week 1980 - 1988
Skills
Media Relations, Speech Writing, Blogging, Social Media, Corporate Communications, Public Relations, Strategic Communications, Public Speaking, Editing, Internal Communications, Diversity, Newsletters, Investor Relations, Digital Media, Marketing Communications, Publicity, Content Development, Spokesperson, Press Releases, Facebook, Crisis Communications, Editorial, Financial Communications, Journalism, Corporate Blogging, Strategy, Corporate Social..., Content Strategy, Publications, Management, Social Media Marketing, Integrated Marketing, Crisis Management, Writing
Education
Fairleigh Dickinson University 1977 — 1981
B.A., Communications, Speech and Theater, Graduated magna Cum Laude
Legal Insight: Creative jobs options for attorneys January 2014 - Present
Boston Bar VLP Jobs & Careers January 2013 - Present
Wellesley Public Media December 2010 - Present
Cornell Law School Alumni Helping Alumni careers program 2011 - 2013
Cornell Law School 2010 - 2013
Business Insight TV show 1990 - 2013
Suffolk Law School Career Services Office September 2010 - December 2012
Clark University 2010 - November 2012
Financial Industry Regulatory Authority (FINRA) 2010 - 2012
IIA and SIIA Deal-Making Session October 1984 - February 2005
Skills
Intellectual Property, Entrepreneur, Digital Media, Start-ups, Public Speaking, Venture Capital, Negotiation, Strategic Alliances, Entrepreneurship, Product Development, Mergers, Mergers & Acquisitions, Product Management, Licensing, Nonprofits, Due Diligence, Leadership, Strategic Planning, Management, Strategic Partnerships, Strategy, Public Relations, Law career counsel
Education
Cornell University 1960 — 1968
BA, MBA, JD
Cornell Law School
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - April 2015
U.S. Securities and Exchange Commission June 2014 - August 2014
US Securities and Exchange Commission, Division of Enforcement January 2014 - April 2014
OtterBox May 2013 - August 2013
Education
The George Washington University Law School
Juris Doctor (J.D.), with honors
Colorado State University
Bachelor of Arts (B.A.), Political Science; Economics (minor), cum laude
TD Ameritrade July 2015 - Present
Financial Industry Regulatory Authority (FINRA) 2004 - October 2014
Financial Industry Regulatory Authority (FINRA) 2003 - 2004
Financial Industry Regulatory Authority (FINRA) 2000 - 2003
Miles & Stockbridge P.C. April 1994 - June 2000
Weinberg and Green September 1991 - April 1994
Levan, Schimel, Belman, and Abramson September 1988 - September 1991
Skills
Management, Securities Regulation, Anti Money Laundering, Securities Market, Broker-Dealer Compliance, Financial Regulation, Securities Litigation, Securities Fraud, Internal Investigations
Education
Georgetown University Law Center 1985 — 1988
Juris Doctor (J.D.)
University of Maryland College Park 1981 — 1985
Bachelor's Degree, Psychology, magna cum laude
Financial Industry Regulatory Authority (FINRA) June 2007 - Present
Thomson Financial November 2005 - June 2007
Thomson Financial November 2000 - October 2005
Thomson Financial June 2000 - October 2000
AIG May 1998 - August 1999
Skills
Securities, Analysis, Financial Services, Risk Management, Business Analysis, FINRA
Education
Georgetown University 1996 — 2000
Bachelor's Degree, Finance
The University of Edinburgh 1998 — 1999
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Global Markets Advisory Group June 2014 - Present
SOURCE OFFICE November 2013 - Present
NJ June 2012 - Present
Kellogg Capital Markets 2005 - 2011
Vandermoolen U.S.A. 2002 - 2005
Lyden, Dolan LLC. 1988 - 2002
Skills
Equities, Capital Markets, Equity Trading, Financial Markets, Customer Relations, Trading, Bloomberg, Excel, Business Planning, Electronic Trading, Investments, Risk Management, Securities, Management, Series 7, Microsoft Excel, Customer Service, Leadership
Education
College of the Holy Cross 1982 — 1986
B.A., history
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Resolute mediation & Arbitration Inc January 2005 - Present
Resolute Mediation & Arbitration INC. May 2004 - Present
Skills
Mediation, Dispute Resolution, Family Law, Dispute, Courts, Conflict Management, Legal Writing, Legal Research, Alternative Dispute..., Arbitration, Public Speaking, Conflict Resolution, Training, Civil Litigation, Appeals, Construction Law
Education
Concord Law School - Kaplan University 2009 — 2012
Doctor of Law (J.D.), Law, JD
Cambridge Investment Research October 2012 - Present
Securities America, Inc. Member FINRA/SIPC August 2010 - May 2012
Financial Industry Regulatory Authority (FINRA) May 2010 - August 2010
QA3 Financial Corp April 2007 - May 2010
Skills
Compliance, Auditing, RIAs, Compliance Research, Compliance Regulations, Business Relationship..., Supervision, Analysis, Series 24, Finance, FINRA, Series 63
Education
Evangel University 1994 — 1998
Bachelor of Science (B.S.), Psychology
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Katten Muchin Rosenman LLP February 2002 - June 2015
Fordham Law School August 2007 - May 2012
Rosenman & Colin LLP January 1998 - January 2002
Rosenman & Colin LLP October 1989 - January 1998
Skills
Litigation, Trade Secrets, Legal Research, Civil Litigation, Commercial Litigation, Courts, Securities Litigation, Dispute, Arbitration, Corporate Law, Legal Writing, Class Actions, Securities, Torts, Appeals, Mediation, Securities Regulation
Education
The George Washington University Law School 1986 — 1989
J.D., Law
College of the Holy Cross 1982 — 1986
B.A., English
Fairfield College Preparatory School
Financial Industry Regulatory Authority (FINRA) December 2012 - Present
Skills
Certified Fraud Examiner, SOX, Internal Controls, Accounting, Financial Reporting, Access, Excel, Visio, Hyperion Enterprise, Business Intelligence, PeopleSoft, Account Reconciliation, Auditing, Hyperion, Internal Audit, Microsoft Excel, Risk Management, Sarbanes-Oxley Act, Finance, Financial Analysis, Financial Statements, Management
Education
Northern Illinois University 2009 — 2010
CPA Review
Keller Graduate School of Management 2005 — 2007
Master, Accounting and Financial Management
DeVry University 2001 — 2005
Bachelor of Science, Business Administration; Accounting
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
FINRA (Formerly NASD) July 2003 - April 2014
H&R Block Financial Advisors July 2001 - May 2003
Skills
Series 7, FINRA, Compliance, Series 63, Securities, Equities, Mutual Funds, Fixed Income, Alternative Investments, Investment Advisory, Derivatives, Options, Financial Markets, Investments, Capital Markets, Finance
Education
Florida State University 1997 — 2001
B.S., Finance
Morgan Stanley April 2011 - Present
Financial Industry Regulatory Authority (FINRA) August 2009 - May 2011
Citigroup July 2004 - January 2007
Office of the Comptroller of the Currency November 2000 - July 2004
Education
Columbia University in the City of New York 2007 — 2009
Masters, International Economic Policy
Rutgers, The State University of New Jersey-Newark 1996 — 2000
B.S., Finance, Economics
Financial Industry Regulatory Authority (FINRA) November 2014 - Present
U.S. Athletic Trust January 2009 - Present
SunGard Availability Services December 2011 - October 2014
Gupton Marrs International June 2009 - November 2011
BearingPoint July 2005 - May 2009
Acumen Solutions August 2004 - July 2005
Intellinex November 2002 - August 2004
Xpedior 1995 - 2001
Kinderhook Systems 1995 - 2001
Skills
Strategy, Risk Management, Management Consulting, Enterprise Software, Outsourcing, Security, Financial Risk, Integration, Team Leadership, Risk Assessment, CRM, Management, Business Process..., Business Analysis, Governance, Consultants, Regulatory Requirements, Consulting, Team Building, Data Governance, Information Security, Cloud Computing, Process Engineering, Project Management, Training, SaaS, Professional Services, Vendor Management, Process Improvement, Disaster Recovery, IT Strategy, PMO, Compliance, Strategic Planning, Business Transformation, Business Continuity, Big Data, Program Management, Change Management, Project Portfolio..., Financial Services, Leadership, Global Cross-Functional...
Education
Fairfield University 1980 — 1984
B.S., Management
New York University 1990 — 1993
MS, Interactive Telecommunications
USA Track & Field (USATF) - Level 1 Coaching Education 2014 — 2014
USATF Level Certified Coach, Track & Field
John S. Burke Catholic High School
NY State Regents Diploma, New York State Regents Diploma
Prudential Financial April 2012 - Present
Financial Industry Regulatory Authority (FINRA) July 2007 - April 2012
NYSE Regulation, Inc. November 1997 - July 2007
Philadelphia District Attorney's Office August 1994 - November 1997
Skills
Securities, Securities Regulation, FINRA, Corporate Governance, Fraud
Education
Boston College Law School 1991 — 1994
Doctor of Law (JD)
Cornell University 1986 — 1990
Bachelor of Arts (BA), History
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
Guzman & Company September 2010 - September 2014
Wachovia, A Wells Fargo Company November 2005 - August 2010
Tribeca Global Investments LLC April 2005 - October 2005
Skills
Capital Markets, Equities, Equity Structured Notes, Equity Derivatives, Options, Commodity, Fixed Income, Financial Modeling, Portfolio Management, Trading Systems, Investments, Risk Management, R, Databases, Bloomberg
Education
Columbia Engineering 2003 — 2004
MS, Financial Engineering
Duke University 2001 — 2003
MS, Chemistry
Peking University 1997 — 2001
Bachelor's Degree, Chemistry
Federal Trade Commission August 2015 - Present
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
U.S. Securities and Exchange Commission January 2015 - April 2015
C2 Essentials, Inc. May 2014 - July 2014
Norris, Tysse, Lampley & Lakis, LLP May 2012 - December 2012
Public Defenders Office January 2011 - 2011
Skills
Prezi, Microsoft Excel, PowerPoint, Microsoft Publisher, Adobe Acrobat, Microsoft Word, Microsoft Office, Facebook, Editing, Social Networking, Data Entry, Time Management
Education
George Mason University School of Law 2013 — 2016
(J.D.)
Radford University 2009 — 2013
Bachelor's of Science, Political Science, Summa Cum Laude
Cornell University August 2014 - Present
Nassau County District Attorney's Office June 2015 - August 2015
Stonebridge Golf and Country Club May 2015 - August 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - January 2015
International Delight Cafe June 2010 - August 2014
Skills
Microsoft Office, Microsoft Excel, Customer Service, Facebook, Microsoft Word, PowerPoint, Social Media, Social Networking, Data Analysis, Public Speaking, Management, Social Skills, Time Management, Leadership, Teamwork, Twitter, Instagram, Google Drive, Minitab, People Skills
Education
Cornell University ILR School 2014 — 2018
Bachelor of Science in Industrial and Labor Relations (BSILR); Intended Business Minor
Smithtown High School West 2010 — 2014
Advanced Regents Diploma
Abel/Noser Corp January 2006 - Present
Financial Industry Regulatory Authority (FINRA) January 2013 - December 2013
NAIBD January 2011 - January 2013
NSCP 2010 - 2013
The Goldstein Law Group 1998 - 2006
Trimark Securities 1991 - 1997
Ampro Securities, Inc 1982 - 1991
Skills
Compliance, Arbitration, Securities, Securities Litigation, Equities, Risk Management, Investments, Series 7, Due Diligence, Securities Regulation, FINRA, Equity Trading, Options, Trading, Broker-Dealer, AML, SEC, Series 63, Series 24, Institutional, Financial Services, OFAC, Fixed Income, USA PATRIOT Act, Capital Markets
Education
Pace University School of Law 1993 — 1997
JD
City University of New York-Brooklyn College 1970 — 1972
Master of Science, Broadcasting
LIU Brooklyn 1966 — 1970
Bachelor of Arts, Theater
Fordham Law School August 2013 - Present
Mintz Levin May 2015 - July 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
New York Supreme Court - Commercial Division June 2014 - August 2014
FactSet Research Systems June 2011 - July 2013
Cornell University August 2007 - July 2011
Skills
Databases, Factset, Research, Data Analysis, Microsoft Office, Microsoft Excel, PowerPoint, Microsoft Word, Analysis, Social Networking, Public Speaking, Economics, Mandarin, Investments, Equities, Asset Management, Investment Management
Education
Cornell University 2007 — 2011
BA, Economics, International Relations and East Asian Studies
Alliance for Global Education at Fudan University Shanghai 2010 — 2010
New York University at Beijing University 2008 — 2008
Fordham University School of Law
Volgenau School of Engineering September 2012 - May 2014
George Mason University August 2012 - May 2014
Financial Industry Regulatory Authority (FINRA) July 2013 - August 2013
Sodexo April 2012 - August 2012
Skills
Java, Windows 7, MySQL, Microsoft Office, Photoshop, Microsoft SQL Server, Dreamweaver, Ubuntu, C++, Mac OS, Windows Vista, Computer Hardware, Eclipse, VMware Workstation, Android Development, Service Desk Express, Primefaces
Education
George Mason University 2011 — 2014
Bachelor of Science (B.S.), Information Technology, concentration Database and Programming. Minor: Business., 3.63
Strayer University 2009 — 2010
Computer Infomation Systems, 3.5
Mater Dei 2007 — 2009
High School
Financial Industry Regulatory Authority (FINRA) August 2014 - December 2014
Financial Industry Regulatory Authority (FINRA) May 2014 - July 2014
Caesars Entertainment Corporation March 2014 - May 2014
AM2 convention July 2010 - August 2011
SPJA July 2007 - November 2009
SPJA July 2005 - November 2007
SPJA July 2003 - July 2007
SPJA July 2003 - July 2004
Skills
Event Planning, Event Management, Microsoft Word, Marketing, Leadership Development, Social Media, SPSS, Strategic Planning, Multiple Regression, Microsoft Office, PowerPoint, Integrated Marketing, Access, Market Analysis, Competitive Analysis, Microsoft Excel, Trade Shows, Photoshop, Adobe Illustrator, Adobe Acrobat, Adobe Photoshop, Word, Excel, Trade Show Management, Legal Research, Contract Negotiation, legal writing
Education
Southwestern Law School 2012 — 2014
Doctor of Law (JD)
Claremont Graduate University - Peter F. Drucker and Masatoshi Ito Graduate School of Management 2009 — 2011
MBA, Business, strategy, marketing
Oxford University 2010 — 2010
Business
The Chinese University of Hong Kong 2009 — 2009
Business
New York Medical College 2002 — 2005
Basic medical sciences
University of California, Los Angeles 1997 — 2002
BA, Classical Civilization and Biology
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Lumpys BBQ, Inc May 2009 - Present
CBOE June 2012 - May 2015
Edward Jones October 2011 - May 2012
Grace Support Services June 2011 - August 2011
Blue Capital Group LLC June 2004 - May 2011
Knight Trading Group May 2001 - June 2004
Skills
Trading Strategies, Securities, Derivatives, Equities, Trading Systems, Options, Trading, Investments, Series 7, Financial Analysis, FINRA, Finance, Risk Management, Equity Trading, Hedging, Equity Derivatives, Portfolio Management, Financial Markets, Hedge Funds, Electronic Trading, Bloomberg, Proprietary Trading, Traders
Education
Eastern Illinois University 1996 — 2001
Bachelor of Science – Mathematics, Business Concentration
Art Institute of Illinois 2002 — 2004
Culinary
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
Skills
FINRA, Data Analysis, Securities, OATS, Analysis, Securities Regulation, Management
Education
Cornell University 2005 — 2009
BS
BDL Compliance Consulting 2002 - Present
Marsh & McLennan Securities 1997 - 2000
William M. Mercer Investment Consulting 1997 - 2000
Financial Industry Regulatory Authority (FINRA) 1992 - 1997
Continental Bank Brokerage Services 1989 - 1991
Mesirow Financial Services 1988 - 1989
Kemper Financial Services 1979 - 1988
Mesirow Financial Services 1978 - 1979
AG Becker 1977 - 1978
Skills
Series 7, Securities, FINRA, Investment Advisory, Hedge Funds
Education
CBOE Options Institute 1993 — 1993
Options
NASD Regulatory Training 1992 — 1993
Securities Regulation
DePaul University 1988 — 1992
CPA, Accounting/ CPA
Quincy University 1974 — 1977
B.A., Political Science
Batavia High School
REGISTRATIONS & CERTIFICATIONS
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
Self employed author July 2014 - Present
Independent Consultant November 2011 - Present
Celerity March 2013 - July 2014
Cipher Systems, LLC December 2008 - November 2011
ICF International October 2006 - November 2008
Westat October 2003 - October 2006
Caliber Associates 1999 - 2003
American Institutes for Research March 1996 - October 1999
Skills
Management Consulting, Microsoft Office, Proposal Writing, Web Development, Technical Writing, Project Management, DoD, Budgets, Team Leadership, Research Design, Integration, Business Development, Intelligence, Microsoft VISIO, AutoCAD, Visio, Software Development, Program Management, Data Analysis, Strategy, MS Project, Defense, Government Contracting, Leadership, Analysis, PMP, Systems Engineering, Government, Management, SharePoint, Requirements Analysis, Research, Training, Project Planning, Business Intelligence, Cross-functional Team...
Education
George Mason University 1994 — 1999
MS, Industrial/Organizational Psychology
University of Dayton 1982 — 1987
BME, Mechanical Engineering
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
McKinsey & Company February 2012 - January 2015
Societe Generale June 2010 - February 2012
Skills
Valuation, Equity Derivatives, Financial Modeling, Quantitative Finance, Derivatives, Financial Engineering, Bloomberg, Capital Markets, Hedge Funds, Structured Products, Management Consulting, Risk Management, Emerging Markets, Fixed Income, Investment Banking
Education
Cornell University 2009 — 2010
M.Eng., Financial Engineering
University of California, Berkeley 2004 — 2007
B.Sc., EECS
Raffles Junior College
Bank of China International (BOCI) Commodities & Futures (USA) LLC July 2013 - Present
Sabeena Ahmed PC February 2013 - Present
E*TRADE Financial February 2013 - June 2013
Alpari (US), LLC 2008 - February 2013
Bank of New York Mellon January 2007 - June 2008
Financial Industry Regulatory Authority (FINRA) 2006 - 2007
State of New Jersey Office of the Attorney General, Securities Fraud Prosecution Division 2005 - 2006
Merrill Lynch 2004 - 2005
Skills
Securities Regulation, FINRA, Corporate Law, Securities, Legal Research, Financial Markets, Corporate Governance, Intellectual Property, Due Diligence, Legal Writing, Capital Markets, Derivatives, AML, Litigation, Financial Regulation, Legal Compliance, Options, Equities, Engaging Speaker, Foreign Exchange, FX Options, KYC, Mutual Funds, Banking, Dodd-Frank, SEC, Commodity, Prime Brokerage, Alternative Investments, Swaps, Equity Derivatives, Anti Money Laundering
Education
Columbia University - School of International and Public Affairs
M.A., International Relations/Political Science
Fordham University School of Law
J.D., Law
Markville Secondary School
St. John's University School of Law
J.D., Law
University of Toronto - New College
Honours B.A., Criminology/Political Science
William Mitchell College of Law
Law
Astigarraga Davis September 2015 - Present
Astigarraga Davis May 2014 - September 2015
Florida International University College of Law June 2013 - May 2015
Competencia Internacional de Arbitraje May 2014 - September 2014
Financial Industry Regulatory Authority (FINRA) January 2014 - May 2014
Florida Third District Court of Appeal July 2013 - August 2013
Thomson Reuters June 2011 - September 2011
Florida Department of State June 2009 - June 2011
Skills
Microsoft Excel, PowerPoint, Microsoft Word, Microsoft Office, Research, Legal Writing, Legal Research, Fundraising, LexisNexis, Policy, Writing, International Relations, Nonprofits, Social Networking
Education
Florida International University - College of Law 2012 — 2015
Juris Doctor (J.D.), Civil Litigation and Commercial Transactional Law, 3.8
Florida State University - College of Business 2007 — 2011
Bachelor's Degree, Finance, General, 3.4
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Chicago Stock Exchange June 2015 - July 2015
Chicago Stock Exchange November 2013 - June 2015
Chicago Training Center September 2012 - May 2014
Discovery Services LLC September 2013 - November 2013
Law Resources July 2013 - August 2013
Chicago Public Schools October 2012 - June 2013
McDermott Will & Emery April 2013 - May 2013
Donovan Watkins Legal Zone May 2012 - August 2012
Axiom November 2011 - December 2011
Skills
Westlaw, Courts, Mediation, Trials, Litigation Support, Employment Law, Trial Practice, Hearings, Torts
Education
Loyola University Chicago School of Law 2002 — 2005
Juris Doctor, law
Miami University 1998 — 2002
Bachelor of Arts, Zoology & Political Science
DePaul University 2009 — 2011
M.Ed., Secondary Education
The Resume Lab January 2012 - Present
Walt Disney World June 2011 - August 2012
Financial Industry Regulatory Authority (FINRA) December 2009 - May 2011
Financial Industry Regulatory Authority (FINRA) July 2009 - December 2009
Emergent Medical Associates (EMA) February 2008 - December 2008
Skills
Resume Writing, Business Writing, Cover Letters, Interview Prep, Social Media, Editing, Proofreading, Customer Relations, Project Management, Project Coordination, Newsletters, Budgeting, Administrative..., Microsoft Office Suite, Microsoft Office, Budgets, Interviews, Teaching, Management, Customer Service
Education
Gustavus Adolphus College 2003 — 2007
Bachelor's Degree, International Management German
Financial Industry Regulatory Authority (FINRA) March 2014 - Present
Citibank, N. A. 2004 - 2013
Wachovia Securities 2001 - 2004
Merrill Lynch 1996 - 2000
Skills
Portfolio Management, Investment Management, CRM, Banking, Wealth Management..., Separately Managed..., Management, Product Management, Sales, Program Management, Equities, Fixed Income, Asset Management, Financial Services, Securities, Wealth Management, Series 7, Vendor Management, Financial Advisory, Mutual Funds, Brokerage, Insurance, Investments, Asset Managment, Trading, Relationship Management, Finance, Financial Risk, Investment Advisory, Private Equity, Unified Managed Accounts, Strategic Financial..., Asset Allocation, Financial Markets, Bonds, Series 63
Education
Columbia University - Columbia Business School
MBA, Finance, cum laude
Columbia University Mailman School of Public Health
MPH, Health Administration, cum laude
State University of New York at Oswego
BS, Psychology
long beach high school
long beach high school
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE 2012 - December 2014
Skills
SDLC, Risk Management, Visio, Insurance, MS Project, Process Improvement, Project Management, Access, Banking, Budgets, Customer Service, Management, PMP, Program Management, Strategic Planning, Vendor Management, Leadership, Microsoft Office
Education
Illinois Institute of Technology 2011 — 2012
Graduate Level Career Certificate, Project Management, 4.0
McCormick Theological Seminary 2001 — 2002
Theology
Columbia College Chicago 1993 — 1996
Bachelor of Arts, Television Production / Directing
KPMG US June 2013 - Present
Financial Industry Regulatory Authority (FINRA) September 2009 - May 2013
GE Capital July 2008 - July 2009
Prudential Real Estate June 2004 - April 2008
Wellington Management June 2007 - August 2007
PwC May 2006 - August 2006
Skills
Financial Analysis, Problem Solving, Financial Accounting, Risk Assessment, Risk Management, Analysis, Finance, Auditing, Investments, Forecasting, Financial Risk, Asset Management, Leadership, Internal Controls, Equities, Management
Education
Florida State University 2004 — 2008
BS, Finance and Real Estate
Florida State University - College of Business 2004 — 2008
BS, Finance and Real Estate
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
City University of New York June 2014 - Present
The University of Texas Health Science Center at Houston September 2011 - June 2014
Rice University January 2011 - August 2011
Brooklyn College 2005 - 2010
Skills
Computational Chemistry, Computational Biology, Computational Modeling, Materials Science, Petrochemical, Programming, C++ Language, Fortran, Visual Basic, TCL, Shell Scripting, Drug Design, Drug Development, Cancer Research, Linux, Molecular Dynamics, Monte Carlo Simulation, Matlab, Mathematics, Python, Perl Script, Microsoft Excel, OriginLab, GROMACS, Gaussian 03, Chemistry, R, Data Analysis, Spectroscopy, Research, Statistics, LaTeX, Organic Chemistry, Physical Chemistry, C++, Mathematica, NMR, Science, Simulations, Mass Spectrometry
Education
City University of New York-Brooklyn College 2014 — 2015
Master’s Degree, Computer Science
City University of New York Graduate Center 2005 — 2010
PhD, Computational Chemistry
University of Science and Technology of China 2001 — 2005
Bachelor of Science; Department, Chemical Physics
Moser Consulting March 2013 - Present
USSSA April 1988 - Present
Tanager Inc February 2011 - March 2013
CareFirst BlueCross BlueShield July 2009 - February 2011
Random House March 2007 - July 2009
L-3 Titan October 2002 - March 2007
Electronic Data Systems July 1999 - September 2002
Financial Industry Regulatory Authority (FINRA) September 1997 - June 1999
Giant Food November 1994 - September 1997
Giant Food June 1987 - November 1994
Skills
Database Administration, AIX, Solaris, Oracle, Microsoft SQL Server, Unix, Unix Shell Scripting, Erwin, DB2, HP-UX, Capacity Planning, Microsoft Office, Networking, C, Firewalls, Data Modeling, Data Warehousing, Integration, Databases, SQL, Disaster Recovery, Linux, Testing, Database Design, Solution Architecture, Red Hat Linux, Visio, Enterprise Architecture, SDLC, TCP/IP, Security, VMware, Data Center, Program Management, Visual Basic, Performance Tuning, Architectures, SharePoint
Education
Essex Community College 1977 — 1979
information Technology, Accounting
Perry Hall 1973 — 1977
Diploma, Accounting
MedStar Georgetown University Hospital 2010 - 2013
Self 2009 - 2010
Lockheed Martin September 2003 - December 2008
MedStar Washington Hospital Center August 2002 - August 2003
National Academy of Sciences May 1998 - September 2001
Financial Industry Regulatory Authority (FINRA) May 1990 - May 1998
NASDAQ May 1990 - May 1998
Federal Reserve Board 1985 - May 1990
Marriot 1983 - 1985
Skills
Organizational..., Organizational Learning, Training & Development, Executive Coaching, Leadership Development, Performance Improvement, Change Management, Career Development, Team Building, FIRO-B, Strategic Planning, MBTI, Workshop Facilitation, Organizational..., Performance Management, Coaching, Talent Management, Management Consulting, Leadership, Career Counseling, Training, Strategy, Employee Training, Staff Development, Organizational Design, Consulting
Education
Georgetown University 2008 — 2009
OD Certificate, Organization Development
Georgia State University - J. Mack Robinson College of Business 1977 — 1982
MBA, Management
Nebraska Wesleyan University 1971 — 1975
B.S., Liberal Arts
Financial Industry Regulatory Authority (FINRA) January 2015 - May 2015
Washington University Entrepreneurship and Intellectual Property Clinic August 2014 - December 2014
United States Bankruptcy Court, Central District of California June 2014 - August 2014
Missouri House of Representatives 2013 - 2014
Professor Adrienne Davis December 2012 - January 2013
Sidley Austin LLP 2011 - 2011
Skills
Westlaw, Legal Writing, Litigation, Legal Research, Courts, Criminal Law, Legal Assistance, International Law, Corporate Law, IPO, M&A, Real Estate, Legal translation, Intellectual Property
Education
Washington University in St. Louis School of Law 2012 — 2015
Juris Doctor (J.D.)
The Chinese University of Hong Kong 2009 — 2010
Master of Laws (LL.M.)
East China University of Political Science and Law
Bachelor of Laws (LL.B.)
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
Abrams & West, P.C. 2012 - 2014
Cooper Household 2009 - 2012
Dennis, Corry, Porter & Smith 2006 - 2008
Martenson Hasbrouck & Simon LLP February 2005 - November 2006
Magill Atkinson Dermer LLP February 2001 - November 2004
Skills
Trials, Legal Writing, Legal Discovery, Online Research, Document Review, Legal Research, Civil Litigation, Trial Preparation, Exhibit Preparation, Data Analysis, Legal Software, Disk Encryption, Email Encryption
Education
Georgia State University 1992 — 1996
Bachelor of Arts, Political Science - Concentration in International Relations
National Center for Paralegal Training
Legal Research, Contracts, Discovery, Intellectual Property, GPA 3.5
Houlihan Lokey June 2015 - August 2015
Financial Industry Regulatory Authority (FINRA) 2014 - 2014
Clarksons Platou 2010 - 2012
Clarksons Platou 2008 - 2010
Wells Fargo Securities 2007 - 2008
Skills
Financial Modeling, Corporate Finance, Investment Banking, Valuation, Private Equity, Business Development, Due Diligence, Emerging Markets, Financial Analysis, Equity Research, Capital Markets, Investments, Bloomberg, Strategy, Business Strategy, Analysis, Finance, Mergers & Acquisitions, Portfolio Management, Data Analysis, Management Consulting, Management, Equities
Education
University of Virginia School of Law 2013 — 2016
Juris Doctor (J.D.)
University of Virginia - Darden Graduate School of Business Administration 2012 — 2016
Business Administration and Management, General
Davidson College 2003 — 2007
B.A., Economics with Spanish Minor
The Lawrenceville School 2000 — 2003
Diploma
The Lexington School 1988 — 2000
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Humblezone, Inc. January 2003 - Present
Skills
User Experience, User Interface Design, User Interface, Mobile Devices, Interaction Design, Web Design, WordPress, SEO, Graphic Design, iOS Design, Web Development, CSS, HTML, Adobe Creative Suite, Adobe Fireworks, CMS, SEM, Mac OS X, Advertising, Usability, Google Analytics, Online Advertising, Web Analytics, Illustrator, Photoshop, Dreamweaver, Graphics, OmniGraffle, jQuery, Progressive Enhancement, Sketch, Online Marketing, Logo Design, Analytics, Multimedia, Mobile Applications, Content Management, Google Adwords, Fireworks, Axure RP, Visual Design
Education
General Assembly 2015 — 2015
UX Design
University of Virginia Darden School of Business 2015 — 2015
Cooper U, San Francisco 2010 — 2010
IDx Certified
Riverside Community College 1996 — 2000
Graphic Design
Pakistan Embassy School, Riyadh 1988 — 1995
FSc
UXPA DC
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
K&L Gates LLP April 2008 - May 2015
Fried Frank Harris Shriver & Jacobson LLP November 1983 - April 2008
Georgetown University Law Center January 2004 - January 2007
Skills
FCPA, SEC, Internal Investigations, Securities Regulation, Corporate Governance, Corporate Law, Anti-corruption, Legal Writing
Education
Yale Law School 1980 — 1983
JD, Law
Colgate University 1974 — 1978
B.A., History; Philosophy
Horseheads High School
T. Rowe Price March 2015 - Present
The Music Collective December 2007 - Present
KLM Marketing February 2014 - October 2014
Apple March 2013 - January 2014
Financial Industry Regulatory Authority (FINRA) June 2012 - December 2012
Columbia Roofing, Inc. January 2012 - June 2012
Seacole Diversity Solutions May 2011 - June 2012
Jericho Builders December 2008 - August 2010
The Hit Factory Criteria January 2007 - January 2008
Complete Resume December 2007 - December 2007
Skills
Entertainment, Pro Tools, Marketing, Music Production, Audio Post Production, Management, Microsoft Office, Voice Over, Blogging, Video Production, Leadership
Education
Full Sail University 2006 — 2007
Bachelors, Entertainment Business
Massaponax High School 2001 — 2005
HS Diploma Advanced Placement, Marketing
Ernst & Young June 2013 - Present
Legal Aid Services of Greater Cincinnati August 2012 - December 2012
Lawyers for Learning August 2008 - May 2011
Internal Revenue Service August 2010 - December 2010
Financial Industry Regulatory Authority (FINRA) May 2010 - August 2010
Leonard J September 2007 - May 2008
Principal Investments May 2006 - August 2007
American Red Cross- Youth Chapter January 2002 - May 2006
Skills
Legal Research, Tax Law, Westlaw, Legal Writing, Corporate Law, Litigation, International Tax, Civil Litigation, Commercial Litigation, Mediation, Tax, Estate Planning, Lexis, Trusts, Corporate Governance, Securities Regulation
Education
Georgetown University Law Center 2011 — 2012
LLM, Taxation
State University of New York at Buffalo - Law School 2008 — 2011
Law
University at Buffalo, The State University of New 2008 — 2011
Juris Doctor
University of South Florida, College of Business 2003 — 2008
Bachelor of Arts, Finance
Financial Industry Regulatory Authority (FINRA) August 2013 - December 2013
Intel Corporation June 2011 - August 2011
Education
Cornell University 2012 — 2017
Bachelor's Degree, Electrical and Computer Engineering, Minors in Aerospace Engineering and Business
Science, Mathematics, and Computer Science Magnet Program at Montgomery Blair High School 2009 — 2012
High School, 3.9/4.0
U.S. Securities and Exchange Commission January 2015 - April 2015
University of Maryland Francis King Carey School of Law August 2014 - December 2014
Financial Industry Regulatory Authority (FINRA) May 2014 - August 2014
U.S. Securities and Exchange Commission January 2014 - April 2014
Law of Marilyn Cain Gordon May 2013 - April 2014
University of Maryland School of Law May 2013 - August 2013
Accenture June 2010 - August 2012
Goldman Sachs June 2009 - August 2009
TRA Medical Supply, Inc. May 2008 - August 2008
Office of Congressman Al Green, Texas June 2007 - August 2007
Education
University of Maryland School of Law 2012 — 2015
Doctor of Law (J.D.)
Hampton University 2006 — 2010
Bachelor's degree, Finance, General, Magna Cum Laude Graduate
Pacific Legal Search June 2015 - Present
GoSuperLife.com January 2010 - Present
Private Practice May 2000 - June 2015
Irell & Manella LLP January 2014 - February 2015
Baker & Hostetler LLP February 2012 - March 2013
Greenberg Traurig, LLP January 2010 - December 2011
Financial Industry Regulatory Authority (FINRA) 1998 - 2000
Skills
Civil Litigation, Commercial Litigation, Strategic Planning, Film, Producing, New Media, Start-ups, Entertainment, Public Speaking, Contract Management, Social Media, Creative Writing, Social Networking, Intellectual Property, Legal Writing, Negotiation, Social Media Marketing, Film Production, Television
Education
Cornell University
BA, Government
Northeastern University School of Law
JD
Yonsei University
Korean Language Institute, Korean Language
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Education
Columbia University in the City of New York 2012 — 2016
Deloitte December 2014 - Present
JPMorgan Chase & Co. September 2013 - October 2014
Financial Industry Regulatory Authority (FINRA) August 2013 - September 2013
Office of the Attorney General of the State of New York September 2012 - December 2012
K&L Gates May 2012 - June 2012
Allegheny Conference on Community Development May 2012 - June 2012
Attorney General of the District of Columbia May 2011 - August 2011
DC Bar February 2011 - May 2011
Texas Department of Agriculture May 2009 - June 2010
ICF International January 2007 - May 2009
Skills
Budgets, Strategic Planning, Project Management, Program Management, Policy, Non-profits, Contract Management, Policy Analysis, Procurement, Grant Writing, Public Policy, Public Speaking, Fundraising, Access, Strategy, Leadership, Community Outreach, Nonprofits, Data Analysis, Customer Service, Finance, Legal Research, Legal Writing, Litigation, Management, PowerPoint, Research
Education
Washington University in St. Louis School of Law 2010 — 2013
Doctor of Law (J.D.)
Western New England College 2008 — 2010
Masters, Business Administration
Florida Agricultural and Mechanical University 2002 — 2006
Bachelor of Science (B.S.), Political Science and Government
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
National Student Clearinghouse February 2010 - August 2015
Capital One (US Card - Capstone) May 2009 - January 2010
Capital One (Enterprise Customer Management/ Platform Management Team) January 2008 - April 2009
Capital One (Enterprise Customer Management) November 2006 - January 2008
Capital One (Invention Factory/Production Innovation Center) March 2004 - November 2006
IIROC (Investment Industry Regulatory Organization of Canada) September 2000 - February 2004
MCAP March 1999 - July 2000
CIBC May 1998 - March 1999
Skills
Agile Methodologies, Business Analysis, Software Development, Scrum, Project Management, Business Process, Program Management, SDLC, Databases, SQL, Process Improvement, Systems Analysis, Management, Risk Management, Change Management, Testing, Agile Project Management, Software Project..., Enterprise Software, Java, Unix, XML, Weblogic, MS Project, Financial Services, Performance Management, Business Intelligence, Requirements Analysis, ASP, Oracle Applications, Mobile Applications, PMP, Informix, Sentry, Portfolio Management, Version One, Performance Testing, Off-shore Project..., Federal Government, IT Audit, Platform Management, Rally, Microsoft Project, Mercator, Email Strategy, EDI - Electronic Data..., EDI - Electronic Data..., Oracle Application..., Amazon Web Services...
Education
Dalhousie University
MBA, Management/International Business
Dalhousie University
Honours BA, Anthropology/Sociology
CSM 2011 — 2017
Certified ScrumMaster
Oracle 2012 — 2012
Oracle ADF & Fusion Middleware Development
IT University 2013 — 2013
CCNA and CCNP, Cisco Certification IT Network
Capital One University 2004 — 2009
U.S. Securities and Exchange Commission October 2015 - Present
Financial Industry Regulatory Authority (FINRA) March 2015 - October 2015
Financial Industry Regulatory Authority (FINRA) September 2010 - February 2015
Skills
Financial Analysis, Securities, Anti Money Laundering, FINRA, Equities, Due Diligence, Series 7, Mutual Funds, Investments, Risk Management, Financial Services, Fraud, Securities Regulation, Capital Markets, Financial Risk, Banking, Auditing, Analysis, Finance
Education
Florida Atlantic University
Master's degree, Accounting
Florida State University
Bachelor of Science (B.S.), Political
Florida State University
Bachelor of Science (B.S.), History
Financial Industry Regulatory Authority May 2004 - Present
Financial Industry Regulatory Authority (FINRA) May 2006 - February 2008
Financial Industry Regulatory Authority (FINRA) July 2000 - April 2004
Chase August 1997 - July 2000
Education
Hampton University
Bachelor's Degree, Accounting
Amityville Memorial High School
High School, Regents Diploma
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
LexisNexis September 2014 - Present
Sidley Austin LLP May 2015 - July 2015
National Center for Victims of Crime June 2014 - July 2014
Hsiao Education June 2011 - June 2013
Neworiental Shanghai March 2010 - June 2011
China Daily September 2009 - December 2009
Parfums Christian Dior May 2009 - August 2009
Skills
Public Relations, Research, Entrepreneurship, Chinese, Teaching, Editing, English, Legal Research
Education
Georgetown University Law Center 2013 — 2016
Doctor of Law (JD)
Fudan University 2006 — 2010
Bachelor of Arts (B.A.), English Language and Literature, General
Shanghai Datong High School
Financial Industry Regulatory Authority (FINRA) September 2013 - Present
Financial Industry Regulatory Authority (FINRA) February 2013 - September 2013
Financial Industry Regulatory Authority (FINRA) September 2003 - February 2013
US Foodservice November 2002 - September 2003
PricewaterhouseCoopers February 2002 - November 2002
ValueOptions July 2001 - February 2002
Alcatel February 2000 - April 2001
Time Inc. September 1995 - February 2000
Skills
Compensation, SPHR, Incentive Programs, HRIS, Benefits, Executive Compensation, Salary
Education
Cornell University 1987 — 1992
BA, English
Cahill Gordon & Reindel LLP September 2010 - August 2014
Prosecution Clinic at St. John's University School of Law August 2009 - May 2010
Financial Industry Regulatory Authority (FINRA) January 2009 - May 2009
Honorable P. Kevin Castel of the Southern District of New York June 2008 - August 2008
Morris Duffy Alonso & Faley September 2004 - August 2007
Law Office of John B. Turano June 2004 - August 2004
Skills
Notary Public, State of...
Education
New York University School of Law 2014 — 2015
Master of Laws (LL.M.), Taxation
St. John's University School of Law 2007 — 2010
Juris Doctor (J.D.), cum laude
Fordham University 2003 — 2007
Bachelor's Degree, Psychology, cum laude in cursu honorum
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE July 2014 - December 2014
CBOE August 2013 - June 2014
Syracuse University December 2011 - May 2013
CBOE May 2012 - August 2012
Law Office of Judge Anthony LaValle June 2011 - December 2011
Schmidt Kramer P.C. June 2010 - August 2010
Metropolitan Life Insurance Company August 2009 - May 2010
Skills
Microsoft Office, Microsoft Word, Microsoft Excel, PowerPoint, Legal Research, SPSS, Stata, Eviews, Research, Editing, Data Analysis, Event Planning, Public Speaking, Fundraising
Education
Syracuse University 2010 — 2013
Juris Doctorate, Banking, Corporate, Finance, and Securities Law
Gettysburg College 2005 — 2009
Bachelor's degree, Economics & Political Science
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Financial Industry Regulatory Authority July 2011 - June 2015
Financial Industry Regulatory Authority July 2010 - July 2011
Skills
Microsoft Office, Securities, Capital Markets, Investments, Valuation, FINRA, Mutual Funds, Finance, Financial Services, PowerPoint, Financial Analysis, Analysis, Data Analysis, Microsoft Excel
Education
University of Maryland - Robert H. Smith School of Business 2013 — 2016
Master of Business Administration (M.B.A.)
College of the Holy Cross 2006 — 2010
Bachelor of Arts (BA), Political Science
Watertown High
Ropes & Gray LLP July 2014 - Present
LYXOR ASSET MANAGEMENT January 2014 - July 2014
United States District Court for the Southern District of Florida March 2012 - March 2013
Financial Industry Regulatory Authority (FINRA) October 2011 - March 2012
US Securities and Exchange Commission January 2011 - May 2011
Risk and Derivatives Consulting Board, Inc. September 2010 - December 2010
Office of the Attorney General, State of New Jersey May 2010 - August 2010
Hon. Patty Shwartz, Magistrate Judge, U.S. District Court for the District of New Jersey May 2009 - August 2009
Education
Fordham Law School 2008 — 2011
J.D.
Loyola College in Maryland 2003 — 2007
B.B.A.
Holy Ghost Prep 1999 — 2003
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
CBOE July 2012 - January 2015
CBOE December 2011 - June 2012
DePaul University March 2009 - December 2011
UBS Wealth Management June 2010 - August 2010
Skills
Microsoft Office, Microsoft Excel, PowerPoint, Data Analysis, Access, Research, Microsoft Word, Outlook, Social Media, Accounting, Analysis
Education
DePaul University 2008 — 2012
Bachelor of Science (BS), Finance Major; Accounting Minor
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Williams & Connolly LLP August 2012 - March 2015
Bethesda Country Club October 2010 - August 2012
TRAK Services June 2009 - August 2009
Skills
Employee Relations, PowerPoint, Outlook, Microsoft Excel, Microsoft Office, Social Media, Research, Event Planning, Microsoft Word, Conflict Resolution, Performance Management, Organizational...
Education
Gettysburg College 2006 — 2010
BA, Anthropology
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
Lowe's Companies, Inc. March 2014 - July 2014
ANN INC. August 2013 - April 2014
Financial Industry Regulatory Authority May 2012 - July 2013
American Portfolios Finanical Services September 2008 - May 2012
Costco Wholesale June 2006 - October 2008
Starbucks Coffee Company November 2002 - May 2006
Skills
Securities, Social Networking, Wealth Management, FINRA, Finance, AML, Financial Risk, Process Improvement, Salesforce.com, Financial Services, Trading, Sales, Series 63, Financial Regulation, Estate Planning, Licensing, Banking, Microsoft Office, Program Management, Microsoft Excel, Mutual Funds, Leadership, Risk Management, Investment Advisory, Series 7, Retirement Planning, Portfolio Management, Relationship Management, Customer Service, Investments, Financial Advisory, Anti Money Laundering
Education
Dowling College 2009 — 2010
MBA, Corporate Finance
Stony Brook University 2005 — 2008
BA, Linguistics
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
Financial Industry Regulatory Authority June 2012 - August 2014
O'Melveny & Myers LLP October 2004 - June 2012
Veridian September 1999 - May 2003
Veridian October 1998 - September 1999
Skills
Litigation, Commercial Litigation, Civil Litigation, Legal Writing, Corporate Governance, Arbitration, Legal Research, Securities Regulation, Management, Settlement Agreements, Negotiation
Education
George Mason University School of Law 2000 — 2004
J.D.
The College of William and Mary 1992 — 1996
B.S., Geology
SIGTARP 2011 - Present
Dickstein Shapiro LLP 2007 - 2011
House Energy & Commerce Committee 2003 - 2007
Financial Industry Regulatory Authority (FINRA) October 2001 - October 2003
Securities & Exchange Commission 1996 - 2001
United States Attorney’s Office, Eastern District of Virginia 1999 - 2000
Howrey LLP 1994 - 1996
U.S. District Court for the Eastern District of Virginia 1993 - 1994
Skills
Congressional..., Corporate Fraud..., Securities, Criminal Law, Courts, Congressional Affairs, Civil Litigation, Corporate Governance, Analysis, Securities Regulation, Government, Appeals, Legal Issues, Policy
Education
University of Virginia 1990 — 1993
J.D., Law
Duke University 1986 — 1990
Bachelor's degree, Political Science and History
St. Albans School 1977 — 1986
N.C. Policy Watch October 2012 - Present
American Lawyer January 2012 - December 2013
NC Lawyers Weekly October 2011 - October 2012
Financial Industry Regulatory Authority (FINRA) January 2007 - December 2010
McCloskey Peters LLC 2004 - 2010
State of New Jersey 1998 - 2003
D'Amato & Lynch, LLP 1990 - 1998
Winston & Strawn LLP 1986 - 1990
Skills
Storytelling, Editing, Social Media, Journalism, Courts, Nonprofits, Corporate Law, News Writing, Copy Editing, Public Policy, Newspapers, Blogging, Research, Press Releases, Public Speaking, AP Style, Writing, Media Relations
Education
Columbia University Graduate School of Journalism 2008 — 2010
MS
Duke University
BA, Political Science, Magna Cum Laude
Seton Hall Law School
JD
Morgan, Lewis & Bockius LLP October 2015 - Present
Financial Industry Regulatory Authority (FINRA) January 2015 - May 2015
The Honorable Kevin J. Carey August 2014 - December 2014
LIMA Wingman April 2011 - August 2012
U.S. Department of Justice January 2012 - May 2012
Skills
Corporate Law, Legal Research, Legal Writing, Westlaw, LexisNexis, Mergers & Acquisitions, Corporate Governance, Private Equity, Securities Regulation
Education
Temple University - James E. Beasley School of Law 2012 — 2015
Juris Doctor (JD)
Georgetown University
Capital Semester, Public Policy Analysis
University of Pittsburgh 2007 — 2011
Bachelor of Arts (BA), Political Science and Government; Minor, Legal Studies
Broderick, Stirn & Regan January 1999 - Present
Financial Industry Regulatory Authority (FINRA) 1998 - 2012
Preston Gates Ellis & Rouvelas Meeds (now part of K&L Gates LLP) July 1989 - December 1998
Cummings & Lockwood September 1984 - June 1989
Skills
Litigation, Arbitration, Contract Negotiation, Reinsurance, Insurance, Business Transactions, Regulatory, Financial Services, Dispute Resolution, Commercial Litigation, Underwriting, Insurance Law, Property & Casualty..., Regulations, Litigation Management, Alternative Dispute..., Class Actions, Product Liability, Mediation, Civil Litigation, Legal Research, Corporate Law
Education
Georgetown University Law Center 1981 — 1984
JD, cum laude
Fairfield University 1977 — 1981
Bachelor of Arts (B.A.), cum laude, Economics
Financial Industry Regulatory Authority (FINRA) September 2014 - December 2014
Ropes & Gray LLP May 2014 - July 2014
Grosvenor Capital Management, L.P. May 2013 - August 2013
Grosvenor Capital Management, L.P. August 2010 - August 2012
Jones Lang LaSalle July 2008 - July 2010
Education
Washington University in St. Louis School of Law
J.D. (Class of 2015)
DePaul University
Bachelor of Science in Commerce, Finance; Women's Studies
Texas Water Development Board July 2014 - Present
ERS of Texas January 2007 - May 2013
ERS of Texas June 2004 - January 2007
Century Management September 2002 - August 2003
Financial Industry Regulatory Authority (FINRA) October 2000 - May 2002
Skills
Equities, Investments, Bloomberg, Securities, Fixed Income, Mutual Funds, Portfolio Management, Financial Risk, Accounting, Bloomberg Terminal, Trading Strategies, FX trading, Equity Trading, Capital Markets, Financial Markets, Electronic Trading, Trading Systems, Investment Management, Asset Management, Cash Management, Financial Services, Asset Allocation, Trading
Education
Austin Community College 2014 — 2015
Certificate, Hospitality Administration/Management
Clemson University 1992 — 1993
Master of Business Administration (M.B.A.), International Business
STATE UNIVERSITY OF NEW 1989 — 1992
Bachelor of Arts, Economics
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
John Jay College August 2014 - Present
Self-Employed September 2012 - Present
Willis Group Holding August 2006 - September 2012
Various Start-Ups and Clients January 2005 - July 2006
Marsh & McLennan Companies, Inc. September 1980 - January 2005
Skills
Due Diligence, Corporate Finance, Financial Risk, Start-ups, Mergers & Acquisitions, Brokers, Corporate Development, Management, Business Strategy, Financial Modeling, Strategic Planning, Governance, Executive Management, Contract Negotiation, Entrepreneurship, Joint Ventures, Treasury, Property & Casualty..., International Business..., Investment Banking, Divestitures, Multiple Disciplines, Risk Management, Valuation
Education
City University of New York-John Jay College of Criminal Justice 2012 — 2014
Master's Degree, International Crime & Justice
Columbia University - Columbia Business School 1973 — 1975
Master of Business Administration (MBA), Finance, International Business, Economics
Technion-Machon Technologi Le' Israel 1969 — 1973
BSc, Aerospace, Aeronautical Engineering
Mathematiques Superieures - Paris 1968 — 1969
Mathematics and Physics
City University of New York-John Jay College of Criminal Justice 2012 — 2015
Advanced Certificate in Terrorism Studies
The Denenberg Companies February 2007 - Present
Financial Industry Regulatory Authority (FINRA) 1991 - 2014
Southwest Securities, Inc. 1995 - 2007
Barre and Company 1982 - 1995
Noshery Resturant 1980 - 1982
Skills
Investment Properties, Apartments, Single Family Homes, Investors, Residential Homes, Real Estate, Property, Real Estate Transactions, REO, Rentals, Sellers, Property Management, Short Sales, Foreclosures, Real Estate Development, Real Estate Financing
Education
City University of New York-Brooklyn College 1974 — 1979
BA, Economics
City University of New York-Brooklyn College 1974 — 1979
Bachelor of Arts (B.A.), Economics
Financial Industry Regulatory Authority (FINRA) 1996 - Present
Federal Deposit Insurance Corporation February 1992 - January 1996
Skills
FINRA, Securities, Analysis, Financial Risk, Banking, Equity Trading, Capital Markets, Series 7, Mutual Funds, Fixed Income, Investment Advisory, Hedge Funds, Investments, Equities, Securities Regulation, Finance, Series 24, Financial Services, Trading, Alternative Investments, AML, Options, Series 63, Financial Regulation, Derivatives, Bloomberg, Anti Money Laundering
Education
University of Pennsylvania - The Wharton School 2003 — 2005
Certified Regulatory and Compliance Professional, Broker-Dealer Financial Regulation
George Mason University 2001 — 2003
Masters, Business and Public Administration
University of Maryland College Park 1984 — 1988
Bachelor of Arts, Political Science/Economics
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE December 2011 - December 2014
Orrill, Cordell & Beary, L.L.C. April 2008 - July 2011
Musgrave, McLachlan & Penn, LLC August 2005 - April 2008
Skills
Legal Research, Litigation, Legal Writing, Corporate Law, Courts, Civil Litigation, Capital Markets, Securities Regulation, Commercial Litigation, Insurance, Employment Litigation, Options, Microsoft Excel, Appeals, Finance, Mediation, Securities, Westlaw
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2010 — 2013
Loyola University New Orleans College of Law 2003 — 2006
Juris Doctor (J.D.), Top 20%
Schneider Electric June 2014 - Present
Colorado State University August 2013 - May 2014
Integware, Inc May 2013 - August 2013
Brown Brothers Harriman December 2010 - August 2012
Self-Employed January 2011 - July 2012
Colorado State University August 2006 - June 2009
Financial Industry Regulatory Authority (FINRA) June 2008 - July 2008
Skills
Research, PowerPoint, Microsoft Excel, Community Outreach, Data Analysis, Public Speaking, Microsoft Office, Teaching, Microsoft Word, Event Planning, Customer Service, Time Management, Training, Spanish, Analysis, Business Analysis, Critical Thinking, Nonprofits, Statistics, Fundraising, ArcGIS, Project Management
Education
Colorado State University
MSBA-CIS, Computer and Information Systems Security/Information Assurance
Colorado State University 2004 — 2009
Bachelor of Business Administration (BBA), Finance, General
Colorado State University 2004 — 2009
Bachelor of Arts (B.A.), Political Science and Government
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
FINRA March 2006 - Present
North American Securities Administrators Association (NASAA) June 2001 - March 2006
Conseco Life Insurance September 1999 - April 2001
Education
DePauw University 1995 — 1999
BA, Political Science
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Morrison Cohen LLP April 2011 - December 2014
Fried Frank September 2005 - March 2011
Forward newspaper 2001 - 2002
The Ritz-Carlton Hotel Company, L.L.C. 2001 - 2002
Wagner Stott Mercator (now part of Barclays) 1999 - 1999
Skills
Litigation, Civil Litigation, Commercial Litigation, Securities Litigation, Commercial Real Estate, Employment Law, Defamation, Breach Of Contract, Contract Law, Modern Hebrew, Legal Writing, Writing, Commercial Torts, White Collar Criminal..., Alternative Dispute..., Securities Regulation, Motions, Business Litigation, Legal Issues
Education
Fordham University School of Law 2002 — 2005
JD, Law
The Johns Hopkins University 1997 — 2001
BA, History
Solomon Schechter 1985 — 1997
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Barclays Capital, Wealth and Investment Management Division December 2013 - April 2015
Barclays Capital, Wealth and Investment Management Division April 2013 - November 2013
The Guardian Life Insurance Company of America May 2009 - January 2013
The Guardian Life Insurance Company of America February 2000 - April 2009
AIG Royal Alliance Associates INC July 1993 - February 2000
Robert Thomas Securities/Raymond James July 1992 - June 1993
Dollar Dry Dock Bank June 1987 - June 1992
Skills
FINRA, Securities, Series 7, Series 24, Series 6, Series 65, Series 63, Financial Services, Mutual Funds, Investments, Retirement Planning, Investment Advisory, Equities, Wealth Management, Insurance, Asset Managment, Retirement, Fixed Annuities, Fixed Income, Alternative Investments, Finance, AML, Banking, Investment Management, Life Insurance, Asset Allocation
Education
Fordham University 1983 — 1987
BS, Finance
College for Financial Planning 1990 — 1991
CFP, Financial Planning
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
NES Associates, LLC July 2012 - March 2015
Booz Allen Hamilton March 2011 - July 2012
Juxtopia, LLC August 2010 - March 2011
IBM Global Business Services June 2010 - August 2010
Danya International, Inc. September 2009 - May 2010
University of Maryland Baltimore County 2009 - 2010
Lucky Brand Jeans May 2006 - March 2008
Skills
Grant Writing, Project Management, Instructional Design, Adult Education, Training, Technical Writing, Learning Management, Training & Development, Instructor-led Training, Web-based Training, Evaluation, Logistics, Training Coordination, E-Learning, Leadership Development, Organizational..., Employee Training, ADDIE, SnagIt, Proposal Writing, Learning Management..., Captivate, Program Management, Instructional Technology, Blended Learning, Leadership, Technical Training, SCORM
Education
University of Maryland Baltimore County 2009 — 2010
M.A., Instructional Systems Development
George Mason University 2005 — 2008
B.S., Conflict Analysis and Resolution
Georgetown University Law Center August 2013 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - November 2014
U.S. Securities and Exchange Commission May 2014 - August 2014
GE February 2012 - August 2013
GE Capital August 2011 - January 2012
GE Capital January 2011 - July 2011
GE Capital August 2010 - January 2011
GE Capital January 2010 - July 2010
George Washington University August 2009 - January 2010
Academic Technologies December 2007 - August 2009
Skills
Excel, PowerPoint skills, Access, Oracle Applications, Oracle Financials, Oracle Discoverer, Hyperion, LexisNexis, Business Objects, Variance Analysis, Accounting, Hyperion Enterprise, Leadership, PowerPoint, Oracle E-Business Suite, Budgets, Microsoft Excel, Government, Essbase, Auditing, Financial Reporting, Finance
Education
The George Washington University 2005 — 2009
BA, Political Science, Business
Georgetown University Law Center
E*TRADE Capital Management, LLC June 2009 - Present
E*TRADE Financial February 2004 - Present
Kobren Insight Management, an E*TRADE Financial Wealth Management Company February 2010 - February 2011
Financial Industry Regulatory Authority (FINRA) June 2000 - February 2004
FINRA 2002 - 2004
Skills
Securities, Series 7, Compliance, Capital Markets, Risk Management
Education
Georgetown University 2006 — 2006
Professional Development Certificate, Financial Planning
James Madison University 1992 — 1996
BBA, Management, Economics
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
Financial Industry Regulatory Authority (FINRA) March 2011 - July 2014
Financial Industry Regulatory Authority (FINRA) October 2009 - March 2011
Scottrade June 2007 - September 2009
Scottrade May 2006 - June 2007
Skills
Securities, FINRA, Series 7, Fixed Income, Bloomberg, Capital Markets, Investments, Financial Analysis, Financial Modeling, Risk Management, Wealth Management, Financial Advisory, Securities Regulation, Due Diligence, Asset Allocation, Economics, Mutual Funds, Financial Markets, Derivatives, Trading
Education
George Mason University 2003 — 2007
Bachelor of Science, Finance
Marymount University
Financial Industry Regulatory Authority (FINRA) October 2012 - Present
Financial Industry Regulatory Authority (FINRA) April 2005 - September 2012
US Securities and Exchange Commission June 1998 - April 2005
US Navy January 1993 - August 1997
Skills
Securities Regulation, Securities Litigation, Securities Fraud, Litigation, Fraud Investigations, Financial Crimes..., Trials, Legal Writing, Civil Litigation, Appeals, FINRA, SEC, Military, Military Justice
Education
Georgetown University Law Center 1997 — 1998
Master of Laws (LLM), Securities Regulation
University at Buffalo 1989 — 1992
Juris Doctor (J.D.), Law
University at Albany, SUNY 1983 — 1987
BA, Political Science/History
Financial Industry Regulatory Authority (FINRA) January 2002 - Present
Skills
Securities Regulation, Financial Reporting, Operational Risk..., Compliance, FINRA, Portfolio Management, SEC, Financial Regulation, Capital Markets, Investment Strategies, USA PATRIOT Act, Broker-Dealer, OFAC, Series 24, Analysis, Mutual Funds
Education
University of Phoenix
M.B.A, Business Management
Fordham University
B.S, Finance; Economics
Peri & Stewart LLC June 2015 - Present
Seton Hall University School of Law August 2013 - Present
Tempo Networks May 2015 - August 2015
Financial Industry Regulatory Authority (FINRA) May 2014 - July 2014
The Law Office of Ward Council, LLC June 2010 - May 2012
Jones IP Law, LLC November 2008 - June 2010
Chambless Clinic June 1999 - August 2001
Skills
Legal Research, Client Billing, Office Administration, Corporate Compliance, Mergers and Acquisitions, Business Formation and..., Corporate and..., Client Management, Intermediate Spanish, Legal Writing, mergers and acquisitions, Securities Regulation, Corporate Law, Microsoft Office, Westlaw, Microsoft Word, Legal Assistance, Research, LexisNexis, Lexis, Public Speaking, Event Planning, Microsoft Excel, Leadership, PowerPoint, Spanish
Education
Seton Hall University School of Law 2013 — 2016
Doctor of Law (JD)
Emory University 2009 — 2009
Certificate, Paralegal Studies
The University of Georgia 2001 — 2006
Bachelor of Arts (BA), International Affairs
Bank of America Merrill Lynch March 2010 - Present
TD Securities May 2009 - February 2010
Merrill Lynch November 2004 - March 2009
NYSE 2004 - 2004
Chicago Board Options Exchange 2001 - 2004
Zacks Investment Research 1999 - 2001
Financial Industry Regulatory Authority (FINRA) 1998 - 1999
Nuveen Investments 1996 - 1998
Skills
Series 56, Series 63, Series 7, Compliance, Options, Equities
Education
Eastern Illinois University 1993 — 1996
Bachelor of Science in Business, Finance
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Rhythm City June 1985 - Present
CBOE May 2013 - December 2014
Goldman Sachs August 1999 - March 2012
First Options of Chicago August 1989 - August 1999
Skills
Financial Operations, OCC, Options, Equities, Reorganisation, CIL, Microsoft Office, Trading, Corporate Actions, Derivatives, Settlement, Back Office
Education
DePaul University
Bachelor's in LAS, Music with Multi-/Interdisciplinary Studies, General
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
Financial Industry Regulatory Authority June 2010 - Present
FINRA October 2008 - June 2010
Skills
Call Center, AML, Customer Service, Microsoft Excel, Financial Services, Microsoft Office, Business Analysis, Outlook, Analysis, Equities, Anti Money Laundering, Microsoft Word, Access, PowerPoint, FINRA, Call Centers
Education
Clark University 2004 — 2007
Bachelor's degree, Sociology
Ulster County Community College 2003 — 2004
Associate's degree
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
Financial Industry Regulatory Authority November 2013 - September 2015
Scottrade May 2013 - October 2013
Scottrade November 2012 - May 2013
Scottrade Inc June 2010 - November 2012
Scottrade June 2009 - June 2010
Skills
Equities, Securities, Stocks, Bloomberg, Financial Analysis, PowerPoint, Critical Thinking, Microsoft Word, Customer Service, Microsoft Office, Accounting, Fixed Income, Financial Modeling, Finance, Microsoft Excel, Series 7, Trading, Investments, Series 63, Options, Financial Services, Team Building, Public Speaking, Mutual Funds, Strategic Planning
Education
Fontbonne University 2006 — 2010
Bachelor of Science (BS), Business Administration, Finance & Accounting, 3.5 Cumulative GPA
Financial Industry Regulatory Authority (FINRA) August 2013 - Present
Financial Industry Regulatory Authority April 2012 - August 2013
Hewlett-Packard August 2005 - April 2012
FINRA 2005 - 2010
United Healthcare October 2004 - July 2005
Skills
Quality Assurance, Gap Analysis, Process Control, Testing, Requirements Analysis, Software Quality..., Test Automation, Manual Testing, SQL, User Acceptance Testing, SDLC, Agile Methodologies, Quality Center, Regression Testing, Test Planning, Oracle, Software Project..., Enterprise Architecture
Education
George Mason University 2002 — 2004
Master of Sciences
Osmania University 1997 — 2001
Bachelor of Engineering
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
Raymond James Financial Inc. August 2002 - October 2014
Raymond James Financial Inc. September 2002 - October 2003
Skills
Administrative:..., Organizational:..., Personal: Professional,..., Computer: Effective..., Series 7
Education
Nova Southeastern University 2005 — 2008
Master's degree, School Psychology
Florida Southern College 1998 — 2002
Bachelor of Arts (BA), Psychology
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
FINRA January 2011 - Present
Smith Jacobs/Raymond C. Forbes June 2006 - December 2010
NYSE Euronext 1999 - 2010
Prudential Financial April 2002 - June 2006
Merrill Lynch 2002 - 2006
Skills
Series 7, Series 63, Series 24, Securities, Equities, Trading, Equity Trading, Bloomberg, Electronic Trading, Financial Markets, Options, Hedge Funds, Capital Markets, Mutual Funds, Fixed Income, ETFs, FINRA, Trading Systems, Risk Management, Proprietary Trading, AML, Due Diligence, Structured Products, Equity Derivatives, Prime Brokerage, Private Placements, Equity Research, Stocks, Investment Advisory, Investments, Derivatives, Alternative Investments
Education
Dowling College 2001 — 2003
Master of Business Administration (MBA), Banking and Finance, 3.85
New York Institute of Technology-Old Westbury
Bachelor of Science (BS), Business Administration and Management, General, 3.7
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
U.S. Department of Justice January 2014 - September 2014
Washington, DC September 2012 - December 2013
Feinberg Rozen LLP March 2011 - March 2012
McGuire Woods LLP 2010 - 2011
Legal Aid Justice Center 2009 - 2010
Thacher Proffitt & Wood LLP 2007 - 2007
Skills
Legal Research, Appeals, Civil Litigation, Litigation, Legal Writing, Courts, Commercial Litigation, Westlaw, Corporate Law, Mediation, Immigration Law, Hearings, Legal Issues, Securities Regulation, Administrative Law
Education
University of Virginia School of Law 2005 — 2008
J.D.
Duke University 1999 — 2003
B.A., Mathematics & Political Science
U.S. Securities and Exchange Commission May 2015 - August 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - May 2015
INTL FCStone Inc. August 2014 - December 2014
Cook County Government August 2014 - December 2014
Chicago Stock Exchange Compliance Department May 2014 - August 2014
Institute for Compliance, Chicago Kent College of Law May 2014 - August 2014
DePaul University Economics Department September 2011 - June 2012
Perritt Capital Management June 2011 - February 2012
Marco Consulting Group 2011 - 2011
Skills
Economics, Data Analysis, Econometrics, Statistics, Stata, Economic Research, Policy, Research, Quantitative Analytics, Public Policy, Policy Analysis, Quantitative Research, Securities, Securities Regulation, Financial Economics, Public Speaking
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2013 — 2016
Doctor of Law (J.D.)
DePaul University - Charles H. Kellstadt Graduate School of Business 2011 — 2012
Masters of Science in Economics and Policy Analysis, with distinction
DePaul University 2007 — 2011
Bachelor of Science, cum laude, Economics
Financial Industry Regulatory Authority (FINRA) February 2013 - Present
Federal Housing Finance Agency (FHFA) July 2008 - January 2013
Office of Federal Housing Enterprise Oversight June 2003 - July 2008
Burns Doane Swecker and Mathis 2000 - 2003
Arthur Andersen LLP June 1998 - August 2000
Comproller of the Currency December 1991 - June 1998
Arthur Andersen LLP September 1986 - December 1991
Squire Sanders & Dempsy 1981 - 1986
Skills
Records and Information..., Governance, FOIA, Privacy Act, Risk Management, Policy, Change Management, Policies & Procedures..., Performance Management, Human Resource...
Education
Catholic University of DC
Drexel University
Kutztown University of Pennsylvania
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Thomson Reuters February 2014 - April 2015
AllianceBernstein November 2012 - June 2013
Acquire Media March 2011 - November 2012
Thomson Reuters September 2010 - February 2011
Skills
Machine Learning, Big Data, Hadoop, Java, C, C++, SQL, Statistics, Mathematics, Linux, Market Data, Algorithms, Cloud Computing, R, Python, High Frequency Trading, Amazon Web Services..., HBase, Apache Spark
Education
Columbia University in the City of New York 2013 — 2014
Computer Science, Machine Learning
University of Pennsylvania 2006 — 2010
Mathematics, Statistics
CL King & Associates VP Senior Litigation & Regulatory AnalystShearson Lehman BrothersOctober 1990 - February 1992
Financial Industry Regulatory Authority (FINRA) 1977 - 1980
Skills
Capital Markets, Financial Analysis, Securities, Investments, Fixed Income, Hedge Funds, Equities, Litigation, Financial Modeling, Risk Management, Portfolio Management
Education
Fordham University - Graduate School of Business Administration 1978 — 1980
MBA, Investment Finance
University at Albany, SUNY 1973 — 1977
BS, Economics
Milne School 1969 — 1973
HS
Financial Industry Regulatory Authority (FINRA) August 2012 - Present
Skills
Software Development, Java, WebDriver, XML, SQL, C#, C++, C, HTML, ASP.NET, Apache Velocity, JavaScript, Integration Testing, Manual Testing, Automated Software..., Regression Testing, Agile Application..., Scrum, Atlassian JIRA, Subversion, ESB, SOA, XSLT, JIRA, Testing, Eclipse, Databases, Web Applications, Test Automation
Education
Colorado State University 2013 — 2015
Master's Degree, Computer Science
South Gujarat University 2007 — 2011
Engineer's Degree, Information Technology
The Hartford 2010 - 2014
AllianceBernstein 2007 - 2009
Jefferies 2003 - 2006
Financial Industry Regulatory Authority (FINRA) 2001 - 2003
Goldman Sachs 2000 - 2001
Sanford C. Bernstein 1993 - 2000
Shearman & Sterling LLP 1989 - 1993
Office of US Senator Bob Packwood 1983 - 1988
Aon Hewitt 1980 - 1982
Education
Georgetown University Law Center 1985 — 1988
Doctor of Law (J.D.)
Denison University 1976 — 1980
Bachelor of Arts (B.A.), Sociology and Anthropology
Charles Schwab June 2015 - Present
Financial Industry Regulatory Authority (FINRA) August 2014 - June 2015
CBOE January 2014 - August 2014
CBOE July 2012 - January 2014
Chicago Board Options Exchange September 2011 - July 2012
J.P. Morgan September 2010 - September 2011
MF Global June 2007 - September 2010
CS Technology February 2006 - June 2007
Skills
Series 7, Equities, Financial Analysis, Bloomberg, Fixed Income, Hedge Funds, Options, Financial Markets, Trading, Series 63, Risk Management, Securities, Mutual Funds, Derivatives, Portfolio Management, Electronic Trading, Investments, Financial Risk, Proprietary Trading, Financial Services, Asset Management, Quantitative Analytics, Insurance, Trading Systems, Credit, Hedging, Banking, Commodity, Bloomberg Terminal, Uniform Combined State..., Loans, Finance, Investment Advisory, Corporate Finance, Credit Risk, Technical Analysis, FINRA, Wealth Management, Capital Markets, Due Diligence, Equity Trading, Mortgage Lending, Financial Modeling, Dodd-Frank, Options Strategies, Life Insurance, Trading Strategies, Investment Strategies, Series 6, Swaps
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2010 — 2014
MBA, Finance and Strategy, Execution, and Valuation
DePaul University 2004 — 2006
Bachelor of Arts, Political Science
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
SUNY Downstate Medical Center May 2004 - June 2015
City University of New York Brooklyn College January 2011 - August 2012
Skills
Computer Science, Java, C, C++, Linux, Linux programming, SQL, RDBMS, PostgreSQL, MySQL, Oracle Database, Computer Networking, Network Programming
Education
City University of New York-Brooklyn College 2013 — 2015
Master of Arts (M.A.), Computer Science, 3.83
SUNY Downstate Medical Center 1998 — 2004
Doctor of Philosophy (Ph.D.), Neural and Behavioral Sciences
University of Science and Technology of China 1995 — 1998
Master's degree, Biophysics
Tianjin University 1991 — 1995
Bachelor of Engineering (B.E.), Applied Chemistry
Tianjin University 1991 — 1995
Bachelor of Engineering (B.E.), Econometrics and Quantitative Economics
Financial Industry Regulatory Authority (FINRA) March 2014 - Present
Manzo Consulting Group, LLC August 2009 - March 2014
Buchanan Associates November 2000 - August 2006
Ronai and Ronai June 2000 - November 2000
Skills
Customer Service, Insurance, Management, Microsoft Excel, Microsoft Office, Outlook, Microsoft Word, PowerPoint, Data Entry, Time Management, Legal Research, Leadership
Education
City University of New York-John Jay College of Criminal Justice 2003 — 2004
Masters of Arts in Criminal Justice, Criminal Justice
Pace University 1998 — 2002
Bachelor's degree, Criminal Justice, 3.24
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Bank of America November 2014 - Present
Macy's August 2013 - November 2014
Financial Industry Regulatory Authority June 2011 - August 2011
Skills
Customer Service, Microsoft Excel, Microsoft Office, PowerPoint, Call Centers, Data Entry, Retail, Inventory Management, Microsoft Word, Telephone Skills, Teamwork, Research
Education
University of Maryland College Park 2012 — 2014
Bachelor of Science (BS), Accounting
College of Southern Maryland 2010 — 2012
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Kim & Chang July 2014 - July 2014
Kings County State Supreme Court, Criminal Division May 2014 - June 2014
Skills
Research, Microsoft Office, PowerPoint, Microsoft Excel, Microsoft Word, Data Analysis, Community Outreach, Editing, Teaching, Higher Education, Fundraising, Organizational..., Leadership Development, Strategic Planning
Education
Northwestern University School of Law
Doctor of Law (JD)
Duke University
B.S. & B.A.
Brooks School
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
Chicago Board Options Exchange June 2012 - December 2014
Chicago Board Options Exchange, Inc. January 2006 - June 2012
Equitec/Schwartz September 2001 - January 2006
Skills
Options, Equities, Trading Systems, Trading, Financial Markets, Market Making, Proprietary Trading, Trading Strategies, Equity Trading, Traders, Trading Floor, Equity Derivatives, Electronic Trading, FINRA, Hedging, Securities
Education
DePaul University
Bachelor of Arts in Social Sciences
DePaul University
Bachelor of Arts (B.A.), Social Sciences
Panasonic Automotive Systems January 2015 - Present
Financial Industry Regulatory Authority (FINRA) June 2013 - August 2013
Skills
AutoCAD, Microsoft Office, Inventor, Mechanical Engineering, Matlab, SolidWorks, CATIA, VPython
Education
Georgia Tech 2012 — 2016
Hunton & Williams LLP October 2014 - Present
US Securities and Exchange Commission January 2014 - April 2014
Washington University School of Law January 2013 - December 2013
Edward Jones August 2013 - November 2013
Financial Industry Regulatory Authority (FINRA) May 2013 - July 2013
Washington University School of Law May 2012 - August 2012
Goodwin Procter LLP June 2007 - June 2009
Kings County District Attorney's Office May 2005 - August 2005
Skills
Policy, Trademarks, Securities Regulation, Securities Litigation, Investment Company Act, Corporate Law, Broker-Dealer, Securities Exchange Act..., Corporate Governance, Legal Research, Legal Writing, Analysis
Education
Washington University in St. Louis School of Law 2011 — 2014
Doctor of Law (JD)
Columbia University in the City of New York 2003 — 2007
Bachelor of Arts (BA), Classics and Classical Languages, Literatures, and Linguistics
Menlo School
Self-employed February 2014 - Present
Financial Industry Regulatory Authority (FINRA) May 2007 - January 2014
Venable LLP September 1996 - May 2007
Bayh, Connaughton & Malone/Rivkin, Radler Dunne & Bayh 1987 - September 1997
Skills
Mediation, Arbitration, Analysis of FINRA..., Appeals, Westlaw, Litigation, Courts, Legal Writing, Legal Research, Securities Regulation, Securities, Corporate Governance, Commercial Litigation, Bankruptcy, Dispute Resolution
Education
Harvard Law School 1970 — 1973
Doctor of Law (J.D.)
Cornell University 1966 — 1970
Bachelor of Arts (B.A.), Economics
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Education
Harvard Law School 2014 — 2017
Financial Industry Regulatory Authority (FINRA) February 2014 - Present
NYSE September 2013 - December 2013
Bank of America January 2008 - September 2013
Skills
Banking, Financial Analysis, Finance, Financial Services, Risk Management, Portfolio Management, Customer Service, Microsoft Office, Financial Risk, Business Analysis
Education
CUNY New York City College of Technology
Bachelor of Technology (BTech), Information Technology
Tyco Integrated Security March 2015 - Present
Financial Industry Regulatory Authority (FINRA) 2001 - 2014
Skills
Customer Service, Microsoft Office, Risk Management, Financial Analysis, Finance, Financial Services, Banking, Analysis, Microsoft Word, Insurance
Education
City Colleges of Chicago-Wilbur Wright College
Florida Atlantic University
Legal Assistant certification
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
INiTS Universitäres Gründerservice Wien GmbH September 2014 - December 2014
United States Senate Sergeant at Arms June 2014 - August 2014
Children Deserve A Chance Foundation September 2013 - May 2014
Education
Franklin & Marshall College 2012 — 2016
Bachelor’s Degree, Business, Organizations and Society, Senior