Financial Industry Regulatory Authority (FINRA)

Industry: Non-governmental organization

Description

In 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

Employee
Years
Job
Industry
Elizabeth Goldfinger Elizabeth Goldfinger Seattle, Washington Details
Elizabeth Goldfinger's Financial Industry Regulatory Authority (FINRA) Experience September 2007 - April 2008
Job Event Manager at Elysian Brewing Co
Industry Law Practice
Experience
Elysian Brewing Co  August 2015 - Present
Bloomberg BNA  January 2015 - August 2015
Bloomberg BNA  January 2014 - December 2014
Bloomberg  August 2011 - December 2014
Bloomberg  September 2008 - August 2011
Financial Industry Regulatory Authority (FINRA)   September 2007 - April 2008
Hoche Demolin Brulard and Barthelemy   May 2007 - August 2007
Law Office of Michael Benimowitz   August 2006 - May 2007

Skills
Legal Research, Customer Service, Public Speaking, Legal Writing, Courts, Family Law, Editing, Research, Corporate Law, Securities, Training, Litigation, Securities Regulation

Education
New York Law School   2005 — 2008
Doctor of Law (J.D.)

University of Maryland College Park   2001 — 2005
Bachelor of Arts (B.A.), Political Science and Government

Chris Martin Chris Martin New York, New York Details
Chris Martin's Financial Industry Regulatory Authority (FINRA) Experience April 2013 - July 2013
Job Bank of Tokyo | 2nd Contract | Independent Consultant | Risk Management IHC | Data Warehousing | SQL | BS Engineering 97
Industry Banking
Experience
Bank of Tokyo-Mitsubishi UFJ  July 2013 - Present
Financial Industry Regulatory Authority (FINRA)   April 2013 - July 2013
Citigroup  June 2010 - April 2013
Bank of America Merrill Lynch  December 2008 - May 2010
Goldman Sachs  May 2007 - November 2008
Citi  May 2005 - May 2007
Deloitte Consulting - New York, NY   December 2000 - May 2005
WeddingChannel.com - San Francisco, CA   August 1999 - October 2000
Braun Consulting - Chicago, IL   August 1998 - July 1999

Skills
Big Data, Cloudera, ETL, Hadoop, NoSQL, Linux, MS Access, SQL, TOAD, SQL Server, UNIX, Oracle DBA Certified..., Business Analysis, SDLC, Microsoft SQL Server, Automation, Basel III, Basel II, Derivatives, Business Intelligence, Requirements Analysis, Data Warehousing, Integration, Risk Management, Management

Education
Penn State University   1992 — 1997
B.S., Industrial Engineering

Fleetwood High School   1988 — 1992

Carla Gross Carla Gross Greater New York City Area Details
Carla Gross's Financial Industry Regulatory Authority (FINRA) Experience July 2012 - August 2015
Job Senior Associate at PwC
Industry Financial Services
Experience
PricewaterhouseCoopers  August 2015 - Present
Financial Industry Regulatory Authority (FINRA)   July 2012 - August 2015
Fidelity Investments  June 2011 - August 2011
Diesel  June 2010 - August 2010

Skills
Account Reconciliation, Accounting, Bloomberg, Equities, FINRA, Microsoft Excel, Securities, Finance, Investments, Microsoft Word

Education
Pace University   2008 — 2012
BS, Business Economics

Shiyue Emily Wang Shiyue Emily Wang New York, New York Details
Shiyue Emily Wang's Financial Industry Regulatory Authority (FINRA) Experience August 2014 - May 2015
Job Analyst at NYSE
Industry Financial Services
Experience
NYSE  June 2015 - Present
Financial Industry Regulatory Authority (FINRA)   August 2014 - May 2015
Quinlan School of Business, Loyola University Chicago  June 2013 - May 2015
E Power Group   July 2011 - August 2011
Bank of China  July 2010 - August 2010

Skills
Access, Financial Modeling, VBA, Stata, R, MegaStat, Teamwork, Financial Regulation, Microsoft Excel, Data Analysis, Finance, Microsoft Word, PowerPoint, Prezi, Photoshop, MRP, Master Scheduling, Process Design, Quality Management, Microsoft Office, Valuation, Bloomberg

Education
Loyola University of Chicago   2013 — 2015
Master of Business Administration (MBA), Finance, General, 3.56

University of Oklahoma   2010 — 2012
Bachelor of Business Administration (BBA), Finance, General

Anya Kassou Anya Kassou Greater New York City Area Details
Anya Kassou's Financial Industry Regulatory Authority (FINRA) Experience September 2014 - Present
Job Financial Operations Examiner
Industry Accounting
Experience
Financial Industry Regulatory Authority (FINRA)   September 2014 - Present
Deloitte  August 2013 - September 2014
Deloitte  October 2012 - August 2013
JPMorgan Chase  July 2011 - October 2012
JPMorgan Chase  July 2011 - July 2011
KPMG US  June 2011 - July 2011
Reader's Digest  January 2007 - February 2009
AIFS  March 2005 - December 2006
PepsiCo  April 2003 - March 2005
MasterCard  March 1999 - November 2002

Skills
Accounting, Microsoft Word, Financial Reporting, QuickBooks, Financial Accounting, Microsoft Excel, Internal Controls, Finance, Tax, PowerPoint, Microsoft Office, Financial Analysis, US GAAP, Auditing, GAAP, Account Reconciliation, SEC filings, Financial Statements, Sarbanes-Oxley Act

Education
Monroe College   2009 — 2011
Bachelor of Business Administration (BBA), Accounting and Finance

Mercy College   2001 — 2005
Bachelors of Science (BS), Finance with specialization in Economics

paul woebel paul woebel Chicago, Illinois Details
paul woebel's Financial Industry Regulatory Authority (FINRA) Experience January 2015 - Present
Job Sr. Investigator at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   January 2015 - Present
CBOE  June 2013 - December 2014
INTL FC Stone   March 2009 - October 2012
Chicago mercantile exchange  August 2006 - January 2009
Futrex Trading   May 2003 - August 2006
Futrex trading   January 2002 - April 2003
Primex Prime Electronic Execution   January 2000 - January 2001
Carr Futures  January 1997 - January 1999
Spike trading  1996 - 1997

Skills
Options, Trading, Derivatives, Commodity, Financial Risk, Hedging, Electronic Trading, Proprietary Trading, Risk Management, Portfolio Management, Currency, Securities, Equities, FINRA, Financial Markets, Trading Strategies, Market Making, Fixed Income, Accounting, Bloomberg, FX Options, Traders, Rates, Agriculture, Anti Money Laundering, futures, series 3, interest rates, Problem solving, Presentations

Education
Northern Illinois University   1993 — 1996
Bachelor of Science (B.S.), Accounting

Stefanie Herrera Stefanie Herrera Staten Island, New York Details
Stefanie Herrera's Financial Industry Regulatory Authority (FINRA) Experience August 2014 - Present
Job Financial Industry Regulatory Authority (FINRA)
Industry Law Practice
Experience
Financial Industry Regulatory Authority (FINRA)   August 2014 - Present
Immigration Clinic Practicum, Hofstra Law School   January 2014 - May 2014
Jay D. Raxenberg, P.C.   February 2013 - May 2014
Solace Women's Aid  June 2013 - August 2013
Solution Oriented Domestic Violence Prevention Court   May 2012 - August 2012
Michigan Unemployment Insurance Project  January 2012 - May 2012
Con Edison  January 2011 - July 2011
Applebee's  September 2004 - February 2011

Skills
Legal Research, Legal Writing, Appeals, Westlaw, Microsoft Office, PowerPoint, Family Law, Microsoft Word, Litigation, Microsoft Excel, LexisNexis, Mediation, Civil Litigation, PL/SQL

Education
Maurice A. Deane School of Law at Hofstra University   2012 — 2014
Juris Doctor, Law

Wayne State University Law School   2011 — 2012
Juris Doctor Candidate

Jacqueline Daly Jacqueline Daly Greater New York City Area Details
Jacqueline Daly's Financial Industry Regulatory Authority (FINRA) Experience May 2015 - Present
Job Regulatory Analyst
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   May 2015 - Present
Cox Reps  August 2014 - May 2015
Viking Aquatic Club   April 2014 - August 2014
Bankers Healthcare Group, Inc.   September 2013 - December 2013
NYSE Euronext  May 2013 - August 2013

Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Outlook, Access, SAP, Social Media, Accounting, Public Speaking, Cpr Certified, First Aid, Lifeguarding, AED, Leadership, Teamwork, Team Leadership, Training, Financial Analysis

Education
Le Moyne College   2009 — 2013
Bachelor of Science (B.S.), Accounting

Derrick Nguyen Derrick Nguyen Washington D.C. Metro Area Details
Derrick Nguyen's Financial Industry Regulatory Authority (FINRA) Experience September 2014 - Present
Job Owner at Dwin LLC
Industry Internet
Experience
Dwin LLC   March 2012 - Present
Financial Industry Regulatory Authority (FINRA)   September 2014 - Present
Accenture  July 2013 - September 2014
Virtus Consulting Group, Inc.   June 2008 - March 2012
BB&T  December 2006 - June 2008

Skills
Financial Analysis, Portfolio Management, Financial Modeling, Business Analysis, Risk Management, Management Consulting, Project Management, Process Improvement, Financial Risk, Financial Services, Quality Assurance, Requirements Analysis, IT Strategy, SDLC, SAP, Business Objects, Business Intelligence, Finance

Education
The Johns Hopkins University - Carey Business School   2009 — 2011
Master of Business Administration (M.B.A.), Strategic Leadership

University of California, Los Angeles   1999 — 2002
Bachelor of Science, Sociology

Northwestern University   1997 — 1999

Ray Bess Ray Bess New York, New York Details
Ray Bess's Financial Industry Regulatory Authority (FINRA) Experience 2011 - 2012
Job Investor/Wholesaler; Lease Options are also an option
Industry Real Estate
Experience
Perfect Score   January 2014 - Present
Perfect Score Credit Solutions   October 2012 - January 2014
Financial Industry Regulatory Authority (FINRA)   2011 - 2012

Skills
Leadership, Mutual Funds, Retirement Planning, Finance, Investments, PowerPoint, Nonprofits, Financial Advisory, Financial Services, Financial Analysis, Entrepreneurship, Management, Real Estate

Education
State University of New York College at Old Westbury
Bachlors's Degree, Politics, Economics, and Law

Nassau Community College
Associate's degree, Business Administration and Management, General

Jeff Pasquerella Jeff Pasquerella Ossining, New York Details
Jeff Pasquerella's Financial Industry Regulatory Authority (FINRA) Experience January 2015 - Present
Job Senior Vice President and Regional Director (South Region) at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   January 2015 - Present
Financial Industry Regulatory Authority  June 2013 - January 2015

Skills
Securities, Mutual Funds, Investments, FINRA, Alternative Investments, Asset Management, Capital Markets, Equities, Fixed Income, Financial Services, Hedge Funds, Investment Advisory, Securities Regulation, Wealth Management, Series 7, Series 63, Bloomberg

Education
Pace University School of Law   1993 — 1996
Doctor of Law (JD), Environment

Villanova University
Bachelor's degree

Charles Burdick Charles Burdick Chicago, Illinois Details
Charles Burdick's Financial Industry Regulatory Authority (FINRA) Experience August 2015 - Present
Job Regulation Analyst at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   August 2015 - Present
Financial Industry Regulatory Authority (FINRA)   June 2015 - August 2015
Indiana University Student Foundation  August 2014 - May 2015
Monroe County United Ministries, Inc.   November 2012 - May 2015
CBOE  May 2014 - August 2014
Hi-Five Sports Clubs  June 2010 - 2013
AAA Tickets - IL   May 2012 - August 2012

Skills
Options, Sales, Trading, Analysis, Customer Service, Management, Investments

Education
Indiana University Bloomington   2011 — 2015
Bachelor's degree, Economics Political Science

Whitney Young

Howard Spence Howard Spence Lansing, Michigan Area Details
Howard Spence's Financial Industry Regulatory Authority (FINRA) Experience 2004 - 2014
Job Arbitrator Mediator Attorney Consultant College Educator Administrative Law Judge (Retired)
Industry Legal Services
Experience
Eaton County Board of Commissioners   2012 - Present
Spence and Associates (Howard T Spence PLC and Black-Gold Associates LLC)   2002 - Present
Financial Industry Regulatory Authority (FINRA)   2004 - 2014
University of Phoenix  2004 - 2009
State of Michigan (Bureau of Hearings - Michigan Administrative Hearings System)   1992 - 2002
State of Michigan (Insurance Bureau - Office of Financial and Insurance Regulation)   1979 - 1992
Thomas M. Cooley Law School  1977 - 1980
State of Michigan (Michigan Public Service Commission - PSC)   1978 - 1979
State of Michigan - Department of Commerce Management Bureau   1976 - 1978
State of Michigan Department of Corrections  1971 - 1976

Skills
Mediation, Alternative Dispute..., Arbitration, Litigation, Employment Law, Legal Writing, Conflict Resolution, Dispute Resolution, Public Speaking, Courts, Legal Research, Civil Litigation, Non-profits, Commercial Litigation, Family Law, Policy, Administrative Law, Public Policy, Licensing, Appeals, Policy Analysis, Human Resources, Torts, Corporate Law, Government, Nonprofits, Class Actions, Wills, Organizational..., Legal Assistance, Personal Injury, Bankruptcy, Legal Issues, Recruiting, Hearings, Criminal Defense, Westlaw, Politics, Employee Benefits, Employment..., Intellectual Property, Trial Practice, Training, Litigation Support, Criminal Law, Discrimination

Education
University of Michigan Law School   1973 — 1976
JD, Labor and Employment law focus

Michigan State University - The Eli Broad College of Business   1980 — 1983
MBA, Finance, Insurance, and General Management

Michigan State University - School of Human Resources and Labor Relations   1978 — 1980
MLIR, Labor and Industrial Relations, Employment Relations

University of Michigan - Gerald R. Ford School of Public Policy Studies   1974 — 1977
Master of Public Administration (MPA), Public Policy

Michigan State University School of Criminal Justice
Master of Science (MS), Criminal Justice/Law Enforcement Administration

Michigan State University (Honors College)   1967 — 1970
BA, Honors College - Multidisciplinary studies

Marc Schindelheim Marc Schindelheim White Plains, New York Details
Marc Schindelheim's Financial Industry Regulatory Authority (FINRA) Experience October 2014 - Present
Job FINRA Dispute Resolution Arbitrator at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Regulatory, Legal and Compliance matters   2012 - Present
Financial Industry Regulatory Authority (FINRA)   October 2014 - Present
Madison Consulting Group  May 2014 - September 2014
UPRR, LLC  2013 - 2014
New York Life Insurance Company  1995 - 2012
Office of the Comptroller of the City of New York   1990 - 1994
Office of the District Attorney of Kings County   1976 - 1990

Skills
Compliance, Insurance Law, Insurance Regulatory, Series 7, Series 24, Complaint Management, Insurance, Risk Management, Life Insurance, Mergers & Acquisitions, Leadership, Corporate Law, FINRA, AML, Building Business..., Securities, Finance, Financial Regulation, Corporate Governance, Legal Compliance, Risk Assessment, ERISA, Due Diligence, Financial Services, Anti Money Laundering

Education
New York University
Master of Laws (LLM), Taxation

St. John's University
Doctor of Law (JD)

State University of New York at Stony Brook
Bachelor of Science (BS), Biology

Jenny Qian Sun, CFA, PMP Jenny Qian Sun, CFA, PMP Greater Chicago Area Details
Jenny Qian Sun, CFA, PMP's Financial Industry Regulatory Authority (FINRA) Experience December 2014 - Present
Job Sr. Project Manager at Supernova Companies
Industry Financial Services
Experience
Supernova Companies   June 2015 - Present
Financial Industry Regulatory Authority (FINRA)   December 2014 - Present
CTI consulting  June 2013 - December 2014
CBOE  2013 - 2014
CBOE  2013 - 2014
Morningstar  May 2011 - June 2013
Morningstar  February 2010 - May 2011
Morningstar  April 2009 - February 2010
Morningstar  October 2004 - April 2009
Chuangyuan Information Technologies   September 2003 - June 2004

Skills
Project Management, Product Management, Agile Methodologies, Analysis, Software Project..., Research, Mobile Applications, Business Process, Requirements Analysis, Team Leadership, Management, SEO, Product Development

Education
Illinois Institute of Technology   2001 — 2002
MS, Computer Science

University of Science and Technology of China   1991 — 1996
B.S., Chemistry

Danny Peso Danny Peso Boca Raton, Florida Details
Danny Peso's Financial Industry Regulatory Authority (FINRA) Experience April 2006 - Present
Job Investigator at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   April 2006 - Present
Prudential Financial  April 2005 - April 2006
Rothstein Kass KPMG LLP  April 2004 - April 2005

Skills
FFIEC, Securities Regulation, Anti Money Laundering, FINRA, Project Management, Regulatory Compliance, Securities Fraud, SEC, Fraud Investigations, Securities Litigation, Risk Management, Risk Compliance, CFTC, Microsoft Office, Strategic Planning, Management, Customer Service, Finance, Financial Services, Banking, Securities, Fraud, Equities, Mutual Funds, Due Diligence, Investments, Series 7

Education
Montclair State University
Bachelor's Degree, Accounting and Finance

Adam Schadt Adam Schadt Rochester, New York Details
Adam Schadt's Financial Industry Regulatory Authority (FINRA) Experience June 2015 - August 2015
Job MBA Candidate, Simon Business School University of Rochester
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   June 2015 - August 2015
Cakewalk Gallery   2011 - 2013
USIS  2007 - 2011
USIS  2003 - 2007
USIS  2002 - 2003

Skills
Microsoft Excel, Microsoft Office, Microsoft Word, Background Checks, Investigation, Private Investigations, Internal Investigations, Research, Public Speaking, Physical Security, Security Operations, Emerging Markets, Bloomberg Terminal, Equity Research Analysis, Fixed Income Analysis, Written Communication, Report Writing, Teamwork, Quantitative Research, Qualitative Research, Finance, Investments, Financial Modeling, Strategy

Education
William E. Simon School of Business   2014 — 2016
Master of Business Administration (M.B.A.), Finance & Corporate Accounting, GPA 3.61

Loyola University Maryland   1997 — 2001
Bachelor's Degree, History, GPA 3.033

Eric Esposito Eric Esposito Toms River, New Jersey Details
Eric Esposito's Financial Industry Regulatory Authority (FINRA) Experience May 2015 - Present
Job Security Officer at Community Medical CenterToms River, NJ
Industry Security and Investigations
Experience
Financial Industry Regulatory Authority (FINRA)   May 2015 - Present
Community Medical Center-Toms River, NJ  November 2011 - Present
Boscov's Department Store  September 2010 - November 2011

Skills
Security Operations, Physical Security, Security Management, Surveillance, CCTV, Security Training, Data Analysis, Financial Regulation, Regulatory Compliance, Microsoft Office

Education
Rowan University   2013 — 2016
Bachelor’s Degree, Accounting and Finance

Ocean County College   2011 — 2013
Associate of Science (A.S.), Business Administration, Management and Operations

Jonathan (Jack) Korte Jonathan (Jack) Korte Miami, Florida Details
Jonathan (Jack) Korte's Financial Industry Regulatory Authority (FINRA) Experience May 2015 - August 2015
Job Student at University of Miami School of Law
Industry Law Practice
Experience
U.S. Securities and Exchange Commission   August 2015 - Present
Financial Industry Regulatory Authority (FINRA)   May 2015 - August 2015
Centurion, LLP   March 2014 - August 2014

Skills
Microsoft Office, Spanish, Portuguese, Public Speaking, Microsoft Excel, Microsoft Word, PowerPoint, Teaching, Latin America

Education
University of Miami School of Law
Juris Doctor

Miami University
Bachelor of Arts, Spanish and Latin American Studies

Instituto San Joaquin de Flores   2011 — 2012
Spanish & Latin American History, International Business/Trade/Commerce

Dawit Beru Dawit Beru Washington D.C. Metro Area Details
Dawit Beru's Financial Industry Regulatory Authority (FINRA) Experience July 2014 - Present
Job Accounting Associate at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   July 2014 - Present
FINRA  October 2012 - July 2014
International Center for Transitional Justice (ICTJ)   June 2011 - August 2011

Skills
Finance, Financial Regulation, Microsoft Excel, Microsoft Word, PowerPoint, Microsoft Office, Research, Customer Service

Education
Morehouse College   2008 — 2012
Business of Administration, Finance

Danielle LeFlore Danielle LeFlore Washington D.C. Metro Area Details
Danielle LeFlore's Financial Industry Regulatory Authority (FINRA) Experience September 2015 - Present
Job Paralegal at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   September 2015 - Present
McKinney & Associates  October 2011 - September 2015
TRAK Services  November 2009 - October 2011
Cross Match Technologies  2007 - 2008
McKinney and Associates Public Relations   2002 - 2005

Skills
LexisNexis, Westlaw, Microsoft Office, Pleadings, Legal Research, Legal Memos, Client Letters, Client Intake, Research, Lexis, Nonprofits, Event Planning, Editing, Strategic Planning

Education
Georgetown University   2011 — 2012
Certificate, Paralegal Studies

Howard University   1981 — 1985
B.A., Communications

Aaron Hutcherson Aaron Hutcherson Washington D.C. Metro Area Details
Aaron Hutcherson's Financial Industry Regulatory Authority (FINRA) Experience April 2014 - Present
Job State & Federal Analyst
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   April 2014 - Present
Financial Industry Regulatory Authority  March 2011 - April 2014
CBS News  June 2009 - August 2009
Libertas Global Partners (Non-Profit)   June 2008 - August 2008
Nike Tennis Camp  June 2007 - August 2007

Skills
Research, Data Analysis, SharePoint, Public Speaking, Microsoft Excel, Access, PowerPoint, Finance, FINRA, Microsoft Office, Outlook

Education
Johnson C. Smith University - JCSU   2006 — 2010
Bachelor of Arts, Communications, 3.8

Nisanth Patcha Nisanth Patcha New York, New York Details
Nisanth Patcha's Financial Industry Regulatory Authority (FINRA) Experience March 2015 - Present
Job Examiner at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   March 2015 - Present
J.P. Morgan   August 2013 - February 2015
Financial Industry Regulatory Authority  May 2013 - August 2013
CSS Staffing  September 2012 - May 2013
Morgan Stanley  May 2009 - August 2009

Skills
Microsoft Excel, LexisNexis, QuickBooks, Financial Analysis, PowerPoint, Customer Service, Research, Microsoft Office, Microsoft Word, Valuation, Economics, PeopleSoft, Equities

Education
University of Delaware - Lerner College of Business and Economics   2012 — 2014
Master of Science (M.S.), Accounting

Indiana University Bloomington   2011 — 2012
Bachelor of Arts (B.A.), Economics

Neal Dugan Neal Dugan Greater New York City Area Details
Neal Dugan's Financial Industry Regulatory Authority (FINRA) Experience October 2004 - December 2009
Job Senior Financial Analyst at AECOM Corporation
Industry Civil Engineering
Experience
AECOM Corporation  August 2013 - Present
ETF Securities  March 2011 - September 2012
Credit Suisse  November 2010 - February 2011
Financial Industry Regulatory Authority (FINRA)   October 2004 - December 2009

Skills
Securities, Equities, Fixed Income, Options, ETFs, Municipal Bonds, Swaps, Commodity Markets, Equity Trading, Broker-Dealer, Hedge Funds, Investments, Finance, Financial Modeling, Forecasting, Financial Analysis, Process Improvement, Product Development, Product Management, Product Marketing, Securities Regulation, Regulatory Compliance, FINRA, NFA, Asset Management

Education
Pace University
Bachelor of Business Administration (B.B.A.), Finance, General

Rosie (Colandreo) Allan Rosie (Colandreo) Allan Washington D.C. Metro Area Details
Rosie (Colandreo) Allan's Financial Industry Regulatory Authority (FINRA) Experience September 2014 - Present
Job Director Organizational Development at Financial Industry Regulatory Authority (FINRA)
Industry Management Consulting
Experience
Financial Industry Regulatory Authority (FINRA)   September 2014 - Present
Booz Allen Hamilton  April 2013 - September 2014
Booz Allen Hamilton  July 2010 - March 2013
Booz Allen Hamilton  April 2007 - June 2010
MeadWestvaco Corporation  July 2002 - April 2007
MWV  July 1990 - June 2002
Automatic Data Processing  September 1986 - July 1990

Skills
Talent Management, Change Management, Performance Management, Organizational..., Training, Strategic Planning, Coaching, Management Consulting, Workforce Planning, Program Management, Leadership Development, Process Improvement, Resource Management, Employee Engagement, Succession Planning, Team Building, Executive Coaching, Change Leadership, Diversity & Inclusion, Strategy, Talent Acquisition, Leadership, Human Resources, Management

Education
The Johns Hopkins University - Carey Business School   1992 — 1996
MS, Applied Behavioral Science/Org. Development

Old Dominion University   1982 — 1986
BS, MIS/Economics

Bill Bidell Bill Bidell Greater New York City Area Details
Bill Bidell's Financial Industry Regulatory Authority (FINRA) Experience August 2014 - Present
Job FINRA Risk Oversight and Operational Regulation Principal Regulatory Coordinator
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   August 2014 - Present
UBS Investment Bank  June 2007 - December 2013
UBS Investment Bank  September 1997 - May 2007
Dillon, Read & Co. Inc. (acquired by UBS in Sept., 1997)   June 1986 - August 1997

Skills
Investment Banking, Financial Analysis, Capital Markets, Financial Reporting, Equities, Forecasting, Fixed Income, Hedge Funds, Finance, Accounting, Mergers & Acquisitions, Financial Accounting, Derivatives, Leveraged Finance, Risk Management, Not for Profit, Financial Services, Management, Financial Modeling

Education
Pace University - Lubin School of Business
BBA, Accounting

Dmytro Kashyn Dmytro Kashyn Hyattsville, Maryland Details
Dmytro Kashyn's Financial Industry Regulatory Authority (FINRA) Experience January 2015 - Present
Job Associate Developer in Test at Financial Industry Regulatory Authority (FINRA)
Industry Electrical/Electronic Manufacturing
Experience
Financial Industry Regulatory Authority (FINRA)   January 2015 - Present
University of Maryland  February 2009 - Present
University of Akron  January 2007 - December 2008

Skills
Java, Hadoop, Linux, Maven, Ant, XML, HBase, Shell Scripting, Eclipse, IntelliJ IDEA, Jenkins, Windows, Cygwin, Test Automation, C++, Microsoft Visual Studio..., Numerical Analysis, Probability Theory, Matlab, Time Series Analysis, Random Processes, Physics

Education
University of Maryland College Park   2009 — 2014
Doctor of Philosophy (PhD), Electrical and Computer Engineering

University of Maryland College Park   2009 — 2014
Master's Degree, Electrical and Computer Engineering

The University of Akron   2007 — 2008
Master of Science (M.S.), Physics

National Technical University of Ukraine 'Kyiv Polytechnic Institute'   2002 — 2006
Bachelor of Applied Science (B.A.Sc.), Computational and Applied Mathematics

Robert Huml Robert Huml Washington, District Of Columbia Details
Robert Huml's Financial Industry Regulatory Authority (FINRA) Experience January 2015 - Present
Job Accounts Receivable Manager at FINANCIAL INDUSTY REGULATORY AUTHORITY (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   January 2015 - Present
Financial Consultanting   April 2014 - October 2014
Rotary International  July 2011 - January 2014
Rotary International  March 2008 - July 2011
Rotary International  October 2005 - March 2008
Rotary International  May 2002 - October 2005
Rotary International  September 2000 - May 2002
State Farm Insurance  September 1998 - September 2000

Skills
PeopleSoft, Financial Reporting, Accounting, Microsoft Excel, Finance, Auditing, Budgets, Leadership, Microsoft Office, Microsoft Word, General Ledger, Customer Service, Outlook, PeopleSoft Financial, PeopleSoft query, PeopleSoft Accounts..., PeopleSoft Vendor, PeopleSoft Accounts..., PeopleSoft Purchasing, Crystal Reports, Visual Basic, Net Forum, Highroad, Visio, PeopleSoft Billing, PeopleSoft General...

Education
Loyola University of Chicago   2007 — 2009
Business Administration Executive Education Programs, Science of Management Certification

Indiana University Bloomington   1994 — 1998
Bachelor of Science (B.S.), Finance, General

Indiana University Bloomington   1994 — 1998
Bachelor of Science (B.S.), International Business

Indiana University Bloomington   1994 — 1998
Bachelor of Science (B.S.), Marketing

Angelita Caldwell Angelita Caldwell Greater New York City Area Details
Angelita Caldwell's Financial Industry Regulatory Authority (FINRA) Experience June 2004 - July 2004
Job Attorney Freelance
Industry Legal Services
Experience
Legal Consulting Services   September 2007 - Present
Law Office of Angelita Caldwell   September 2007 - December 2011
Kings County District Attorneys Office  September 2006 - December 2006
Financial Industry Regulatory Authority (FINRA)   June 2004 - July 2004
Bristol-Myers Squibb  2002 - 2002

Skills
Legal Research, Legal Writing, Compliance, Due Diligence, Corporate Transactions, Commerical Litigation, Contract Negotiation, Litigation Support, Chapter 13 Bankruptcy, Chapter 7

Education
Touro College Jacob D. Fuchsberg Law Center   2003 — 2007
JD, Law

Pace University - Lubin School of Business   1987 — 1991
B/A, Economics and Business

Kapinder Diwan Kapinder Diwan Greater New York City Area Details
Kapinder Diwan's Financial Industry Regulatory Authority (FINRA) Experience February 2009 - March 2010
Job Associate IT Security
Industry Investment Banking
Experience
Morgan Stanley  January 2015 - Present
United Online  April 2010 - December 2014
Financial Industry Regulatory Authority (FINRA)   February 2009 - March 2010
FINRA  2008 - 2008

Skills
Application and Network..., Vulnerability Management, Firewall Review, Risk Assessment, Penetration Testing, Security, Information Security, PCI DSS, Firewalls, Nessus, Vulnerability Assessment, Application Security, DLP, Vulnerability Scanning, Metasploit, Backtrack, Nmap, Computer Security, Solaris, Web Application Security, Wireshark, Linux, Servers, Security Architecture..., Intrusion Detection, Internet Security, Incident Response, Computer Forensics, Network Security, Information Security..., Network Engineering, ISO 27001, Cisco Technologies, Juniper, Networking, Red Hat Linux, Linux System..., Bash, TCP/IP, Security Audits, Apache, Shell Scripting, Disaster Recovery, Unix, Perl, Unix Shell Scripting, Virtualization, Identity Management, Load Balancing, Juniper Technologies

Education
New Jersey Institute of Technology   2007 — 2008
Master's degree, Information systems

Kurukshetra University   2003 — 2007
Bachelor of Technology (BTech), Information Technology

GBSSS No.1 Shakti Nagar

Phanna Pek Phanna Pek Philadelphia, Pennsylvania Details
Phanna Pek's Financial Industry Regulatory Authority (FINRA) Experience May 2015 - August 2015
Job Accounting graduate student, MSA
Industry Government Administration
Experience
Financial Industry Regulatory Authority (FINRA)   May 2015 - August 2015
Defense Logistics Agency  December 2014 - August 2015
Prosperoware  May 2013 - November 2014
Bare Feet Shoes  June 2012 - December 2012
The Food Trust  October 2008 - September 2011

Skills
QuickBooks, Bank Reconciliation, Paylocity, Payroll, General Journal, Accounts Payable, Accounts Receivable, Collections, account anaylsis, Microsoft Excel, Expensify, Paychex, Spring Ahead, SharePoint, License Generator, Microsoft Word, Zendesk, Human Resources, Office Management, PowerPoint, Microsoft Office, Microsoft Dynamics, WordPress, Nonprofits, Buyers, Access, Data Entry, Customer Service, Event Planning, Typing, RFQ, Publications, Inventory Management, Purchase Orders, Deposits, Executive Support, microsoft office 365, Appointment Scheduling, Invoicing, Expenses, ADP Payroll, Analysis, Accounting

Education
Neumann University   2014 — 2015
Master of Science (M.S.), Accounting, 3.83

University of Phoenix   2013 — 2013
Master of Science (MS), Accountancy

University of Phoenix   2009 — 2012
Bachelor of Business Administration (BBA), Business/Corporate Communications

Peirce College   2008 — 2009
Associate of Science (AS), Marketing

Jeffery Sisco Jeffery Sisco Washington D.C. Metro Area Details
Jeffery Sisco's Financial Industry Regulatory Authority (FINRA) Experience November 2014 - Present
Job Associate Director, Test Security for Professional Assessments at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   November 2014 - Present
Financial Industry Regulatory Authority (FINRA)   2012 - November 2014
Financial Industry Regulatory Authority (FINRA)   2006 - 2012
WilmerHale  2002 - 2006
Arnold & Porter  2002 - 2003
Pillsbury Winthrop Shaw Pittman LLP  2000 - 2001
Kelley Drye & Warren LLP  1998 - 2000
Paul Hastings  1996 - 1998
Reid & Priest  1992 - 1996
Debevoise & Plimpton  1988 - 1992

Skills
Customer Service, Accounts Receivable, Business Analysis, Microsoft Excel, Vendor Management, Project Management, Event Planning, Public Speaking, PowerPoint, Organizational..., Team Building, Sales Management, Social Media, Teaching, Microsoft Office, Leadership, Accounting, New Business Development, Contract Management, Public Relations, Microsoft Word, Human Resources, Outlook, Management, Budgets, Contract Negotiation, Training, Strategic Planning, Program Management, Account Management, Nonprofits, Risk Management, Research, Accounts Payable, Fundraising, Negotiation

Education
Northcentral University   2015 — 2018
Doctor of Philosophy (PhD) Business Administration, Computer and Information Security

Liberty University   2013 — 2014
Master of Arts (M.A.), Management and Leadership

Liberty University   2010 — 2013
Bachelor of Science (B.S.), Religion

Georgetown University   2008 — 2010
Liberal Studies, Communications

Michael S. Greenside Michael S. Greenside Greater Boston Area Details
Michael S. Greenside's Financial Industry Regulatory Authority (FINRA) Experience April 2015 - Present
Job Attorney, Senior Examiner at Financial Industry Regulatory Authority (FINRA)
Industry Law Practice
Experience
Financial Industry Regulatory Authority (FINRA)   April 2015 - Present
Massachusetts Securities Division  January 2015 - April 2015
Massachusetts Securities Division  August 2010 - January 2015
Massachusetts Securities Division  November 2009 - February 2010
District of Columbia Department of Insurance, Securities and Banking   May 2009 - August 2009
United States District Court for the District of Massachusetts  December 2008 - February 2009

Skills
Civil Litigation, Litigation, Securities Regulation, Securities Enforcement..., Financial Services, Broker-Dealer Regulation, AML Compliance

Education
Northeastern University School of Law   2007 — 2010
Juris Doctorate, May 2010, Law

The University of Georgia   2002 — 2006
Bachelor of Arts, International Affairs, minor in Spanish

Daniel N. Van Slett Daniel N. Van Slett Chicago, Illinois Details
Daniel N. Van Slett's Financial Industry Regulatory Authority (FINRA) Experience November 2011 - Present
Job Regulatory Analyst at Financial Industry Regulatory Authority (FINRA)
Industry Legal Services
Experience
Financial Industry Regulatory Authority (FINRA)   November 2011 - Present
Dahlberg Law Group, LLC   August 2009 - November 2011
Wisconsin Supreme Court, Chambers of Justice Ziegler   May 2009 - September 2009
Wisconsin Court of Appeals  January 2009 - April 2009
Polsinelli PC  May 2008 - July 2008
Legal Aid Society of Milwaukee  January 2008 - April 2008
Polsinelli PC  December 2007 - January 2008
Marquette University Law School Mediation Clinic   September 2007 - December 2007
中论文的律师事务所 Zhonglun Wen & De Law Firm   May 2007 - June 2007

Education
Marquette University Law School   2006 — 2009
J.D., Law

Tsinghua University   2008 — 2008
LLM Program, Chinese Law

Peking University   2007 — 2007

Hope College   1999 — 2003
B.A., Political Science, Religion

Germantown

Germantown

Matthew Stummer Matthew Stummer Washington D.C. Metro Area Details
Matthew Stummer's Financial Industry Regulatory Authority (FINRA) Experience June 2014 - Present
Job CME Group, Market Regulation and Enforcement
Industry Law Practice
Experience
CME Group  July 2015 - Present
Financial Industry Regulatory Authority (FINRA)   June 2014 - Present
US Securities and Exchange Commission  September 2013 - November 2013
Commodity Futures Trading Commission  May 2013 - August 2013
U.S. House of Representatives   August 2012 - February 2013
McNamee, Hosea, Jernigan, Kim, Greenan & Lynch, P.A.   April 2012 - August 2012

Skills
Legal Writing, Mediation, Entrepreneurship, Research, Litigation, Courts, Public Speaking, Corporate Law, Legislative Relations, Legal Research, Legal Ethics, Legislation, Professional...

Education
The Catholic University of America, Columbus School of Law   2011 — 2014
Law, Banking, Corporate, Finance, and Securities Law, Cum Laude

Marquette University   2007 — 2011
BS, Economics & Entrepreneurship

Monika Mohan, Esq. Monika Mohan, Esq. Greater New York City Area Details
Monika Mohan, Esq.'s Financial Industry Regulatory Authority (FINRA) Experience March 2015 - Present
Job Attorney
Industry Law Practice
Experience
Financial Industry Regulatory Authority (FINRA)   March 2015 - Present
Cleary Gottlieb Steen & Hamilton LLP  March 2014 - March 2015
Update Legal/Cleary Gottlieb Steen & Hamilton LLP   November 2012 - February 2014
Law Firm - various   August 2011 - May 2012
New York Stock Exchange  January 2010 - May 2010
Community Legal Assistance Corp. - Securities Arbitration Clinic   January 2009 - December 2009
Eka-Dvi, LLC   September 2002 - December 2006
Reich & Tang LP   May 1995 - October 2000

Skills
Securities Regulation, Legal Writing, Investments, Securities, Arbitration, Employment Law, Legal Research, Litigation, Commercial Litigation, Intellectual Property, Corporate Law, Civil Litigation, Lexis, Appeals, Westlaw, Courts, Mediation

Education
Maurice A. Deane School of Law at Hofstra University
Juris Doctor; Certificate of Study, Corporate and Commercial Law

New York University - Leonard N. Stern School of Business
Bachelor of Science, Finance and International Business

Lorenzo Alexander Lorenzo Alexander Greater New York City Area Details
Lorenzo Alexander's Financial Industry Regulatory Authority (FINRA) Experience August 2015 - Present
Job Regulatory Analyst at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   August 2015 - Present
Mount Zion AME Church (Non-Profit)   April 2015 - Present
Direct Edge, A BATS Global Markets Company  April 2007 - February 2015
Computershare  March 2002 - March 2007
Datek Online Holdings Corp.  April 2000 - May 2001
PNC  May 1996 - March 2000

Skills
Series 7, Electronic Trading, Trading Systems, Equities, Financial Markets, Options, Equity Trading, ETFs, Market Data, Prime Brokerage, Bonds, Financial Services, Trading, Finance, Series 63, Mutual Funds, Analysis, Wealth Management, Market Making, Investments, Accounting, FINRA, Fixed Income, Alternative Investments, Capital Markets, Securities, Equity Derivatives, Portfolio Management, Asset Management, Electronic Trading..., Risk Management, Bloomberg, Proprietary Trading, Account Reconciliation, Business Analysis, Management

Education
Rosemont College
Bachelor of Science (BS) - Management

Indiana University of Pennsylvania

Patricia Barry Patricia Barry Herndon, Virginia Details
Patricia Barry's Financial Industry Regulatory Authority (FINRA) Experience May 2014 - August 2014
Job Student at James Madison University
Industry Human Resources
Experience
Aerotek  July 2015 - Present
Financial Industry Regulatory Authority (FINRA)   May 2014 - August 2014
Marriott International  September 2013 - December 2013
Financial Industry Regulatory Authority  May 2013 - August 2013

Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Teamwork, Social Media, Public Speaking, English, Windows, Event Planning, Time Management

Education
James Madison University   2011 — 2015
Bachelor of Arts (BA), Organizational Communication - Human Resource Development

James Madison University   2011 — 2015
Organizational Communications , Human Resources Development

Annabel Lucas Annabel Lucas Greater Chicago Area Details
Annabel Lucas's Financial Industry Regulatory Authority (FINRA) Experience February 2015 - Present
Job Examiner at Financial Industry Regulatory Authority (FINRA)
Industry Higher Education
Experience
Financial Industry Regulatory Authority (FINRA)   February 2015 - Present
Financial Industry Regulatory Authority  June 2014 - February 2015
Financial Industry Regulatory Authority  January 2014 - April 2014
Loyola University Chicago Quinlan School of Business  May 2013 - January 2014

Skills
Microsoft Excel, Microsoft Word, GAAP, Higher Education, Research, Microsoft Office, PowerPoint, Public Speaking, Bloomberg Software, Finance, Investments, Customer Service, Critical Thinking, Project Management, Close Attention to..., HIPAA, Event Management, Management, Data Analysis, Microsoft Access, Social Media

Education
Loyola University of Chicago   2010 — 2014
Bachelor of Business Administration (BBA), Finance

John Felice Rome Center   2012 — 2012
Bachelor of Business Administration (BBA), Finance

Victor Feliciano, CFE Victor Feliciano, CFE New York, New York Details
Victor Feliciano, CFE's Financial Industry Regulatory Authority (FINRA) Experience October 2009 - Present
Job Associate Principal Investigator at FINRA
Industry Capital Markets
Experience
Financial Industry Regulatory Authority (FINRA)   October 2009 - Present
HSBC  June 2008 - August 2008

Skills
Microsoft Office, Internet Research, Securities Regulation, Financial Analysis, Business Writing, Securities, Training

Education
Manhattanville College   2005 — 2009
Bachelor of Arts, Management w/ concentrations in Marketing & International Management, History (double major)

Pedro Felipe Eraso Pedro Felipe Eraso Greater Chicago Area Details
Pedro Felipe Eraso's Financial Industry Regulatory Authority (FINRA) Experience January 2014 - May 2014
Job Candidate for Master of Laws in Taxation
Industry Legal Services
Experience
Hogan Lovells  August 2014 - June 2015
Financial Industry Regulatory Authority (FINRA)   January 2014 - May 2014
CME Group  September 2013 - December 2013
Jones Day  June 2013 - August 2013
Rodriguez-Azuero Abogados   January 2008 - May 2009
Universidad del Rosario  June 2006 - April 2009
Colombian Constitutional Court   April 2005 - December 2005

Education
Northwestern University School of Law   2015 — 2016
Master’s Degree

Northwestern University School of Law   2012 — 2014
Juris Doctor (J.D.)

Universidad del Rosario   2002 — 2009
LL.B./Capital Markets Specialist (M.S.F.)

Pat Frazier Pat Frazier Baltimore, Maryland Details
Pat Frazier's Financial Industry Regulatory Authority (FINRA) Experience June 2014 - August 2014
Job Valuation Analyst at Ellin & Tucker, Chartered
Industry Financial Services
Experience
Ellin & Tucker, Chartered   September 2015 - Present
Major League Lacrosse  May 2015 - Present
Financial Industry Regulatory Authority (FINRA)   June 2014 - August 2014
All Met Lacrosse   June 2012 - August 2014

Skills
Microsoft Office, Microsoft Excel, PowerPoint, Microsoft Word, Customer Service, Research, Photoshop, Social Media, Teamwork, Public Speaking, C++, HTML, Java, C, English, Matlab, Windows, AutoCAD, Event Planning, SQL

Education
Loyola University Maryland   2011 — 2015
Bachelor of Business Administration (B.B.A.), Finance, General

Loyola University Maryland   2011 — 2015
Bachelor of Business Administration (B.B.A.), Finance, General

Roger Casalengo, SPHR Roger Casalengo, SPHR Washington, District Of Columbia Details
Roger Casalengo, SPHR's Financial Industry Regulatory Authority (FINRA) Experience November 2006 - June 2010
Job SVP, Human Capital at Amtrak
Industry Transportation/Trucking/Railroad
Experience
Amtrak  November 2014 - Present
Morgans Hotel Group  September 2011 - March 2014
Financial Industry Regulatory Authority (FINRA)   November 2006 - June 2010
Suntrust Bank  March 2005 - September 2006
Homebanc Mortgage  July 2003 - April 2005
Marriott International  June 1989 - June 2003

Skills
Talent Management, SPHR, Personnel Management, Recruiting, Performance Management, Employee Engagement, Human Resources, Interviews, Leadership, Training, Change Management, Hospitality, Executive Coaching, Management Development, Organizational..., Hospitality Industry, Succession Planning, Coaching, Strategy, Deferred Compensation, Union Experience, Onboarding, Leadership Development, Hiring, Organizational..., Time Management, Integration, Budgets, Mergers & Acquisitions, Strategic Planning, Operations Management, Sales, Team Building, Job Descriptions, Customer Service, Negotiation, Talent Acquisition, Hotels, Employee Relations

Education
Marymount University   1991 — 1993
MA, Organizational Development

Western Kentucky University   1985 — 1991
BS, hotel restaurant management

Alexandra Dufour Alexandra Dufour Pelham, New York Details
Alexandra Dufour's Financial Industry Regulatory Authority (FINRA) Experience May 2015 - Present
Job Associate Principal Examiner, FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   May 2015 - Present
UBS Financial Services Inc.  August 2007 - May 2015
UBS Financial Services Inc.  October 2004 - August 2007

Skills
FINRA, Securities, Securities Regulation, Financial Regulation, Legal Research

Education
State University of New York at Albany   1997 — 1999
Master's degree, History

Hobart and William Smith Colleges   1992 — 1996
Bachelor's degree, History

Megan Callery Peluso Megan Callery Peluso Washington D.C. Metro Area Details
Megan Callery Peluso's Financial Industry Regulatory Authority (FINRA) Experience October 2014 - Present
Job Senior Advertising Analyst, Advertising Regulation, FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   October 2014 - Present
Financial Industry Regulatory Authority  August 2012 - Present
Financial Industry Regulatory Authority  2005 - August 2012
NASD (National Association of Securities Dealers, Inc.)   April 2003 - December 2005
NASD  August 2001 - 2003
Abercrombie and Fitch  April 1998 - May 2002
NASD  May 2000 - August 2001

Skills
Corporate Governance, Board Relations, Non-profits, Research, Editing, Event Management, PowerPoint, Securities Market, Financial Industry, Microsoft Office, Project Management, Minutes, Compensations, Annual Meetings, Senior Management..., Records Management, Information Security, Public Relations, Strategic Communications, Marketing, Event Planning, Social Media, Collaboration, Financial Services, Nonprofits, Securities, Advertising, Series 7, Strategic Planning, Management

Education
Marietta College   2000 — 2003
BA, Advertising and Public Relations

University of Maryland College Park   1998 — 2002

Sidwell Friends   1994 — 1998
Diploma, General Studies

Kevin D. Rosen Kevin D. Rosen Boca Raton, Florida Details
Kevin D. Rosen's Financial Industry Regulatory Authority (FINRA) Experience April 2013 - Present
Job Senior Regional Counsel at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   April 2013 - Present
Financial Industry Regulatory Authority (FINRA)   April 2000 - March 2013
Moody, Jones, Montefusco & Krause, P.A.   1998 - 2000
Florida Department of Banking and Finance   1995 - 1998
U.S. Securities and Exchange Commission   June 1994 - August 1994
Office of the State Attorney, 17th Judicial Circuit Florida   January 1994 - May 1994

Skills
Securities Regulation, Cyber-security, Arbitration, Securities, Securities Litigation, Commercial Litigation, Corporate Governance, Dispute Resolution, Litigation, Fraud, Anti Money Laundering, Financial Regulation, Privacy Law, Trials, Depositions

Education
Nova Southeastern University Shepard Broad College of Law   1992 — 1995
Juris Doctor (J.D.), Law

University of Florida   1988 — 1992
Bachelor’s Degree, Finance, General

Damian Firsching Damian Firsching Greater New York City Area Details
Damian Firsching's Financial Industry Regulatory Authority (FINRA) Experience December 2003 - June 2005
Job Director at KPMG LLP
Industry Financial Services
Experience
KPMG US  March 2015 - Present
NYSE  December 2012 - February 2015
Financial Industry Regulatory Authority  February 2011 - December 2012
NYSE  2008 - 2011
NYSE Euronext  June 2005 - January 2008
Financial Industry Regulatory Authority (FINRA)   December 2003 - June 2005

Skills
Securities, Equities, Capital Markets, Options, Analysis, FINRA, Trading, Derivatives, Securities Regulation

Education
New York Law School   2006 — 2010
JD, Securities Law

Saint John's University   2000 — 2002
BS, Finance

Polytechnic University   1997 — 2000
Computer Engineering

Dan Zailskas Dan Zailskas Fort Lauderdale, Florida Details
Dan Zailskas's Financial Industry Regulatory Authority (FINRA) Experience May 2015 - Present
Job Case Administrator at FINRA Dispute Resolution
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   May 2015 - Present
Financial Industry Regulatory Authority  May 2014 - May 2015
University of Miami  May 2012 - May 2014
Financial Industry Regulatory Authority  January 2014 - April 2014

Skills
Microsoft Excel, Research, Strategic Planning, Public Speaking, Negotiation, Securities Regulation, Capital Markets, Professional Writing, Securities Arbitration, United States Equity..., Market Manipulation..., Interrogation, Financial Investigation, Statistical Data...

Education
Harvard University   2007 — 2010
B.A. Philosophy

University of Miami School of Law   2011 — 2014
Doctor of Law (J.D.), Graduate with Academic Honors, May 2014

Wil Lopez Wil Lopez Greater New York City Area Details
Wil Lopez's Financial Industry Regulatory Authority (FINRA) Experience 2015 - Present
Job
Industry Law Practice
Experience
Financial Industry Regulatory Authority (FINRA)   2015 - Present
Pace University School of Law  August 2014 - June 2015
Perkins and Associates P.C.   June 2014 - August 2014
The Home Depot  July 2013 - June 2014
Best Buy  November 2011 - July 2013
Best Buy  September 2009 - November 2011
Best Buy  April 2007 - November 2009

Skills
Retail, Training, Management, Store Management, Customer Satisfaction, Sales Management, Sales Operations, Employee Relations, Leadership, Customer Experience, Human Resources, Spanish, Employee Engagement, Mobile Devices, Mobile Technology, Consulting, Mentoring, Merchandising, Loss Prevention, Inventory Management, Sales, Visual Merchandising, Customer Service, Legal Research, Legal Writing, Legal Documents, Client Liaison, Team Building, Profit, Retail Sales, Employee Training, Inventory Control, Store Operations

Education
Pace University School of Law   2014 — 2017
JD

College of the Holy Cross   1999 — 2003
Bachelor's degree

Irina Luzanovskaya Irina Luzanovskaya Greater New York City Area Details
Irina Luzanovskaya's Financial Industry Regulatory Authority (FINRA) Experience August 2014 - December 2014
Job Student Attorney at Center for Social Justice, Constitutional and Civil Litigation Clinic
Industry Legal Services
Experience
Seton Hall Law Center for Social Justice, Constitutional and Civil Litigation Clinic   January 2015 - Present
Financial Industry Regulatory Authority (FINRA)   August 2014 - December 2014
Rufolo & Stein, LLC   May 2014 - August 2014
The Honorable Joseph A. Dickson, U.S.M.J., U.S. District Court for the District of N.J.   September 2013 - February 2014
The Honorable Steven C. Mannion, U.S.M.J., U.S. District Court for the District of N.J.   May 2013 - September 2013
Law Offices of David O'Connor, P.C.   May 2010 - October 2012

Skills
Legal Research, Presentations, Legal Writing, Microsoft Office, Research, Westlaw, Oral Arguments, Pleadings

Education
Seton Hall University School of Law   2012 — 2015

Pace University   2008 — 2011
Bachelor of Science, summa cum laude, in Criminal Justice

Kingston University   2008 — 2008

Niagara University   2007 — 2008

Trevor Kawamoto Trevor Kawamoto Orange County, California Area Details
Trevor Kawamoto's Financial Industry Regulatory Authority (FINRA) Experience March 2006 - May 2012
Job Bar Consultant at OPM Restaurant & Lounge
Industry Food & Beverages
Experience
OPM Restaurant & Lounge   July 2015 - Present
Central Bar   March 2015 - April 2015
Lark Creek Restaurant Group  November 2014 - April 2015
Blue C Sushi  May 2014 - November 2014
Side Door   May 2013 - June 2014
Vino Volo  March 2013 - June 2013
Financial Industry Regulatory Authority (FINRA)   March 2006 - May 2012
Latham & Watkins  November 2004 - December 2005
Loral Skynet  September 2001 - September 2004
Loral Cyberstar  April 2001 - September 2001

Skills
Bartending, Restaurants, Sales, mixology, Management, Bar Program, Fine Dining, Craft Beer, Craft Cocktail, Microsoft Office, Troubleshooting, Administration, Spreadsheets, Process Management, Quality Assurance, Analysis

Education
Montgomery College
A.A. Degree, General

University of MarylandCollege
B.A. Degree, English Literature

Daniel Kennelly Daniel Kennelly Hoboken, New Jersey Details
Daniel Kennelly's Financial Industry Regulatory Authority (FINRA) Experience August 2012 - Present
Job Sales Practice Examiner at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   August 2012 - Present
CAR International   June 2011 - August 2012

Education
Iona College   2007 — 2011
Bachelor of Business Administration (B.B.A.), Finance, General

Ashlee Fleming Ashlee Fleming Walkersville, Maryland Details
Ashlee Fleming's Financial Industry Regulatory Authority (FINRA) Experience Veterinary TechnicianLinganore Veterinary ClinicDecember 2013 - Present
Job Veterinary Technician at Linganore Veterinary Clinic
Industry Medical Practice
Experience
Financial Industry Regulatory Authority (FINRA)   Veterinary TechnicianLinganore Veterinary ClinicDecember 2013 - Present

Education
Hood College   2013 — 2016
Environmental Science

Edward Fitzpatrick Edward Fitzpatrick New York, New York Details
Edward Fitzpatrick's Financial Industry Regulatory Authority (FINRA) Experience July 2014 - Present
Job Examiner at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   July 2014 - Present
FXCM  May 2013 - August 2013
Financial Industry Regulatory Authority (FINRA)   May 2012 - August 2012
TF Electric   May 2011 - August 2011
Stat Plumbing Supply   May 2009 - January 2011
Xaverian High School  May 2010 - August 2010
Dr. Joseph Antario, DDS   February 2007 - January 2010

Skills
Risk Management, Microsoft Office, Financial Analysis, Learning Quickly, Research, Compliance, Teaching, Business Analysis, Economics, Communication, Investments, Financial Markets, Microsoft Technologies, Business Planning, FINRA

Education
King's College   2010 — 2014
Bachelor of Science, Business Administration with a concentration in Marketing

Xaverian High School   2006 — 2010

Sohan Ahmad Sohan Ahmad New York, New York Details
Sohan Ahmad's Financial Industry Regulatory Authority (FINRA) Experience November 2014 - Present
Job Loan Closer at Barclays Investment Bank
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   November 2014 - Present
Barclays Investment Bank  September 2013 - November 2014
JPMorgan Chase  April 2010 - February 2013
Goldman Sachs  June 2006 - February 2009

Skills
Financial Analysis, Equities, Capital Markets, Fixed Income, Investment Banking, Hedge Funds

Education
Stella Adler   2011 — 2011
Acting

Penn State University   2001 — 2004
BS, Finance

Rachel Barnum Rachel Barnum Washington, District Of Columbia Details
Rachel Barnum's Financial Industry Regulatory Authority (FINRA) Experience July 2015 - Present
Job ELearning Instructional Designer | Corporate Trainer
Industry E-Learning
Experience
Financial Industry Regulatory Authority (FINRA)   July 2015 - Present
Freelance  February 2014 - Present
Weejee Learning  June 2014 - March 2015
Relias Learning  December 2013 - March 2014
Relias Learning  April 2013 - December 2013
NeoNova Network Services  July 2012 - March 2013
VIF International Education  October 2012 - November 2012
RUaGamer   May 2011 - May 2012
Stop Hunger Now  January 2012 - April 2012
Best Buy  June 2010 - August 2011

Skills
Google Docs, Gmail, Social Media, Microsoft Office, Customer Service, Non-profits, Blogging, Google Apps, Information Technology, Microsoft Word, Leadership, Time Management, Public Speaking, Editing, Event Planning, Facebook, Social Networking, Community Outreach, eLearning, Instructional Design, Articulate Storyline, Word, Volunteer Management, Google Groups, Cloud Computing, Computers, Computer Proficiency, Writing, Photoshop, PowerPoint, Microsoft Excel, Blogger, Cloud Applications, Chrome, Typing, Database Administration, Training, Google Sites, Google Calendar, Dropbox, Research, Marketing, Teamwork, InDesign, Technical Writing, Learning Management..., WordPress, E-Learning, Dreamweaver, Nonprofits

Education
North Carolina State University   2009 — 2012
Science, Technology & Society, Technology & Cultural Integration

Pitt Community College   2008 — 2009
Associates in Arts, Transfer student

Donna Liang Donna Liang New York, New York Details
Donna Liang's Financial Industry Regulatory Authority (FINRA) Experience July 2015 - Present
Job Examiner at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   July 2015 - Present
Sumitomo Mitsui Trust Bank Limited  October 2014 - July 2015
Sumitomo Mitsui Trust Bank, Limited  July 2012 - September 2014
Meyers Associates L.P.   May 2012 - July 2012
Fox News Channel  February 2012 - May 2012
BNB Bank, NA  December 2010 - January 2012
NYU College of Dentistry  September 2009 - September 2010

Skills
Economics, Microsoft Excel, Corporate Finance, Microsoft Office, Data Analysis, Access, Valuation, Stata, Social Media, Research, Finance, Investment Banking

Education
New York University   2007 — 2012
Bachelor of Arts (B.A.), Economics

New York University   2007 — 2012
Bachelor's degree, Economics

Brandon Keeney Brandon Keeney Brooklyn, New York Details
Brandon Keeney's Financial Industry Regulatory Authority (FINRA) Experience February 2015 - Present
Job Telecommunications Administrator Intern at Financial Industry Regulatory Authority (FINRA)
Industry Consumer Services
Experience
Financial Industry Regulatory Authority (FINRA)   February 2015 - Present
Year Up  September 2014 - Present
Kings County District Attorneys Office  September 2013 - November 2013

Skills
Public Speaking, Microsoft Office, Leadership, PowerPoint, Personal Styling

Education
New York Career Institute   2009 — 2012
Hearing Reporter Certificate, Stenography

Ashley Proscia Ashley Proscia Jersey City, New Jersey Details
Ashley Proscia's Financial Industry Regulatory Authority (FINRA) Experience April 2011 - January 2014
Job Associate Director at RBC Capital Markets
Industry Investment Banking
Experience
RBC Capital Markets  May 2015 - Present
Family Management Corporation  January 2014 - May 2015
Financial Industry Regulatory Authority (FINRA)   April 2011 - January 2014
Morgan Stanley  December 2010 - April 2011
Huron Consulting Group  July 2006 - September 2010

Education
Marist College   2002 — 2006
Bachelors of Science, Business Administration, Finance & Accounting

Andrew Howeiler Andrew Howeiler Greater Seattle Area Details
Andrew Howeiler's Financial Industry Regulatory Authority (FINRA) Experience August 2000 - September 2006
Job Operational Due Diligence Analyst at Russell Investments
Industry Investment Management
Experience
Russell Investments  September 2006 - Present
Financial Industry Regulatory Authority (FINRA)   August 2000 - September 2006

Education
Pacific Lutheran University   1998 — 2000
MBA, Business Administration and Management, General

University of Arizona   1991 — 1995
Bachelor of Science in Business Administration, Finance

Matthew Vail Matthew Vail Greater New York City Area Details
Matthew Vail's Financial Industry Regulatory Authority (FINRA) Experience July 2015 - Present
Job Associate Examiner Risk Oversight & Operational Reg.(ROOR) at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   July 2015 - Present
Broadridge Financial Solutions  June 2014 - April 2015
Hofstra University  November 2012 - September 2014
Remax Business  May 2013 - August 2013
Kiboo LLC   February 2013 - May 2013
Zipcar  January 2013 - May 2013

Skills
Finance, Market Research, Capital Markets, Back Office, Financial Analysis, Business Strategy, Entrepreneurship, Microsoft Excel, Marketing, Leadership, Trading, Fixed Income, Equities, Competitive Analysis, Financial Modeling, Real Estate Financing, Corporate Finance, Data Analysis, Real Estate Economics, Commercial Real Estate, Financial Reporting, Corporate Tax

Education
Hofstra University   2011 — 2015
Bachelor of Business Administration (B.B.A.), Finance, Minor Political Science

Robert Gawlik Robert Gawlik Greater New York City Area Details
Robert Gawlik's Financial Industry Regulatory Authority (FINRA) Experience February 2015 - Present
Job Associate Principal Examiner at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   February 2015 - Present
Morgan Stanley  July 2011 - February 2015
Wells Fargo Advisors  December 2005 - July 2011
Dreyfus  May 1999 - December 2005
John Hancock Financial Services  September 1994 - January 1999

Skills
Capital Markets, Auditing, Coaching, Management, Securities

Education
Hofstra University   1990 — 1994
BBA, Banking and Finance

Austin M. Smith, CFE Austin M. Smith, CFE Kankakee, Illinois Details
Austin M. Smith, CFE's Financial Industry Regulatory Authority (FINRA) Experience June 2015 - Present
Job Associate Examiner at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   June 2015 - Present
Chicago Stock Exchange  December 2013 - June 2015
Northern Trust  July 2013 - December 2013
CIGNA Healthcare  December 2003 - May 2013

Skills
Securities Regulation, Market Surveillance, Investments, Auditing, Certified Fraud Examiner, Equities, Fraud, Customer Service, Finance, Financial Analysis, Microsoft Excel, Data Analysis, Outlook, Time Management, Project Management, Client Relations Skills, Research, Writing, Cognos, Microsoft Office, PowerPoint, Microsoft Word, Business Process..., Data Entry, Broker-Dealer Compliance

Education
University of Massachusetts at Amherst - Isenberg School of Management   2012 — 2014
Master of Business Administration (MBA), Business Administration and Management, General

Upper Iowa University   2009 — 2011
Bachelor of Science, Financial Management

Kankakee Community College
Associate's, Computer Information Systems

Bishop McNamara High School   1995 — 1999

Dana M. Roth Dana M. Roth New York, New York Details
Dana M. Roth's Financial Industry Regulatory Authority (FINRA) Experience 2014 - Present
Job Senior Counsel, Enforcement Department at Financial Industry Regulatory Authority (FINRA)
Industry Law Practice
Experience
Financial Industry Regulatory Authority (FINRA)   2014 - Present
Sills Cummis & Gross P.C.   2013 - 2013
Schulte Roth & Zabel LLP  2001 - 2012
Kelley Drye & Warren LLP  1999 - 2001

Skills
Securities Regulation, Securities Litigation, Complex Commercial..., Civil Litigation, Appeals, Trust and Estate..., Bankruptcy, Bankruptcy Litigation, Courts

Education
New York Law School   1995 — 1999
J.D.

Tulane University   1985 — 1989
B.A., Political Economics

Nichole Keller Nichole Keller Ellicott City, Maryland Details
Nichole Keller's Financial Industry Regulatory Authority (FINRA) Experience October 2014 - Present
Job Regulatory Analyst at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   October 2014 - Present
Morgan Stanley  June 2010 - October 2014

Skills
Derivatives, Bloomberg, Fixed Income, Hedge Funds, Equities, Investment Banking, Credit Derivatives, Securities

Education
Penn State University   2006 — 2010
Bachelor of Science (BS), Finance, General, 3.80 GPA

Penn State University   2006 — 2010
Bachelor of Arts (BA), Economics, 3.80 GPA

Dianne Hayner, CFE Dianne Hayner, CFE Baltimore, Maryland Area Details
Dianne Hayner, CFE's Financial Industry Regulatory Authority (FINRA) Experience June 2010 - January 2012
Job Fraud Investigator at Citi
Industry Financial Services
Experience
Citi  May 2014 - Present
E9 Corporation   January 2012 - May 2014
Financial Industry Regulatory Authority (FINRA)   June 2010 - January 2012
CitiFinancial  December 2006 - September 2010
CitiFinancial  October 1999 - December 2006
CitiFinancial  May 1996 - October 1999
CitiFinancial  February 1995 - May 1996
CitiFinancial  November 1993 - February 1995
CitiFinancial  August 1991 - November 1993

Skills
Risk Management, Financial Services, Team Building, Policy, Leadership, Process Improvement, Active TS/SCI Clearance, Credit, Banking, Financial Risk, Finance, AML, Program Management, Financial Analysis, Mortgage Lending, Loans, Auditing, Customer Service, Project Management, Certified Fraud Examiner, Oral & Written..., Problem Solving, HTML, Microsoft Office, Internal Audit, Operations Management, Fraud, Accounting, Anti Money Laundering

Education
Stevenson University   2006 — 2008
Master, Forensic Studies

State University of New York Empire State College   2002 — 2006
Bachelor, Management

Hudson Valley Community College   1983 — 1985
Associates, Business Administration

Rick Rassel Rick Rassel Greater Detroit Area Details
Rick Rassel's Financial Industry Regulatory Authority (FINRA) Experience January 2013 - Present
Job Shareholder at Williams, Williams, Rattner & Plunkett, P.C.
Industry Law Practice
Experience
Williams, Williams, Rattner & Plunkett, P.C.   1999 - Present
Brother Rice Business Alliance   2010 - Present
Financial Industry Regulatory Authority (FINRA)   January 2013 - Present
Nexlink Communications, LLC   2010 - Present
Hon. Kurtis Wilder, Chief Judge, Washtenaw County Circuit Court   1997 - 1999
Hon. Bernard Friedman, U.S. District Court, Eastern District of Michigan   1996 - 1997

Education
Brother Rice High School 89'

Wayne State University Law School
Juris Doctor

Marquette University
Bachelor of Arts (B.A.)

Kristina Juntunen Kristina Juntunen New York, New York Details
Kristina Juntunen's Financial Industry Regulatory Authority (FINRA) Experience July 2011 - September 2014
Job
Industry Law Practice
Experience
Morgan Stanley  October 2014 - Present
Financial Industry Regulatory Authority (FINRA)   July 2011 - September 2014
Kasowitz Benson Torres & Friedman LLP  June 2006 - July 2011
White & Case LLP  March 2004 - June 2006
Michigan Poverty Law Program  September 2003 - December 2003
Altheimer & Gray  May 2002 - August 2002
Federal Trade Commission  May 2001 - August 2001

Skills
Commercial Litigation, Civil Litigation, Legal Research, Securities Regulation, Litigation, Administrative Law, Corporate Law, Competition Law, Arbitration, Trials, Courts, Mediation, Securities Litigation, Class Actions, Intellectual Property, Corporate Governance, Appeals, Bankruptcy, Trade Secrets, Legal Writing, Trademarks

Education
University of Michigan Law School   2000 — 2003
J.D.

Michigan State University   1997 — 2000
B.A., International Relations, James Madison College, concentration in German

Northville High School

Anthony Patone Anthony Patone New York, New York Details
Anthony Patone's Financial Industry Regulatory Authority (FINRA) Experience July 2015 - Present
Job Compliance Examiner at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   July 2015 - Present
Interactive Brokers  January 2014 - July 2015
PepsiCo  May 2013 - September 2013
Legal Services of the Hudson Valley  March 2013 - April 2013
SaleMove   July 2012 - September 2012
Too Fresh Clothing   June 2009 - May 2012

Skills
Microsoft Office, Microsoft Excel, PowerPoint, Microsoft Word, Visio, SAS, Photoshop, Start-ups, Entrepreneurship, Business Development

Education
James Madison University   2008 — 2012
Bachelor's degree, Finance, General

Radhika Reddygari, MS Radhika Reddygari, MS Washington D.C. Metro Area Details
Radhika Reddygari, MS's Financial Industry Regulatory Authority (FINRA) Experience 2006 - 2007
Job Senior .Net /Web Developer Lead at CACI International Inc
Industry Information Technology and Services
Experience
CACI International Inc  2015 - Present
IBM Global Business Services  2007 - 2015
Financial Industry Regulatory Authority (FINRA)   2006 - 2007
Federal Deposit Insurance Corporation (FDIC)   2001 - 2006
W R systems   1999 - 2001

Skills
Agile, Rational Rose, Business Intelligence, SQL Server, Certified Scrum Master..., C#, .NET, Requirements Gathering, Java Enterprise Edition, Agile Methodologies, Cloud Computing, Business Analysis, Data Warehousing, PL/SQL, Agile Project Management, SDLC, Web Services, Microsoft SQL Server, Rational XDE, Requirements Analysis, ETL, Data Modeling, Enterprise Architecture, IT Strategy, Unix, Software Project..., PMP, Solution Architecture, Integration, XML, Oracle, ITIL, Software Development, SOA

Education
Osmania University
Masters in Computer Science(MS)

Sri Venkateswara University
Bachelor of Science (B.S.), Mathematics

James Petraitis James Petraitis New York, New York Details
James Petraitis's Financial Industry Regulatory Authority (FINRA) Experience July 2014 - June 2015
Job Surveillance Analyst at Intercontinental Exchange | NYSE Regulation, Inc.
Industry Financial Services
Experience
Intercontinental Exchange NYSE Regulation, Inc.   June 2015 - Present
Financial Industry Regulatory Authority (FINRA)   July 2014 - June 2015
Financial Industry Regulatory Authority (FINRA)   May 2013 - July 2014
IMG-Crown   April 2012 - May 2013
Federated Investors, Inc.   2011 - 2012

Skills
Microsoft Office, Microsoft Excel, PowerPoint, Microsoft Word, Customer Service, Research, C++, Social Media, Public Speaking, Teamwork, Data Analysis, Analysis, Management, Strategic Planning, Salesforce.com, Sales, Access, Economics, Outlook, Leadership, Financial Analysis, Project Management, Government, Energy, Finance

Education
Penn State University   2007 — 2011
Bachelor of Science (B.S.), Energy, Business and Finance

Pittsburgh Central Catholic High School   2003 — 2007

Ilisa Smukler, J.D. Ilisa Smukler, J.D. Miami/Fort Lauderdale Area Details
Ilisa Smukler, J.D.'s Financial Industry Regulatory Authority (FINRA) Experience 1995 - Present
Job Healthcare Consultant
Industry Hospital & Health Care
Experience
Correct Care Recovery Solutions/South Florida State Hospital (formerly Geo Care, LLC)   January 2001 - Present
Private Practice  1995 - Present
Financial Industry Regulatory Authority (FINRA)   1995 - Present
Galfand, Berger   1988 - 1995
for Pennsylvania Commonwealth Court   1987 - 1988

Skills
Healthcare, Public Speaking, Non-profits, Nonprofits, Team Building, Research, Medicaid, Leadership, Program Development, Mediation, Conflict Resolution, Writing, Consulting, Legal Research, Behavioral Health, Hospitals, Psychology, Arbitration, FINRA Dispute Resolution, Non-profit Board..., Mental Health, Psychotherapy, Policy

Education
Temple University - James E. Beasley School of Law   1984 — 1987
J.D., Law

Hofstra University   1980 — 1984
BA, English, minor Psychology

Matteo Percontino Matteo Percontino Greater New York City Area Details
Matteo Percontino's Financial Industry Regulatory Authority (FINRA) Experience January 2010 - May 2010
Job Associate at Forman Holt Eliades & Youngman
Industry Law Practice
Experience
Bar One Public House   April 2014 - Present
Forman Holt Eliades & Youngman   August 2010 - Present
Financial Industry Regulatory Authority (FINRA)   January 2010 - May 2010
U.S. Bankruptcy Court District of N.J.   June 2009 - August 2009
Hantman & Associates   June 2008 - August 2008
Smolin Lupin & Co  January 2007 - August 2007

Skills
Bankruptcy, Commercial Litigation, Litigation, Hearings, Legal Research, Legal Writing, Motions, Civil Litigation, Courts, Appeals, Corporate Law, Mediation, Research, Breach Of Contract, Pleadings, Westlaw

Education
New York Law School   2007 — 2010
JD, magna cum laude

Montclair State University   2003 — 2007
BA, magna cum laude, Economics

Don Bosco Prep, Ramsey, NJ   1999 — 2003
HS

Audrey Myer Audrey Myer Orange County, California Area Details
Audrey Myer's Financial Industry Regulatory Authority (FINRA) Experience October 2011 - Present
Job Arbitrator at Financial Industry Regulatory Authority (FINRA)
Industry Legal Services
Experience
University of California, Irvine Extension  June 2012 - Present
Financial Industry Regulatory Authority (FINRA)   October 2011 - Present
Cummings Myer LC   March 2006 - September 2013
State Farm Insurance Companies  1995 - 2006
Cummings & Kemp APC   1986 - 1995

Skills
Civil Rights Litigation, Mediation, Alternative Dispute..., Civil Rights, Litigation, Appeals, Insurance, Civil Litigation, Real Estate, Contract Negotiation, Employment Law, Arbitration, Personal Injury, Trial Practice, Employment Litigation, Legal Research, Legal Writing

Education
Pepperdine University School of Law   1981 — 1984
JD, LAW

Louisiana State University
BA, Psychology

Jason Gaarder Jason Gaarder Baltimore, Maryland Area Details
Jason Gaarder's Financial Industry Regulatory Authority (FINRA) Experience August 2015 - Present
Job Senior Enforcement Counsel at Financial Industry Regulatory Authority (FINRA)
Industry Law Practice
Experience
Financial Industry Regulatory Authority (FINRA)   August 2015 - Present
West & Gaarder, LLC   August 2011 - August 2015
Legg Mason  July 2000 - July 2011
Gallagher Evelius & Jones  June 1999 - June 2000
Semmes, Bowen & Semmes   April 1996 - May 1999
Haight Gardner Poor & Havens  September 1993 - March 1996

Skills
Mediator, Arbitrator, Attorney, Securities Regulation, Corporate Governance, AML, Litigation, FINRA, Securities, Securities Litigation, Investments, Due Diligence, Hedge Funds, Arbitration, Private Equity, Joint Ventures

Education
New York University School of Law   1990 — 1993
JD

The Johns Hopkins University   1985 — 1989
BA, Political Science

B-CC

Greek Summer

Makeda Richardson, M.B.A. Makeda Richardson, M.B.A. Washington D.C. Metro Area Details
Makeda Richardson, M.B.A.'s Financial Industry Regulatory Authority (FINRA) Experience April 2007 - July 2011
Job Program Assistant at Howard Hughes Medical Institute
Industry Financial Services
Experience
Howard Hughes Medical Institute  2010 - Present
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)   April 2007 - July 2011
Boys & Girls Clubs of America  August 2006 - January 2007
Boys & Girls Clubs of America  March 2005 - August 2006
Sentara Norfolk General Hospital  May 2003 - October 2004

Skills
Process Improvement, Budgets, Project Management, Policy, Customer Service, Accounting, System Administration, Auditing, Project Planning, Finance, Time Management, Accounts Payable, Event Planning, Leadership, Training, Human Resources, Data Analysis, SharePoint, Microsoft Office

Education
University of Maryland University College   2007 — 2009
MBA, Business Administration

Old Dominion University   1994 — 1998
BS, Communications

Rathin Chowdhury CA, FCA Rathin Chowdhury CA, FCA Greater New York City Area Details
Rathin Chowdhury CA, FCA's Financial Industry Regulatory Authority (FINRA) Experience 2007 - February 2014
Job Bank Examiner at State Of New York Dept. of Financial Services
Industry Accounting
Experience
State of New York - Dept. of Financial Services   June 2015 - Present
Long Island and greater New York area   March 2014 - May 2015
Financial Industry Regulatory Authority (FINRA)   2007 - February 2014
National Association of Securities Dealers (NASD)   1999 - 2006
Dept. of Public Works., Govt. of Canada   1992 - 1998
Auditor General of Canada, Ottawa, Canada   1984 - 1991
Levy Hyams & Co., London, England   1981 - 1984
Price Waterhouse & Co., Chartered Accountants, London, England   1980 - 1981
SB Manufacturing Co. (Cloth Manufacturing Co.)   1979 - 1980

Skills
Auditing, Finance, Strategic Financial..., Investments, Financial Analysis, Securities, Wealth Management, Mutual Funds, Financial Modeling, Equities, Portfolio Management, Financial Risk, Capital Markets, Alternative Investments, Asset Management, Risk Management, Investment Advisory, Financial Planning, Sarbanes-Oxley Act, Accounting, GAAP

Education
Canadian Institute Of Chartered Accountants   1981 — 1983
CA, Associate Member

Institute of Chartered Accountants in England and Wales   1976 — 1980
Fellow Chartered Accountant (FCA), Fellow Member

University of Chittagong   1970 — 1972
Master Of Commerce, Finance and Accounting

Jamie Udinson Jamie Udinson Philadelphia, Pennsylvania Details
Jamie Udinson's Financial Industry Regulatory Authority (FINRA) Experience November 2014 - Present
Job Examination Manager at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   November 2014 - Present
Financial Industry Regulatory Authority  March 2014 - Present
Financial Industry Regulatory Authority (FINRA)   August 2008 - March 2014
KPMG  March 2011 - September 2011
KPMG  January 2007 - June 2007

Skills
Accounting, Securities, Financial Reporting, Financial Analysis, Investments, AML, US GAAP, SEC filings, Due Diligence, Financial Accounting, FINRA, Series 7, Equities, Capital Markets, SEC, Finance, Financial Risk, SEC Filings, Anti Money Laundering

Education
La Salle University   2015 — 2018
Master of Science (M.S.) Economic Crime Forensics

La Salle University - School of Business Administration   2004 — 2008
BSBA, Accounting, Maxima cum laude

Gwynedd Mercy Academy High School   1994 — 1998

Lawrence Greenberg Lawrence Greenberg Washington D.C. Metro Area Details
Lawrence Greenberg's Financial Industry Regulatory Authority (FINRA) Experience January 2014 - Present
Job SVP & Chief Legal Officer at The Motley Fool
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   January 2014 - Present
American University Washington College of Law  January 2006 - Present
The Motley Fool  December 1996 - Present
George Mason University School of Law  May 2001 - September 2005
Stanford Center for International Security and Cooperation  1995 - 1997
Wilson, Sonsini, Goodrich & Rosati   1994 - 1996
National Security Agency  1992 - 1993
Judge Jerry E. Smith, United States Court of Appeals for the Fifth Circuit   1991 - 1992
Central Intelligence Agency  1987 - 1987

Skills
Intellectual Property, Public Speaking, Licensing, Research, Business Strategy, Contract Negotiation, Corporate Governance, Mergers, Legal Research, Legal Writing, Strategy, Start-ups, Entrepreneurship, Mergers & Acquisitions, Corporate Law, Due Diligence, Venture Capital, Securities Regulation, Privacy Law, Securities, Private Equity, Employment Law, Litigation, International Law, Legal Compliance

Education
Harvard University
A.B., Government

Stanford University
M.A., Political Science

Stanford University Law School
J.D.

Ethan Ray Ethan Ray Greater Grand Rapids, Michigan Area Details
Ethan Ray's Financial Industry Regulatory Authority (FINRA) Experience June 2015 - Present
Job Field Examiner at National Labor Relations Board
Industry Government Administration
Experience
Financial Industry Regulatory Authority (FINRA)   June 2015 - Present
National Labor Relations Board  May 1997 - Present
National Labor Relations Board Union   July 2011 - Present

Skills
Hearings, Labor Relations, Collective Bargaining, Elections, Employment Law, Union, Employee Relations, Mediation, Labor Management, Industrial Relations, Union Relations, Personnel Management

Education
Michigan State University   1993 — 1995
MLRHR, Labor Relations and Human Resources

Michigan State University   1989 — 1993
BS, Construction Management

Craig Siel Craig Siel Greater New York City Area Details
Craig Siel's Financial Industry Regulatory Authority (FINRA) Experience April 2011 - March 2014
Job Technology Professional – ResultsDriven with a "CanDo" Entrepreneurial Mindset
Industry Information Technology and Services
Experience
ChainLink   March 2015 - Present
Jukeboxy   September 2014 - Present
Financial Industry Regulatory Authority (FINRA)   April 2011 - March 2014
Depository Trust & Clearing Corporation (DTCC) via Intermedia Group Inc.   October 2010 - March 2011
New York Mercantile Exchange, (NYMEX – CME Group)   May 2007 - June 2009
Credit-Suisse Securities (USA) LLC   August 2006 - December 2006
Dell, Inc., via Peak Systems – Dell Managed Services, North East Region   May 2005 - April 2006
Peak Systems, Inc.   April 2005 - April 2006
Goldman Sachs  November 2003 - October 2004
Deutsche Bank  October 2001 - October 2003

Skills
Program Management, Project Management, IT Service Management, Management, Vendor Management, Consulting, Integration, Data Center, CRM, Enterprise Software, PMO, Strategy, PMI, Agile Methodologies, ITIL, SDLC, Bitcoin, Telecommunications, Software Documentation, iOS, Android

Education
Northeastern University   1988 — 1994
BA, History (European History, Art, & Architecture)

University of Delaware - Study Abroad Program; London, UK
European History, European Art & Architecture, Urban & Cultural Geography, and Theatre

Todd Griffiths Todd Griffiths Washington D.C. Metro Area Details
Todd Griffiths's Financial Industry Regulatory Authority (FINRA) Experience January 2013 - Present
Job Principal at Stride Technology and Telecommunications Consultant
Industry Telecommunications
Experience
Financial Industry Regulatory Authority (FINRA)   January 2013 - Present
FINRA  2008 - Present
Washington Gas  2005 - 2007
Washington Gas Light Company  2005 - 2007
BAE Systems Information Technology  1998 - 2007
Sprint/Nextel  2003 - 2004
Intelix, Inc.   1999 - 2000
Verizon  1998 - 1999
Ernst & Young LLP  1994 - 1997
NASD  1995 - 1995

Education
Old Dominion University   1984 — 1986
BS, Computer Science

James Madison University   1981 — 1983
Pre-engineering

Joshua Radler Joshua Radler Washington D.C. Metro Area Details
Joshua Radler's Financial Industry Regulatory Authority (FINRA) Experience September 2015 - Present
Job Product Manager at Financial Industry Regulatory Authority (FINRA)
Industry Information Technology and Services
Experience
Financial Industry Regulatory Authority (FINRA)   September 2015 - Present
Teaching Strategies, LLC  December 2011 - September 2015
Governance, Risk and Compliance (Thomson Reuters)   August 2007 - July 2011
Thomson Venture Economics   August 2006 - March 2007
Thomson Venture Economics   February 2003 - July 2006
Thomson Venture Economics   January 2001 - December 2002
Thomson Venture Economics   January 2000 - January 2001
Thomson Financial  October 1998 - January 2000

Skills
Analytics, Business Strategy, Project Management, Product Management, Strategy, Product Development, Analysis, Strategic Planning, Management, Business Development, SaaS, Team Building, Business Analysis, Marketing Strategy, Training, Account Management, Mergers & Acquisitions

Education
Monmouth University
MBA, Business Administration

Monmouth University
BS, Business / Economics

Faiza Atheeq Faiza Atheeq Washington D.C. Metro Area Details
Faiza Atheeq's Financial Industry Regulatory Authority (FINRA) Experience February 2013 - July 2014
Job Architect at AT&T
Industry Information Technology and Services
Experience
AT&T  July 2014 - Present
Financial Industry Regulatory Authority (FINRA)   February 2013 - July 2014
U2opia Mobile   May 2012 - August 2012
MakeMyTrip.com  November 2007 - April 2012
LogicaCMG  November 2006 - November 2007

Education
Mangalore University   2002 — 2005
Mathematics Computer Sc and Statistics

Jim Prisco Jim Prisco Rochester, New York Area Details
Jim Prisco's Financial Industry Regulatory Authority (FINRA) Experience February 1997 - September 2001
Job President/COO at LifeMark Securities Corp
Industry Financial Services
Experience
LifeMark Securities Corp  October 2001 - Present
Financial Industry Regulatory Authority (FINRA)   February 1997 - September 2001

Skills
Investments, Risk Management, Portfolio Management, Management, Strategic Planning, Leadership, Insurance, Business Strategy, Strategy, Finance, Asset Management, Financial Services, Retirement Planning, Financial Planning, Mutual Funds, Securities

Education
Maurice A. Deane School of Law at Hofstra University   1992 — 1995
Juris Doctor (J.D.)

University at Buffalo   1988 — 1992
Bachelor's Degree

Anim Addo Sampong MPA/MGA, MBA, Cert Pub Finance Anim Addo Sampong MPA/MGA, MBA, Cert Pub Finance Washington, District Of Columbia Details
Anim Addo Sampong MPA/MGA, MBA, Cert Pub Finance's Financial Industry Regulatory Authority (FINRA) Experience September 2007 - May 2011
Job Adjunct Professor at Webster University
Industry Financial Services
Experience
Webster University  March 2014 - Present
OptimumCare Home Care Services   September 2013 - Present
FINRA  June 2009 - March 2014
Financial Industry Regulatory Authority (FINRA)   September 2007 - May 2011
Office of Council Woman, Jannie Blackwell   May 2005 - May 2007

Skills
Risk Management, Analysis, AML, Financial Analysis, Due Diligence, Research, Policy, Data Analysis, Banking, Investments, KYC, Financial Risk, Securities, Risk Assessment, Process Improvement

Education
Virginia Tech   2012 — 2014
Ph.D Public Adminstration and Policy, Doctorate

The Johns Hopkins University - Carey Business School   2008 — 2010
MBA, Finance

University of Pennsylvania   2005 — 2007
MGA, Governmental Administration & Public Finance

Kwame Nkrumah' University of Science and Technology, Kumasi   1997 — 2001
B.A, Publishing Studies

Ellen O'Rourke Ellen O'Rourke Greater New York City Area Details
Ellen O'Rourke's Financial Industry Regulatory Authority (FINRA) Experience June 2014 - Present
Job Assistant Director, FINRA Market Regulation
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   June 2014 - Present
Financial Industry Regulatory Authority  December 2011 - Present
Financial Industry Regulatory Authority  June 2010 - December 2011
NYSE Euronext  October 2008 - June 2010
American Stock Exchange  February 2007 - September 2008
FINRA Market Regulation   October 2004 - March 2007
Beacon Financial Advisors   2002 - 2004

Skills
Options, Trading, FINRA, Securities, Securities Regulation, Equities, Financial Regulation, Derivatives, Financial Services, Series 7

Education
Hobart and William Smith Colleges
BA, English, Economics

Jon Blizzard Jon Blizzard Greater New York City Area Details
Jon Blizzard's Financial Industry Regulatory Authority (FINRA) Experience September 1992 - July 2002
Job SVP at HSBC Global Banking and Markets
Industry Capital Markets
Experience
HSBC Global Banking and Markets  September 2010 - Present
Mizuho Securities  March 2007 - September 2010
BGC / Cantor Fitzgerald   January 2005 - September 2006
Jefferies & Company, Inc.   2002 - 2004
Financial Industry Regulatory Authority (FINRA)   September 1992 - July 2002

Skills
Derivatives, Capital Markets, Equities, Fixed Income, Securities, Hedge Funds, Risk Management, Portfolio Management, Investment Banking, Financial Services

Education
New York Law School   2005 — 2009
J.D., Banking, Corporate, Finance, and Securities Law

Scranton Preparatory School

Scranton Preparatory School

Richard M. Lender Richard M. Lender Washington D.C. Metro Area Details
Richard M. Lender's Financial Industry Regulatory Authority (FINRA) Experience January 2010 - November 2010
Job Postgraduate Fellow at The Catholic University of America Columbus School of Law
Industry Law Practice
Experience
The Catholic University of America  September 2010 - Present
Hudson  July 2012 - 2012
Financial Industry Regulatory Authority (FINRA)   January 2010 - November 2010
US Securities and Exchange Commission  August 2009 - January 2010
Commodity Futures Trading Commission  January 2009 - August 2009
National Association of Broadcasters  May 2008 - June 2008
The Kansas City Star  1995 - 2004

Skills
Legal Research, Litigation, Securities Regulation, Trials, Analysis, Legal Writing, Hearings, Public Policy, Research, Westlaw, Civil Litigation, Document Review

Education
The Catholic University of America, Columbus School of Law   2007 — 2010
Juris Doctor, Securities Law

Jagiellonian University   2008 — 2008
International Business and Trade Summer Law Program, International Business and Trade, Certificate

Ave Maria University   2004 — 2006
Master of Arts, Theology

Victoria University of Wellington   1994 — 1994
BA Honours, Politics

Truman State University   1988 — 1993
Bachelor of Arts, History, Political Science; Minor in International Studies, Concentration in Economics

Tom Ferrante Tom Ferrante Greater New York City Area Details
Tom Ferrante's Financial Industry Regulatory Authority (FINRA) Experience June 2015 - Present
Job Senior Financial Operations Examiner, Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   June 2015 - Present
Broadridge Business Process Outsourcing, LLC (formerly Ridge Clearing, ADP Clearing & U.S. Clearing)   February 1992 - August 2014

Skills
series 99, Margin, Securities Regulation, Prime Brokerage, Risk Management, Team Leadership, Customer Service, Securities Lending, Margin Interest, Offshore Outsourcing, Outsourcing Management, Cash Management, FINRA, Financial Reporting, Financial Risk, Financial Services, Options, Securities, AML, OFAC, Anti Money Laundering, Back Office, Management

Education
Kingsborough Community College   1990 — 1991

Kingsborough Community College

Cindy Davenport Cindy Davenport Cincinnati Area Details
Cindy Davenport's Financial Industry Regulatory Authority (FINRA) Experience 1996 - 1999
Job Instructor
Industry Education Management
Experience
University of Cincinnati  January 2012 - Present
Xavier University  January 2009 - May 2011
Fifth Third Securities  November 1999 - December 2008
Financial Industry Regulatory Authority (FINRA)   1996 - 1999
Waterhouse Securities  1993 - 1996

Skills
Teaching, Public Speaking, Customer Service, Microsoft Excel, Leadership, Strategic Planning, Training, Program Management, Microsoft Office, Coaching, Team Leadership, Financial Services, Investments, Financial Analysis, Mutual Funds, Banking, Management

Education
Xavier University   2009 — 2011
Master of Education (M.Ed.), Mathematics, 7-12

Miami University   1989 — 1993
Bachelor of Science (B.S.), Finance, General

John Komoroske John Komoroske Washington D.C. Metro Area Details
John Komoroske's Financial Industry Regulatory Authority (FINRA) Experience 2006 - 2008
Job VP at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA), formerly NASD   2008 - 2014
City of Alexandria, Virginia  1991 - 2014
Financial Industry Regulatory Authority (FINRA)   2006 - 2008
National Association of Securities Dealers (NASD)   2001 - 2007
NASD  1988 - 2001
U.S. Securities and Exchange Commission   1985 - 1988
U.S. Securities and Exchange Commission   1982 - 1985
Office of Management & Budget, Executive Office of the President   1976 - 1982
US Attorney's Office, Eastern District of Virginia   June 1981 - September 1981
Common Council, City of Bloomington IN   1975 - 1976

Skills
Securities Regulation, Legislative Relations, Public Speaking, Legislative Testimony, FINRA, Management, Securities, Budgets, Policy, Analysis, Investment Advisers Act, Investment Company Act

Education
Indiana University Bloomington   1972 — 1975
Master of Public Administration (M.P.A.), School of Public and Environmental Affairs

Indiana University Bloomington   1971 — 1974
Doctor of Law (JD), cum laude, School of Law

Union College   1967 — 1971
Bachelor of Arts (B.A.), cum laude, Political Science and Chinese

Jim Belger Jim Belger Washington D.C. Metro Area Details
Jim Belger's Financial Industry Regulatory Authority (FINRA) Experience September 2002 - December 2006
Job VP & Corporate Controller at ePlus
Industry Information Technology and Services
Experience
ePlus  November 2010 - Present
Sprint Nextel  April 2009 - November 2010
Sprint Nextel  December 2006 - March 2009
Financial Industry Regulatory Authority (FINRA)   September 2002 - December 2006

Education
University of Maryland - Robert H. Smith School of Business   2005 — 2008
MBA

Loyola University Maryland   1994 — 1997
BBA, Accounting

Scott Maestri Scott Maestri Dallas/Fort Worth Area Details
Scott Maestri's Financial Industry Regulatory Authority (FINRA) Experience May 1999 - Present
Job Associate District Director at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   May 1999 - Present
Legg Mason  September 1997 - April 1999

Education
Jesuit High School

Millsaps College
B.B.A., Finance/Economics

Chandra Dyamangoudar Chandra Dyamangoudar Baltimore, Maryland Area Details
Chandra Dyamangoudar's Financial Industry Regulatory Authority (FINRA) Experience 2004 - 2006
Job Director Testing and Quality Assurance at CareFirst BlueCross BlueShield
Industry Insurance
Experience
CareFirst BlueCross BlueShield  March 2012 - Present
CareFirst BlueCross BlueShield  May 2011 - February 2012
CareFirst BlueCross BlueShield  September 2009 - May 2011
CareFirst BlueCross BlueShield  December 2008 - September 2009
Keane  May 2006 - December 2008
Merrill Lynch  2006 - 2007
Saptan LLC   April 2002 - May 2006
Financial Industry Regulatory Authority (FINRA)   2004 - 2006
Association of American Medical Colleges  January 2004 - July 2004
Fannie Mae  2002 - 2003

Skills
Enterprise Software, Leadership, SDLC, Employee Benefits, Quality Assurance, Process Improvement, Oracle, Vendor Management, Change Management, SharePoint, Test Management, Requirements Analysis, Solution Architecture, PMO, Program Management, Project Management, Databases, SOA, Software Project..., Risk Management, Scrum, Testing, Systems Analysis, Software Development, Business Intelligence, Healthcare, Integration, SQL, ITIL, Business Process, Business Process..., Agile Methodologies, Management, PMP, Outsourcing, Requirements Gathering, Project Portfolio..., IT Strategy, HIPAA, Consulting, Strategic Planning, Healthcare Information..., Business Analysis, Unix, Disaster Recovery, MS Project, Data Warehousing, Enterprise Architecture, IT Management, Resource Management

Education
Wichita State University   2000 — 2001
MS, ECE

Kuvempu Vishwavidyanilaya   1994 — 1998
BS, Engineering Industry and Production

Sheila Haney Sheila Haney Greater New York City Area Details
Sheila Haney's Financial Industry Regulatory Authority (FINRA) Experience 1989 - Present
Job Surveillance Director at the Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   1989 - Present

Skills
AML, Risk Assessment, FINRA, Auditing, Negotiation, Capital Markets, Private Investigations, Analysis, Fraud, Series 24, Fixed Income, Financial Risk, Leadership, Securities, Internal Controls, Process Improvement, Series 7

Education
Iona College
B.A., Finance

Ed Wegener, CRCP Ed Wegener, CRCP Greater Chicago Area Details
Ed Wegener, CRCP's Financial Industry Regulatory Authority (FINRA) Experience July 2014 - Present
Job Senior Vice President and Midwest Regional Director FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   July 2014 - Present
Financial Industry Regulatory Authority  February 2013 - Present

Skills
Securities, Equities, Mutual Funds, FINRA, Series 7, Investments, AML, Fixed Income, Securities Regulation, Financial Regulation, SEC, Internal Controls, Accounting, Strategic Planning, Financial Accounting, Series 24, Financial Markets, Fraud

Education
University of Pennsylvania - The Wharton School
CRCP Program - FINRA Institute at Wharton

Keller Graduate School of Management of DeVry University
Masters in Accounting and Financial Management

Illinois State University   1992 — 1994
BS

Kara Wright Kara Wright Washington D.C. Metro Area Details
Kara Wright's Financial Industry Regulatory Authority (FINRA) Experience October 2014 - Present
Job Administrative Coordinator
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   October 2014 - Present
Washington Real Estate Investment Trust  January 2006 - October 2014
D & D Real Estate and Development   August 2002 - January 2006

Skills
Property Management, Real Estate, Leases, Landlord, Disposition, Corporate Real Estate, Real Estate Transactions, Real Estate Development, Real Estate Economics, Facilities Management, Contract Negotiation, Residential Homes, Commercial Real Estate, Lease Administration, Contract Management, Landlords, Tenant, Construction, Construction Management

Education
University of Maryland University College   2009 — 2013
Business. Emergency Management

Montgomery College   2001 — 2003
Business Administration

Nick Cabutto Nick Cabutto Greater New York City Area Details
Nick Cabutto's Financial Industry Regulatory Authority (FINRA) Experience July 2005 - November 2013
Job Vice President, Compliance
Industry Financial Services
Experience
J.P. Morgan   November 2013 - Present
Financial Industry Regulatory Authority (FINRA)   July 2005 - November 2013

Education
Iona College   2001 — 2005
BBA, Finance, 3.8 GPA

Peggy Bennett Peggy Bennett Fort Wayne, Indiana Area Details
Peggy Bennett's Financial Industry Regulatory Authority (FINRA) Experience March 2011 - Present
Job Principal Regulatory Coordinator at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   March 2011 - Present
ALLTIMATE CONSULTING & TRAINING SERVICES, INC   March 2008 - March 2011
Alltimate Compliance & Training Services   2004 - March 2011
OneAmerica Securities  July 2006 - March 2009
ONEAMERICA SECURITIES, INC   July 2006 - March 2009
BISYS Fund Services  August 2005 - July 2006
NATIONWIDE SECURITIES INC   January 2001 - January 2004
LINCOLN NATIONAL CORPORATION  January 1988 - January 2001
Lincoln National  January 1996 - January 2000
Lincoln National Corp   January 1993 - January 1996

Skills
Financial Risk, Risk Management, FINRA, Leadership, AML, Finance, Training, Change Management, Investments, Management, Investment Advisory, Securities, Business Planning, Mutual Funds, Strategic Planning, Software Documentation, Start-ups, Budgets, Financial Services, Internal Controls, Internal Audit, Auditing, Policy, Fixed Annuities, Marketing, Anti Money Laundering

Education
University of Notre Dame - Mendoza College of Business   1998 — 2000
MBA, Business Adm.

Indiana Wesleyan University
B.S, Business Administration

University of Notre Dame
MBA

Nadia Suter Nadia Suter Greater New York City Area Details
Nadia Suter's Financial Industry Regulatory Authority (FINRA) Experience May 2011 - October 2014
Job Associate at Goldman Sachs
Industry Law Practice
Experience
Goldman Sachs  October 2014 - Present
Financial Industry Regulatory Authority (FINRA)   May 2011 - October 2014
FINRA Sponsored Investor Education & Justice Clinic   January 2011 - May 2011
U.S. Securities and Exchange Commission   September 2010 - December 2010
Federal Energy Regulatory Commission  May 2010 - July 2010
Merrill Lynch  April 2006 - May 2008
D'Amato & Lynch   May 2004 - April 2006
Charles Juntikka & Associates   May 2003 - July 2003
Law Offices of Richard J. Katz   August 2002 - April 2003
Davis Wright Tremaine LLP  December 1999 - April 2002

Skills
Compliance, Securities Regulation, Financial Regulation

Education
Howard University School of Law   2008 — 2011
J.D.

New York University   2000 — 2004
B.A., Politics and Journalism

Stuyvesant High School   1996 — 2000

Dan Czajka Dan Czajka Greater Chicago Area Details
Dan Czajka's Financial Industry Regulatory Authority (FINRA) Experience January 2015 - Present
Job Manager at FINRA
Industry Capital Markets
Experience
Financial Industry Regulatory Authority (FINRA)   January 2015 - Present
Chicago Board Options Exchange  March 2012 - January 2015
CBOE  August 2011 - March 2012
CBOE  June 2008 - August 2011
CBOE  May 2007 - June 2008
LaSalle Capital  February 2004 - April 2007
Chicago Securities Group  August 2002 - January 2004
Melvin Securities  1995 - 2002

Skills
Equities, Derivatives, Options, Electronic Trading, FINRA, Securities, Equity Trading, Trading Systems, Series 7, Financial Markets, Capital Markets, Hedge Funds, Commodity, Series 63, Trading

Education
Northeastern Illinois University
Bachelor's degree -, Economics

Cliff Wexler, CFA Cliff Wexler, CFA Greater New York City Area Details
Cliff Wexler, CFA's Financial Industry Regulatory Authority (FINRA) Experience April 2015 - Present
Job Managing Regulatory Coordinator Southern Region at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   April 2015 - Present
Financial Industry Regulatory Authority (FINRA)   July 2009 - March 2015
UBS Financial Services Inc.  July 2006 - April 2009
UBS Chairman's Office   July 2001 - June 2006
Bear Stearns  April 1993 - July 2001
Fidelity Investments  1988 - 1993
Spicer & Oppenheim  1987 - 1987
Drexel Burnham Lambert  1982 - 1986
Dreyfus  1980 - 1980

Skills
FINRA, Internal Audit, Series 24, Brokerage Operations, Correspondent Clearing, Regulatory Reporting, Investment Advisory, Mutual Funds, Operational Risk, Enterprise Risk..., Series 27, Financial Accounting, Financial Analysis, Financial Audits, Financial Risk, Financial Markets, Managerial Finance, Certified Fraud Examiner, Chartered Financial..., system, CISA, Securities, Risk Management, AML, Auditing, Capital Markets, Due Diligence, Operational Risk..., Internal Controls, Asset Management, Investment Banking, Derivatives, Brokers, Hedge Funds, Series 7, Accounting, Financial Services, Financial Regulation, Fixed Income, Equities, Investment Management, Corporate Governance, KYC, Sarbanes-Oxley Act, Anti Money Laundering

Education
Pace University - Lubin School of Business   1981 — 1984
MBA, Financial Management

Hofstra University   1976 — 1979
BBA, Accounting

Oceanside High School

William Hewitt William Hewitt Chicago, Illinois Details
William Hewitt's Financial Industry Regulatory Authority (FINRA) Experience November 2014 - Present
Job Regulatory Analyst at Financial Industry Regulatory Authority (FINRA)
Industry Capital Markets
Experience
Financial Industry Regulatory Authority (FINRA)   November 2014 - Present
Fidelity Investments  July 2013 - October 2014
Fidelity Investments  June 2012 - July 2013

Skills
Series 7, Microsoft Excel, Series 66, Securities, Investment Advisers Act, Securities Exchange Act..., Market Access, Securities Regulation, Trade Compliance, Regulatory Compliance, Regulatory Analysis, Bloomberg, Equities, Investments, Microsoft Office, Mutual Funds, Data Analysis

Education
Miami University   2008 — 2012
Bachelor of Arts (B.A.), Economics

Rumson-Fair Haven Regional HS   2004 — 2008

Ilaria Parisotto Ilaria Parisotto Washington D.C. Metro Area Details
Ilaria Parisotto's Financial Industry Regulatory Authority (FINRA) Experience 2014 - Present
Job Investigator at FINRA Quality of Markets Short Sales Group
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   2014 - Present
Financial Industry Regulatory Authority (FINRA)   2008 - 2014
Financial Industry Regulatory Authority (FINRA)   2007 - 2008
CoStar Group  2005 - 2007

Education
SDA Bocconi   1995 — 1997
Master's Degree, International Economics

McGill University

John Patrick Green John Patrick Green Washington D.C. Metro Area Details
John Patrick Green's Financial Industry Regulatory Authority (FINRA) Experience May 2015 - Present
Job Analyst
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   May 2015 - Present
U.S. Securities and Exchange Commission   January 2015 - May 2015
Marval, O'Farrell & Mairal   May 2014 - July 2014
Monroe County Circuit Court  August 2013 - May 2014
Weitz & Luxenberg, PC   May 2013 - August 2013
ARS Corporate   May 2011 - July 2011
1st Source Bank  May 2010 - August 2010
Hach Company  June 2009 - August 2009
Ginger Valley   May 2008 - August 2009
Jimmy John's  August 2006 - May 2007

Skills
Microsoft Excel, Spanish, Statistics, Analytics, PowerPoint, Access, Microsoft Office, Microsoft Word, Research, Public Speaking, Data Analysis, Customer Service, Legal Writing, Management, Legal Research

Education
Indiana University School of Law—Bloomington   2012 — 2015
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law

Indiana University - Kelley School of Business   2008 — 2012
BA/BS, Business Economics & Public Policy, Finance, Spanish

Penn High School   2004 — 2008
GED

Hammad Qureshi Hammad Qureshi Washington D.C. Metro Area Details
Hammad Qureshi's Financial Industry Regulatory Authority (FINRA) Experience January 2014 - Present
Job Economist at Financial Industry Regulatory Authority (FINRA)
Industry Management Consulting
Experience
Financial Industry Regulatory Authority (FINRA)   January 2014 - Present
The Brattle Group  July 2013 - January 2014
The Brattle Group  August 2009 - June 2013
Center for Human Resource Research  August 2008 - August 2009
The Ohio State University  August 2005 - August 2008
KASB Securities Limited   June 2003 - August 2003
Janney Montgomery Scott  January 2003 - May 2003
ExxonMobil  May 2002 - August 2002
ABN AMRO  May 2001 - August 2001

Skills
Financial Modeling, Stata, Data Analysis, Statistics, Quantitative Analytics, Valuation, Econometrics, Eviews, Quantitative Finance, Time Series Analysis, Derivatives, Monte Carlo Simulation, Financial Analysis, Risk Management, Corporate Finance, Management Consulting, SAS, Forecasting, Matlab, C++, Real Options Analysis, Economic Modeling, Macroeconomics, Portfolio Management, Equities, Statistical Modeling, Economic Research, Econometric Modeling, Equity Research

Education
The Ohio State University   2006 — 2009
PhD, Economic (Econometrics, Finance, Macroeconomics)

The Ohio State University   2004 — 2006
MA, Economics

Ohio Wesleyan University   2000 — 2004
BA, Computer Science, Economics

Irma E. Serrano Irma E. Serrano Greater New York City Area Details
Irma E. Serrano's Financial Industry Regulatory Authority (FINRA) Experience September 2012 - April 2015
Job Professional BiLingual Senior Administrative Assistant who possess sound judgment and time management skills.
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   September 2012 - April 2015
Right Management  2015 - 2015
Contractor  August 2011 - April 2012
International Union of Operating Engineers  August 2008 - May 2009
Credit Suisse Securities (USA)   February 1990 - July 2007

Skills
Investment Banking, C-Level Executive..., Bilingual, Office Management, Time Management, Project Management, Regulatory Disclosure..., Microsoft Office, Calendar Management, Concur, WEBCRD, Outlook, Enterprise Search, PeopleSoft, Non-profit..., Data Entry, Microsoft Publisher, Management

Education
Middlesex County College   2007 — 2011
Associate's Degree, Psychology, 3.6

ToniAnn Bernardo ToniAnn Bernardo Greater New York City Area Details
ToniAnn Bernardo's Financial Industry Regulatory Authority (FINRA) Experience February 2015 - Present
Job Compliance and Financial Services expertise with AML/KYC focus
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   February 2015 - Present
PricewaterhouseCoopers  March 2006 - February 2015
First Investors Corporation  August 1994 - March 2006

Skills
Governance, Financial Analysis, Strategy, Business Process..., Process Improvement, Risk Management, Financial Services, Management Consulting, Due Diligence

Education
Montclair State University   1989 — 1993
BA, Communications Studies

Michael Zmora Michael Zmora Greater Chicago Area Details
Michael Zmora's Financial Industry Regulatory Authority (FINRA) Experience April 2015 - Present
Job Counsel at Financial Industry Regulatory Authority (FINRA)
Industry Legal Services
Experience
Financial Industry Regulatory Authority (FINRA)   April 2015 - Present
Neal, Gerber & Eisenberg LLP   January 2010 - April 2015
Supreme Court of Israel  September 2009 - December 2009
Legal Assistance Foundation of Metropolitan Chicago  2007 - 2007
Mayer Brown  2004 - 2006

Skills
Legal Research, Legal Writing, Litigation, Intellectual Property, Commercial Litigation, Civil Litigation, Corporate Law, Westlaw, Licensing, Courts, Appeals, Mediation, Arbitration, Copyright Law, Legal Assistance, Trademarks

Education
Northwestern University School of Law   2006 — 2009
J.D.

University of Minnesota Law School   2006 — 2007

The University of Chicago   2000 — 2004
B.A., History

St. Paul Academy   1993 — 2000

Krieger Schechter

Joanne Pelletteri Joanne Pelletteri Greater New York City Area Details
Joanne Pelletteri's Financial Industry Regulatory Authority (FINRA) Experience July 2007 - Present
Job Administrative Assistant at FINRA
Industry Legal Services
Experience
Financial Industry Regulatory Authority (FINRA)   July 2007 - Present
Joanne's Personal Assistant Service   January 2007 - Present
FINRA  January 2007 - Present
NYSE  April 2004 - December 2006

Skills
Spreadsheets, Time Management, Litigation, Event Management, Filing, Outlook, Microsoft Word, PowerPoint, Marketing, Administrative..., Telephone Skills, Microsoft Office

Education
Kingsborough Community College   1988 — 1991
Associate's Degree, Business Administration and Management, General, 3.0

Aaron Petty Aaron Petty Greater Chicago Area Details
Aaron Petty's Financial Industry Regulatory Authority (FINRA) Experience April 2014 - Present
Job Counsel for National Security at U.S. Department of Justice
Industry Law Practice
Experience
U.S. Department of Justice, Office of Immigration Litigation, Appellate Section   October 2009 - Present
U.S. Air Force Reserve   August 2013 - Present
Financial Industry Regulatory Authority (FINRA)   April 2014 - Present
U.S. Court of Appeals for the Seventh Circuit   August 2007 - August 2009
Loyola University Chicago School of Law  July 2008 - December 2008

Skills
Legal Research, Legal Writing, Administrative Law, Appellate Practice, Federal Courts, Immigration Law, National Security, Legislation, Security Policy, Human Rights, Federal Government, Constitutional Law, Civil Procedure, Legal Advice, Legal Opinions, Visas, Foreign Policy, Military Experience, University Teaching, Employment..., Securities Regulation, Immigration Policy

Education
Leiden University   2012 — 2016
Doctor of Philosophy (Ph.D.), Law

University of Cambridge   2010 — 2012
MSt, Jewish-Christian Relations

University of Michigan Law School   2004 — 2007
JD, Law

Northwestern University   2000 — 2004
BA, Political Science

Michael Folan Michael Folan Greater Chicago Area Details
Michael Folan's Financial Industry Regulatory Authority (FINRA) Experience August 2015 - Present
Job Manager at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   August 2015 - Present
Financial Industry Regulatory Authority (FINRA)   December 2014 - August 2015
CBOE  May 2014 - December 2014
CBOE  May 2013 - May 2014
CBOE  December 2011 - May 2013
AlphaMetrix, LLC  December 2009 - December 2011
STATS LLC  August 2009 - December 2009

Skills
Due Diligence, Equities, Hedge Funds, Securities, Derivatives, Trading, Alternative Investments, Options

Education
Kellogg School of Management   2013 — 2016

Northwestern University   2006 — 2009
Bachelor of Arts (B.A.), Economics and Political Science

Graham Mueller Graham Mueller Washington D.C. Metro Area Details
Graham Mueller's Financial Industry Regulatory Authority (FINRA) Experience September 2015 - Present
Job Data Scientist at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   September 2015 - Present
Georgetown University  July 2014 - Present
Giant Oak   March 2013 - September 2015
Self Employed  November 2012 - March 2013
Texas A&M University  August 2007 - June 2012
IPOX Schuster LLC   January 2005 - July 2007

Skills
Data Analysis, Machine Learning, Apache Spark, Time Series Analysis, R, Python, Econometrics, Social Network Analysis, Statistics, Economic Research, Big Data, Matlab, Statistical Modeling, Quantitative Research, Data Science, Statistical Learning..., Linear Algebra, Financial Economics, Hive, Social Sciences, Statistical Data..., Statistical Inference, Financial Econometrics, Graph Theory, Quantitative Analytics, LaTeX, JavaScript, d3.js, HTML 5, Node.js, Web Development, ElasticSearch, Android Development, Android, Java, Android Wear

Education
Texas A&M University   2007 — 2012
Doctor of Philosophy (Ph.D.), Economics

University of Illinois at Chicago   2003 — 2005
Master of Science (M.S.), Applied Mathematics

Oklahoma State University   1999 — 2003
BS, BS, Mathematics and Economics

Oklahoma School of Science and Mathematics   1997 — 1999

Robert Deveau Robert Deveau Dallas/Fort Worth Area Details
Robert Deveau's Financial Industry Regulatory Authority (FINRA) Experience June 2015 - Present
Job Associate Examiner at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   June 2015 - Present
Fidelity Investments  May 2014 - June 2015
Fidelity Investments  December 2011 - April 2014
U.S. District Court, Eastern District of New York   August 2009 - December 2009

Skills
Research, Microsoft Excel, Public Speaking, PowerPoint, Microsoft Office, Outlook, Securities, Financial Analysis, Equities, Financial Services, Analysis, Risk Management, Options, Trading, Mutual Funds

Education
Long Island University, C.W. Post Campus   2006 — 2010
B.A., Political Science

Jainam Shah Jainam Shah Washington D.C. Metro Area Details
Jainam Shah's Financial Industry Regulatory Authority (FINRA) Experience July 2015 - Present
Job Software Development Engineer in Test at Financial Industry Regulatory Authority (FINRA)
Industry Information Technology and Services
Experience
Financial Industry Regulatory Authority (FINRA)   July 2015 - Present
Building Science Group   June 2014 - Present
Xronz   June 2014 - September 2014
Tata Consultancy Services  October 2011 - June 2013

Skills
Java, Core Java, SQL, JSP, JavaScript, R, SPSS, WebSphere Process Server, WebSphere Integration..., Ruby, Eclipse, MySQL, Servlets, HTML, CSS, SOAP, C++, Node.js, UML, Microsoft Project, C

Education
University of Maryland College Park   2013 — 2015
Master of Science (MS), Information Management

L.D College of Engineering - Ahmedabad   2007 — 2010
Bachelor of Engineering (B.E.), Computer Engineering

Malcolm Neal Malcolm Neal Chicago, Illinois Details
Malcolm Neal's Financial Industry Regulatory Authority (FINRA) Experience April 2015 - June 2015
Job Risk Analyst at Commodity Futures Trading Commission
Industry Accounting
Experience
Commodity Futures Trading Commission  June 2015 - Present
Mac Neal LLC   December 2013 - Present
Financial Industry Regulatory Authority (FINRA)   April 2015 - June 2015
Mizuho Securities USA Inc.  February 2014 - August 2014
US Foods  February 2013 - December 2013
National Futures Association  June 2011 - November 2012
KPMG  June 2010 - August 2010
Ernst & Young  June 2009 - August 2009
KPMG  January 2009 - March 2009
Michigan State University - Sparty's   March 2007 - March 2009

Skills
Accounting, SEC filings, GAAP, Financial Statement..., SEC, Sarbanes-Oxley Act, Internal Controls, Auditing, Microsoft Excel, Financial Reporting, Partnership Accounting, Accounting Research, Risk Management, Financial Accounting, 10K, Financial Analysis, FAS 133, 10Q, SEC Financial Reporting, Hyperion Enterprise, Variance Analysis, General Ledger, Account Reconciliation, Finance, Accounts Receivable, US GAAP, Journal Entries, Financial Statements, Analysis, CPA, Sarbanes-Oxley, Internal Audit, Tax, External Audit, Financial Audits, Accounts Payable, Financial Risk, QuickBooks, Hyperion

Education
Wayne State University, School of Business   2010 — 2011
Masters of Science, Accounting

Michigan State University - The Eli Broad Graduate School of Management   2006 — 2010
BA, Finance

Shengzhong Zou Shengzhong Zou Washington D.C. Metro Area Details
Shengzhong Zou's Financial Industry Regulatory Authority (FINRA) Experience August 2015 - Present
Job Software Engineer
Industry Computer Software
Experience
Financial Industry Regulatory Authority (FINRA)   August 2015 - Present
General Motors  February 2013 - August 2015
Technology Engineers  May 2012 - December 2012
Louisiana Transportation Research Center  May 2011 - May 2012

Skills
Java, C++, .NET, Python, SQL, ArcGIS, ASP.NET, XML, JavaScript, MySQL, VB.NET, C#, Web Applications, Silverlight, Bootstrap, WebLogic, Automation

Education
Louisiana State University
Master's degree, Computer Science

Wuhan University of Technology
Bachelor's degree, Computer Science

Robert S. Ashcom Robert S. Ashcom Greater Atlanta Area Details
Robert S. Ashcom's Financial Industry Regulatory Authority (FINRA) Experience February 1993 - March 1997
Job Managing Director at SunTrust Robinson Humphrey
Industry Investment Banking
Experience
SunTrust Robinson Humphrey  September 2005 - Present
SunTrust Robinson Humphrey  March 2003 - September 2005
Banc of America Securities LLC  March 1997 - February 2003
Financial Industry Regulatory Authority (FINRA)   February 1993 - March 1997
Masterson Moreland Sauer Whisman, Inc.   August 1991 - January 1993
Michigan Department of Commerce  January 1989 - June 1991

Skills
Capital Markets, Corporate Finance, Due Diligence, Equities, Finance, Financial Modeling, Financial Structuring, Fixed Income, Investment Banking, Mergers, Portfolio Management, Private Equity, Private Placements, Structured Finance, Valuation, Securitization, Mergers & Acquisitions

Education
Southern Methodist University - Cox School of Business
M.B.A., Finance

Michigan State University
B.A., Political Economics

Yelena Beylik Yelena Beylik Greater New York City Area Details
Yelena Beylik's Financial Industry Regulatory Authority (FINRA) Experience June 2015 - Present
Job Program Risk Group at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   June 2015 - Present
FINRA  August 2007 - June 2015
NYSE  August 2004 - July 2007

Skills
FINRA, Securities, Financial Regulation, Securities Regulation, Broker-Dealer, SEC, Equities, Mutual Funds, Risk Management, Financial Risk, Hedge Funds

Education
Pace University - Lubin School of Business   2000 — 2004
Bachelor of Business Administration (BBA), Finance

Lawrence Davidson, MBA, CFE, CAMS & CCEP Lawrence Davidson, MBA, CFE, CAMS & CCEP Greater New York City Area Details
Lawrence Davidson, MBA, CFE, CAMS & CCEP's Financial Industry Regulatory Authority (FINRA) Experience 1995 - 2007
Job Assistant Vice President at HSBC Global Banking and Markets
Industry Financial Services
Experience
HSBC Global Banking and Markets  June 2015 - Present
Financial Industry Regulatory Authority  2007 - 2014
Financial Industry Regulatory Authority (FINRA)   1995 - 2007

Skills
Securities, Underwriting, Broker-Dealer, Regulatory Compliance, Anti Money Laundering, Fraud Investigations, Trade Regulation, Suitability Analysis, Report Writing, Depositions, Investments, Capital Markets, Mutual Funds, Fixed Income, Equities, Trading, AML, Financial Regulation, Due Diligence, FINRA, Hedge Funds, Series 7, Securities Regulation, Series 24, Investment Advisory, Financial Risk, SEC

Education
New York University - Leonard N. Stern School of Business
Master of Business Administration (M.B.A.), Finance, General

New York University
Bachelor of Arts (B.A.), History & Political Science

Joseph Sulzbach Joseph Sulzbach Greater New York City Area Details
Joseph Sulzbach's Financial Industry Regulatory Authority (FINRA) Experience May 2011 - August 2011
Job Associate at Morrison & Foerster LLP
Industry Law Practice
Experience
Morrison & Foerster LLP  May 2015 - Present
Rivkin Radler LLP  September 2013 - May 2015
New York State Department of Financial Services  May 2012 - August 2012
U.S. Securities and Exchange Commission   September 2011 - December 2011
Financial Industry Regulatory Authority (FINRA)   May 2011 - August 2011

Education
Maurice A. Deane School of Law at Hofstra University   2010 — 2013
Juris Doctor (J.D.)

Erica Hoffman Doyle Erica Hoffman Doyle Greater New York City Area Details
Erica Hoffman Doyle's Financial Industry Regulatory Authority (FINRA) Experience 1996 - 2009
Job Operations Specialist at Tiffany & Company
Industry Luxury Goods & Jewelry
Experience
Tiffany & Company  2013 - Present
Financial Industry Regulatory Authority (FINRA)   1996 - 2009
Olsten Corporation  1993 - 1996
Empire Blue Cross and Blue Shield  1988 - 1993

Skills
Contractual Agreements, Contract Negotiation, Contract Management, Employment Contracts, Insurance, Health Insurance, Healthcare, Fraud and Abuse, Intellectual Property, Corporate Law, Legal Writing, Corporate Governance, Employment Law, Licensing, Team Building, Arbitration, Courts, Legal Research, Coaching, Operational Excellence, Sales Operations, Operations Management, Quality Control, Legal Assistance, Legal Advice, Policy, Litigation

Education
Brooklyn Law School
Doctor of Law (JD)

New York University
Elder Law Writing Skills

State University of New York College at Oneonta
Bachelor of Arts (BA) High Honors, Political Science/American History (Dual Major)

University of Sussex
British Government and Literaure

Gene Carasick Gene Carasick United States Details
Gene Carasick's Financial Industry Regulatory Authority (FINRA) Experience 1990 - 2009
Job Owner of GC Litigation Support, LLC
Industry
Experience
GC Litigation Support, LLC   2013 - Present
Financial Industry Regulatory Authority (FINRA)   1990 - 2009
Johnston, Lemon & Co. Incorporated   1982 - 1990
U.S. Securities and Exchange Commission   1974 - 1982

Skills
FINRA, Litigation Support, Securities Litigation, Securities, Broker-Dealer

Education
Northwestern University School of Law   1971 — 1974
Doctor of Law (J.D.), Securities Regulation and Corporate Law

University of Pittsburgh   1967 — 1971
B.A. (Philosophy)

Yuanchun Zhao Yuanchun Zhao Kansas City, Kansas Details
Yuanchun Zhao's Financial Industry Regulatory Authority (FINRA) Experience August 2012 - July 2013
Job Software Engineer at Cerner Corporation
Industry Computer Software
Experience
Cerner Corporation  August 2013 - Present
Financial Industry Regulatory Authority (FINRA)   August 2012 - July 2013
Michigan State University  August 2010 - May 2012

Skills
Computer Science, C++, Python, Java, Programming, HTML, SQL, JavaScript, Algorithms, Django, MongoDB, Celery, OOP, Git

Education
Michigan State University   2010 — 2012
Master's degree, Computer Science

Huazhong University of Science and Technology   2005 — 2009
Bachelor's degree, Bioinformatics

Nilda Niesha Turenne Nilda Niesha Turenne Washington D.C. Metro Area Details
Nilda Niesha Turenne's Financial Industry Regulatory Authority (FINRA) Experience August 2014 - March 2015
Job
Industry Legal Services
Experience
Financial Industry Regulatory Authority (FINRA)   August 2014 - March 2015
Freddie Mac  2013 - 2014

Skills
Paralegals, Mortgage Lending, Mortgage Servicing, Loss Mitigation, Short Sales, Office Administration, Administrative..., Customer Service, Banking, Foreclosures, Mortgage Underwriting, Loan Modifications, Loans

Education
Keiser University-Ft Lauderdale   2007 — 2009
Bachelor of Business Administration, Finance

Keiser College-Pembroke Pines, FL   2004 — 2006
Associate of Arts (AA), Paralegal Studies

Adenike Bamgbade Adenike Bamgbade Laurel, Maryland Details
Adenike Bamgbade's Financial Industry Regulatory Authority (FINRA) Experience 2013 - 2013
Job
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   2013 - 2013
Institute for Biodiagnostics at National Research Council   2004 - 2007

Education
University of Manitoba   2003 — 2006
Master's degree, Computer Science

Obafemi Awolowo University   1993 — 1998
Bachelor's degree, Computer Science

Nick Diganci Nick Diganci Greater Chicago Area Details
Nick Diganci's Financial Industry Regulatory Authority (FINRA) Experience June 2011 - August 2011
Job Transfer Pricing Consultant at Deloitte
Industry Financial Services
Experience
J.P. Morgan   July 2013 - August 2013
EsquireFinancing,Inc   June 2012 - August 2012
Financial Industry Regulatory Authority (FINRA)   June 2011 - August 2011

Skills
Microsoft Office, Microsoft Word, Microsoft Excel, PowerPoint, Stata, Social Media, Data Analysis

Education
Northwestern University   2010 — 2014
Bachelor of Arts, Economics, Political Science & Business Institutions

GonzagaCollegeHighSchool   2006 — 2010

Jesse Terry Jesse Terry Montgomery Village, Maryland Details
Jesse Terry's Financial Industry Regulatory Authority (FINRA) Experience August 2013 - Present
Job Associate Telecom Analyst II
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   August 2013 - Present
Financial Industry Regulatory Authority  March 2009 - July 2013
MedImmune  April 2007 - March 2009
MedImmune  January 2004 - March 2007
Weichert Realtors  February 1999 - January 2003

Skills
Accounts Payable, SAP, PeopleSoft, Yardi, Notary Public, Cpr Certified, AED, Refereeing, Microsoft Excel, Account Reconciliation, Sarbanes-Oxley Act, Software Documentation, Time Management, Leadership, Accounting

Education
Montgomery College

Matthew Byrne Gates Matthew Byrne Gates Dallas, Texas Details
Matthew Byrne Gates's Financial Industry Regulatory Authority (FINRA) Experience September 2015 - Present
Job Compliance Examiner at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   September 2015 - Present
Financial Industry Regulatory Authority (FINRA)   September 2014 - Present
Financial Industry Regulatory Authority  May 2014 - August 2014
Grifols  January 2009 - September 2012
National Institute of Environmental Health Sciences (NIEHS)   August 2004 - December 2008

Education
Indiana University - Kelley School of Business   2013 — 2015
Master of Science (M.S.), Finance

North Carolina State University   2002 — 2007
Bachelor's of Science, Chemistry

Waael El-gazzar Waael El-gazzar Union, New Jersey Details
Waael El-gazzar's Financial Industry Regulatory Authority (FINRA) Experience December 2014 - Present
Job at
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   December 2014 - Present
National Futures Association  June 2013 - December 2014
Neuberger Berman  November 2012 - May 2013
Pace University  January 2011 - February 2013
Argus Information & Advisory Services, LLC   September 2012 - November 2012
National Securities  April 2009 - May 2010
Accountemps.  March 2008 - July 2008
Show Time Limousine   February 2007 - April 2008

Skills
Microsoft Excel, Analysis, SQL, Portfolio Management, Customer Service, SAS, Trading, Financial Modeling, Financial Analysis, Series 7, Internal Audit, Finance, Financial Statements, PowerPoint, Accounting, Access, Microsoft Office, Internal Controls, QuickBooks

Education
Pace University - Lubin School of Business   2010 — 2013
MBA, Accounting

Pace University   2005 — 2007
BA, Biology

Luvenia June-Mack Luvenia June-Mack United States Details
Luvenia June-Mack's Financial Industry Regulatory Authority (FINRA) Experience June 2000 - July 2010
Job Associate Adjunct Professor at Long Island University
Industry
Experience
Long Island University  September 2002 - Present
Financial Industry Regulatory Authority (FINRA)   June 2000 - July 2010

Skills
Community Outreach, Teaching, Higher Education, Microsoft Word, Research, Staff Development, Securities Regulation, Data Analysis, Microsoft Excel, PowerPoint, Fundraising, Instructor-led Training, Outlook, Financial Risk, Photoshop, Nonprofits, Windows, Policy, Public Speaking, Securities, Microsoft Office, FINRA, Leadership Development

Education
Long Island University, Brooklyn Campus
Bachelor of Business Administration (B.B.A.), Business Administration and Computer Science

Long Island University, Brooklyn Campus
Master of Public Administration (M.P.A.), Accounting and Human Resource Management

Jeni Baker Jeni Baker Mount Airy, Maryland Details
Jeni Baker's Financial Industry Regulatory Authority (FINRA) Experience May 2015 - Present
Job Accounts Receivable Associate at Montgomery Child Care Association, Inc.
Industry Accounting
Experience
Financial Industry Regulatory Authority (FINRA)   May 2015 - Present
Montgomery Child Care Association, Inc.   February 2013 - May 2015
Montgomery Child Care Association, Inc.   November 2011 - February 2013
Montgomery Child Care Association, Inc.   February 2009 - November 2011

Skills
Payroll, Accounts Receivable, Accounts Payable, Accounting, Invoicing, Microsoft Excel, Account Reconciliation, Customer Service, Outlook, Budgets

Education
University of Maryland University College   2014 — 2017
Bachelor's Degree, Accounting and Finance

Montgomery College   2005 — 2008
Associate's degree, Business/Commerce, General

Steve Moxham Steve Moxham Clifton, Virginia Details
Steve Moxham's Financial Industry Regulatory Authority (FINRA) Experience May 2010 - August 2010
Job Government Account Representative at Carahsoft
Industry Consumer Services
Experience
Carahsoft   October 2014 - Present
AAA Mid-Atlantic  2012 - 2014
Financial Industry Regulatory Authority  May 2011 - August 2011
Financial Industry Regulatory Authority (FINRA)   May 2010 - August 2010

Skills
Customer Service, Customer Satisfaction, Customer Retention, Sales, Problem Solving, Problem Analysis, Continuous Improvement, Supervisory Skills, Invoice Processing, Analysis

Education
James Madison University   2008 — 2012
Bachelor of Science, Public Policy and Administration

Girish Uppin PMP Girish Uppin PMP Washington D.C. Metro Area Details
Girish Uppin PMP's Financial Industry Regulatory Authority (FINRA) Experience January 2013 - Present
Job Project Lead at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   January 2013 - Present
Hewlett-Packard  October 2010 - January 2013
Aditi LLC   October 2006 - September 2010
Tata Consultancy Services  May 1999 - October 2006

Skills
SDLC, Software Project..., PMP, Requirements Analysis, Enterprise Architecture, Solution Architecture, Release Management, Program Management, Business Analysis, IT Strategy, Oracle, PL/SQL, SQL, Agile & Waterfall..., Scrum Fundamentals..., Leadership, Team Building, Java Technology, Sun Certified Java..., ETL, Amazon Web Services..., Hadoop, Hive, Unix, Unix Shell Scripting, Web development, GWT, Spring Framework, Tomcat, Angular JS, Database Administration, PostgreSQL, ASP, ASP.NET, C#

Education
National Institute of Technology Karnataka   1997 — 1999
Master of Technology (M.Tech.), Power and Energy Systems

KLE Dr. M S Sheshgiri College of Engineering and Technology (KLECET)   1992 — 1996
Bachelor of Engineering (B.E.), Electrical and Electronics Engineering

Seth Braunstein Seth Braunstein Warren, New Jersey Details
Seth Braunstein's Financial Industry Regulatory Authority (FINRA) Experience May 2014 - August 2014
Job Student at Muhlenberg College
Industry Financial Services
Experience
Muhlenberg Academic Resource Center   2013 - Present
Financial Industry Regulatory Authority (FINRA)   May 2014 - August 2014

Education
Muhlenberg College   2013 — 2016
Finance

Barbara Walley Barbara Walley Boca Raton, Florida Details
Barbara Walley's Financial Industry Regulatory Authority (FINRA) Experience October 1986 - January 2014
Job retired
Industry Financial Services
Experience
Self-employed  February 2014 - Present
Financial Industry Regulatory Authority (FINRA)   October 1986 - January 2014

Education
Loyola University New Orleans   1979 — 1983
Doctor of Law (J.D.)

Miami University   1968 — 1972
Bachelor of Arts (B.A.), Economics

Gregory Kahn Gregory Kahn Greater Philadelphia Area Details
Gregory Kahn's Financial Industry Regulatory Authority (FINRA) Experience December 2007 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   December 2007 - Present
Kroll  January 2005 - November 2007
Towers Perrin  June 2003 - December 2004
Dewey Ballantine LLP  June 2001 - July 2002

Skills
FINRA, Due Diligence, Securities Regulation, Anti Money Laundering

Education
Indiana University of Pennsylvania   1998 — 2001
Bachelor's degree, Political Science and Government

Wilkes University   1996 — 1997

Cheltenham High School   1992 — 1996

Annemarie Cichy Annemarie Cichy Charlotte, North Carolina Area Details
Annemarie Cichy's Financial Industry Regulatory Authority (FINRA) Experience May 1986 - February 1998
Job Compliance Officer at Wells Fargo
Industry Financial Services
Experience
Wells Fargo  September 2007 - Present
Schonfeld Securities  June 1999 - September 2007
Banque Nationale de Paris  February 1998 - June 1999
Financial Industry Regulatory Authority (FINRA)   May 1986 - February 1998

Skills
Compliance Management, Banking, Regulatory Compliance, Risk Management, Management, Financial Services, Customer Service, Microsoft Office

Education
Marist College   1982 — 1986
Bachelor’s Degree, Business Administration and Management, General

Previous Next

Select page

1 2 3 4 5 6


Similar Companies

AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
FINRA