FINRA Company
Industry: Non-governmental organization
DescriptionIn the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. Agency executive: Robert W. Cook, president and chief executive officer Headquarters: Washington, D.C., United States Founded: 30 July 2007 CEO: Robert W. Cook (Aug 2016–) Number of employees: 3,400 Subsidiary: NASD Regulation, Inc.
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FINRA Employees
Employee
Years
Job
Industry
Morgan Trinkaus Morgan Trinkaus's FINRA Experience June 2010 - Present
Job Assistant Director, FINRA Market Regulation
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) February 2014 - Present
FINRA June 2010 - Present
NYSE Euronext February 2008 - September 2010
Skills
Securities Regulation, FINRA, Series 7, Equities, Financial Risk, Hedge Funds, ETFs, Securities, Litigation, SEC, Capital Markets, Options, Risk Management, AML
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2004 — 2006
JD, Litigation
Michigan State University 1998 — 2003
BA, Political Theory, Consitutional Democracy
Financial Industry Regulatory Authority (FINRA) February 2014 - Present
FINRA June 2010 - Present
NYSE Euronext February 2008 - September 2010
Skills
Securities Regulation, FINRA, Series 7, Equities, Financial Risk, Hedge Funds, ETFs, Securities, Litigation, SEC, Capital Markets, Options, Risk Management, AML
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2004 — 2006
JD, Litigation
Michigan State University 1998 — 2003
BA, Political Theory, Consitutional Democracy
Christy Clark Christy Clark's FINRA Experience 2006 - 2007
Job Wealth Management Professional at Goldman Sachs
Industry Financial Services
Experience
Goldman Sachs January 2012 - Present
Citadel Investment Group June 2010 - January 2012
Bank of America/ Merrill Lynch July 2007 - May 2010
FINRA 2006 - 2007
Federated Investors February 2004 - July 2006
Parker/Hunter 2002 - 2003
Education
Drexel University 1998 — 2003
BSBA, Finance
Drexel University - LeBow College of Business 1998 — 2003
FInance, College of Business and Administration
Goldman Sachs January 2012 - Present
Citadel Investment Group June 2010 - January 2012
Bank of America/ Merrill Lynch July 2007 - May 2010
FINRA 2006 - 2007
Federated Investors February 2004 - July 2006
Parker/Hunter 2002 - 2003
Education
Drexel University 1998 — 2003
BSBA, Finance
Drexel University - LeBow College of Business 1998 — 2003
FInance, College of Business and Administration
Bruce Strow Bruce Strow's FINRA Experience 1993 - 1997
Job Eastern Region Service Delivery Manager at Eastern Computer Exchange
Industry Information Technology and Services
Experience
Randstad Technologies US October 2014 - March 2015
Unisys October 2011 - May 2014
Tabush Group January 2011 - September 2011
CompuCom 1997 - 2010
FINRA 1993 - 1997
Core International 1990 - 1993
Syntrex, Inc. 1981 - 1990
Skills
Management, Outsourcing, Technical Support, Information Technology, Vendor Management, Training, Leadership, IT Management, IT Service Management, SharePoint, ITIL, Service Management, Lotus Notes, Service Delivery, Project Planning, Program Management, Security, IT Operations, Customer Satisfaction, Operations Management, Project Management, Strategy, Process Improvement, Troubleshooting, IT Strategy
Education
Control Data Institute
Computer Technology and Electronics
Brooklyn College
Randstad Technologies US October 2014 - March 2015
Unisys October 2011 - May 2014
Tabush Group January 2011 - September 2011
CompuCom 1997 - 2010
FINRA 1993 - 1997
Core International 1990 - 1993
Syntrex, Inc. 1981 - 1990
Skills
Management, Outsourcing, Technical Support, Information Technology, Vendor Management, Training, Leadership, IT Management, IT Service Management, SharePoint, ITIL, Service Management, Lotus Notes, Service Delivery, Project Planning, Program Management, Security, IT Operations, Customer Satisfaction, Operations Management, Project Management, Strategy, Process Improvement, Troubleshooting, IT Strategy
Education
Control Data Institute
Computer Technology and Electronics
Brooklyn College
William Antonio Miller William Antonio Miller's FINRA Experience September 2008 - September 2012
Job Consultant
Industry International Affairs
Experience
Consumer Financial Protection Bureau July 2014 - November 2014
Beraca November 2013 - May 2014
United Nations August 2013 - December 2013
Inter-American Development Bank June 2013 - August 2013
FINRA September 2008 - September 2012
Latin American Youth Center June 2011 - August 2012
Skills
Data Analysis, Non-profits, Research, Finance, Analysis, Financial Modeling, Microsoft Excel, Economics, Microsoft Office, Strategic Planning, Financial Analysis, Valuation, Spanish, Nonprofits, Market Research, Corporate Finance, Stata, Bloomberg, Emerging Markets, Capital Markets, Macroeconomics, Due Diligence, Politics
Education
Columbia University in the City of New York 2012 — 2014
Master's degree, International Economics
Columbia University - School of International and Public Affairs 2012 — 2014
Master of International Affairs, International Finance and Economic Policy
Morehouse College 2004 — 2008
B.A., Economics
Consumer Financial Protection Bureau July 2014 - November 2014
Beraca November 2013 - May 2014
United Nations August 2013 - December 2013
Inter-American Development Bank June 2013 - August 2013
FINRA September 2008 - September 2012
Latin American Youth Center June 2011 - August 2012
Skills
Data Analysis, Non-profits, Research, Finance, Analysis, Financial Modeling, Microsoft Excel, Economics, Microsoft Office, Strategic Planning, Financial Analysis, Valuation, Spanish, Nonprofits, Market Research, Corporate Finance, Stata, Bloomberg, Emerging Markets, Capital Markets, Macroeconomics, Due Diligence, Politics
Education
Columbia University in the City of New York 2012 — 2014
Master's degree, International Economics
Columbia University - School of International and Public Affairs 2012 — 2014
Master of International Affairs, International Finance and Economic Policy
Morehouse College 2004 — 2008
B.A., Economics
Philip Shaikun Philip Shaikun's FINRA Experience
Job Associate General Counsel at FINRA
Industry Financial Services
Experience
FINRA
Skills
Corporate Governance, Securities Regulation, Financial Regulation, FINRA, Securities Litigation, AML, SEC, Financial Services
Education
University of Southern California Law School 1988 — 1991
Doctor of Law (JD)
Duke University 1983 — 1987
Bachelor of Arts (BA), Public Policy
FINRA
Skills
Corporate Governance, Securities Regulation, Financial Regulation, FINRA, Securities Litigation, AML, SEC, Financial Services
Education
University of Southern California Law School 1988 — 1991
Doctor of Law (JD)
Duke University 1983 — 1987
Bachelor of Arts (BA), Public Policy
Julie Crotty Julie Crotty's FINRA Experience August 2004 - October 2014
Job Senior Consultant at YSC
Industry Management Consulting
Experience
YSC October 2014 - Present
FINRA August 2004 - October 2014
Skills
Securities, Securities Regulation, Leadership, Change Management, Research, Strategic Planning, Due Diligence, Strategy, Public Speaking, Alternative Investments, Nonprofits, Program Management, Hedge Funds, Business Development, Business Strategy, Conflict Resolution, Mediation, FINRA, Investments, Marketing, Training, Leadership Development, Management Consulting, Financial Services, Financial Regulation, Organizational..., Entrepreneurship, Workshop Facilitation, Executive Coaching, Screenwriting, Film Production, Film Directing, Hosting, Teleprompter, Acting, Voiceovers, Sports, International Law, Improvisational Comedy, Directing, Short Films
Education
Cornell University 1985 — 1996
BA, JD, MBA, Psychology, Law, Business
YSC October 2014 - Present
FINRA August 2004 - October 2014
Skills
Securities, Securities Regulation, Leadership, Change Management, Research, Strategic Planning, Due Diligence, Strategy, Public Speaking, Alternative Investments, Nonprofits, Program Management, Hedge Funds, Business Development, Business Strategy, Conflict Resolution, Mediation, FINRA, Investments, Marketing, Training, Leadership Development, Management Consulting, Financial Services, Financial Regulation, Organizational..., Entrepreneurship, Workshop Facilitation, Executive Coaching, Screenwriting, Film Production, Film Directing, Hosting, Teleprompter, Acting, Voiceovers, Sports, International Law, Improvisational Comedy, Directing, Short Films
Education
Cornell University 1985 — 1996
BA, JD, MBA, Psychology, Law, Business
Jatin Ahuja Jatin Ahuja's FINRA Experience May 2012 - May 2015
Job JPMorgan Chase
Industry Financial Services
Experience
JPMorgan Chase & Co. May 2015 - Present
FINRA May 2012 - May 2015
Cadence Distributors December 2010 - May 2012
Ameriprise Financial Services July 2010 - December 2010
Supreme Court of the State of New York, County of New York (Criminal Court), January 2010 - July 2010
Simon Property Group August 2007 - July 2010
Rising Sun Imports, Inc August 2005 - August 2009
Skills
Sales, Management, Customer Service, Microsoft Office, Recruiting, Finance, Spanish, Microsoft Excel, Financial Analysis, PowerPoint, Courts, Access, Outlook, Financial Modeling, Microsoft Word, Research, Logistics, Public Speaking
Education
City University of New York-Hunter College 2008 — 2012
Bachelor of Science (BS), Political Science and Government
JPMorgan Chase & Co. May 2015 - Present
FINRA May 2012 - May 2015
Cadence Distributors December 2010 - May 2012
Ameriprise Financial Services July 2010 - December 2010
Supreme Court of the State of New York, County of New York (Criminal Court), January 2010 - July 2010
Simon Property Group August 2007 - July 2010
Rising Sun Imports, Inc August 2005 - August 2009
Skills
Sales, Management, Customer Service, Microsoft Office, Recruiting, Finance, Spanish, Microsoft Excel, Financial Analysis, PowerPoint, Courts, Access, Outlook, Financial Modeling, Microsoft Word, Research, Logistics, Public Speaking
Education
City University of New York-Hunter College 2008 — 2012
Bachelor of Science (BS), Political Science and Government
Michael Bisignani Michael Bisignani's FINRA Experience December 2007 - June 2008
Job Chief Technology Officer at Essextec
Industry Information Technology and Services
Experience
Essextec May 2015 - Present
Gemini Systems September 1993 - May 2015
Gemini Systems January 1997 - September 2013
On Deck Capital, Inc. 2012 - 2012
FINRA December 2007 - June 2008
Jefferies & Company 2007 - 2007
Jefferies & Company 2007 - 2007
Jefferies & Company 2006 - 2007
NYSE 1996 - 2005
Institute of Culinary Education 2002 - 2004
Skills
Enterprise Software, IT Strategy, Architecture, High Performance..., Enterprise Architecture, Semantic Technologies, ASP.NET, SOA, Cloud Computing, Enterprise Content..., Solution Architecture
Education
City University of New York-Hunter College 1990 — 2003
non degree, Classical Latin
Mercy College 1986 — 1990
BS Math/Computer Science - Summa Cum Laude, Math, Computer Science
Liceo Scientifico - Scorza- , Cosenza, ITALY 1982 — 1986
Diploma di Maturita' 60/60, Math, Classical Latin, Sciences, English
Essextec May 2015 - Present
Gemini Systems September 1993 - May 2015
Gemini Systems January 1997 - September 2013
On Deck Capital, Inc. 2012 - 2012
FINRA December 2007 - June 2008
Jefferies & Company 2007 - 2007
Jefferies & Company 2007 - 2007
Jefferies & Company 2006 - 2007
NYSE 1996 - 2005
Institute of Culinary Education 2002 - 2004
Skills
Enterprise Software, IT Strategy, Architecture, High Performance..., Enterprise Architecture, Semantic Technologies, ASP.NET, SOA, Cloud Computing, Enterprise Content..., Solution Architecture
Education
City University of New York-Hunter College 1990 — 2003
non degree, Classical Latin
Mercy College 1986 — 1990
BS Math/Computer Science - Summa Cum Laude, Math, Computer Science
Liceo Scientifico - Scorza- , Cosenza, ITALY 1982 — 1986
Diploma di Maturita' 60/60, Math, Classical Latin, Sciences, English
Jeffrey Siswanto Jeffrey Siswanto's FINRA Experience January 2010 - May 2010
Job Sr. Analyst Airport Business Planning at JetBlue Airways
Industry Airlines/Aviation
Experience
JetBlue Airways September 2014 - Present
US Airways February 2013 - September 2014
US Airways January 2012 - February 2013
US Airways May 2008 - January 2012
TD Bank October 2010 - November 2010
FINRA January 2010 - May 2010
Skills
Customer Service, Budgeting, Strategic Planning, Compliance, Customer Relations, Excel, Word, PowerPoint, Policy, Analysis, Supervisory Skills, Administration, Process Improvement, Problem Solving, Policy Analysis, Outlook, Auditing, Accounting, Operations Management, Budgets, Aviation, Airports, Project Planning, Airlines, Commercial Aviation, Aircraft, Flights, Sabre, Airport Management, Microsoft Excel, Microsoft Word
Education
Temple University - Fox School of Business and Management 2007 — 2010
Bachelor of Administration, Accounting
Community College of Philadelphia 2005 — 2007
Associate in Arts, Business
JetBlue Airways September 2014 - Present
US Airways February 2013 - September 2014
US Airways January 2012 - February 2013
US Airways May 2008 - January 2012
TD Bank October 2010 - November 2010
FINRA January 2010 - May 2010
Skills
Customer Service, Budgeting, Strategic Planning, Compliance, Customer Relations, Excel, Word, PowerPoint, Policy, Analysis, Supervisory Skills, Administration, Process Improvement, Problem Solving, Policy Analysis, Outlook, Auditing, Accounting, Operations Management, Budgets, Aviation, Airports, Project Planning, Airlines, Commercial Aviation, Aircraft, Flights, Sabre, Airport Management, Microsoft Excel, Microsoft Word
Education
Temple University - Fox School of Business and Management 2007 — 2010
Bachelor of Administration, Accounting
Community College of Philadelphia 2005 — 2007
Associate in Arts, Business
Edgar Douanla Nzokwe Edgar Douanla Nzokwe's FINRA Experience May 2014 - November 2014
Job Software Developer at RDA Corporation
Industry Retail
Experience
RDA Corporation June 2015 - Present
Secured Sciences LLC August 2013 - Present
Sitecore 2015 - 2015
FINRA May 2014 - November 2014
University of Maryland Baltimore County 2013 - 2014
University of Maryland Baltimore County 2013 - 2014
University of Maryland Baltimore County June 2013 - December 2013
Carroll Hospital Center October 2011 - August 2013
Walmart January 2011 - October 2011
Skills
C, Algorithms, Perl, Microsoft Excel, Java, Python, Linear Algebra, Differential Equations, Matlab, Programming, Ruby, JavaScript, CSS, Microsoft Expression, Linear Programming, C++, Ruby on Rails, Microsoft Office...
Education
University of Maryland Baltimore County 2013 — 2015
Bachelor of Science (B.Sc.), Computer Engineering
Carroll Community College 2011 — 2012
Associate of Arts (A.A.), Electrical and Electronics Engineering
University of Buea
RDA Corporation June 2015 - Present
Secured Sciences LLC August 2013 - Present
Sitecore 2015 - 2015
FINRA May 2014 - November 2014
University of Maryland Baltimore County 2013 - 2014
University of Maryland Baltimore County 2013 - 2014
University of Maryland Baltimore County June 2013 - December 2013
Carroll Hospital Center October 2011 - August 2013
Walmart January 2011 - October 2011
Skills
C, Algorithms, Perl, Microsoft Excel, Java, Python, Linear Algebra, Differential Equations, Matlab, Programming, Ruby, JavaScript, CSS, Microsoft Expression, Linear Programming, C++, Ruby on Rails, Microsoft Office...
Education
University of Maryland Baltimore County 2013 — 2015
Bachelor of Science (B.Sc.), Computer Engineering
Carroll Community College 2011 — 2012
Associate of Arts (A.A.), Electrical and Electronics Engineering
University of Buea
Grant David Ward Grant David Ward's FINRA Experience May 2005 - October 2006
Job Vice President, Chief Compliance Officer and Counsel at SBLI of Massachusetts
Industry Financial Services
Experience
SBLI of Massachusetts March 2011 - Present
GDW Consulting February 2010 - March 2011
MetLife Financial Services June 2008 - February 2010
Deloitte October 2006 - May 2008
FINRA May 2005 - October 2006
John Hancock Financial Services, Inc. October 2004 - May 2005
John Hancock August 2000 - October 2004
Securities and Exchange Commission 1990 - 2000
Dow Lohnes PLLC 1988 - 1990
Skills
Insurance, Securities Regulation
Education
DePaul University College of Law 1986 — 1988
J.D.
Howard University 1982 — 1984
B.A., English
Jesuit High School (New Orleans) 1975 — 1979
The Partnership
SBLI of Massachusetts March 2011 - Present
GDW Consulting February 2010 - March 2011
MetLife Financial Services June 2008 - February 2010
Deloitte October 2006 - May 2008
FINRA May 2005 - October 2006
John Hancock Financial Services, Inc. October 2004 - May 2005
John Hancock August 2000 - October 2004
Securities and Exchange Commission 1990 - 2000
Dow Lohnes PLLC 1988 - 1990
Skills
Insurance, Securities Regulation
Education
DePaul University College of Law 1986 — 1988
J.D.
Howard University 1982 — 1984
B.A., English
Jesuit High School (New Orleans) 1975 — 1979
The Partnership
Morgan Clemons's FINRA Experience September 2009 - December 2009
Job Compliance Attorney at Aldridge Pite, LLP
Industry Law Practice
Experience
Aldridge Pite, LLP January 2015 - Present
Georgia Department of Banking and Finance March 2012 - January 2015
Georgia Department of Banking and Finance November 2010 - June 2011
11th Circuit Court of Appeals 2011 - 2011
Crawford & Company August 2010 - November 2010
FINRA September 2009 - December 2009
ACLU June 2009 - July 2009
Alston & Bird LLP May 2008 - July 2008
Skills
Licensing, Courts, Appeals, Banking, Financial Services, Corporate Governance, Legal Assistance, Trials, Hearings, Legal Writing, Legal Research, Litigation, Westlaw
Education
Duke University School of Law 2007 — 2010
J.D., Law
Emory University 2003 — 2006
B.A., History/ Political Science double major
Aldridge Pite, LLP January 2015 - Present
Georgia Department of Banking and Finance March 2012 - January 2015
Georgia Department of Banking and Finance November 2010 - June 2011
11th Circuit Court of Appeals 2011 - 2011
Crawford & Company August 2010 - November 2010
FINRA September 2009 - December 2009
ACLU June 2009 - July 2009
Alston & Bird LLP May 2008 - July 2008
Skills
Licensing, Courts, Appeals, Banking, Financial Services, Corporate Governance, Legal Assistance, Trials, Hearings, Legal Writing, Legal Research, Litigation, Westlaw
Education
Duke University School of Law 2007 — 2010
J.D., Law
Emory University 2003 — 2006
B.A., History/ Political Science double major
Brett Clawson Brett Clawson's FINRA Experience March 2013 - Present
Job Director at FINRA
Industry Information Technology and Services
Experience
FINRA March 2013 - Present
FINRA October 2007 - March 2013
FINRA July 2007 - October 2007
NASD November 2004 - July 2007
Thomson Financial October 2000 - September 2004
Engenia Software Inc June 2000 - October 2000
Primark September 1999 - June 2000
Skills
Requirements Analysis, Agile Methodologies, Business Analysis, Requirements Gathering, Testing, Data Analysis, IT Strategy, SQL, Product Management, SDLC, Project Management, Business Intelligence, Analysis, Project Planning, Use Case Analysis, Excel models, Business Process..., User Experience, Process Analysis, Strategic Roadmaps, Scrum
Education
University of Maryland - Robert H. Smith School of Business 2003 — 2006
MBA, Information Systems & Operations Management
George Mason University 2001 — 2001
Professional Certificate, Web Development (ASP)
Brigham Young University 1992 — 1999
Bachelor of Arts, English Major with a Spanish Minor
FINRA March 2013 - Present
FINRA October 2007 - March 2013
FINRA July 2007 - October 2007
NASD November 2004 - July 2007
Thomson Financial October 2000 - September 2004
Engenia Software Inc June 2000 - October 2000
Primark September 1999 - June 2000
Skills
Requirements Analysis, Agile Methodologies, Business Analysis, Requirements Gathering, Testing, Data Analysis, IT Strategy, SQL, Product Management, SDLC, Project Management, Business Intelligence, Analysis, Project Planning, Use Case Analysis, Excel models, Business Process..., User Experience, Process Analysis, Strategic Roadmaps, Scrum
Education
University of Maryland - Robert H. Smith School of Business 2003 — 2006
MBA, Information Systems & Operations Management
George Mason University 2001 — 2001
Professional Certificate, Web Development (ASP)
Brigham Young University 1992 — 1999
Bachelor of Arts, English Major with a Spanish Minor
Byron Morales Byron Morales's FINRA Experience July 2014 - Present
Job Senior Examiner at FINRA
Industry Accounting
Experience
FINRA July 2014 - Present
Payless ShoeSource October 2010 - July 2014
TWG February 2008 - October 2010
Chicago Board of Trade / CME Group February 2006 - February 2008
CBOT 2006 - 2007
DBS Communication October 2004 - December 2005
National Bank of Commerce July 2000 - September 2004
Skills
Financial Analysis, Sarbanes-Oxley Act, Auditing, Risk Management, Accounting, Analysis, Strategic Planning, Process Improvement, Team Leadership, Management, Budgets, Marketing Strategy, Marketing
Education
Dominican University 2000 — 2006
Bachelor of Science & MBA, Major Accounting and International Business
Universidad de Salamanca 2002 — 2002
Proviso West
FINRA July 2014 - Present
Payless ShoeSource October 2010 - July 2014
TWG February 2008 - October 2010
Chicago Board of Trade / CME Group February 2006 - February 2008
CBOT 2006 - 2007
DBS Communication October 2004 - December 2005
National Bank of Commerce July 2000 - September 2004
Skills
Financial Analysis, Sarbanes-Oxley Act, Auditing, Risk Management, Accounting, Analysis, Strategic Planning, Process Improvement, Team Leadership, Management, Budgets, Marketing Strategy, Marketing
Education
Dominican University 2000 — 2006
Bachelor of Science & MBA, Major Accounting and International Business
Universidad de Salamanca 2002 — 2002
Proviso West
Charles McLaughlin's FINRA Experience January 2014 - April 2014
Job Senior Legal Specialist
Industry Legal Services
Experience
New Jersey Department of Human Services, Bureau of Administrative Review and Appeals November 2014 - Present
The Cherami Law Firm January 2013 - Present
FINRA January 2014 - April 2014
Hoagland, Longo, Moran, Dunst & Doukas May 2012 - August 2012
New York City Law Dept March 2010 - December 2010
NJ Colonials April 2008 - November 2010
Strategic Planning Group December 2008 - July 2009
Gordon & Rees, LLP September 2008 - December 2008
Thacher Proffitt & Wood, LLP(defunct) July 2007 - November 2007
Pressler & Pressler May 2007 - July 2007
Skills
Legal Research, Legal Writing, Employment Contracts, Civil Litigation, Commercial Litigation, PowerPoint, Microsoft Excel, Microsoft Word, Finance, Asset Allocation, Cash Flow, Westlaw, Litigation, Courts, Employment Law
Education
Hofstra University School of Law 2012 — 2014
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
Whittier Law School 2011 — 2012
Connecticut College 2002 — 2006
B.A., Government
Delbarton School 1998 — 2002
High School Diploma
New Jersey Department of Human Services, Bureau of Administrative Review and Appeals November 2014 - Present
The Cherami Law Firm January 2013 - Present
FINRA January 2014 - April 2014
Hoagland, Longo, Moran, Dunst & Doukas May 2012 - August 2012
New York City Law Dept March 2010 - December 2010
NJ Colonials April 2008 - November 2010
Strategic Planning Group December 2008 - July 2009
Gordon & Rees, LLP September 2008 - December 2008
Thacher Proffitt & Wood, LLP(defunct) July 2007 - November 2007
Pressler & Pressler May 2007 - July 2007
Skills
Legal Research, Legal Writing, Employment Contracts, Civil Litigation, Commercial Litigation, PowerPoint, Microsoft Excel, Microsoft Word, Finance, Asset Allocation, Cash Flow, Westlaw, Litigation, Courts, Employment Law
Education
Hofstra University School of Law 2012 — 2014
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
Whittier Law School 2011 — 2012
Connecticut College 2002 — 2006
B.A., Government
Delbarton School 1998 — 2002
High School Diploma
Melissa Bauman, MBA, PMP Melissa Bauman, MBA, PMP's FINRA Experience October 1986 - June 1999
Job Project Manager at The International Baccalaureate
Industry Information Technology and Services
Experience
The International Baccalaureate March 2015 - Present
Independent August 2014 - Present
Financial Industry Regulatory Authority August 2012 - July 2014
OST, Inc. April 2012 - September 2012
Hewlett-Packard August 2009 - April 2012
EDS Corporation June 1999 - August 2009
FINRA October 1986 - June 1999
Skills
Program Management, Process Improvement, PMO, PMP, IT Strategy, Project Portfolio..., IT Service Management, Software Project..., SDLC, Business Process, Resource Management, Business Analysis, Service Delivery, Vendor Management, Business Process..., Governance, Requirements Gathering, MS Project, Team Management, IT Management, Risk Management, Project Planning, IT Transformation, Project Delivery, Project Governance, Certified Project..., Business Requirements, Team Building, Service Management, Strategic Planning, CMMI, Customer Relations, Solutions Development, Business Management, Problem Solving, Process Development, Deployment, Business Architecture, Planning, SLA, IT Financial Management, SOW, Software Development, Process Simulation, Leadership, Customer Service, Solution Architecture, Management, Sla, Project Management
Education
The George Washington University - School of Business
Master of Business Administration (M.B.A.), Finance
Boston University
Bachelor's Degree, Business Administration, Information Systems concentration
The International Baccalaureate March 2015 - Present
Independent August 2014 - Present
Financial Industry Regulatory Authority August 2012 - July 2014
OST, Inc. April 2012 - September 2012
Hewlett-Packard August 2009 - April 2012
EDS Corporation June 1999 - August 2009
FINRA October 1986 - June 1999
Skills
Program Management, Process Improvement, PMO, PMP, IT Strategy, Project Portfolio..., IT Service Management, Software Project..., SDLC, Business Process, Resource Management, Business Analysis, Service Delivery, Vendor Management, Business Process..., Governance, Requirements Gathering, MS Project, Team Management, IT Management, Risk Management, Project Planning, IT Transformation, Project Delivery, Project Governance, Certified Project..., Business Requirements, Team Building, Service Management, Strategic Planning, CMMI, Customer Relations, Solutions Development, Business Management, Problem Solving, Process Development, Deployment, Business Architecture, Planning, SLA, IT Financial Management, SOW, Software Development, Process Simulation, Leadership, Customer Service, Solution Architecture, Management, Sla, Project Management
Education
The George Washington University - School of Business
Master of Business Administration (M.B.A.), Finance
Boston University
Bachelor's Degree, Business Administration, Information Systems concentration
Gloria J. Kinney Gloria J. Kinney's FINRA Experience September 2008 - Present
Job Rehabilitation Counselor, Intern at Sinclair Community College
Industry Alternative Dispute Resolution
Experience
Sinclair Community College August 2014 - Present
SpeakLife On Purpose, LLC January 2011 - Present
SpeakLife On Purpose, LLC 2011 - Present
FINRA September 2008 - Present
SpeakLife On Purpose, LLC January 1999 - Present
Capital University Law School March 2002 - September 2012
Law Offices April 2009 - December 2010
Sinclair Community College Paralegal Alumni Assoc. 2009 - November 2010
City of Dayton Law Department January 2009 - April 2009
USPS January 1978 - March 2009
Skills
Mediator, Arbitrator, Paralegal, Notary Public, License Real Estate..., Legal Research, Mediation, Legal Writing, Employment Tribunal, Alternative Dispute..., Courts, Employment Law, Arbitration, Family Law, Lexis, Appeals, Leadership, Litigation Support, Pleadings, Trials, Bankruptcy, Legal Advice, Workers Compensation, Dispute, Litigation, Civil Litigation, Dispute Resolution, Training, Conflict Resolution, Westlaw, Corporate Law, Legal Assistance, Document Drafting, Property Law, Criminal Law, Intellectual Property, Interviews, Commercial Litigation, Estate Planning, Personal Injury, Legal Issues, Conflict Management, Research, Administrative Law, Wills, Policy, Licensing, Hearings, Product Liability, Legal Documents
Education
Wilberforce University 2013 — 2015
Master's degree, Rehabilitation Counseling/Counselor
Wilberforce University 2011 — 2012
Bachelor of Science Organizational Management, Business Administration and Management, General, 3.72
Sinclair Community College 2006 — 2009
Associate of Applied Science, Paralegal, 3.75
Capital University Law School 2002 — 2009
Certificates in Alternative Dispute Resolution
George Meany Center, National Labor College 1997 — 1997
Certified Arbitrator, Alternative Dispute Resolutions
The Ohio State University 1986 — 1996
Bachelor of Applied Science (B.A.Sc.), Certificate in Labor Law
Sinclair Community College August 2014 - Present
SpeakLife On Purpose, LLC January 2011 - Present
SpeakLife On Purpose, LLC 2011 - Present
FINRA September 2008 - Present
SpeakLife On Purpose, LLC January 1999 - Present
Capital University Law School March 2002 - September 2012
Law Offices April 2009 - December 2010
Sinclair Community College Paralegal Alumni Assoc. 2009 - November 2010
City of Dayton Law Department January 2009 - April 2009
USPS January 1978 - March 2009
Skills
Mediator, Arbitrator, Paralegal, Notary Public, License Real Estate..., Legal Research, Mediation, Legal Writing, Employment Tribunal, Alternative Dispute..., Courts, Employment Law, Arbitration, Family Law, Lexis, Appeals, Leadership, Litigation Support, Pleadings, Trials, Bankruptcy, Legal Advice, Workers Compensation, Dispute, Litigation, Civil Litigation, Dispute Resolution, Training, Conflict Resolution, Westlaw, Corporate Law, Legal Assistance, Document Drafting, Property Law, Criminal Law, Intellectual Property, Interviews, Commercial Litigation, Estate Planning, Personal Injury, Legal Issues, Conflict Management, Research, Administrative Law, Wills, Policy, Licensing, Hearings, Product Liability, Legal Documents
Education
Wilberforce University 2013 — 2015
Master's degree, Rehabilitation Counseling/Counselor
Wilberforce University 2011 — 2012
Bachelor of Science Organizational Management, Business Administration and Management, General, 3.72
Sinclair Community College 2006 — 2009
Associate of Applied Science, Paralegal, 3.75
Capital University Law School 2002 — 2009
Certificates in Alternative Dispute Resolution
George Meany Center, National Labor College 1997 — 1997
Certified Arbitrator, Alternative Dispute Resolutions
The Ohio State University 1986 — 1996
Bachelor of Applied Science (B.A.Sc.), Certificate in Labor Law
Jay A. Biondo's FINRA Experience July 2008 - March 2011
Job Chief Compliance Officer
Industry Financial Services
Experience
Allston Trading September 2013 - Present
Infinium Capital Management March 2011 - September 2013
FINRA July 2008 - March 2011
Illinois Securities Department January 2006 - June 2008
Skills
Securities, Securities Regulation, FINRA, Securities Litigation, Financial Regulation, Series 24, Options, Investment Company Act, Dodd-Frank, Litigation, Hedge Funds, Risk Management, Capital Markets, Corporate Governance, Commodity, AML, Broker-Dealer, Legal Research, Financial Markets, Series 7, Due Diligence, Derivatives
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2006 — 2008
LLM, Financial Services Law
The John Marshall Law School 2001 — 2005
JD, Law
Lake Forest College 1996 — 2000
Bachelor's degree, Communication and Media Studies
Allston Trading September 2013 - Present
Infinium Capital Management March 2011 - September 2013
FINRA July 2008 - March 2011
Illinois Securities Department January 2006 - June 2008
Skills
Securities, Securities Regulation, FINRA, Securities Litigation, Financial Regulation, Series 24, Options, Investment Company Act, Dodd-Frank, Litigation, Hedge Funds, Risk Management, Capital Markets, Corporate Governance, Commodity, AML, Broker-Dealer, Legal Research, Financial Markets, Series 7, Due Diligence, Derivatives
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2006 — 2008
LLM, Financial Services Law
The John Marshall Law School 2001 — 2005
JD, Law
Lake Forest College 1996 — 2000
Bachelor's degree, Communication and Media Studies
Frank Kulbaski Frank Kulbaski's FINRA Experience February 2005 - July 2011
Job Enforcement Attorney CFPB
Industry Law Practice
Experience
Consumer Financial Protection Bureau August 2011 - Present
FINRA February 2005 - July 2011
U.S. District Court August 2004 - February 2005
Startec Global Communications 2000 - 2004
University of Richmond Law School January 1999 - June 2000
Central and East European Law Initiative July 1997 - December 1998
Baach Robinson & Lewis PLLC 1995 - 1997
Wilmer, Cutler and Pickering 1993 - 1995
U.S. District Court 1991 - 1993
Skills
Securities Regulation, Litigation, Securities, Corporate Governance, Commercial Litigation, Financial Regulation, Banking, Investigation, International..., Federal Government
Education
Cornell Law School 1988 — 1991
JD, Law, Magna Cum Laude
Massachusetts Institute of Technology 1984 — 1988
SB, Mechanical Engineering
Consumer Financial Protection Bureau August 2011 - Present
FINRA February 2005 - July 2011
U.S. District Court August 2004 - February 2005
Startec Global Communications 2000 - 2004
University of Richmond Law School January 1999 - June 2000
Central and East European Law Initiative July 1997 - December 1998
Baach Robinson & Lewis PLLC 1995 - 1997
Wilmer, Cutler and Pickering 1993 - 1995
U.S. District Court 1991 - 1993
Skills
Securities Regulation, Litigation, Securities, Corporate Governance, Commercial Litigation, Financial Regulation, Banking, Investigation, International..., Federal Government
Education
Cornell Law School 1988 — 1991
JD, Law, Magna Cum Laude
Massachusetts Institute of Technology 1984 — 1988
SB, Mechanical Engineering
sean forbes sean forbes's FINRA Experience October 2010 - Present
Job Dispute Resolution Arbitraitor at FINRA
Industry Financial Services
Experience
FINRA October 2010 - Present
ASSOCIATED SECURITIES May 1992 - November 2007
Skills
Securities, Banking, Program Management, Customer Service, Business Analysis, Asset Management, Microsoft Office, Risk Management, Project Management, Finance, Financial Services, Analysis, Data Analysis, Financial Analysis, Capital Markets, Investment Banking, Valuation, Credit, Equities
Education
California State University-Fresno
BS, BUSINESS ADMINISTRATION-FINANCE
FINRA October 2010 - Present
ASSOCIATED SECURITIES May 1992 - November 2007
Skills
Securities, Banking, Program Management, Customer Service, Business Analysis, Asset Management, Microsoft Office, Risk Management, Project Management, Finance, Financial Services, Analysis, Data Analysis, Financial Analysis, Capital Markets, Investment Banking, Valuation, Credit, Equities
Education
California State University-Fresno
BS, BUSINESS ADMINISTRATION-FINANCE
Polly Rosenstein,CFP® Polly Rosenstein,CFP®'s FINRA Experience June 2009 - Present
Job President at Redstone Financial Advisors LLC
Industry Investment Management
Experience
FINRA June 2009 - Present
Redstone Financial Advisors, LLC January 2006 - Present
Redstone Financial Advisors LLC January 2006 - Present
Merrill Lynch 1993 - 1993
Dean Witter Reynolds 1973 - 1987
Skills
Wealth Management, Investments, Mutual Funds, Portfolio Management, Estate Planning, Finance, Financial Services, Strategic Financial..., Securities, Wealth, Asset Managment, Retirement Planning, Investment Advisory, New Business Development, 401k, Management, Fixed Annuities, CRM, ETFs, Law Firms, Loans, Managerial Finance, Credit, Employee Benefits, Retirement, Life Insurance, Asset Management, Mortgage Lending, Banking, Series 7, Financial Advisory, Entrepreneurship, Risk Management, Disability Insurance, Financial Planners, IRAs, Personal Finance, Long-term Care, Asset Allocation, Series 63, Trusts, Investment Strategies, Financial Planning
Education
College for Financial Planning 2007 — 2010
Bachelor of Arts (B.A.), CFP Certification Professional Education Program
University of Mary Washington 1965 — 1969
B.A., English
FINRA June 2009 - Present
Redstone Financial Advisors, LLC January 2006 - Present
Redstone Financial Advisors LLC January 2006 - Present
Merrill Lynch 1993 - 1993
Dean Witter Reynolds 1973 - 1987
Skills
Wealth Management, Investments, Mutual Funds, Portfolio Management, Estate Planning, Finance, Financial Services, Strategic Financial..., Securities, Wealth, Asset Managment, Retirement Planning, Investment Advisory, New Business Development, 401k, Management, Fixed Annuities, CRM, ETFs, Law Firms, Loans, Managerial Finance, Credit, Employee Benefits, Retirement, Life Insurance, Asset Management, Mortgage Lending, Banking, Series 7, Financial Advisory, Entrepreneurship, Risk Management, Disability Insurance, Financial Planners, IRAs, Personal Finance, Long-term Care, Asset Allocation, Series 63, Trusts, Investment Strategies, Financial Planning
Education
College for Financial Planning 2007 — 2010
Bachelor of Arts (B.A.), CFP Certification Professional Education Program
University of Mary Washington 1965 — 1969
B.A., English
Walter Naeder Walter Naeder's FINRA Experience July 2011 - November 2013
Job Associate General Counsel at UBS Financial Services
Industry Legal Services
Experience
UBS Financial Services November 2013 - Present
FINRA July 2011 - November 2013
Seward & Kissel LLP September 2001 - July 2011
Skills
Litigation, Securities, Trials, Commercial Litigation, Securities Regulation, AML, Investment Management, Financial Regulation, Securities Litigation, Investment Advisers Act, SEC, Corporate Governance, Bankruptcy, Courts, Due Diligence, FINRA, Legal Writing, Corporate Law, Equities, Financial Services, Investment Advisory, Legal Compliance, Legal Research
Education
Brooklyn Law School 1998 — 2001
JD, cum laude
UBS Financial Services November 2013 - Present
FINRA July 2011 - November 2013
Seward & Kissel LLP September 2001 - July 2011
Skills
Litigation, Securities, Trials, Commercial Litigation, Securities Regulation, AML, Investment Management, Financial Regulation, Securities Litigation, Investment Advisers Act, SEC, Corporate Governance, Bankruptcy, Courts, Due Diligence, FINRA, Legal Writing, Corporate Law, Equities, Financial Services, Investment Advisory, Legal Compliance, Legal Research
Education
Brooklyn Law School 1998 — 2001
JD, cum laude
Alexandra (Sasha) Verkh Alexandra (Sasha) Verkh's FINRA Experience 2009 - Present
Job Senior Corporate Counsel at Farmers Insurance Group of Companies
Industry Law Practice
Experience
Farmers Insurance Group of Companies 2012 - Present
FINRA 2009 - Present
The Law Offices of Alexandra Verkh 2009 - 2013
Safeco Insurance Company of America 2006 - 2008
Hogan & Hartson LLP 2004 - 2006
Selman Breitman LLP 2003 - 2004
Barger & Wolen LLP 1999 - 2002
Skills
Insurance Law, Corporate Law, Compliance, Credit, Litigation, Commercial Litigation, Civil Litigation, Contract Negotiation, Dispute, Civil, Legal Writing, Legal Research, Insurance
Education
University of California, Los Angeles - School of Law 1996 — 1999
JD, Law
Dartmouth College 1991 — 1995
BA, Psychology, Government
Flintridge Preparatory High School 1990 — 1991
Nichols School 1983 — 1990
Farmers Insurance Group of Companies 2012 - Present
FINRA 2009 - Present
The Law Offices of Alexandra Verkh 2009 - 2013
Safeco Insurance Company of America 2006 - 2008
Hogan & Hartson LLP 2004 - 2006
Selman Breitman LLP 2003 - 2004
Barger & Wolen LLP 1999 - 2002
Skills
Insurance Law, Corporate Law, Compliance, Credit, Litigation, Commercial Litigation, Civil Litigation, Contract Negotiation, Dispute, Civil, Legal Writing, Legal Research, Insurance
Education
University of California, Los Angeles - School of Law 1996 — 1999
JD, Law
Dartmouth College 1991 — 1995
BA, Psychology, Government
Flintridge Preparatory High School 1990 — 1991
Nichols School 1983 — 1990
Henry Goldberg Henry Goldberg's FINRA Experience 1996 - 2008
Job Chief Scientist/Engineer at SAIC
Industry Computer Software
Experience
SAIC January 2009 - Present
FINRA 1996 - 2008
Federal Judicial Center 1977 - 1990
Education
Carnegie Mellon University 1968 — 1975
PhD, Computer Science
Massachusetts Institute of Technology 1964 — 1968
SB, Mathematics
SAIC January 2009 - Present
FINRA 1996 - 2008
Federal Judicial Center 1977 - 1990
Education
Carnegie Mellon University 1968 — 1975
PhD, Computer Science
Massachusetts Institute of Technology 1964 — 1968
SB, Mathematics
Alex Yaroslavsky Alex Yaroslavsky's FINRA Experience November 2001 - September 2015
Job Vice President, Corporate Training Group at JPMorgan Chase & Co.
Industry Financial Services
Experience
JPMorgan Chase & Co. September 2015 - Present
Baruch College January 2011 - Present
Association for Conflict Resolution of Greater New York July 2009 - Present
Goldman Sachs January 2013 - September 2015
FINRA November 2001 - September 2015
Yaro Group, LLC June 2000 - September 2015
John Jay College January 2006 - December 2012
Port Authority of NY & NJ April 2007 - January 2010
Citigroup Private Bank September 2005 - December 2006
U.S. Trust July 2002 - December 2006
Skills
Conflict Resolution, Training, Mediation, Executive Coaching, Leadership, Conflict Management, Coaching, Analysis, Human Resources, Organizational Design, Employee Relations, Strategic Planning, Policy, Project Management, Arbitration, Alternative Dispute..., Management, Nonprofits, Teaching, Workshop Facilitation, Dispute Resolution, Team Building, Negotiation, HRIS, Business Analysis, Interviews, Personnel Management, Employee Benefits, Report Writing, Business Process..., Access, Recruiting, Data Analysis, Business Intelligence, SaaS, Conflict, Russian, Customer Service, Family Mediation, Retreat Facilitation, Strategic Thinking, Training &..., Deferred Compensation, University Teaching, College Teaching, Cultural Differences, 360 Feedback, Qualified Mediator, Strategy, Leadership Development
Education
Coro - Leadership NY XVIII 2006 — 2007
Cornell University 1993 — 1995
MILR, Industrial & Labor Relations
New York University - Leonard N. Stern School of Business 1987 — 1991
BS, Marketing, International Business
Brooklyn Technical High School 1983 — 1987
HS, Bio-Med
Seth Low, IS 96 1980 — 1983
JPMorgan Chase & Co. September 2015 - Present
Baruch College January 2011 - Present
Association for Conflict Resolution of Greater New York July 2009 - Present
Goldman Sachs January 2013 - September 2015
FINRA November 2001 - September 2015
Yaro Group, LLC June 2000 - September 2015
John Jay College January 2006 - December 2012
Port Authority of NY & NJ April 2007 - January 2010
Citigroup Private Bank September 2005 - December 2006
U.S. Trust July 2002 - December 2006
Skills
Conflict Resolution, Training, Mediation, Executive Coaching, Leadership, Conflict Management, Coaching, Analysis, Human Resources, Organizational Design, Employee Relations, Strategic Planning, Policy, Project Management, Arbitration, Alternative Dispute..., Management, Nonprofits, Teaching, Workshop Facilitation, Dispute Resolution, Team Building, Negotiation, HRIS, Business Analysis, Interviews, Personnel Management, Employee Benefits, Report Writing, Business Process..., Access, Recruiting, Data Analysis, Business Intelligence, SaaS, Conflict, Russian, Customer Service, Family Mediation, Retreat Facilitation, Strategic Thinking, Training &..., Deferred Compensation, University Teaching, College Teaching, Cultural Differences, 360 Feedback, Qualified Mediator, Strategy, Leadership Development
Education
Coro - Leadership NY XVIII 2006 — 2007
Cornell University 1993 — 1995
MILR, Industrial & Labor Relations
New York University - Leonard N. Stern School of Business 1987 — 1991
BS, Marketing, International Business
Brooklyn Technical High School 1983 — 1987
HS, Bio-Med
Seth Low, IS 96 1980 — 1983
Amy Sochard Amy Sochard's FINRA Experience December 2013 - Present
Job Senior Director at FINRA
Industry Financial Services
Experience
FINRA December 2013 - Present
FINRA July 2007 - November 2013
NASD September 1986 - July 2007
The Investment Group 1985 - 1986
Skills
Mutual Funds, Financial Services, Securities, Investments, Public Speaking
Education
Columbia University in the City of New York 1983 — 1984
University of Virginia 1978 — 1982
B.A. with Distinction
FINRA December 2013 - Present
FINRA July 2007 - November 2013
NASD September 1986 - July 2007
The Investment Group 1985 - 1986
Skills
Mutual Funds, Financial Services, Securities, Investments, Public Speaking
Education
Columbia University in the City of New York 1983 — 1984
University of Virginia 1978 — 1982
B.A. with Distinction
Thomas Tillery Thomas Tillery's FINRA Experience December 2006 - October 2014
Job Vice President & CCO Paraklete® Financial, Inc.
Industry Financial Services
Experience
Paraklete® Financial, Inc. November 2005 - Present
Financial Planning Advocate, LLC January 2001 - Present
FINRA December 2006 - October 2014
Terry College of Business, The University of Georgia March 2006 - February 2012
New York Life Insurance Company 2004 - 2004
Pacific Life June 2001 - October 2003
MassMutual October 1986 - June 2001
Clergy May 1980 - September 1986
United States Air Force November 1975 - April 1978
Skills
Estate Planning, Retirement Planning, Strategic Financial..., Retirement, Financial Planners, Securities, Investments, Financial Advisory, Risk Management, Wealth Management, Asset Allocation, Insurance, Asset Protection, Investment Advisory, Wealth, 401k, Finance, Investment Strategies, Series 63, Financial Planning
Education
The American College 1995 — 1999
Master of Science (MSFS), Financial Services
The Southern Baptist Theological Seminary 1981 — 1984
Master of Arts (MA), Christian Education
Columbus State University 1975 — 1981
Bachelor of Arts (BA), English Language and Literature/Letters
Paraklete® Financial, Inc. November 2005 - Present
Financial Planning Advocate, LLC January 2001 - Present
FINRA December 2006 - October 2014
Terry College of Business, The University of Georgia March 2006 - February 2012
New York Life Insurance Company 2004 - 2004
Pacific Life June 2001 - October 2003
MassMutual October 1986 - June 2001
Clergy May 1980 - September 1986
United States Air Force November 1975 - April 1978
Skills
Estate Planning, Retirement Planning, Strategic Financial..., Retirement, Financial Planners, Securities, Investments, Financial Advisory, Risk Management, Wealth Management, Asset Allocation, Insurance, Asset Protection, Investment Advisory, Wealth, 401k, Finance, Investment Strategies, Series 63, Financial Planning
Education
The American College 1995 — 1999
Master of Science (MSFS), Financial Services
The Southern Baptist Theological Seminary 1981 — 1984
Master of Arts (MA), Christian Education
Columbus State University 1975 — 1981
Bachelor of Arts (BA), English Language and Literature/Letters
Stephanie Randell Stephanie Randell's FINRA Experience May 2012 - October 2012
Job Accenture Talent Acquisition
Industry Information Technology and Services
Experience
ACCENTURE May 2007 - Present
FINRA May 2012 - October 2012
Brookfield Properties September 2005 - March 2007
Metropolitian Family Services May 2004 - September 2005
RR Donnelley March 2003 - May 2004
SPSS September 2000 - May 2002
BlueCross BlueShield of Illinois March 1997 - September 2000
Skills
Personnel Management, Security, Onboarding, Talent Acquisition, Technical Recruiting, Recruiting, Employee Relations, Human Resources, Sourcing, Deferred Compensation, HRIS, Screening
Education
Keller Graduate School of Management of DeVry University 1997 — 2001
Master, Human Resource Management
Chicago State University 1990 — 1995
Bachelor of Arts (B.A.), Business Administration and Management, General
ACCENTURE May 2007 - Present
FINRA May 2012 - October 2012
Brookfield Properties September 2005 - March 2007
Metropolitian Family Services May 2004 - September 2005
RR Donnelley March 2003 - May 2004
SPSS September 2000 - May 2002
BlueCross BlueShield of Illinois March 1997 - September 2000
Skills
Personnel Management, Security, Onboarding, Talent Acquisition, Technical Recruiting, Recruiting, Employee Relations, Human Resources, Sourcing, Deferred Compensation, HRIS, Screening
Education
Keller Graduate School of Management of DeVry University 1997 — 2001
Master, Human Resource Management
Chicago State University 1990 — 1995
Bachelor of Arts (B.A.), Business Administration and Management, General
Jonathan Etkin Jonathan Etkin's FINRA Experience February 2011 - Present
Job Principal Examiner Member Regulation Department at FINRA
Industry Financial Services
Experience
FINRA February 2011 - Present
Ameriprise Financial January 2009 - August 2010
J. & W. Seligman & Co., Incorporated June 2005 - December 2008
MetLife July 1997 - June 2005
MetLife November 1990 - July 1997
MetLife June 1987 - November 1990
MetLife August 1980 - June 1987
Skills
Mutual Funds, Securities, AML, Hedge Funds, Investments, FINRA, Fixed Income, Due Diligence, Financial Services, Finance, Analysis, Financial Modeling, Insurance, Securities Regulation, Strategic Financial..., Internal Controls
Education
Pace University - Lubin School of Business 1982 — 1986
MBA, Finance Management
Connecticut College 1976 — 1980
BA, Government
University of Pennsylvania 1978 — 1979
FINRA February 2011 - Present
Ameriprise Financial January 2009 - August 2010
J. & W. Seligman & Co., Incorporated June 2005 - December 2008
MetLife July 1997 - June 2005
MetLife November 1990 - July 1997
MetLife June 1987 - November 1990
MetLife August 1980 - June 1987
Skills
Mutual Funds, Securities, AML, Hedge Funds, Investments, FINRA, Fixed Income, Due Diligence, Financial Services, Finance, Analysis, Financial Modeling, Insurance, Securities Regulation, Strategic Financial..., Internal Controls
Education
Pace University - Lubin School of Business 1982 — 1986
MBA, Finance Management
Connecticut College 1976 — 1980
BA, Government
University of Pennsylvania 1978 — 1979
Shirley Schacht's FINRA Experience June 2010 - Present
Job Senior Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
NYSE Euronext March 2006 - June 2010
T & L Contracting of N.Y., Inc. 1996 - 2005
Skills
Securities, Equities, Trading, FINRA, Capital Markets, Securities Regulation, Hedge Funds, Financial Services, Financial Markets, Series 7
Education
Keller Graduate School of Management 2010 — 2012
Master's degree, Accounting and Finance
Capella University 2001 — 2004
Master of Business Administration (MBA), International Business
New York University
Bachelor's degree
FINRA June 2010 - Present
NYSE Euronext March 2006 - June 2010
T & L Contracting of N.Y., Inc. 1996 - 2005
Skills
Securities, Equities, Trading, FINRA, Capital Markets, Securities Regulation, Hedge Funds, Financial Services, Financial Markets, Series 7
Education
Keller Graduate School of Management 2010 — 2012
Master's degree, Accounting and Finance
Capella University 2001 — 2004
Master of Business Administration (MBA), International Business
New York University
Bachelor's degree
David Shellenberger's FINRA Experience 1999 - 2004
Job Libertarian Commentator
Industry Writing and Editing
Experience
David E. Shellenberger January 2010 - Present
A major financial services company in NY 2004 - 2007
FINRA 1999 - 2004
Massachusetts Securities Division 1998 - 1999
Law Office of David E. Shellenberger 1989 - 1998
Skills
Legal Research, Legal Writing, Securities Regulation, Litigation, Politics, Corporate Governance, Corporate Law, Public Policy, Policy Analysis, Mediation, Public Speaking, Commercial Litigation, Securities, Arbitration, Due Diligence, Privacy Law, Civil Litigation, Courts, Leadership, Policy, Criminal Law, Research, Bankruptcy, Legal Assistance, Legal Advice, Government, Intellectual Property, Internal Investigations, Nonprofits, Political Consulting, Legislative Relations, International Relations, Administrative Law, Dispute Resolution, Enforcement, Legal Issues, Alternative Dispute..., Entrepreneurship, Licensing, Appeals, Westlaw, Fraud, Speech Writing, Fundraising, Social Media, Public Relations, Article Writing, Blogger
Education
Boston University School of Law 1975 — 1978
J.D., Law
David E. Shellenberger January 2010 - Present
A major financial services company in NY 2004 - 2007
FINRA 1999 - 2004
Massachusetts Securities Division 1998 - 1999
Law Office of David E. Shellenberger 1989 - 1998
Skills
Legal Research, Legal Writing, Securities Regulation, Litigation, Politics, Corporate Governance, Corporate Law, Public Policy, Policy Analysis, Mediation, Public Speaking, Commercial Litigation, Securities, Arbitration, Due Diligence, Privacy Law, Civil Litigation, Courts, Leadership, Policy, Criminal Law, Research, Bankruptcy, Legal Assistance, Legal Advice, Government, Intellectual Property, Internal Investigations, Nonprofits, Political Consulting, Legislative Relations, International Relations, Administrative Law, Dispute Resolution, Enforcement, Legal Issues, Alternative Dispute..., Entrepreneurship, Licensing, Appeals, Westlaw, Fraud, Speech Writing, Fundraising, Social Media, Public Relations, Article Writing, Blogger
Education
Boston University School of Law 1975 — 1978
J.D., Law
Joseph Cherry Joseph Cherry's FINRA Experience May 2006 - May 2014
Job Salesforce Engineer (Contractor) at Hughes Network Systems
Industry Information Technology and Services
Experience
Hughes Network Systems March 2015 - Present
Western Union Business Solutions July 2014 - February 2015
FINRA May 2006 - May 2014
Contracting work February 2002 - May 2006
AOL June 1998 - January 2001
Alcatel Data Networks September 1986 - June 1997
Skills
Unix, Solaris, Perl, Linux, Data Center, Operating Systems, VMware, Unix Shell Scripting, Security, Software Development, Servers, Integration, Virtualization, TCP/IP, Red Hat Linux, Disaster Recovery, Enterprise Architecture, System Deployment, SDLC, Active Directory, SQL, Shell Scripting, Oracle, Databases, IT Strategy, HP-UX, Scripting, ITIL, Java, C, System Administration, Information Security, Infrastructure, Software Project..., Troubleshooting, XP, Dell PowerEdge Servers, Linux Active Directory..., PBIS(Likewise), Red Hat SSSD, Windows 7, Server Architecture, IT Operations, RedHat, Software Engineering, Computer Security, InHouse PMP training, Solaris Zones, Solaris LDOMs, EMC PowerPath
Education
Capitol College 1985 — 1987
Electronics
University of Maryland College Park 1979 — 1984
B.S., Science, Zoology
Hughes Network Systems March 2015 - Present
Western Union Business Solutions July 2014 - February 2015
FINRA May 2006 - May 2014
Contracting work February 2002 - May 2006
AOL June 1998 - January 2001
Alcatel Data Networks September 1986 - June 1997
Skills
Unix, Solaris, Perl, Linux, Data Center, Operating Systems, VMware, Unix Shell Scripting, Security, Software Development, Servers, Integration, Virtualization, TCP/IP, Red Hat Linux, Disaster Recovery, Enterprise Architecture, System Deployment, SDLC, Active Directory, SQL, Shell Scripting, Oracle, Databases, IT Strategy, HP-UX, Scripting, ITIL, Java, C, System Administration, Information Security, Infrastructure, Software Project..., Troubleshooting, XP, Dell PowerEdge Servers, Linux Active Directory..., PBIS(Likewise), Red Hat SSSD, Windows 7, Server Architecture, IT Operations, RedHat, Software Engineering, Computer Security, InHouse PMP training, Solaris Zones, Solaris LDOMs, EMC PowerPath
Education
Capitol College 1985 — 1987
Electronics
University of Maryland College Park 1979 — 1984
B.S., Science, Zoology
Eileen Vernon Eileen Vernon's FINRA Experience January 2007 - Present
Job Public Securities Arbitrator at FINRA
Industry Law Practice
Experience
FINRA January 2007 - Present
The Bay Village Foundation May 1995 - Present
Self Employed 1992 - Present
American Arbitration Association 1993 - 2005
Cleveland International Volunteer Assoc 1984 - 1989
WZOE Radio Princeton IL 61356 July 1973 - May 1984
Skills
Alternative Dispute..., Dispute Resolution, Dispute, Arbitration, Employment Law, Civil Litigation, Commercial Litigation, Litigation, Mediation, International..., Class Actions, Litigation Support, Legal Issues, Contract Negotiation, Nonprofits, Conflict Resolution, Negotiation, Courts, Legal Research, Licensing, Hearings, Due Diligence, Mergers & Acquisitions
Education
Cleveland State University - Cleveland-Marshall College of Law 1989 — 1992
J.D.
Bradley University, Peoria, IL 1974 — 1975
Masters in Speech Communication
Illinois State University, Normal IL 1972 — 1974
B.S.Ed. History
St. Joseph High School 1941 — 1953
Diploma
FINRA January 2007 - Present
The Bay Village Foundation May 1995 - Present
Self Employed 1992 - Present
American Arbitration Association 1993 - 2005
Cleveland International Volunteer Assoc 1984 - 1989
WZOE Radio Princeton IL 61356 July 1973 - May 1984
Skills
Alternative Dispute..., Dispute Resolution, Dispute, Arbitration, Employment Law, Civil Litigation, Commercial Litigation, Litigation, Mediation, International..., Class Actions, Litigation Support, Legal Issues, Contract Negotiation, Nonprofits, Conflict Resolution, Negotiation, Courts, Legal Research, Licensing, Hearings, Due Diligence, Mergers & Acquisitions
Education
Cleveland State University - Cleveland-Marshall College of Law 1989 — 1992
J.D.
Bradley University, Peoria, IL 1974 — 1975
Masters in Speech Communication
Illinois State University, Normal IL 1972 — 1974
B.S.Ed. History
St. Joseph High School 1941 — 1953
Diploma
Frederick Steiner Frederick Steiner's FINRA Experience May 2008 - January 2009
Job Continuous Integration Engineer at Xcelerate Solutions
Industry Computer Software
Experience
Software Information Resource Corporation (SIRC) July 2015 - Present
Xcelerate Solutions June 2014 - July 2015
Sapient August 2013 - June 2014
Agilex Technologies August 2011 - August 2013
Fannie Mae March 2011 - August 2011
Adayana March 2009 - December 2010
Finra May 2008 - January 2009
TEOCO 2008 - 2008
Plateau Systems November 2006 - December 2007
Prologic 2006 - 2007
Skills
Perl, Access, Java, SOA, CVS, VSS, TCP/IP, C++, C#, DB2, COBOL, SQL, VB.NET, Weblogic, Microsoft Project, Subversion, Database Administration, Technology Leadership, Unix Shell Scripting, JBoss Application Server, Apache, Linux Network..., Microsoft SQL Server
Education
George Mason University - School of Management 2008 — 2011
MBA, Project Management
DeVry University Phoenix 1996 — 2009
Bachelor's degree, Computer and Information Sciences, General, 3.1
Central Washington University 1998 — 2001
South Kitsap High school 1988 — 1992
Software Information Resource Corporation (SIRC) July 2015 - Present
Xcelerate Solutions June 2014 - July 2015
Sapient August 2013 - June 2014
Agilex Technologies August 2011 - August 2013
Fannie Mae March 2011 - August 2011
Adayana March 2009 - December 2010
Finra May 2008 - January 2009
TEOCO 2008 - 2008
Plateau Systems November 2006 - December 2007
Prologic 2006 - 2007
Skills
Perl, Access, Java, SOA, CVS, VSS, TCP/IP, C++, C#, DB2, COBOL, SQL, VB.NET, Weblogic, Microsoft Project, Subversion, Database Administration, Technology Leadership, Unix Shell Scripting, JBoss Application Server, Apache, Linux Network..., Microsoft SQL Server
Education
George Mason University - School of Management 2008 — 2011
MBA, Project Management
DeVry University Phoenix 1996 — 2009
Bachelor's degree, Computer and Information Sciences, General, 3.1
Central Washington University 1998 — 2001
South Kitsap High school 1988 — 1992
Katie (Katie Lauterbach) Kuehns, MBA, SPHR Katie (Katie Lauterbach) Kuehns, MBA, SPHR's FINRA Experience January 2011 - January 2013
Job HR Generalist at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority January 2013 - Present
FINRA January 2011 - January 2013
FINRA January 2007 - January 2011
Maryland General Assembly January 2006 - August 2006
Kent County Parole and Probation September 2005 - August 2006
Skills
Employee Engagement, Employee Relations, Performance Management, Employee Benefits, Onboarding, Deferred Compensation, PeopleSoft, Succession Planning, College Recruiting, Applicant Tracking..., Talent Acquisition, Talent Management, Personnel Management, Organizational..., Training, Workforce Planning, New Hire Orientations, Interviews, Employee Training, Benefits Administration, Taleo, Recruiting, Leadership Development, Labor Relations, Job Descriptions, Internet Recruiting, HR Policies, Sourcing
Education
Drexel University - College of Business and Administration 2009 — 2011
MBA, Marketing
Washington College 2002 — 2006
B.A., Political Science and Economics
Financial Industry Regulatory Authority January 2013 - Present
FINRA January 2011 - January 2013
FINRA January 2007 - January 2011
Maryland General Assembly January 2006 - August 2006
Kent County Parole and Probation September 2005 - August 2006
Skills
Employee Engagement, Employee Relations, Performance Management, Employee Benefits, Onboarding, Deferred Compensation, PeopleSoft, Succession Planning, College Recruiting, Applicant Tracking..., Talent Acquisition, Talent Management, Personnel Management, Organizational..., Training, Workforce Planning, New Hire Orientations, Interviews, Employee Training, Benefits Administration, Taleo, Recruiting, Leadership Development, Labor Relations, Job Descriptions, Internet Recruiting, HR Policies, Sourcing
Education
Drexel University - College of Business and Administration 2009 — 2011
MBA, Marketing
Washington College 2002 — 2006
B.A., Political Science and Economics
D. Christopher Walker D. Christopher Walker's FINRA Experience May 2005 - March 2009
Job Head of Regulatory Exams at UBS Investment Bank
Industry Financial Services
Experience
UBS Investment Bank November 2014 - Present
UBS Securities April 2011 - Present
CME Group March 2009 - April 2011
FINRA May 2005 - March 2009
Beam & Astarita, LLC November 2002 - May 2005
US Securities and Exchange Commission May 2001 - August 2001
New York Stock Exchange, Inc. February 1999 - May 2001
Paine Webber September 1996 - February 1999
TD Waterhouse October 1994 - July 1996
Skills
Corporate Governance, Securities, Corporate Law, Risk Management, Derivatives, Due Diligence, Capital Markets, Securities Regulation, Financial Regulation, Hedge Funds, FINRA, Series 7, Fixed Income, Equities
Education
New York Law School 2009 — 2013
LL.M., Financial Services Law
Brooklyn Law School 1998 — 2002
J.D., Law
Florida State University 1989 — 1993
B.A., History and International Affairs
UBS Investment Bank November 2014 - Present
UBS Securities April 2011 - Present
CME Group March 2009 - April 2011
FINRA May 2005 - March 2009
Beam & Astarita, LLC November 2002 - May 2005
US Securities and Exchange Commission May 2001 - August 2001
New York Stock Exchange, Inc. February 1999 - May 2001
Paine Webber September 1996 - February 1999
TD Waterhouse October 1994 - July 1996
Skills
Corporate Governance, Securities, Corporate Law, Risk Management, Derivatives, Due Diligence, Capital Markets, Securities Regulation, Financial Regulation, Hedge Funds, FINRA, Series 7, Fixed Income, Equities
Education
New York Law School 2009 — 2013
LL.M., Financial Services Law
Brooklyn Law School 1998 — 2002
J.D., Law
Florida State University 1989 — 1993
B.A., History and International Affairs
W. Carson McLean's FINRA Experience February 2008 - September 2012
Job Branch Chief at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission July 2014 - Present
U.S. Securities and Exchange Commission September 2012 - July 2014
FINRA February 2008 - September 2012
FINRA March 2007 - February 2008
U.S. Attorney's Office (Northern District of New York) September 2004 - May 2005
Jones Day May 2001 - August 2003
Skills
Securities Law, Securities, Compliance, Corporate Governance, Risk Management, Criminal Law, Trials, Analysis, Securities Litigation, Financial Regulation, Legal Writing, FINRA, Legal Research, Fraud
Education
Georgetown University Law Center 2008 — 2010
LL.M., Securities & Financial Regulation, with distinction and Dean's List
Syracuse University College of Law 2003 — 2006
J.D.
Dickinson College 1996 — 1999
B.A., cum laude, English
U.S. Securities and Exchange Commission July 2014 - Present
U.S. Securities and Exchange Commission September 2012 - July 2014
FINRA February 2008 - September 2012
FINRA March 2007 - February 2008
U.S. Attorney's Office (Northern District of New York) September 2004 - May 2005
Jones Day May 2001 - August 2003
Skills
Securities Law, Securities, Compliance, Corporate Governance, Risk Management, Criminal Law, Trials, Analysis, Securities Litigation, Financial Regulation, Legal Writing, FINRA, Legal Research, Fraud
Education
Georgetown University Law Center 2008 — 2010
LL.M., Securities & Financial Regulation, with distinction and Dean's List
Syracuse University College of Law 2003 — 2006
J.D.
Dickinson College 1996 — 1999
B.A., cum laude, English
Stephen Crissey's FINRA Experience 2008 - Present
Job Golf Center at The Highlands
Industry Financial Services
Experience
Salvation Army DFW Metroplex Command July 2013 - Present
Securities Expert Witness January 2012 - Present
FINRA 2008 - Present
Universtiy of Kentucky 2009 - October 2011
Fifth Third Securities 2006 - 2008
Merrill Lynch 1975 - 2006
Skills
Series 7, Retirement Planning, Securities, Alternative Investments, Strategy, FINRA, Series 63, Series 65, WealthEngine, Raiser's Edge, Wealth Engine
Education
University of Kentucky 1974 — 1975
Bachelors, Business Administration
Centre College 1971 — 1974
Salvation Army DFW Metroplex Command July 2013 - Present
Securities Expert Witness January 2012 - Present
FINRA 2008 - Present
Universtiy of Kentucky 2009 - October 2011
Fifth Third Securities 2006 - 2008
Merrill Lynch 1975 - 2006
Skills
Series 7, Retirement Planning, Securities, Alternative Investments, Strategy, FINRA, Series 63, Series 65, WealthEngine, Raiser's Edge, Wealth Engine
Education
University of Kentucky 1974 — 1975
Bachelors, Business Administration
Centre College 1971 — 1974
Melissa Wengroff Spencer Melissa Wengroff Spencer's FINRA Experience January 2009 - April 2009
Job Vice President at J.P. Morgan Private Bank
Industry Law Practice
Experience
J.P. Morgan February 2015 - Present
J.P. Morgan June 2013 - February 2015
Credit Suisse January 2011 - June 2013
Credit Suisse June 2009 - August 2009
FINRA January 2009 - April 2009
Enterprise Community Partners September 2008 - December 2008
Citi Group June 2008 - August 2008
Skadden Arps June 2005 - July 2007
Skills
Litigation, Legal Research, Corporate Law, Legal Writing, Securities Regulation
Education
Brooklyn Law School 2007 — 2010
J.D.
University of Michigan 2001 — 2005
BA
Bronx High School of Science 1997 — 2001
J.P. Morgan February 2015 - Present
J.P. Morgan June 2013 - February 2015
Credit Suisse January 2011 - June 2013
Credit Suisse June 2009 - August 2009
FINRA January 2009 - April 2009
Enterprise Community Partners September 2008 - December 2008
Citi Group June 2008 - August 2008
Skadden Arps June 2005 - July 2007
Skills
Litigation, Legal Research, Corporate Law, Legal Writing, Securities Regulation
Education
Brooklyn Law School 2007 — 2010
J.D.
University of Michigan 2001 — 2005
BA
Bronx High School of Science 1997 — 2001
Carolyn Connelly Carolyn Connelly's FINRA Experience September 2011 - Present
Job Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA September 2011 - Present
Seacoast United October 2009 - September 2011
Veneroso Associates January 2007 - August 2011
Skills
Financial Analysis, Microsoft Excel, PowerPoint, Microsoft Office, Public Speaking, Customer Service, Strategic Financial..., Microsoft Word, Research, Social Media, Valuation, Event Planning, Financial Reporting
Education
College of the Holy Cross 2004 — 2009
Bachelor of Arts, History; Concentration: Peace & Conflict Studies
FINRA September 2011 - Present
Seacoast United October 2009 - September 2011
Veneroso Associates January 2007 - August 2011
Skills
Financial Analysis, Microsoft Excel, PowerPoint, Microsoft Office, Public Speaking, Customer Service, Strategic Financial..., Microsoft Word, Research, Social Media, Valuation, Event Planning, Financial Reporting
Education
College of the Holy Cross 2004 — 2009
Bachelor of Arts, History; Concentration: Peace & Conflict Studies
Veronica Williams Veronica Williams's FINRA Experience May 1993 - Present
Job Transforming Technology into Value
Industry Information Technology and Services
Experience
ACT, Inc. June 1993 - Present
FINRA May 1993 - Present
Fujitsu 1990 - 1993
IBM June 1988 - June 1990
AT&T February 1982 - June 1988
Control Data Corporation - The Service Bureau Company August 1979 - January 1982
Key3Media June 1970 - December 1977
Vistronix, Inc. April 1970 - January 1971
Learning Tree International 1960 - 1970
Skills
Strategy, Program Management, Management, CRM, Leadership, Management Consulting, PMP, PMO, Mergers & Acquisitions, Change Management, Business Development, Budgets, Business Intelligence, Training, Vendor Management, Strategic Planning, Project Management, Entrepreneurship, ITIL, Business Planning, Telecommunications, Project Portfolio..., Competitive Analysis, Program Management..., Risk Management, Business Process..., Consulting, Project Planning, Start-ups, PgMP, Cross-functional Team..., MS Project, Integration, Business Transformation, Enterprise Software, Budgeting, Strategy Development, Business Strategy, Analysis, Business Analysis, Governance, IT Strategy, Process Improvement, Banking, Executive Management, Security, Information Technology, Sales Operations, P&L Management, Finance
Education
Northwestern University - Kellogg School of Management 1900 — 1904
MBA, Finance, Marketing, International Business
Essec Business School Paris / ESSEC MBA 1900 — 1903
MBA, International Finance
Brandeis University 1900 — 1902
BA, Economics
Ursuline Academy 1900 — 1901
High School Diploma, College Preparatory
ACT, Inc. June 1993 - Present
FINRA May 1993 - Present
Fujitsu 1990 - 1993
IBM June 1988 - June 1990
AT&T February 1982 - June 1988
Control Data Corporation - The Service Bureau Company August 1979 - January 1982
Key3Media June 1970 - December 1977
Vistronix, Inc. April 1970 - January 1971
Learning Tree International 1960 - 1970
Skills
Strategy, Program Management, Management, CRM, Leadership, Management Consulting, PMP, PMO, Mergers & Acquisitions, Change Management, Business Development, Budgets, Business Intelligence, Training, Vendor Management, Strategic Planning, Project Management, Entrepreneurship, ITIL, Business Planning, Telecommunications, Project Portfolio..., Competitive Analysis, Program Management..., Risk Management, Business Process..., Consulting, Project Planning, Start-ups, PgMP, Cross-functional Team..., MS Project, Integration, Business Transformation, Enterprise Software, Budgeting, Strategy Development, Business Strategy, Analysis, Business Analysis, Governance, IT Strategy, Process Improvement, Banking, Executive Management, Security, Information Technology, Sales Operations, P&L Management, Finance
Education
Northwestern University - Kellogg School of Management 1900 — 1904
MBA, Finance, Marketing, International Business
Essec Business School Paris / ESSEC MBA 1900 — 1903
MBA, International Finance
Brandeis University 1900 — 1902
BA, Economics
Ursuline Academy 1900 — 1901
High School Diploma, College Preparatory
Glen Kendall's FINRA Experience September 2008 - December 2008
Job Associate Attorney at Fensterstock & Partners, LLP
Industry Law Practice
Experience
Fensterstock & Partners, LLP July 2015 - Present
Boxer Bowtie Club January 2015 - Present
Davidoff Law Firm PLLC February 2012 - July 2015
Law Office of Joseph L. Fox September 2010 - November 2011
NYSUT September 2010 - December 2010
New York City Transit January 2010 - April 2010
New York City Council September 2009 - December 2009
Mark Green for New York City Public Advocate May 2009 - September 2009
FINRA September 2008 - December 2008
Fensterstock & Partners LLP January 2006 - August 2007
Skills
Courts, Bankruptcy, Legal Research, Litigation, Real Estate Transactions, Employment Law, Business Litigation, Employment..., Labor Relations, Trade Secrets, Restrictive Covenants, Fraud Claims, Employment Contracts, Non-compete Agreements, Contract Negotiation, Employee Handbooks, Social Media, Hearings, Legal Writing, Motions, Torts, Commercial Litigation
Education
Brooklyn Law School 2007 — 2010
JD, Law
Cornell University 2003 — 2006
BS, Industrial and Labor Relations
Fensterstock & Partners, LLP July 2015 - Present
Boxer Bowtie Club January 2015 - Present
Davidoff Law Firm PLLC February 2012 - July 2015
Law Office of Joseph L. Fox September 2010 - November 2011
NYSUT September 2010 - December 2010
New York City Transit January 2010 - April 2010
New York City Council September 2009 - December 2009
Mark Green for New York City Public Advocate May 2009 - September 2009
FINRA September 2008 - December 2008
Fensterstock & Partners LLP January 2006 - August 2007
Skills
Courts, Bankruptcy, Legal Research, Litigation, Real Estate Transactions, Employment Law, Business Litigation, Employment..., Labor Relations, Trade Secrets, Restrictive Covenants, Fraud Claims, Employment Contracts, Non-compete Agreements, Contract Negotiation, Employee Handbooks, Social Media, Hearings, Legal Writing, Motions, Torts, Commercial Litigation
Education
Brooklyn Law School 2007 — 2010
JD, Law
Cornell University 2003 — 2006
BS, Industrial and Labor Relations
John G. Livewell John G. Livewell's FINRA Experience February 2002 - March 2003
Job Chief Compliance Officer at Penn Capital Management
Industry Investment Management
Experience
Penn Capital Management November 2008 - Present
Commerce Capital Markets April 2005 - November 2008
1717 Capital Management Company March 2004 - April 2005
FINRA February 2002 - March 2003
Philadelphia Stock Exchange February 2001 - February 2002
Philadelphia Stock Exchange June 1999 - February 2001
Philadelphia Stock Exchange May 1998 - June 1999
First Union Brokerage Services March 1997 - May 1998
First Fidelity/First Union National Bank April 1996 - February 1997
Skills
Private Fund Regulation, Blue Sky Filings, Form ADV Disclosure, Investment Advisors Act, Investment Companies Act, ERISA Compliance, ERISA, Mutual Funds, Securities, Financial Services, Equities, FINRA, Options, Series 7, Trading, Series 66, Series 24, Series 55, Hedge Funds, Series 63, Asset Management, Alternative Investments, Uniform Combined State..., Fixed Income, Investments
Education
Drexel University 1999 — 2001
MS, Finance, Investment Management
Kutztown University of Pennsylvania 1991 — 1995
BSBA, Finance
The Roman Catholic High School of Philadelphia 1987 — 1991
Penn Capital Management November 2008 - Present
Commerce Capital Markets April 2005 - November 2008
1717 Capital Management Company March 2004 - April 2005
FINRA February 2002 - March 2003
Philadelphia Stock Exchange February 2001 - February 2002
Philadelphia Stock Exchange June 1999 - February 2001
Philadelphia Stock Exchange May 1998 - June 1999
First Union Brokerage Services March 1997 - May 1998
First Fidelity/First Union National Bank April 1996 - February 1997
Skills
Private Fund Regulation, Blue Sky Filings, Form ADV Disclosure, Investment Advisors Act, Investment Companies Act, ERISA Compliance, ERISA, Mutual Funds, Securities, Financial Services, Equities, FINRA, Options, Series 7, Trading, Series 66, Series 24, Series 55, Hedge Funds, Series 63, Asset Management, Alternative Investments, Uniform Combined State..., Fixed Income, Investments
Education
Drexel University 1999 — 2001
MS, Finance, Investment Management
Kutztown University of Pennsylvania 1991 — 1995
BSBA, Finance
The Roman Catholic High School of Philadelphia 1987 — 1991
Doug Preveza Doug Preveza's FINRA Experience May 2006 - May 2012
Job Compliance Specialist
Industry Financial Services
Experience
Infinex Finanacial Group May 2012 - Present
FINRA May 2006 - May 2012
South Shore Mental Health April 2005 - May 2012
FINRA (formerly NASD) May 2004 - November 2010
Fidelity Investments May 2000 - October 2003
Investors Capital February 1997 - May 2000
State Street Bank February 1996 - February 1997
Dean Witter September 1995 - February 1996
Skills
Customer Relations, Problem Solving, Customer Service, Teaching, Auditing, Compliance, Team Leadership, Managerial, Trading
Education
Boston University
MBA
Bryant University 1991 — 1995
B.S., Finance
Infinex Finanacial Group May 2012 - Present
FINRA May 2006 - May 2012
South Shore Mental Health April 2005 - May 2012
FINRA (formerly NASD) May 2004 - November 2010
Fidelity Investments May 2000 - October 2003
Investors Capital February 1997 - May 2000
State Street Bank February 1996 - February 1997
Dean Witter September 1995 - February 1996
Skills
Customer Relations, Problem Solving, Customer Service, Teaching, Auditing, Compliance, Team Leadership, Managerial, Trading
Education
Boston University
MBA
Bryant University 1991 — 1995
B.S., Finance
Rachel Umipig Rachel Umipig's FINRA Experience October 2009 - March 2014
Job Chief Compliance Officer at KBS Realty Advisors, Inc., KBS Realty Advisors LLC., and KBS Capital Advisors LLC.
Industry Financial Services
Experience
Koll Bren Schreiber Realty Advisors, Inc., KBS Realty Advisors LLC., KBS Capital Advisors LLC. March 2014 - Present
FINRA October 2009 - March 2014
WaMu Investments May 2001 - April 2009
AXA Advisors May 2000 - May 2001
Gateway Investments August 1994 - May 2000
Skills
AML, Advertising, Auditing, Due Diligence, Management, Relationship Management, Risk Management, Securities, Investments, Portfolio Management, Financial Services, Analysis, Asset Management, Leadership, Series 7, Training, Equities, Mutual Funds, Anti Money Laundering, FINRA, Finance
Education
California State University-Long Beach 1988 — 1994
BS, Finance
Koll Bren Schreiber Realty Advisors, Inc., KBS Realty Advisors LLC., KBS Capital Advisors LLC. March 2014 - Present
FINRA October 2009 - March 2014
WaMu Investments May 2001 - April 2009
AXA Advisors May 2000 - May 2001
Gateway Investments August 1994 - May 2000
Skills
AML, Advertising, Auditing, Due Diligence, Management, Relationship Management, Risk Management, Securities, Investments, Portfolio Management, Financial Services, Analysis, Asset Management, Leadership, Series 7, Training, Equities, Mutual Funds, Anti Money Laundering, FINRA, Finance
Education
California State University-Long Beach 1988 — 1994
BS, Finance
Gary Guttenberg Gary Guttenberg's FINRA Experience January 2010 - September 2012
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
US Securities and Exchange Commission, September 2012 - Present
FINRA January 2010 - September 2012
Integral Guardianship Services May 2009 - November 2009
Cohen Tauber Spievack & Wagner LLP August 2008 - December 2008
Lazard Asset Management May 2007 - August 2007
Hon. Herbert Kramer, Supreme Court, Kings County May 2006 - August 2006
FXCM 2005 - 2005
Skills
Securities Regulation, FINRA, Securities, Investigations, Broker-Dealer Compliance
Education
Brooklyn Law School 2005 — 2008
J.D., Law
Yeshiva University 2003 — 2006
Semicha (Rabbinic Ordination), Talmud
Yeshiva University 2000 — 2004
B.A., Economics
Kerem B'yavneh 1998 — 2000
Talmudical Academy 1985 — 1998
US Securities and Exchange Commission, September 2012 - Present
FINRA January 2010 - September 2012
Integral Guardianship Services May 2009 - November 2009
Cohen Tauber Spievack & Wagner LLP August 2008 - December 2008
Lazard Asset Management May 2007 - August 2007
Hon. Herbert Kramer, Supreme Court, Kings County May 2006 - August 2006
FXCM 2005 - 2005
Skills
Securities Regulation, FINRA, Securities, Investigations, Broker-Dealer Compliance
Education
Brooklyn Law School 2005 — 2008
J.D., Law
Yeshiva University 2003 — 2006
Semicha (Rabbinic Ordination), Talmud
Yeshiva University 2000 — 2004
B.A., Economics
Kerem B'yavneh 1998 — 2000
Talmudical Academy 1985 — 1998
Paul Bennett Marrow Paul Bennett Marrow's FINRA Experience 2007 - Present
Job
Industry Law Practice
Experience
Grievance Committee, Ninth Judical District, Second Department August 2014 - Present
British Columbia International Commercial Arbitration Centre June 2013 - Present
National Futures Exchange May 2013 - Present
Kuala Lumpur Regional Centre for Arbitration February 2013 - Present
New York Law School 2011 - Present
Charter Institute of Arbitrators 2010 - Present
FINRA 2007 - Present
American Arbitration Association 2006 - Present
National Arbitration and Mediation, Inc. 2006 - Present
Charter Institute of Arbitrators 2005 - Present
Skills
Mediation, Dispute Resolution, Arbitration, Securities, Commercial Litigation, International..., International..., Law of Contract, Legal Research Skills, Legal Ethics, Professional Ethics, Dispute, Alternative Dispute..., Civil Litigation, Corporate Law, Real Estate, Litigation, Hearings, Property Law, International Law, Appeals, Legal Research
Education
New York Law School 1966 — 1969
JD
Case Western Reserve University
BA
Grievance Committee, Ninth Judical District, Second Department August 2014 - Present
British Columbia International Commercial Arbitration Centre June 2013 - Present
National Futures Exchange May 2013 - Present
Kuala Lumpur Regional Centre for Arbitration February 2013 - Present
New York Law School 2011 - Present
Charter Institute of Arbitrators 2010 - Present
FINRA 2007 - Present
American Arbitration Association 2006 - Present
National Arbitration and Mediation, Inc. 2006 - Present
Charter Institute of Arbitrators 2005 - Present
Skills
Mediation, Dispute Resolution, Arbitration, Securities, Commercial Litigation, International..., International..., Law of Contract, Legal Research Skills, Legal Ethics, Professional Ethics, Dispute, Alternative Dispute..., Civil Litigation, Corporate Law, Real Estate, Litigation, Hearings, Property Law, International Law, Appeals, Legal Research
Education
New York Law School 1966 — 1969
JD
Case Western Reserve University
BA
Fernando Paiz Fernando Paiz's FINRA Experience August 2005 - Present
Job Examination Manager at FINRA
Industry Financial Services
Experience
FINRA August 2005 - Present
AXA Advisors January 2003 - August 2005
Los Angeles County Sheriff's Department June 1990 - November 2003
Skills
Risk Management, Investments
Education
Cal State Fullerton 1992 — 1995
Bachelor of Arts, Finance
FINRA August 2005 - Present
AXA Advisors January 2003 - August 2005
Los Angeles County Sheriff's Department June 1990 - November 2003
Skills
Risk Management, Investments
Education
Cal State Fullerton 1992 — 1995
Bachelor of Arts, Finance
Julian Davila Julian Davila's FINRA Experience August 2014 - December 2014
Job .
Industry Financial Services
Experience
FINRA August 2014 - December 2014
Bon Bon AIDS Foundation January 2013 - June 2014
Judd Burstein, P.C. January 2004 - June 2014
Skills
Legal Research, Litigation, Civil Litigation, Courts, Westlaw, Legal Writing, Microsoft Excel
Education
Hunter College 2010 — 2012
Bachelor of Science (BS), Accounting
New York University 1996 — 2000
BA, English
FINRA August 2014 - December 2014
Bon Bon AIDS Foundation January 2013 - June 2014
Judd Burstein, P.C. January 2004 - June 2014
Skills
Legal Research, Litigation, Civil Litigation, Courts, Westlaw, Legal Writing, Microsoft Excel
Education
Hunter College 2010 — 2012
Bachelor of Science (BS), Accounting
New York University 1996 — 2000
BA, English
Mike Faber's FINRA Experience October 2003 - Present
Job Vice President of Business Development, Securesearch
Industry Human Resources
Experience
SecureSearch July 2015 - Present
ASTD Rocky Mountain Chapter January 2011 - Present
FINRA October 2003 - Present
Rocky Mountain Public Television December 1995 - Present
TriZetto Corporation April 2012 - June 2015
Kaiser Permanente January 2011 - December 2013
The Masie Center June 2012 - June 2012
Aloha Leadership April 2010 - April 2012
Great-West Life and Annuity Insurance Company February 2011 - March 2012
Zoe Training & Consulting 2006 - 2012
Skills
Executive Coaching, Public Speaking, Resume Writing, Business Writing, Creative Writing, Leadership Development, Leadership, Training, Coaching, Organizational..., Strategic Planning, Career Development, Instructional Design, Entrepreneurship, Workshop Facilitation, Marketing, Team Building, Strategy, Business Development, Program Management, Personal Development, Small Business, Selling, Employee Training, Motivational Speaking, Social Networking, Organizational..., Career Counseling, Time Management, Publishing, Recruiting, Management, Management Consulting, Sales, Business Coaching, Staff Development, Consulting, Fundraising
Education
Colorado State University 2011 — 2013
Master's degree, Organizational Leadership
Ithaca College 1978 — 1982
BS, Communications
Harley 1974 — 1978
High School Diploma
Indian Landing 1965 — 1970
Graduate
Camp Pathfinder
Camp Pathfinder
Camp Pathfinder
SecureSearch July 2015 - Present
ASTD Rocky Mountain Chapter January 2011 - Present
FINRA October 2003 - Present
Rocky Mountain Public Television December 1995 - Present
TriZetto Corporation April 2012 - June 2015
Kaiser Permanente January 2011 - December 2013
The Masie Center June 2012 - June 2012
Aloha Leadership April 2010 - April 2012
Great-West Life and Annuity Insurance Company February 2011 - March 2012
Zoe Training & Consulting 2006 - 2012
Skills
Executive Coaching, Public Speaking, Resume Writing, Business Writing, Creative Writing, Leadership Development, Leadership, Training, Coaching, Organizational..., Strategic Planning, Career Development, Instructional Design, Entrepreneurship, Workshop Facilitation, Marketing, Team Building, Strategy, Business Development, Program Management, Personal Development, Small Business, Selling, Employee Training, Motivational Speaking, Social Networking, Organizational..., Career Counseling, Time Management, Publishing, Recruiting, Management, Management Consulting, Sales, Business Coaching, Staff Development, Consulting, Fundraising
Education
Colorado State University 2011 — 2013
Master's degree, Organizational Leadership
Ithaca College 1978 — 1982
BS, Communications
Harley 1974 — 1978
High School Diploma
Indian Landing 1965 — 1970
Graduate
Camp Pathfinder
Camp Pathfinder
Camp Pathfinder
Yaa Genfi Yaa Genfi's FINRA Experience March 2006 - March 2013
Job AVP Regulatory Reporting
Industry Financial Services
Experience
Bank of America Merrill Lynch July 2013 - Present
FINRA March 2006 - March 2013
Skills
Securities, FINRA, Series 7, AML, Broker-Dealer
Education
Clark Atlanta University 2002 — 2005
Bachelors of Arts, Accounting
Bank of America Merrill Lynch July 2013 - Present
FINRA March 2006 - March 2013
Skills
Securities, FINRA, Series 7, AML, Broker-Dealer
Education
Clark Atlanta University 2002 — 2005
Bachelors of Arts, Accounting
Benjamin Tull Benjamin Tull's FINRA Experience 2009 - 2009
Job Attorney at Law
Industry Law Practice
Experience
Wilford Conrad LLP December 2013 - April 2015
Barnes & Thornburg LLP March 2010 - November 2013
FINRA 2009 - 2009
Illinois Supreme Court May 2007 - August 2007
Argent Mortgage Company December 2003 - September 2006
Skills
Legal Research, Litigation, Personal Injury..., Pleadings, Hearings, Depositions, White Collar Criminal..., Toxic Tort, Legal Writing, Appeals, Civil Litigation, Commercial Litigation, Product Liability, Trials
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2006 — 2009
J.D.
Wilford Conrad LLP December 2013 - April 2015
Barnes & Thornburg LLP March 2010 - November 2013
FINRA 2009 - 2009
Illinois Supreme Court May 2007 - August 2007
Argent Mortgage Company December 2003 - September 2006
Skills
Legal Research, Litigation, Personal Injury..., Pleadings, Hearings, Depositions, White Collar Criminal..., Toxic Tort, Legal Writing, Appeals, Civil Litigation, Commercial Litigation, Product Liability, Trials
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2006 — 2009
J.D.
Neil De La Cruz Neil De La Cruz's FINRA Experience March 2014 - Present
Job Financial Services Professional
Industry Financial Services
Experience
FINRA March 2014 - Present
ING Financial Markets, LLC 1994 - 2010
NatWest 1985 - 1994
New York Life Insurance Company 1982 - 1985
Skills
Equities, Trading, Securities, Options, ABS, Financial Markets, Fixed Income, Middle Office, Financial Services, Settlement, Investment Banking, Banking, Trading Systems, Back Office, Portfolio Management, Capital Markets, Bonds, Derivatives, Hedge Funds
Education
Pace University 1979 — 1982
Bachelor's degree, Business Administration and Management, General
Brooklyn College 1977 — 1979
Liberal Arts and Sciences, General Studies and Humanities, 3.0
FINRA March 2014 - Present
ING Financial Markets, LLC 1994 - 2010
NatWest 1985 - 1994
New York Life Insurance Company 1982 - 1985
Skills
Equities, Trading, Securities, Options, ABS, Financial Markets, Fixed Income, Middle Office, Financial Services, Settlement, Investment Banking, Banking, Trading Systems, Back Office, Portfolio Management, Capital Markets, Bonds, Derivatives, Hedge Funds
Education
Pace University 1979 — 1982
Bachelor's degree, Business Administration and Management, General
Brooklyn College 1977 — 1979
Liberal Arts and Sciences, General Studies and Humanities, 3.0
John Hewson John Hewson's FINRA Experience January 2015 - Present
Job Attorney in Market Regulation
Industry Capital Markets
Experience
FINRA January 2015 - Present
Stuyvesant Trading August 2013 - September 2014
Alexandria Capital Partners LP June 2010 - July 2013
Group One Trading, LP December 2006 - May 2010
New York City Law Department August 2003 - November 2006
New York City Law Department June 2002 - August 2002
Group One Trading, LP August 1993 - September 2001
Skills
Options, Equities, Risk Management, Securities, Trading, Legal Compliance, Electronic Trading, Legal Research, Civil Litigation, Litigation, Regulatory Compliance, Legal Writing, Proprietary Trading, Hedge Funds, ETFs, Financial Markets, Equity Derivatives, Derivatives, Volatility, FINRA, Equity Trading, Hedging, Alternative Investments, Market Making, Trade Compliance, Management, Market Risk, Writing, Series 24, Courts, Regulatory Submissions, Financial Regulation, Entrepreneurship, compliance
Education
Fordham University School of Law 2000 — 2003
J.D.
Colgate University 1988 — 1991
B.A., Political Science
Gilman School 1983 — 1987
FINRA January 2015 - Present
Stuyvesant Trading August 2013 - September 2014
Alexandria Capital Partners LP June 2010 - July 2013
Group One Trading, LP December 2006 - May 2010
New York City Law Department August 2003 - November 2006
New York City Law Department June 2002 - August 2002
Group One Trading, LP August 1993 - September 2001
Skills
Options, Equities, Risk Management, Securities, Trading, Legal Compliance, Electronic Trading, Legal Research, Civil Litigation, Litigation, Regulatory Compliance, Legal Writing, Proprietary Trading, Hedge Funds, ETFs, Financial Markets, Equity Derivatives, Derivatives, Volatility, FINRA, Equity Trading, Hedging, Alternative Investments, Market Making, Trade Compliance, Management, Market Risk, Writing, Series 24, Courts, Regulatory Submissions, Financial Regulation, Entrepreneurship, compliance
Education
Fordham University School of Law 2000 — 2003
J.D.
Colgate University 1988 — 1991
B.A., Political Science
Gilman School 1983 — 1987
Philip Weissman Philip Weissman's FINRA Experience May 2011 - August 2011
Job Associate at Clyde & Co LLP
Industry Law Practice
Experience
Clyde & Co LLP January 2013 - Present
Ganfer & Shore LLP October 2012 - December 2012
FINRA May 2011 - August 2011
New York State Supreme Court, Appellate Division May 2010 - August 2010
Jay J. Sangerman, PLLC May 2008 - May 2009
Senator Charles E. Schumer January 2008 - May 2008
Skills
Legal Research, Litigation, Legal Writing, Westlaw, Commercial Litigation, Courts, Research, Editing, Arbitration, Civil Litigation, International Law, Corporate Law
Education
Duke University School of Law 2009 — 2012
Doctor of Law (J.D.)
Boston University 2004 — 2008
Bachelor's degree, Political Science
Clyde & Co LLP January 2013 - Present
Ganfer & Shore LLP October 2012 - December 2012
FINRA May 2011 - August 2011
New York State Supreme Court, Appellate Division May 2010 - August 2010
Jay J. Sangerman, PLLC May 2008 - May 2009
Senator Charles E. Schumer January 2008 - May 2008
Skills
Legal Research, Litigation, Legal Writing, Westlaw, Commercial Litigation, Courts, Research, Editing, Arbitration, Civil Litigation, International Law, Corporate Law
Education
Duke University School of Law 2009 — 2012
Doctor of Law (J.D.)
Boston University 2004 — 2008
Bachelor's degree, Political Science
Patricia Waugh Patricia Waugh's FINRA Experience 1999 - Present
Job Sr. Help Desk Agent at FINRA
Industry Financial Services
Experience
FINRA 1999 - Present
Skills
Active Directory, SQL, ITIL, Unix, Windows Server, SDLC, VMware, Visio, Requirements Analysis, Databases, Servers, Microsoft Exchange, Microsoft SQL Server, Disaster Recovery, Access, Agile Methodologies, Software Documentation
Education
Columbia Union College 1997 — 2000
Information Systems and Business Administration
Washington Adventist University
FINRA 1999 - Present
Skills
Active Directory, SQL, ITIL, Unix, Windows Server, SDLC, VMware, Visio, Requirements Analysis, Databases, Servers, Microsoft Exchange, Microsoft SQL Server, Disaster Recovery, Access, Agile Methodologies, Software Documentation
Education
Columbia Union College 1997 — 2000
Information Systems and Business Administration
Washington Adventist University
Jean Musinski's FINRA Experience March 2010 - Present
Job Software Engineeer/Test Engineer at FINRA
Industry Computer Software
Experience
FINRA March 2010 - Present
Siemens Medical Solutions September 2008 - October 2009
L-3 Communications May 2008 - July 2008
Siemens Medical Solutions May 2007 - May 2008
Perceptron September 1994 - April 2007
Comshare October 1977 - July 1994
Skills
Software Development, C++, Software Design, Requirements Analysis, Data Analysis, Agile Methodologies, C#, Architectures, Testing, Programming, Databases, SQL, Software Engineering, Software Project..., XML, Architecture
Education
Cornell University 1969 — 1973
MS, PhD, Computer Science
University of Rochester 1965 — 1969
BA, Math (major) Physics (minor)
FINRA March 2010 - Present
Siemens Medical Solutions September 2008 - October 2009
L-3 Communications May 2008 - July 2008
Siemens Medical Solutions May 2007 - May 2008
Perceptron September 1994 - April 2007
Comshare October 1977 - July 1994
Skills
Software Development, C++, Software Design, Requirements Analysis, Data Analysis, Agile Methodologies, C#, Architectures, Testing, Programming, Databases, SQL, Software Engineering, Software Project..., XML, Architecture
Education
Cornell University 1969 — 1973
MS, PhD, Computer Science
University of Rochester 1965 — 1969
BA, Math (major) Physics (minor)
Sara Thompson, M.S., J.D. Sara Thompson, M.S., J.D.'s FINRA Experience December 2013 - April 2014
Job Brooklyn Law School Alum Interests include Corporate Finance | Securities Litigation | Financial Regulation
Industry Law Practice
Experience
Brooklyn Law School Alum Corporate Finance, Securities Litigation, Financial Regulation May 2015 - Present
Oppenheimer & Co. Inc. September 2014 - May 2015
Professor Larry Solan; Brooklyn Law School May 2014 - May 2015
FINRA December 2013 - April 2014
Supreme Court of the City of New York June 2013 - August 2013
Professor Eileen Kaufman; Touro Law School January 2013 - May 2013
NYC Department of Education November 2007 - June 2012
Duquesne University November 2007 - June 2009
Bilingual/Spanish Institute December 2005 - September 2007
Skills
Legal Research, Legal Writing, Organization &..., Fluent in English,..., Research, Elementary Education, Adult Education, Applied Linguistics, Cultural Diversity, Coaching and Mentoring
Education
Brooklyn Law School 2013 — 2015
J.D., Business, Finance, and Securities Litigation
Touro College Jacob D. Fuchsberg Law Center 2012 — 2013
J.D. Candidate (Transferred)
City University of New York City College 2008 — 2010
Master of Science (MS), Education and Linguistics
University of Colorado Denver 2005 — 2007
Bachelor of Arts (B.A.), Spanish Language and Literature
Metropolitan State University of Denver 2002 — 2004
(Transferred), Behavioral Sciences
Brooklyn Law School Alum Corporate Finance, Securities Litigation, Financial Regulation May 2015 - Present
Oppenheimer & Co. Inc. September 2014 - May 2015
Professor Larry Solan; Brooklyn Law School May 2014 - May 2015
FINRA December 2013 - April 2014
Supreme Court of the City of New York June 2013 - August 2013
Professor Eileen Kaufman; Touro Law School January 2013 - May 2013
NYC Department of Education November 2007 - June 2012
Duquesne University November 2007 - June 2009
Bilingual/Spanish Institute December 2005 - September 2007
Skills
Legal Research, Legal Writing, Organization &..., Fluent in English,..., Research, Elementary Education, Adult Education, Applied Linguistics, Cultural Diversity, Coaching and Mentoring
Education
Brooklyn Law School 2013 — 2015
J.D., Business, Finance, and Securities Litigation
Touro College Jacob D. Fuchsberg Law Center 2012 — 2013
J.D. Candidate (Transferred)
City University of New York City College 2008 — 2010
Master of Science (MS), Education and Linguistics
University of Colorado Denver 2005 — 2007
Bachelor of Arts (B.A.), Spanish Language and Literature
Metropolitan State University of Denver 2002 — 2004
(Transferred), Behavioral Sciences
Scott Foglietta Scott Foglietta's FINRA Experience January 2009 - April 2009
Job Associate at Bernstein Litowitz Berger & Grossmann LLP
Industry Law Practice
Experience
Bernstein Litowitz Berger & Grossmann LLP March 2013 - Present
Milberg LLP September 2010 - March 2013
NYSE Euronext September 2009 - December 2009
FINRA January 2009 - April 2009
Spencer Clarke 2007 - 2008
Skills
Litigation, Securities Litigation, Commercial Litigation, Securities Regulation, Fraud, Securities, Class Actions, Legal Assistance, Legal Research, IPO, Civil Litigation, Financial Statement..., Trials, Westlaw, Corporate Governance, Depositions, Legal Writing, Lexis, Document Review
Education
Brooklyn Law School 2007 — 2010
JD
Clark University 2006 — 2007
MBA, Finance
Clark University 2002 — 2006
BA, Management
Bernstein Litowitz Berger & Grossmann LLP March 2013 - Present
Milberg LLP September 2010 - March 2013
NYSE Euronext September 2009 - December 2009
FINRA January 2009 - April 2009
Spencer Clarke 2007 - 2008
Skills
Litigation, Securities Litigation, Commercial Litigation, Securities Regulation, Fraud, Securities, Class Actions, Legal Assistance, Legal Research, IPO, Civil Litigation, Financial Statement..., Trials, Westlaw, Corporate Governance, Depositions, Legal Writing, Lexis, Document Review
Education
Brooklyn Law School 2007 — 2010
JD
Clark University 2006 — 2007
MBA, Finance
Clark University 2002 — 2006
BA, Management
Jeff Ziesman's FINRA Experience 2001 - 2011
Job Partner at Bryan Cave LLP
Industry Law Practice
Experience
Bryan Cave August 2011 - Present
FINRA 2001 - 2011
Skills
Financial Regulation, Securities Regulation, Securities, Corporate Governance, Securities Litigation, FINRA, Commercial Litigation, Fraud, Corporate Law, Arbitration, Civil Litigation, Broker-Dealer, SEC, Litigation, Capital Markets, Legal Research
Education
Drake University Law School 1990 — 1992
Juris Doctor (J.D.)
Bryan Cave August 2011 - Present
FINRA 2001 - 2011
Skills
Financial Regulation, Securities Regulation, Securities, Corporate Governance, Securities Litigation, FINRA, Commercial Litigation, Fraud, Corporate Law, Arbitration, Civil Litigation, Broker-Dealer, SEC, Litigation, Capital Markets, Legal Research
Education
Drake University Law School 1990 — 1992
Juris Doctor (J.D.)
Katherine (Fields) Marsh Katherine (Fields) Marsh's FINRA Experience January 2012 - March 2012
Job Regulatory Program Manager
Industry Financial Services
Experience
J.P. Morgan April 2014 - May 2015
RBS August 2012 - April 2014
FINRA January 2012 - March 2012
Alpari (US), LLC September 2011 - December 2011
U.S. Commodity Futures Trading Commission June 2011 - September 2011
Communications Workers of America September 2009 - May 2011
Supreme Court of the State of New York Appellate Division August 2009 - May 2010
AFSCME District Council 37, Office of the General Counsel June 2009 - August 2009
National Basketball Coaches Association September 2008 - May 2009
National Labor Relations Board, Division of Judges September 2008 - December 2008
Skills
Legal Writing, Legal Research, Litigation, Corporate Law, Civil Litigation, Employment Law, Intellectual Property, Arbitration, Criminal Law, Appeals, Bankruptcy, Legal Issues, Policy, Contract Negotiation, Strategy, Legal Assistance, Management, Hearings, Administrative Law, Strategic Planning, New Business Development, Proposal Writing, Due Diligence
Education
New York Law School
Juris Doctor
Clark Atlanta University
M.B.A., Finance and Marketing
Spelman College
Bachelor of Arts, Economics
J.P. Morgan April 2014 - May 2015
RBS August 2012 - April 2014
FINRA January 2012 - March 2012
Alpari (US), LLC September 2011 - December 2011
U.S. Commodity Futures Trading Commission June 2011 - September 2011
Communications Workers of America September 2009 - May 2011
Supreme Court of the State of New York Appellate Division August 2009 - May 2010
AFSCME District Council 37, Office of the General Counsel June 2009 - August 2009
National Basketball Coaches Association September 2008 - May 2009
National Labor Relations Board, Division of Judges September 2008 - December 2008
Skills
Legal Writing, Legal Research, Litigation, Corporate Law, Civil Litigation, Employment Law, Intellectual Property, Arbitration, Criminal Law, Appeals, Bankruptcy, Legal Issues, Policy, Contract Negotiation, Strategy, Legal Assistance, Management, Hearings, Administrative Law, Strategic Planning, New Business Development, Proposal Writing, Due Diligence
Education
New York Law School
Juris Doctor
Clark Atlanta University
M.B.A., Finance and Marketing
Spelman College
Bachelor of Arts, Economics
Carl Walker's FINRA Experience 2008 - 2009
Job Java Applications Architect at Software Consortium
Industry Computer Software
Experience
Software Consortium November 2011 - Present
Bekwam, Inc. November 2007 - Present
ecommbi March 2012 - March 2012
New Age Tech October 2011 - November 2011
Marriott International January 2010 - January 2011
AAJ Interactive Technologies February 2010 - September 2010
Tech Systems, Inc June 2009 - June 2010
Marriott International 2009 - February 2010
Financial Industry Regulatory Authority July 2008 - July 2009
FINRA 2008 - 2009
Skills
Java Enterprise Edition, RichFaces, Talend Open Studio, Jasper Reports, JSF, Hibernate, EJB
Education
The Johns Hopkins University - Carey Business School 1999 — 2004
Masters, Business Administration
Bucknell University 1989 — 1993
Bachelor of Science, Computer Science and Engineering
Software Consortium November 2011 - Present
Bekwam, Inc. November 2007 - Present
ecommbi March 2012 - March 2012
New Age Tech October 2011 - November 2011
Marriott International January 2010 - January 2011
AAJ Interactive Technologies February 2010 - September 2010
Tech Systems, Inc June 2009 - June 2010
Marriott International 2009 - February 2010
Financial Industry Regulatory Authority July 2008 - July 2009
FINRA 2008 - 2009
Skills
Java Enterprise Edition, RichFaces, Talend Open Studio, Jasper Reports, JSF, Hibernate, EJB
Education
The Johns Hopkins University - Carey Business School 1999 — 2004
Masters, Business Administration
Bucknell University 1989 — 1993
Bachelor of Science, Computer Science and Engineering
Peter Kolch Peter Kolch's FINRA Experience May 2003 - May 2004
Job Associate General Counsel at AEP Energy
Industry Oil & Energy
Experience
AEP Energy April 2010 - Present
Sidley Austin March 2005 - July 2009
FINRA May 2003 - May 2004
Skills
Corporate Governance, Contract Negotiation, Securities, Mergers, Due Diligence, SEC reporting, Corporate Law, Employment Law, Insurance, Corporate Finance, Debt, Negotiation, Derivatives, Energy, Capital Markets, Equities, Mergers & Acquisitions, Litigation, Securities Regulation, Joint Ventures, Legal Writing
Education
DePaul University College of Law 2001 — 2004
JD
DePaul University - Charles H. Kellstadt Graduate School of Business 2002 — 2004
MBA
Valparaiso University 1997 — 2001
BSBA, Finance (Magna Cum Laude)
AEP Energy April 2010 - Present
Sidley Austin March 2005 - July 2009
FINRA May 2003 - May 2004
Skills
Corporate Governance, Contract Negotiation, Securities, Mergers, Due Diligence, SEC reporting, Corporate Law, Employment Law, Insurance, Corporate Finance, Debt, Negotiation, Derivatives, Energy, Capital Markets, Equities, Mergers & Acquisitions, Litigation, Securities Regulation, Joint Ventures, Legal Writing
Education
DePaul University College of Law 2001 — 2004
JD
DePaul University - Charles H. Kellstadt Graduate School of Business 2002 — 2004
MBA
Valparaiso University 1997 — 2001
BSBA, Finance (Magna Cum Laude)
Daniel I. Jedell's FINRA Experience January 2009 - April 2009
Job Attorney at Harris Beach PLLC
Industry Law Practice
Experience
Harris Beach PLLC May 2015 - Present
Landman Corsi Ballaine & Ford P.C. July 2014 - May 2015
Furman Kornfeld & Brennan LLP January 2012 - July 2014
Winget, Spadafora & Schwartzberg LLP October 2010 - November 2011
New York County District Attorney's Office August 2009 - November 2009
FINRA January 2009 - April 2009
U.S. District Court, E.D.N.Y. September 2008 - December 2008
Skills
Medical Malpractice, Litigation, Insurance Law, Pleadings, Appeals, Trials, Depositions, Personal Injury..., Commercial Litigation, Motions, Employment Law, Legal Research, Jury Trials, Legal Writing, Civil Litigation, Courts, Westlaw, Mediation, Corporate Law, Arbitration, Personal Injury, Trial Practice, Criminal Law, Hearings
Education
Brooklyn Law School 2007 — 2010
JD, Law
Colgate University 2003 — 2007
Bachelor of Arts, Political Science
Harris Beach PLLC May 2015 - Present
Landman Corsi Ballaine & Ford P.C. July 2014 - May 2015
Furman Kornfeld & Brennan LLP January 2012 - July 2014
Winget, Spadafora & Schwartzberg LLP October 2010 - November 2011
New York County District Attorney's Office August 2009 - November 2009
FINRA January 2009 - April 2009
U.S. District Court, E.D.N.Y. September 2008 - December 2008
Skills
Medical Malpractice, Litigation, Insurance Law, Pleadings, Appeals, Trials, Depositions, Personal Injury..., Commercial Litigation, Motions, Employment Law, Legal Research, Jury Trials, Legal Writing, Civil Litigation, Courts, Westlaw, Mediation, Corporate Law, Arbitration, Personal Injury, Trial Practice, Criminal Law, Hearings
Education
Brooklyn Law School 2007 — 2010
JD, Law
Colgate University 2003 — 2007
Bachelor of Arts, Political Science
Jolina Cuaresma's FINRA Experience June 2010 - June 2012
Job Regulatory Attorney at Consumer Financial Protection Bureau
Industry Law Practice
Experience
Consumer Financial Protection Bureau June 2014 - Present
Consumer Financial Protection Bureau May 2013 - May 2014
Consumer Financial Protection Bureau June 2012 - May 2013
FINRA June 2010 - June 2012
WilmerHale November 2004 - June 2010
United States District Court for the District of Maryland August 2003 - August 2004
General Electric 1998 - 2000
Skills
Securities Law, Securities Regulation, Securities, Securities Litigation, Dodd-Frank, Financial Regulation, Consumer Law, Broker-Dealer, Policy, Courts, Intellectual Property
Education
University of California, Berkeley - School of Law 2000 — 2003
JD, Law
Boston University 1995 — 1998
BA, Economics
Boston University Questrom School of Business 1994 — 1998
BSBA, Finance
Consumer Financial Protection Bureau June 2014 - Present
Consumer Financial Protection Bureau May 2013 - May 2014
Consumer Financial Protection Bureau June 2012 - May 2013
FINRA June 2010 - June 2012
WilmerHale November 2004 - June 2010
United States District Court for the District of Maryland August 2003 - August 2004
General Electric 1998 - 2000
Skills
Securities Law, Securities Regulation, Securities, Securities Litigation, Dodd-Frank, Financial Regulation, Consumer Law, Broker-Dealer, Policy, Courts, Intellectual Property
Education
University of California, Berkeley - School of Law 2000 — 2003
JD, Law
Boston University 1995 — 1998
BA, Economics
Boston University Questrom School of Business 1994 — 1998
BSBA, Finance
Rob Renner's FINRA Experience 2009 - Present
Job Vice President at Financial Industry Regulatory Authority (FINRA)
Industry Accounting
Experience
FINRA 2009 - Present
FINRA (formerly NASD) January 1998 - 2009
Ernst & Young LLP September 1994 - December 1997
Skills
Internal Controls, Financial Reporting, Auditing, Financial Analysis, Accounting, Financial Accounting, Finance, CPA, PeopleSoft, Sarbanes-Oxley, Leadership, Sarbanes-Oxley Act, Human Resources, GAAP, Internal Audit, Management, SDLC, General Ledger, Technical Project..., Analysis, Accounts Receivable, Business Analysis
Education
University of Maryland - Robert H. Smith School of Business 1992 — 1994
BS, Accounting
College of Southern Maryland 1990 — 1992
Associate's degree, Accounting and Business/Management
FINRA 2009 - Present
FINRA (formerly NASD) January 1998 - 2009
Ernst & Young LLP September 1994 - December 1997
Skills
Internal Controls, Financial Reporting, Auditing, Financial Analysis, Accounting, Financial Accounting, Finance, CPA, PeopleSoft, Sarbanes-Oxley, Leadership, Sarbanes-Oxley Act, Human Resources, GAAP, Internal Audit, Management, SDLC, General Ledger, Technical Project..., Analysis, Accounts Receivable, Business Analysis
Education
University of Maryland - Robert H. Smith School of Business 1992 — 1994
BS, Accounting
College of Southern Maryland 1990 — 1992
Associate's degree, Accounting and Business/Management
Stan Macel's FINRA Experience 2007 - October 2012
Job Managing Director at Guggenheim Partners
Industry Legal Services
Experience
Guggenheim Partners October 2012 - Present
Guggenheim Investments 2015 - 2015
Guggenheim Investments 2015 - 2015
FINRA 2007 - October 2012
US Securities and Exchange Commission 2004 - 2008
Securities and Exchange Commission 1999 - 2007
leboeuf lamb 1992 - 1997
Skills
Securities, Corporate Governance, Corporate Law, Litigation, Securities Litigation, Legal Research, Legal Writing, Commercial Litigation, Arbitration, FCPA, Intellectual Property, Due Diligence
Education
Duke University School of Law 1989 — 1992
JD /LL.M, Law, International Law
Williams College 1984 — 1988
BA, English
Guggenheim Partners October 2012 - Present
Guggenheim Investments 2015 - 2015
Guggenheim Investments 2015 - 2015
FINRA 2007 - October 2012
US Securities and Exchange Commission 2004 - 2008
Securities and Exchange Commission 1999 - 2007
leboeuf lamb 1992 - 1997
Skills
Securities, Corporate Governance, Corporate Law, Litigation, Securities Litigation, Legal Research, Legal Writing, Commercial Litigation, Arbitration, FCPA, Intellectual Property, Due Diligence
Education
Duke University School of Law 1989 — 1992
JD /LL.M, Law, International Law
Williams College 1984 — 1988
BA, English
Hoffmeyer, David's FINRA Experience September 2003 - November 2012
Job Securities Compliance Examiner at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
U.S. Securities and Exchange Commission November 2012 - Present
FINRA September 2003 - November 2012
The Nasdaq Stock Market October 2000 - May 2003
The Nasdaq Stock Market May 1998 - October 2000
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2004 — 2007
MBA, Finance
Grand Valley State University 1991 — 1996
U.S. Securities and Exchange Commission November 2012 - Present
FINRA September 2003 - November 2012
The Nasdaq Stock Market October 2000 - May 2003
The Nasdaq Stock Market May 1998 - October 2000
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2004 — 2007
MBA, Finance
Grand Valley State University 1991 — 1996
Ray Hellings's FINRA Experience January 2008 - Present
Job Senior Examiner at FINRA
Industry Financial Services
Experience
FINRA January 2008 - Present
Regions Bank 2004 - 2008
Education
Covenant College 1993 — 1997
FINRA January 2008 - Present
Regions Bank 2004 - 2008
Education
Covenant College 1993 — 1997
Adina Solomon's FINRA Experience September 2010 - October 2011
Job Director I at Financial Industry Regulatory Authority
Industry Information Technology and Services
Experience
Financial Industry Regulatory Authority October 2011 - Present
FINRA September 2010 - October 2011
NYSE Euronext August 2007 - September 2010
New York Stock Exchange January 2006 - August 2007
New York Stock Exchange April 2005 - January 2006
New York Stock Exchange June 2003 - April 2005
New York Stock Exchange June 2001 - June 2003
Accenture/JPMorgan 1998 - 1998
Education
New York University - Leonard N. Stern School of Business 2007 — 2010
MBA with Distinction, Management of Technology and Operations; Leadership and Change Management
Bryn Mawr College 1997 — 2001
Religion
Stuyvesant High School
Stuyvesant High School
Financial Industry Regulatory Authority October 2011 - Present
FINRA September 2010 - October 2011
NYSE Euronext August 2007 - September 2010
New York Stock Exchange January 2006 - August 2007
New York Stock Exchange April 2005 - January 2006
New York Stock Exchange June 2003 - April 2005
New York Stock Exchange June 2001 - June 2003
Accenture/JPMorgan 1998 - 1998
Education
New York University - Leonard N. Stern School of Business 2007 — 2010
MBA with Distinction, Management of Technology and Operations; Leadership and Change Management
Bryn Mawr College 1997 — 2001
Religion
Stuyvesant High School
Stuyvesant High School
Chris Cokinis's FINRA Experience October 1980 - July 1986
Job V/P and Chief Compliance Officer at VSR Financial Services, Inc., CRCP, CSCP
Industry Financial Services
Experience
VSR Financial Services, Inc. December 2013 - Present
Argentus Partners, LLC February 2012 - December 2013
ING Financial Partners, Inc. January 2003 - February 2012
GE Financial Assurance/Capital Brokerage Corporation October 2000 - June 2002
American United Life September 1997 - October 2000
Lincoln Financial Group April 1995 - September 1997
Comerica Bank, Household Bank, Transamerica August 1989 - April 1995
Engler-Budd & Company, Inc. June 1986 - August 1989
FINRA October 1980 - July 1986
Skills
Securities, Compliance, Mutual Funds, FINRA, Investment Advisory, Management, Anti Money Laundering, Supervision, Operations Management, Alternative Investments, SEC, Series 24, AML, Strategic Financial..., Insurance, Fixed Annuities, Finance, Investments, Series 7, Retirement Planning, Financial Services, Series 63, Asset Management, Fixed Income, Risk Management, Financial Planning
Education
Eastern Illinois University 1979 — 1980
Bachelor of Science, Finance
University of Illinois at Urbana-Champaign 1975 — 1979
Hotel, Motel, and Restaurant Management
VSR Financial Services, Inc. December 2013 - Present
Argentus Partners, LLC February 2012 - December 2013
ING Financial Partners, Inc. January 2003 - February 2012
GE Financial Assurance/Capital Brokerage Corporation October 2000 - June 2002
American United Life September 1997 - October 2000
Lincoln Financial Group April 1995 - September 1997
Comerica Bank, Household Bank, Transamerica August 1989 - April 1995
Engler-Budd & Company, Inc. June 1986 - August 1989
FINRA October 1980 - July 1986
Skills
Securities, Compliance, Mutual Funds, FINRA, Investment Advisory, Management, Anti Money Laundering, Supervision, Operations Management, Alternative Investments, SEC, Series 24, AML, Strategic Financial..., Insurance, Fixed Annuities, Finance, Investments, Series 7, Retirement Planning, Financial Services, Series 63, Asset Management, Fixed Income, Risk Management, Financial Planning
Education
Eastern Illinois University 1979 — 1980
Bachelor of Science, Finance
University of Illinois at Urbana-Champaign 1975 — 1979
Hotel, Motel, and Restaurant Management
Corey Winterton's FINRA Experience August 2011 - Present
Job Manager, Organizational Development at FINRA
Industry Financial Services
Experience
FINRA August 2011 - Present
FINRA March 2011 - September 2011
FINRA December 2009 - March 2011
GXS April 2009 - December 2009
GXS October 2007 - April 2009
GXS June 2006 - September 2007
Skills
Onboarding, Talent Management, Succession Planning
Education
Eastern Kentucky University 2004 — 2006
Masters, Industrial/Organizational Psychology
Heidelberg University 2000 — 2004
Bachelors, Business Administration and Psychology
FINRA August 2011 - Present
FINRA March 2011 - September 2011
FINRA December 2009 - March 2011
GXS April 2009 - December 2009
GXS October 2007 - April 2009
GXS June 2006 - September 2007
Skills
Onboarding, Talent Management, Succession Planning
Education
Eastern Kentucky University 2004 — 2006
Masters, Industrial/Organizational Psychology
Heidelberg University 2000 — 2004
Bachelors, Business Administration and Psychology
Douglas Houston's FINRA Experience June 2010 - Present
Job Examination Training Manager at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
Financial Industry Regulatory Authority May 2004 - May 2010
NASD (now Finra) May 2004 - May 2010
Skills
FINRA, Securities, Finance, Training, Series 63, Equities, Series 7, Investments, Financial Services, AML, Hedge Funds, Fraud, Investment Advisory, Series 24, Risk Management, Mutual Funds, Training Delivery, Securities Regulation, Financial Risk
Education
State University of New York Institute of Technology at Utica/Rome 2012 — 2014
Master of Science (MS), Accountancy
The George Washington University - School of Business 1991 — 1993
MBA, Marketing
Drake University 1980 — 1984
Bachelor of Science (B.S.), Accounting
FINRA June 2010 - Present
Financial Industry Regulatory Authority May 2004 - May 2010
NASD (now Finra) May 2004 - May 2010
Skills
FINRA, Securities, Finance, Training, Series 63, Equities, Series 7, Investments, Financial Services, AML, Hedge Funds, Fraud, Investment Advisory, Series 24, Risk Management, Mutual Funds, Training Delivery, Securities Regulation, Financial Risk
Education
State University of New York Institute of Technology at Utica/Rome 2012 — 2014
Master of Science (MS), Accountancy
The George Washington University - School of Business 1991 — 1993
MBA, Marketing
Drake University 1980 — 1984
Bachelor of Science (B.S.), Accounting
Kathryn Moore's FINRA Experience 2005 - Present
Job Assistant General Counsel at FINRA
Industry Nonprofit Organization Management
Experience
FINRA 2005 - Present
Troy and Gould 2004 - 2005
McDermott, Will & Emery 1999 - 2004
Education
University of Chicago Law School 1997 — 1999
JD
Colgate University 1990 — 1994
BA, Chemistry
Brighton High
FINRA 2005 - Present
Troy and Gould 2004 - 2005
McDermott, Will & Emery 1999 - 2004
Education
University of Chicago Law School 1997 — 1999
JD
Colgate University 1990 — 1994
BA, Chemistry
Brighton High
Leon De Leon's FINRA Experience 1986 - Present
Job National Mediation Administrator at FINRA
Industry Alternative Dispute Resolution
Experience
FINRA 1986 - Present
Skills
Securities, Legal Research, Legal Writing, Microsoft Excel, Research, Microsoft Office, Mediation, Litigation, Outlook, PowerPoint, Corporate Governance, Risk Management, Corporate Law, Securities Regulation, FINRA
Education
Champlain College 2005 — 2007
Master's Degree, Managing Innovation and Information Technology
Nova Southeastern University 1995 — 1997
Master's Degree, Conflict Resolution
Georgetown University Law Center 1987 — 1990
Doctor of Law (JD)
FINRA 1986 - Present
Skills
Securities, Legal Research, Legal Writing, Microsoft Excel, Research, Microsoft Office, Mediation, Litigation, Outlook, PowerPoint, Corporate Governance, Risk Management, Corporate Law, Securities Regulation, FINRA
Education
Champlain College 2005 — 2007
Master's Degree, Managing Innovation and Information Technology
Nova Southeastern University 1995 — 1997
Master's Degree, Conflict Resolution
Georgetown University Law Center 1987 — 1990
Doctor of Law (JD)
Anthony Elly's FINRA Experience 1983 - 1991
Job Experienced Audit/SOX/Accounting Professional, Seeking New Opportunities
Industry Management Consulting
Experience
Breard & Associates, Inc. December 2012 - Present
Lucas Group, RHMR,Beacon Hill December 2008 - Present
Jefferson Wells June 2005 - September 2007
Benford, Brown & Associates,LLC August 2004 - June 2005
Self-Employed/FINOP June 2002 - August 2004
Chicago Capital Corporation January 2000 - June 2002
Northern Trust 1996 - 2000
ShoreBank June 1991 - January 1996
FINRA 1983 - 1991
Skills
SOX, Internal Audit, Risk Assessment, Business Process..., Regulatory Reporting, SEC reporting, Financial Analysis, Accounting, Banking, Securities, Manufacturing, Aerospace, Internal Controls, Telecommunications, Financial Reporting, Problem Solving, Account Reconciliation, Compliance Testing, Non-profits, Sarbanes-Oxley Act, COSO Framework, Finance, Auditing, Sarbanes-Oxley, Financial Accounting, Analysis, GAAP, Financial Statements, Management, General Ledger, Financial Services, Payroll, PeopleSoft, Financial Risk, Financial Audits
Education
Chicago State University 1975 — 1981
BS, Business Management, Accounting
Breard & Associates, Inc. December 2012 - Present
Lucas Group, RHMR,Beacon Hill December 2008 - Present
Jefferson Wells June 2005 - September 2007
Benford, Brown & Associates,LLC August 2004 - June 2005
Self-Employed/FINOP June 2002 - August 2004
Chicago Capital Corporation January 2000 - June 2002
Northern Trust 1996 - 2000
ShoreBank June 1991 - January 1996
FINRA 1983 - 1991
Skills
SOX, Internal Audit, Risk Assessment, Business Process..., Regulatory Reporting, SEC reporting, Financial Analysis, Accounting, Banking, Securities, Manufacturing, Aerospace, Internal Controls, Telecommunications, Financial Reporting, Problem Solving, Account Reconciliation, Compliance Testing, Non-profits, Sarbanes-Oxley Act, COSO Framework, Finance, Auditing, Sarbanes-Oxley, Financial Accounting, Analysis, GAAP, Financial Statements, Management, General Ledger, Financial Services, Payroll, PeopleSoft, Financial Risk, Financial Audits
Education
Chicago State University 1975 — 1981
BS, Business Management, Accounting
Neal Doherty's FINRA Experience September 2002 - November 2004
Job Attorney/Compliance Professional
Industry Financial Services
Experience
Walz Group March 2011 - Present
Attorney September 2010 - February 2011
Corporate Executive Board June 2008 - August 2010
Wachovia Corp. April 2006 - January 2008
Proxy Governance November 2004 - March 2006
FINRA September 2002 - November 2004
CCH/Washington Service Bureau November 1994 - July 1999
Skills
Securities, Strategic Planning, Risk Management, Due Diligence, Public Relations, Business Development
Education
George Mason University School of Law 1999 — 2002
JD
Colgate University 1988 — 1992
BA, Political Science
Barrington High School
Walz Group March 2011 - Present
Attorney September 2010 - February 2011
Corporate Executive Board June 2008 - August 2010
Wachovia Corp. April 2006 - January 2008
Proxy Governance November 2004 - March 2006
FINRA September 2002 - November 2004
CCH/Washington Service Bureau November 1994 - July 1999
Skills
Securities, Strategic Planning, Risk Management, Due Diligence, Public Relations, Business Development
Education
George Mason University School of Law 1999 — 2002
JD
Colgate University 1988 — 1992
BA, Political Science
Barrington High School
Tracey Bellamy's FINRA Experience July 2008 - October 2014
Job Business Solutions
Industry E-Learning
Experience
FINRA July 2008 - October 2014
Kelly Services 2005 - 2008
Colliers Keenan 2002 - 2005
Smith James Group 1999 - 2001
Northwestern Memorial Hospital 1991 - 1993
University of Iowa Hospitals and Clinics 1982 - 1991
Skills
Applicant Tracking..., Training, Employee Benefits, Talent Acquisition, Employee Relations, Onboarding, Recruiting, Talent Management, Deferred Compensation, HRIS, Internet Recruiting, New Hire Orientations, Performance Management, PeopleSoft
Education
DePaul University 1997 — 1999
BS-Commerce, Marketing and HR Management
College of Lake County 1995 — 1997
Associates, Accounting
FINRA July 2008 - October 2014
Kelly Services 2005 - 2008
Colliers Keenan 2002 - 2005
Smith James Group 1999 - 2001
Northwestern Memorial Hospital 1991 - 1993
University of Iowa Hospitals and Clinics 1982 - 1991
Skills
Applicant Tracking..., Training, Employee Benefits, Talent Acquisition, Employee Relations, Onboarding, Recruiting, Talent Management, Deferred Compensation, HRIS, Internet Recruiting, New Hire Orientations, Performance Management, PeopleSoft
Education
DePaul University 1997 — 1999
BS-Commerce, Marketing and HR Management
College of Lake County 1995 — 1997
Associates, Accounting
James Shorris's FINRA Experience August 2007 - April 2011
Job Executive Vice President, Deputy General Counsel for Regulatory Affairs at LPL Financial
Industry Financial Services
Experience
FireSolutions, Inc. January 2015 - Present
LPL Financial January 2012 - Present
Clemente Course in the Humanities® January 2010 - Present
LPL Financial September 2011 - December 2011
LPL Financial April 2011 - September 2011
FINRA August 2007 - April 2011
NASD March 2006 - July 2007
NASD November 2003 - March 2006
Bingham McCutchen October 2002 - November 2003
Allmerica Investments/VeraVest Investments 2001 - 2002
Skills
Series 7 and 24 licensed, Securities, Series 7, FINRA, Securities Regulation, Broker-Dealer
Education
Harvard Business School 2012 — 2012
Executive Leadership Program
Macalester College 1978 — 1982
BA cum laude, Political Science
University of Stirling 1980 — 1981
exchange student, Political Science
Case Western Reserve University School of Law
JD, Law
FireSolutions, Inc. January 2015 - Present
LPL Financial January 2012 - Present
Clemente Course in the Humanities® January 2010 - Present
LPL Financial September 2011 - December 2011
LPL Financial April 2011 - September 2011
FINRA August 2007 - April 2011
NASD March 2006 - July 2007
NASD November 2003 - March 2006
Bingham McCutchen October 2002 - November 2003
Allmerica Investments/VeraVest Investments 2001 - 2002
Skills
Series 7 and 24 licensed, Securities, Series 7, FINRA, Securities Regulation, Broker-Dealer
Education
Harvard Business School 2012 — 2012
Executive Leadership Program
Macalester College 1978 — 1982
BA cum laude, Political Science
University of Stirling 1980 — 1981
exchange student, Political Science
Case Western Reserve University School of Law
JD, Law
Thomas Creavin's FINRA Experience January 1997 - August 2003
Job Compliance
Industry Financial Services
Experience
Lord, Abbett & Co. LLC July 2014 - Present
UBS Global Asset Management September 2003 - June 2014
FINRA January 1997 - August 2003
Skills
FINRA, Securities, Series 7, Mutual Funds, Investment Management, Equities, Asset Management
Education
Boston University - School of Management 1988 — 1991
Master of Business Administration (M.B.A.)
University of Massachusetts, Amherst 1982 — 1986
BA, BDIC
Boston Latin Academy 1976 — 1982
hs
Lord, Abbett & Co. LLC July 2014 - Present
UBS Global Asset Management September 2003 - June 2014
FINRA January 1997 - August 2003
Skills
FINRA, Securities, Series 7, Mutual Funds, Investment Management, Equities, Asset Management
Education
Boston University - School of Management 1988 — 1991
Master of Business Administration (M.B.A.)
University of Massachusetts, Amherst 1982 — 1986
BA, BDIC
Boston Latin Academy 1976 — 1982
hs
Samuel Barkin's FINRA Experience May 2006 - Present
Job Attorney at FINRA
Industry Financial Services
Experience
FINRA May 2006 - Present
Heller Ehrman 2000 - 2006
Gordon Altman Butowsky Weitzen Shalov & Wein March 1995 - February 2000
Clifford Chance US LLP September 1988 - September 1992
Chealsea's June 1983 - August 1983
Lou's worry June 1982 - August 1982
Stan Salters Village Deli March 1978 - August 1980
Skills
Litigation, Securities Litigation, Class Actions, Commercial Litigation, Securities Regulation, Arbitration, Legal Writing, Appeals, Corporate Governance, Legal Research, Corporate Law, Securities
Education
Boston University School of Law 1985 — 1988
Doctor of Law (JD), Law
Columbia University in the City of New York 1980 — 1984
BA
Roxbury Latin 1976 — 1980
HS
FINRA May 2006 - Present
Heller Ehrman 2000 - 2006
Gordon Altman Butowsky Weitzen Shalov & Wein March 1995 - February 2000
Clifford Chance US LLP September 1988 - September 1992
Chealsea's June 1983 - August 1983
Lou's worry June 1982 - August 1982
Stan Salters Village Deli March 1978 - August 1980
Skills
Litigation, Securities Litigation, Class Actions, Commercial Litigation, Securities Regulation, Arbitration, Legal Writing, Appeals, Corporate Governance, Legal Research, Corporate Law, Securities
Education
Boston University School of Law 1985 — 1988
Doctor of Law (JD), Law
Columbia University in the City of New York 1980 — 1984
BA
Roxbury Latin 1976 — 1980
HS
Scott McBroom's FINRA Experience September 2006 - Present
Job
Industry Law Practice
Experience
FINRA September 2006 - Present
Education
Georgetown University Law Center 2001 — 2004
JD, Law
Clemson University 1997 — 2000
BA, Political Science
FINRA September 2006 - Present
Education
Georgetown University Law Center 2001 — 2004
JD, Law
Clemson University 1997 — 2000
BA, Political Science
Daniel Heiss's FINRA Experience June 2006 - August 2013
Job Vice President (SA 2) at Bank of America
Industry Financial Services
Experience
Bank of America August 2013 - Present
FINRA June 2006 - August 2013
Morgan Stanley 2004 - 2005
New York Office of the Attorney General 2003 - 2003
Skills
Securities, Securities Regulation, FINRA, Broker-Dealer, Due Diligence, Compliance, AML, Derivatives, Financial Markets, Fixed Income, Hedge Funds
Education
Brooklyn Law School 2002 — 2005
JD, Law
University of Michigan 1996 — 2000
AB, Political Science
Bank of America August 2013 - Present
FINRA June 2006 - August 2013
Morgan Stanley 2004 - 2005
New York Office of the Attorney General 2003 - 2003
Skills
Securities, Securities Regulation, FINRA, Broker-Dealer, Due Diligence, Compliance, AML, Derivatives, Financial Markets, Fixed Income, Hedge Funds
Education
Brooklyn Law School 2002 — 2005
JD, Law
University of Michigan 1996 — 2000
AB, Political Science
Christina Gates's FINRA Experience June 2010 - Present
Job Staff Attorney/Case Administrator at FINRA
Industry Legal Services
Experience
FINRA June 2010 - Present
Education
California Western School of Law 2006 — 2008
Doctor of Law (JD)
University of California, Irvine 1998 — 2003
Bachelor of Arts (BA), Political Science
FINRA June 2010 - Present
Education
California Western School of Law 2006 — 2008
Doctor of Law (JD)
University of California, Irvine 1998 — 2003
Bachelor of Arts (BA), Political Science
Heidy Monzon-DeMarco's FINRA Experience June 2010 - Present
Job Associate Principal Regulatory Coordinator at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
NYSE MKT (fka American Stock Exchange) December 2005 - June 2010
Accounting & Compliance International October 2002 - December 2005
Hold Brothers On-Line Investment Services, LLC December 1998 - October 2002
Skills
Series 7, Investments, Fixed Income, Derivatives, Securities, Equities, Risk Management, FINRA, Finance, Hedge Funds, Capital Markets, Financial Analysis
Education
City University of New York-College of Staten Island 2007 — 2010
Bachelor
City University of New York 2005 — 2007
FINRA June 2010 - Present
NYSE MKT (fka American Stock Exchange) December 2005 - June 2010
Accounting & Compliance International October 2002 - December 2005
Hold Brothers On-Line Investment Services, LLC December 1998 - October 2002
Skills
Series 7, Investments, Fixed Income, Derivatives, Securities, Equities, Risk Management, FINRA, Finance, Hedge Funds, Capital Markets, Financial Analysis
Education
City University of New York-College of Staten Island 2007 — 2010
Bachelor
City University of New York 2005 — 2007
Edwin Chen's FINRA Experience June 1998 - December 2000
Job Director Senior Compliance Manager
Industry Investment Banking
Experience
Bank of America Merrill Lynch January 2001 - Present
FINRA June 1998 - December 2000
Union Bank of California June 1996 - June 1998
Towers Perrin 1994 - 1995
Education
California State University-Dominguez Hills 1991 — 1993
El Camino College
North Torrance High
Bank of America Merrill Lynch January 2001 - Present
FINRA June 1998 - December 2000
Union Bank of California June 1996 - June 1998
Towers Perrin 1994 - 1995
Education
California State University-Dominguez Hills 1991 — 1993
El Camino College
North Torrance High
Justin Kletter's FINRA Experience 2002 - 2005
Job Associate General Counsel at Bank of America Merrill Lynch
Industry Financial Services
Experience
Merrill Lynch 2014 - Present
Merrill Lynch 2005 - 2014
FINRA 2002 - 2005
New York Stock Exchange 1997 - 2002
Skills
Series 7, Capital Markets, Securities, Derivatives, Trading, FINRA, Securities Regulation, AML, Options, Hedge Funds, Financial Markets, Equities
Education
Brooklyn Law School 1997 — 2001
J.D.
University at Albany, SUNY 1993 — 1997
GW Hewlett High School 1989 — 1993
Merrill Lynch 2014 - Present
Merrill Lynch 2005 - 2014
FINRA 2002 - 2005
New York Stock Exchange 1997 - 2002
Skills
Series 7, Capital Markets, Securities, Derivatives, Trading, FINRA, Securities Regulation, AML, Options, Hedge Funds, Financial Markets, Equities
Education
Brooklyn Law School 1997 — 2001
J.D.
University at Albany, SUNY 1993 — 1997
GW Hewlett High School 1989 — 1993
Paul Pirocanac's FINRA Experience December 2009 - Present
Job Senior Regulatory Analyst Market Regulation at FINRA
Industry Financial Services
Experience
FINRA December 2009 - Present
ING Financial Partners July 2004 - December 2009
American Express Financial Advisors May 2003 - July 2004
Skills
Investments, Securities, FINRA, Series 7, Mutual Funds
Education
Drake University 1999 — 2003
Marketing, Advertising
FINRA December 2009 - Present
ING Financial Partners July 2004 - December 2009
American Express Financial Advisors May 2003 - July 2004
Skills
Investments, Securities, FINRA, Series 7, Mutual Funds
Education
Drake University 1999 — 2003
Marketing, Advertising
Jennifer Bencivenga-Mennella's FINRA Experience January 2005 - Present
Job Counsel at FINRA
Industry Legal Services
Experience
FINRA January 2005 - Present
Education
Brooklyn Law School 1999 — 2003
University of Maryland College Park 1994 — 1998
midwood
midwood
FINRA January 2005 - Present
Education
Brooklyn Law School 1999 — 2003
University of Maryland College Park 1994 — 1998
midwood
midwood
Janice Payne's FINRA Experience February 2006 - Present
Job Director at FINRA
Industry Legal Services
Experience
FINRA February 2006 - Present
Chadbourne & Parke LLP January 2002 - January 2006
Milbank, Tweed, Hadley & McCloy LLP March 1998 - January 2002
Cadwalader, Wickersham & Taft LLP September 1997 - March 1998
Skills
Civil Litigation, Commercial Litigation, Corporate Law, Legal Research, Litigation, Securities Regulation
Education
Boston University School of Law 1994 — 1997
Juris Doctor
FINRA February 2006 - Present
Chadbourne & Parke LLP January 2002 - January 2006
Milbank, Tweed, Hadley & McCloy LLP March 1998 - January 2002
Cadwalader, Wickersham & Taft LLP September 1997 - March 1998
Skills
Civil Litigation, Commercial Litigation, Corporate Law, Legal Research, Litigation, Securities Regulation
Education
Boston University School of Law 1994 — 1997
Juris Doctor
Yu, Daisy's FINRA Experience August 2007 - Present
Job Principal Examner at FINRA
Industry Government Administration
Experience
FINRA August 2007 - Present
Education
College of Staten Island 1983 — 1986
Accounting and Finance
City University of New York City College
FINRA August 2007 - Present
Education
College of Staten Island 1983 — 1986
Accounting and Finance
City University of New York City College
Jason Orsino's FINRA Experience 2010 - Present
Job Compliance Examiner
Industry Financial Services
Experience
FINRA 2010 - Present
Education
City University of New York-Herbert H. Lehman College 2007 — 2009
Accounting
FINRA 2010 - Present
Education
City University of New York-Herbert H. Lehman College 2007 — 2009
Accounting
Jerry Munk's FINRA Experience March 2006 - Present
Job Associate Director, Member Relations and Education at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
FINRA March 2006 - Present
North American Securities Administrators Association (NASAA) June 2001 - March 2006
Conseco Life Insurance September 1999 - April 2001
Education
DePauw University 1995 — 1999
BA, Political Science
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
FINRA March 2006 - Present
North American Securities Administrators Association (NASAA) June 2001 - March 2006
Conseco Life Insurance September 1999 - April 2001
Education
DePauw University 1995 — 1999
BA, Political Science
Robert Shwab's FINRA Experience January 2004 - Present
Job Retirement Plan Consultant / Arbitrator
Industry Financial Services
Experience
Ascensus August 2005 - Present
FINRA January 2004 - Present
Skills
Mutual Funds, Retirement, Retirement Planning, Series 7, Pensions, Investments, Financial Services, Wealth Management, Risk Management, Asset Allocation
Education
Cornell University - Johnson Graduate School of Management 2009 — 2009
MILR, Labor Relations, Management - HR
Cornell University 1978 — 1980
milr
Ascensus August 2005 - Present
FINRA January 2004 - Present
Skills
Mutual Funds, Retirement, Retirement Planning, Series 7, Pensions, Investments, Financial Services, Wealth Management, Risk Management, Asset Allocation
Education
Cornell University - Johnson Graduate School of Management 2009 — 2009
MILR, Labor Relations, Management - HR
Cornell University 1978 — 1980
milr
Lisa Colon's FINRA Experience 1987 - 1993
Job Chief Operating and Compliance Officer at Girard Partners, Ltd
Industry Financial Services
Experience
Girard Partners, Ltd 2011 - Present
Abacus Wealth Partners 2007 - 2011
Camelot Investment Advisers, LTD 2002 - 2007
PNC Financial Services Group 2000 - 2002
ING Funds 1999 - 2000
BlackRock 1993 - 1999
FINRA 1987 - 1993
Education
Drexel University 1992 — 1994
Masters of Science, Finance
Penn State University 1982 — 1986
Bachelor of Science, Finance/Accounting
Girard Partners, Ltd 2011 - Present
Abacus Wealth Partners 2007 - 2011
Camelot Investment Advisers, LTD 2002 - 2007
PNC Financial Services Group 2000 - 2002
ING Funds 1999 - 2000
BlackRock 1993 - 1999
FINRA 1987 - 1993
Education
Drexel University 1992 — 1994
Masters of Science, Finance
Penn State University 1982 — 1986
Bachelor of Science, Finance/Accounting
Bobbins Irene's FINRA Experience January 2008 - Present
Job Director II Product Management Business Analyst at FINRA
Industry Financial Services
Experience
FINRA January 2008 - Present
Fidelity Investments May 2004 - January 2008
RBC Capital Markets 2003 - 2004
Merrill Lynch 1985 - 2002
Skills
Business Analysis, Vendor Management, Requirements Gathering, Equities, Process Improvement, Financial Services, Requirements Analysis, SDLC, Trading Systems, Software Project..., Electronic Trading
Education
City University of New York-Hunter College 1978 — 1982
BS, Computer Science
FINRA January 2008 - Present
Fidelity Investments May 2004 - January 2008
RBC Capital Markets 2003 - 2004
Merrill Lynch 1985 - 2002
Skills
Business Analysis, Vendor Management, Requirements Gathering, Equities, Process Improvement, Financial Services, Requirements Analysis, SDLC, Trading Systems, Software Project..., Electronic Trading
Education
City University of New York-Hunter College 1978 — 1982
BS, Computer Science
Angela Posillico's FINRA Experience November 2007 - Present
Job SVP Technology at FINRA
Industry Security and Investigations
Experience
FINRA November 2007 - Present
NYSE Euronext October 1986 - August 2007
New York Stock Exchange 1986 - 2007
Skills
SDLC, Enterprise Architecture, Electronic Trading, Trading Systems, Data Center, IT Service Management, Market Data, IT Management, Analytics, IT Operations, IT Strategy, PMO, Requirements Analysis, Infrastructure, Compliance, Agile Methodologies, Equity Trading, Unix, Business Continuity, Hedge Funds, Disaster Recovery
Education
Bowling Green State University 1976 — 1979
MBA, Information Studies
FINRA November 2007 - Present
NYSE Euronext October 1986 - August 2007
New York Stock Exchange 1986 - 2007
Skills
SDLC, Enterprise Architecture, Electronic Trading, Trading Systems, Data Center, IT Service Management, Market Data, IT Management, Analytics, IT Operations, IT Strategy, PMO, Requirements Analysis, Infrastructure, Compliance, Agile Methodologies, Equity Trading, Unix, Business Continuity, Hedge Funds, Disaster Recovery
Education
Bowling Green State University 1976 — 1979
MBA, Information Studies
Lopa Adhikary's FINRA Experience May 2007 - June 2010
Job AVP, Senior Compliance Officer at JPMorgan Chase
Industry Law Practice
Experience
JPMorgan Chase December 2013 - Present
Frenkel Lambert Weiss Weisman & Gordon, LLP May 2012 - November 2013
BLS Legal Services, Employment Law Clinic January 2012 - May 2012
Office of the Inspector General, NYS Unified Court System August 2011 - November 2011
Deutsche Bank June 2011 - August 2011
FINRA May 2007 - June 2010
St. Barnabas Hospital 2004 - 2007
Skills
Recruiting, Succession Planning, Deferred Compensation, Employee Relations, Employee Benefits, Legal Research, Onboarding, Labor Relations
Education
Brooklyn Law School 2010 — 2013
Doctor of Law (J.D.)
Tulane University
Bachelor of Arts (BA), Psychology, Business
JPMorgan Chase December 2013 - Present
Frenkel Lambert Weiss Weisman & Gordon, LLP May 2012 - November 2013
BLS Legal Services, Employment Law Clinic January 2012 - May 2012
Office of the Inspector General, NYS Unified Court System August 2011 - November 2011
Deutsche Bank June 2011 - August 2011
FINRA May 2007 - June 2010
St. Barnabas Hospital 2004 - 2007
Skills
Recruiting, Succession Planning, Deferred Compensation, Employee Relations, Employee Benefits, Legal Research, Onboarding, Labor Relations
Education
Brooklyn Law School 2010 — 2013
Doctor of Law (J.D.)
Tulane University
Bachelor of Arts (BA), Psychology, Business
Morgan Whittier's FINRA Experience 2014 - Present
Job Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
FINRA 2014 - Present
Morgan Stanley Wealth Management 2013 - 2014
Broadridge Financial Solutions, Inc 2005 - 2012
Bank of America Securities 1999 - 2005
Morgan Stanley 1992 - 1998
Paine Webber Inc. 1986 - 1993
Skills
FINRA registrations:..., Trading Systems, Equity Trading, Trade Compliance, Compliance Training, Best Execution, Block Trading, Securities Regulation, Client Coverage, Financial Policies &..., Oral & Written..., Options, Financial Markets, Relationship Management, Fixed Income execution..., FX trading, Business governance, WSP, Broker Dealer compliance, Hedge Funds, Asset Management, Investment Advisory, Investment Portfolio, Series 7, FINRA, Programme Governance, Broker-Dealer, Securities, Fixed Income, Financial Risk, AML, Equities, Financial Services, Trading, FX Options
Education
Kenyon College 1982 — 1986
Bachelor of Arts (B.A.), Political Science
Deerfield Academy 1979 — 1982
FINRA 2014 - Present
Morgan Stanley Wealth Management 2013 - 2014
Broadridge Financial Solutions, Inc 2005 - 2012
Bank of America Securities 1999 - 2005
Morgan Stanley 1992 - 1998
Paine Webber Inc. 1986 - 1993
Skills
FINRA registrations:..., Trading Systems, Equity Trading, Trade Compliance, Compliance Training, Best Execution, Block Trading, Securities Regulation, Client Coverage, Financial Policies &..., Oral & Written..., Options, Financial Markets, Relationship Management, Fixed Income execution..., FX trading, Business governance, WSP, Broker Dealer compliance, Hedge Funds, Asset Management, Investment Advisory, Investment Portfolio, Series 7, FINRA, Programme Governance, Broker-Dealer, Securities, Fixed Income, Financial Risk, AML, Equities, Financial Services, Trading, FX Options
Education
Kenyon College 1982 — 1986
Bachelor of Arts (B.A.), Political Science
Deerfield Academy 1979 — 1982
Jay Gillette's FINRA Experience February 2010 - March 2014
Job Senior Compliance Officer at The Options Clearing Corporation
Industry Financial Services
Experience
The Options Clearing Corporation March 2014 - Present
FINRA February 2010 - March 2014
Mesirow Financial March 2007 - February 2010
National Stock Exchange 2005 - 2006
Merrill Lynch May 2005 - September 2005
Skills
Securities, FINRA, Securities Regulation, AML, Trading, Options, Financial Risk, Financial Services, Auditing, SEC, Equities, Mutual Funds, Broker-Dealer, Investments, Capital Markets
Education
DePaul University 2004 — 2006
Bachelors, Finance
Central Michigan University 2002 — 2003
N/A, N/A
The Options Clearing Corporation March 2014 - Present
FINRA February 2010 - March 2014
Mesirow Financial March 2007 - February 2010
National Stock Exchange 2005 - 2006
Merrill Lynch May 2005 - September 2005
Skills
Securities, FINRA, Securities Regulation, AML, Trading, Options, Financial Risk, Financial Services, Auditing, SEC, Equities, Mutual Funds, Broker-Dealer, Investments, Capital Markets
Education
DePaul University 2004 — 2006
Bachelors, Finance
Central Michigan University 2002 — 2003
N/A, N/A
Andrew Carolan's FINRA Experience January 2008 - August 2009
Job Vice President at BNP Paribas
Industry Financial Services
Experience
BNP Paribas November 2010 - Present
ING Financial Markets January 2010 - October 2010
FINRA January 2008 - August 2009
Nomura Securities Intl 1994 - 2008
Salomon Brothers 1989 - 1994
Salomon Brothers 1987 - 1989
EF Hutton 1985 - 1987
Education
Bryant University 1980 — 1984
BS, Finance
BNP Paribas November 2010 - Present
ING Financial Markets January 2010 - October 2010
FINRA January 2008 - August 2009
Nomura Securities Intl 1994 - 2008
Salomon Brothers 1989 - 1994
Salomon Brothers 1987 - 1989
EF Hutton 1985 - 1987
Education
Bryant University 1980 — 1984
BS, Finance
Sean Dugan, CFA's FINRA Experience January 2011 - March 2012
Job Regulatory Change and Adherence Subject Matter Expert
Industry Financial Services
Experience
Deutsche Börse October 2015 - Present
Deutsche Bank July 2013 - October 2015
Deloitte April 2012 - July 2013
FINRA January 2011 - March 2012
Financial Ombudsman Service December 2008 - October 2010
Herten, Burstein, Sheridan, Cevasco, Bottinelli, Litt & Harz LLC July 2007 - August 2007
Todd & Weld LLP May 2007 - June 2007
Prudential Financial July 2004 - April 2006
Skills
Financial Regulation, Risk Management, Due Diligence, Financial Risk, Investments, AML, Derivatives, Trading, Securities Regulation, Bloomberg, Analysis, Accounting, Financial Markets, FINRA, Microsoft Excel
Education
Fordham University School of Law 2005 — 2008
JD
Bucknell University 2000 — 2004
BSBA
New Providence High School 1996 — 2000
Deutsche Börse October 2015 - Present
Deutsche Bank July 2013 - October 2015
Deloitte April 2012 - July 2013
FINRA January 2011 - March 2012
Financial Ombudsman Service December 2008 - October 2010
Herten, Burstein, Sheridan, Cevasco, Bottinelli, Litt & Harz LLC July 2007 - August 2007
Todd & Weld LLP May 2007 - June 2007
Prudential Financial July 2004 - April 2006
Skills
Financial Regulation, Risk Management, Due Diligence, Financial Risk, Investments, AML, Derivatives, Trading, Securities Regulation, Bloomberg, Analysis, Accounting, Financial Markets, FINRA, Microsoft Excel
Education
Fordham University School of Law 2005 — 2008
JD
Bucknell University 2000 — 2004
BSBA
New Providence High School 1996 — 2000
Frank Venturella's FINRA Experience July 2007 - July 2009
Job Vice President Database Managment Lead at JPMorgan Chase & Co.
Industry Financial Services
Experience
JPMorgan Chase & Co. March 2014 - Present
NYSE March 2013 - March 2014
Morgan Stanley March 2010 - March 2013
Credit-Suisse July 2009 - March 2010
FINRA July 2007 - July 2009
Morgan Stanley 1996 - 2005
Lehman Brothers Holdings Inc. 1993 - 1995
Skills
Sybase ASE, Sybase IQ, Oracle, Informatica, Abinitio, Dimensional Modeling, Erwin, Unix Shell Scripting, Linux, Financial Reporting, Risk Management, Data Warehousing, Data Management, ETL, Data Warehouse..., Database Design, Databases, Sybase, Data Marts, Data Modeling, Data Integration, Business Intelligence
Education
New York University - Leonard N. Stern School of Business 1989 — 1994
MBA, Finance, Information Systems
Carnegie Mellon University 1983 — 1987
BS, Information Systems
JPMorgan Chase & Co. March 2014 - Present
NYSE March 2013 - March 2014
Morgan Stanley March 2010 - March 2013
Credit-Suisse July 2009 - March 2010
FINRA July 2007 - July 2009
Morgan Stanley 1996 - 2005
Lehman Brothers Holdings Inc. 1993 - 1995
Skills
Sybase ASE, Sybase IQ, Oracle, Informatica, Abinitio, Dimensional Modeling, Erwin, Unix Shell Scripting, Linux, Financial Reporting, Risk Management, Data Warehousing, Data Management, ETL, Data Warehouse..., Database Design, Databases, Sybase, Data Marts, Data Modeling, Data Integration, Business Intelligence
Education
New York University - Leonard N. Stern School of Business 1989 — 1994
MBA, Finance, Information Systems
Carnegie Mellon University 1983 — 1987
BS, Information Systems
Ann DiGiorgio's FINRA Experience December 2010 - Present
Job Chief Financial Officer at Finance 500
Industry Financial Services
Experience
Finance 500 June 2014 - Present
FINRA December 2010 - Present
Girard Securities June 2013 - June 2014
Unionbanc Investment Services May 2011 - May 2013
Independent Contractor 1988 - May 2011
BondDesk Trading 2002 - 2011
eBondTrade 1999 - 2002
Coast Partners 1994 - 1996
PACIFIC SECURITIES, INC. 1980 - 1988
Skills
Securities, Series 24, Series 7, AML, Capital Markets, FINRA, Fixed Income, Hedge Funds, Series 27, Private Placements, Financial Analysis, Equities, Mutual Funds, Options, Securities Regulation, Series 63, Asset Management, Trading, Alternative Investments, Derivatives, Financial Services, Financial Markets, Investment Banking, Investments
Education
California State University-Fullerton
Professional Fiduciary
Saint Mary's College of California 1972 — 1976
Bachelor of Science, Bachelor of Arts, Business Administration and Economics, Communications
Finance 500 June 2014 - Present
FINRA December 2010 - Present
Girard Securities June 2013 - June 2014
Unionbanc Investment Services May 2011 - May 2013
Independent Contractor 1988 - May 2011
BondDesk Trading 2002 - 2011
eBondTrade 1999 - 2002
Coast Partners 1994 - 1996
PACIFIC SECURITIES, INC. 1980 - 1988
Skills
Securities, Series 24, Series 7, AML, Capital Markets, FINRA, Fixed Income, Hedge Funds, Series 27, Private Placements, Financial Analysis, Equities, Mutual Funds, Options, Securities Regulation, Series 63, Asset Management, Trading, Alternative Investments, Derivatives, Financial Services, Financial Markets, Investment Banking, Investments
Education
California State University-Fullerton
Professional Fiduciary
Saint Mary's College of California 1972 — 1976
Bachelor of Science, Bachelor of Arts, Business Administration and Economics, Communications
Devarshi Patel's FINRA Experience December 2010 - Present
Job Sr SharePoint Consultant at FINRA
Industry Information Technology and Services
Experience
FINRA December 2010 - Present
Lutron Electronics December 2009 - November 2010
Tribal DDB, NY March 2009 - November 2009
XL Capital 2006 - 2009
Infosys Technologies Ltd 2004 - 2009
Skills
SharePoint, ASP.NET, C#, SQL Server, XML, JavaScript, Web Services, AJAX, Requirements Gathering, HTML, CSS, XSLT, Visual Studio, SQL, Application Development, Architecture, jQuery, SSRS, IIS, WCF, InfoPath, Workflow, Kerberos, Web Parts, SharePoint Designer, Powershell
Education
Dharmsinh Desai Institute of Technology
BE, Chemical Engineering
Gnyan Dham High School, Vapi
FINRA December 2010 - Present
Lutron Electronics December 2009 - November 2010
Tribal DDB, NY March 2009 - November 2009
XL Capital 2006 - 2009
Infosys Technologies Ltd 2004 - 2009
Skills
SharePoint, ASP.NET, C#, SQL Server, XML, JavaScript, Web Services, AJAX, Requirements Gathering, HTML, CSS, XSLT, Visual Studio, SQL, Application Development, Architecture, jQuery, SSRS, IIS, WCF, InfoPath, Workflow, Kerberos, Web Parts, SharePoint Designer, Powershell
Education
Dharmsinh Desai Institute of Technology
BE, Chemical Engineering
Gnyan Dham High School, Vapi
Brenda Imes's FINRA Experience October 2010 - August 2011
Job Chief Relaxation Officer at Life's Next Adventure
Industry Health, Wellness and Fitness
Experience
Stonnington Group, LLC December 2011 - April 2013
FINRA October 2010 - August 2011
Clark Securities April 2007 - November 2009
Clark Securities January 2000 - April 2007
Clark Consulting May 1994 - December 1999
Compensation Resource Group May 1994 - December 1999
Corporate Compensation Plans March 1990 - April 1994
Skills
FINRA, Series 24, Securities, Series 7, Mutual Funds, Financial Services, Insurance, Risk Management, Investments, Investment Advisory, Employee Benefits, Retirement, Retirement Planning, Equities, Alternative Investments, Due Diligence, Life Insurance, Fixed Annuities, Leadership, Team Building, Strategic Planning, Analysis, Wealth Management, Finance, Financial Analysis, Asset Allocation, Portfolio Management, Fixed Income, Investment Management, Auditing, Investment Strategies, Executive Management, Strategic Financial..., Mergers & Acquisitions, Estate Planning, Hedge Funds, Private Equity, Financial Modeling, Financial Risk, Financial Reporting, Pensions, Series 65, Bonds, Relationship Management, Disability Insurance, Cash Management
Education
Claremont Graduate University - Peter F. Drucker and Masatoshi Ito Graduate School of Management 2000 — 2003
EMBA, Management
University of California, Los Angeles
BA, Public Administation
Stonnington Group, LLC December 2011 - April 2013
FINRA October 2010 - August 2011
Clark Securities April 2007 - November 2009
Clark Securities January 2000 - April 2007
Clark Consulting May 1994 - December 1999
Compensation Resource Group May 1994 - December 1999
Corporate Compensation Plans March 1990 - April 1994
Skills
FINRA, Series 24, Securities, Series 7, Mutual Funds, Financial Services, Insurance, Risk Management, Investments, Investment Advisory, Employee Benefits, Retirement, Retirement Planning, Equities, Alternative Investments, Due Diligence, Life Insurance, Fixed Annuities, Leadership, Team Building, Strategic Planning, Analysis, Wealth Management, Finance, Financial Analysis, Asset Allocation, Portfolio Management, Fixed Income, Investment Management, Auditing, Investment Strategies, Executive Management, Strategic Financial..., Mergers & Acquisitions, Estate Planning, Hedge Funds, Private Equity, Financial Modeling, Financial Risk, Financial Reporting, Pensions, Series 65, Bonds, Relationship Management, Disability Insurance, Cash Management
Education
Claremont Graduate University - Peter F. Drucker and Masatoshi Ito Graduate School of Management 2000 — 2003
EMBA, Management
University of California, Los Angeles
BA, Public Administation
Ryan Lambuth's FINRA Experience June 2005 - July 2007
Job at AssetMark
Industry Financial Services
Experience
AssetMark August 2009 - Present
Securities America, Inc. Member FINRA/SIPC July 2007 - March 2009
FINRA June 2005 - July 2007
Skills
Securities, AML, Series 7, Financial Risk, Wealth Management, Internal Audit, Investments, Trading, Mutual Funds, Asset Management, FINRA, Risk Management, Financial Services
Education
California State University-East Bay 2001 — 2005
Bachelor, Business Administration - Finance
AssetMark August 2009 - Present
Securities America, Inc. Member FINRA/SIPC July 2007 - March 2009
FINRA June 2005 - July 2007
Skills
Securities, AML, Series 7, Financial Risk, Wealth Management, Internal Audit, Investments, Trading, Mutual Funds, Asset Management, FINRA, Risk Management, Financial Services
Education
California State University-East Bay 2001 — 2005
Bachelor, Business Administration - Finance
Kevinraj Bhatia's FINRA Experience May 2009 - July 2009
Job Regulatory Reporting
Industry Law Practice
Experience
AQR Capital Management September 2014 - Present
Morgan Stanley September 2011 - August 2014
Central Park Group January 2011 - April 2011
BLS Legal Services September 2010 - April 2011
US Securities and Exchange Commission June 2010 - August 2010
Calypso Capital September 2009 - May 2010
FINRA May 2009 - July 2009
Federal district court EDNY February 2009 - May 2009
Education
Brooklyn Law School 2008 — 2011
J.D.
Boston University 2003 — 2007
BSBA, Finance
AQR Capital Management September 2014 - Present
Morgan Stanley September 2011 - August 2014
Central Park Group January 2011 - April 2011
BLS Legal Services September 2010 - April 2011
US Securities and Exchange Commission June 2010 - August 2010
Calypso Capital September 2009 - May 2010
FINRA May 2009 - July 2009
Federal district court EDNY February 2009 - May 2009
Education
Brooklyn Law School 2008 — 2011
J.D.
Boston University 2003 — 2007
BSBA, Finance
Ray Hellings's FINRA Experience January 2008 - March 2011
Job Audit Supervisor at Protective Life
Industry Financial Services
Experience
Protective Life March 2011 - Present
FINRA January 2008 - March 2011
Regions Financial Corporation August 2004 - January 2008
Skills
Internal Audit, Auditing, Financial Analysis, Internal Controls, Risk Management, Financial Risk, Accounting, GAAP, Financial Reporting, Enterprise Risk..., Banking
Education
Texas A&M University-Corpus Christi 2002 — 2004
Master of Business Administration (MBA)
Covenant College 1993 — 1997
Bachelor of Arts (BA), Biblical Studies
Protective Life March 2011 - Present
FINRA January 2008 - March 2011
Regions Financial Corporation August 2004 - January 2008
Skills
Internal Audit, Auditing, Financial Analysis, Internal Controls, Risk Management, Financial Risk, Accounting, GAAP, Financial Reporting, Enterprise Risk..., Banking
Education
Texas A&M University-Corpus Christi 2002 — 2004
Master of Business Administration (MBA)
Covenant College 1993 — 1997
Bachelor of Arts (BA), Biblical Studies
Cali Lieberman's FINRA Experience May 2014 - July 2014
Job Research Assistant Brooklyn Law School
Industry Law Practice
Experience
Brooklyn Law School July 2013 - Present
U.S. Securities and Exchange Commission September 2014 - November 2014
FINRA May 2014 - July 2014
U.S. Securities & Exchange Commission January 2014 - April 2014
Supreme Court of the State of New York, Appellate Division, 2d Dept. May 2013 - July 2013
Ann Taylor November 2009 - July 2012
ANN INC. September 2011 - October 2011
Lucky magazine November 2008 - November 2010
Dolce & Gabbana February 2009 - May 2009
Skills
PowerPoint, Outlook, Excel, Microsoft Office, Writing, Legal Writing, Legal Research, Westlaw, LexisNexis, Customer Service, Time Management, Marketing, Microsoft Excel, Microsoft Word
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (J.D.)
Fordham University 2008 — 2011
B.S., Business Administration, Concentration in Marketing, Minor in Legal and Ethical Studies
Brooklyn Law School July 2013 - Present
U.S. Securities and Exchange Commission September 2014 - November 2014
FINRA May 2014 - July 2014
U.S. Securities & Exchange Commission January 2014 - April 2014
Supreme Court of the State of New York, Appellate Division, 2d Dept. May 2013 - July 2013
Ann Taylor November 2009 - July 2012
ANN INC. September 2011 - October 2011
Lucky magazine November 2008 - November 2010
Dolce & Gabbana February 2009 - May 2009
Skills
PowerPoint, Outlook, Excel, Microsoft Office, Writing, Legal Writing, Legal Research, Westlaw, LexisNexis, Customer Service, Time Management, Marketing, Microsoft Excel, Microsoft Word
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (J.D.)
Fordham University 2008 — 2011
B.S., Business Administration, Concentration in Marketing, Minor in Legal and Ethical Studies
John Karper's FINRA Experience 1991 - Present
Job Business Technology Manager at NASD
Industry Financial Services
Experience
FINRA 1991 - Present
NASD 1999 - Present
Boy Scouts of America, Baltimore Area Council 2009 - Present
BancTec 1987 - 1993
Skills
PMO, SDLC, IT Strategy, Disaster Recovery, Enterprise Architecture, Vendor Management, Integration, Business Analysis, Software Project..., Program Management, ITIL, Business Process, Change Management, Requirements Analysis, Project Management, Analysis, Telecommunications, Visio, SQL, Process Improvement, Project Portfolio..., Oracle, Microsoft SQL Server, Database Design, Report Writing, Impromptu, VBA, VBScript, Crystal Reports, Aspect, Telecommunications..., Agile Methodologies, SharePoint, IT Management, PMP, Software Development, Governance, Business Intelligence, Data Warehousing, Data Center, Security, SOA, Solution Architecture, Cloud Computing, IT Operations, Software Documentation, Testing, Business Process..., System Deployment, Databases
Education
Cardinal Gibbons 1977 — 1981
Catonsville Community College
FINRA 1991 - Present
NASD 1999 - Present
Boy Scouts of America, Baltimore Area Council 2009 - Present
BancTec 1987 - 1993
Skills
PMO, SDLC, IT Strategy, Disaster Recovery, Enterprise Architecture, Vendor Management, Integration, Business Analysis, Software Project..., Program Management, ITIL, Business Process, Change Management, Requirements Analysis, Project Management, Analysis, Telecommunications, Visio, SQL, Process Improvement, Project Portfolio..., Oracle, Microsoft SQL Server, Database Design, Report Writing, Impromptu, VBA, VBScript, Crystal Reports, Aspect, Telecommunications..., Agile Methodologies, SharePoint, IT Management, PMP, Software Development, Governance, Business Intelligence, Data Warehousing, Data Center, Security, SOA, Solution Architecture, Cloud Computing, IT Operations, Software Documentation, Testing, Business Process..., System Deployment, Databases
Education
Cardinal Gibbons 1977 — 1981
Catonsville Community College
Steven Borchert's FINRA Experience December 1999 - November 2013
Job Senior Internal Auditor at Compassion International
Industry Financial Services
Experience
Compassion International December 2013 - Present
FINRA December 1999 - November 2013
Skills
Financial Analysis, Due Diligence, Anti Money Laundering, Securities Regulation, Internal Audit, Broker-Dealer, Fraud Detection, FINOP, Compliance
Education
University of Colorado Denver 2002 — 2004
Master of Business Administration (M.B.A.)
Colorado State University-Pueblo 1993 — 1998
Bachelor's degrees, Economics and Finance
Compassion International December 2013 - Present
FINRA December 1999 - November 2013
Skills
Financial Analysis, Due Diligence, Anti Money Laundering, Securities Regulation, Internal Audit, Broker-Dealer, Fraud Detection, FINOP, Compliance
Education
University of Colorado Denver 2002 — 2004
Master of Business Administration (M.B.A.)
Colorado State University-Pueblo 1993 — 1998
Bachelor's degrees, Economics and Finance
Robert Larson's FINRA Experience April 1982 - August 1986
Job Customer Service Representative (Chicago Lighthouse) at Illinois State Toll Highway Authority
Industry Financial Services
Experience
Illinois State Toll Highway Authority October 2014 - Present
FINRA Dispute Resolution November 1990 - Present
BMO Harris Financial Advisors, Inc. November 2012 - February 2013
Compliance Consulting 2000 - 2013
Ocean View Capital LLC December 2010 - October 2011
GLB TRADING, INC. January 2009 - May 2009
ITG Dirivatives LLC October 2007 - October 2008
FIRST ANALYSIS INVESTMENT CORP. May 2003 - January 2005
FINRA April 1982 - August 1986
US Navy November 1979 - February 1980
Skills
Compliance, Trading, Series 7, FINRA, Investments, Investment Banking, Securities, Asset Management, Insurance, Series 24, Series 63, AML, Mutual Funds, Equities, Options, Alternative Investments, Risk Management, Fixed Income, Licensing, SEC reporting, Capital Markets, Due Diligence, Risk, Portfolio Management, Derivatives, Banking, Institutional, Financial Planning, Investment Advisory, Auditing, Policy, Financial Analysis, Bonds, Prime Brokerage, Series 65, Executive Management, Customer Relations, Research, Hedge Funds, Wealth Management, ETFs, Series 3, Financial Markets, Credit, Series 66, Equity Trading, Brokerage, Commodities, KYC, Corporate Finance
Education
John Marshall Law School 1994 — 1994
I did not graduate, Law, 2.0
DePaul University - Charles H. Kellstadt Graduate School of Business 1978 — 1980
MBA, FINANCE
Rockhurst University 1975 — 1978
BSBA, Finance and Economics, 3.3
Illinois State Toll Highway Authority October 2014 - Present
FINRA Dispute Resolution November 1990 - Present
BMO Harris Financial Advisors, Inc. November 2012 - February 2013
Compliance Consulting 2000 - 2013
Ocean View Capital LLC December 2010 - October 2011
GLB TRADING, INC. January 2009 - May 2009
ITG Dirivatives LLC October 2007 - October 2008
FIRST ANALYSIS INVESTMENT CORP. May 2003 - January 2005
FINRA April 1982 - August 1986
US Navy November 1979 - February 1980
Skills
Compliance, Trading, Series 7, FINRA, Investments, Investment Banking, Securities, Asset Management, Insurance, Series 24, Series 63, AML, Mutual Funds, Equities, Options, Alternative Investments, Risk Management, Fixed Income, Licensing, SEC reporting, Capital Markets, Due Diligence, Risk, Portfolio Management, Derivatives, Banking, Institutional, Financial Planning, Investment Advisory, Auditing, Policy, Financial Analysis, Bonds, Prime Brokerage, Series 65, Executive Management, Customer Relations, Research, Hedge Funds, Wealth Management, ETFs, Series 3, Financial Markets, Credit, Series 66, Equity Trading, Brokerage, Commodities, KYC, Corporate Finance
Education
John Marshall Law School 1994 — 1994
I did not graduate, Law, 2.0
DePaul University - Charles H. Kellstadt Graduate School of Business 1978 — 1980
MBA, FINANCE
Rockhurst University 1975 — 1978
BSBA, Finance and Economics, 3.3
Robert Alaimo's FINRA Experience September 2009 - April 2010
Job Associate at Condon & Forsyth LLP
Industry Law Practice
Experience
Condon & Forsyth LLP March 2011 - Present
Department of Consumer Affairs - Adjudicative Division August 2010 - March 2011
FINRA September 2009 - April 2010
US Attorney's Office -EDNY May 2009 - August 2009
New York Attorney General August 2008 - May 2009
Kings County District Attorneys Office May 2008 - August 2008
McLaughlin Group - NBC January 2007 - May 2007
US-China Business Council June 2006 - December 2006
Forum 2000 January 2006 - May 2006
Skills
Securities Regulation, Aviation Law, Legal Research, Legal Writing, Litigation, Commercial Litigation, Westlaw, International Law, Intellectual Property, Appeals, Corporate Law, Civil Litigation, Trials
Education
Brooklyn Law School 2007 — 2010
Juris Doctor, Litigation, Securities, Real Estate Fraud, Criminal Prosecution
Georgetown University 2003 — 2007
Bachelor of Science, International Politics
Regis High School 1999 — 2003
Condon & Forsyth LLP March 2011 - Present
Department of Consumer Affairs - Adjudicative Division August 2010 - March 2011
FINRA September 2009 - April 2010
US Attorney's Office -EDNY May 2009 - August 2009
New York Attorney General August 2008 - May 2009
Kings County District Attorneys Office May 2008 - August 2008
McLaughlin Group - NBC January 2007 - May 2007
US-China Business Council June 2006 - December 2006
Forum 2000 January 2006 - May 2006
Skills
Securities Regulation, Aviation Law, Legal Research, Legal Writing, Litigation, Commercial Litigation, Westlaw, International Law, Intellectual Property, Appeals, Corporate Law, Civil Litigation, Trials
Education
Brooklyn Law School 2007 — 2010
Juris Doctor, Litigation, Securities, Real Estate Fraud, Criminal Prosecution
Georgetown University 2003 — 2007
Bachelor of Science, International Politics
Regis High School 1999 — 2003
Jaime Kurtz's FINRA Experience November 2006 - August 2010
Job Vice President, Compliance at J.P. Morgan
Industry Financial Services
Experience
J.P. Morgan February 2015 - Present
Aon Hewitt Investment Consulting, Inc. May 2014 - February 2015
Aon Hewitt Investment Consulting, Inc. October 2012 - May 2014
Driehaus Capital Management August 2010 - September 2012
FINRA November 2006 - August 2010
Education
Colorado State University 2002 — 2006
Bachelors of Business Administration, Finance
The University of Queensland 2005 — 2005
Study Abroad Program
J.P. Morgan February 2015 - Present
Aon Hewitt Investment Consulting, Inc. May 2014 - February 2015
Aon Hewitt Investment Consulting, Inc. October 2012 - May 2014
Driehaus Capital Management August 2010 - September 2012
FINRA November 2006 - August 2010
Education
Colorado State University 2002 — 2006
Bachelors of Business Administration, Finance
The University of Queensland 2005 — 2005
Study Abroad Program
Elissa Meth Kestin's FINRA Experience 2006 - Present
Job Director at Finra
Industry Financial Services
Experience
FINRA 2006 - Present
Cravath, Swaine & Moore LLP 2000 - 2006
Judge Louis Oberdorfer 1999 - 2000
Skills
Litigation, Commercial Litigation, Securities Regulation, Legal Research, Securities, Securities Litigation, Corporate Governance, Arbitration, Westlaw, Corporate Law, Administrative Law, Appeals, FINRA, Fraud, Legal Writing, Civil Litigation, Finance, Mediation, Trials, Due Diligence
Education
Columbia Law School 1996 — 1999
Juris Doctor (J.D.), Law, Stone Scholar
Cornell University 1991 — 1995
BS w/Honors, Industrial and Labor Relations
FINRA 2006 - Present
Cravath, Swaine & Moore LLP 2000 - 2006
Judge Louis Oberdorfer 1999 - 2000
Skills
Litigation, Commercial Litigation, Securities Regulation, Legal Research, Securities, Securities Litigation, Corporate Governance, Arbitration, Westlaw, Corporate Law, Administrative Law, Appeals, FINRA, Fraud, Legal Writing, Civil Litigation, Finance, Mediation, Trials, Due Diligence
Education
Columbia Law School 1996 — 1999
Juris Doctor (J.D.), Law, Stone Scholar
Cornell University 1991 — 1995
BS w/Honors, Industrial and Labor Relations
Laila Bentoto-Garcia, MBA's FINRA Experience March 2014 - Present
Job Compliance Examiner, FINRA
Industry Financial Services
Experience
FINRA March 2014 - Present
CBOE November 2012 - March 2014
National Stock Exchange June 2012 - November 2012
National Stock Exchange August 2011 - June 2012
FINRA September 2009 - December 2009
Banco Popular 2006 - 2008
Skills
Risk Management, Leadership, Valuation, Finance, Mergers & Acquisitions, Microsoft Excel, Securities, Equities, Financial Analysis, Capital Markets, Due Diligence, Investments, Financial Markets, Derivatives, Options, Banking, Financial Modeling, Trading, Financial Risk, Corporate Finance, Analysis, Bloomberg
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2009 — 2010
MBA, International Business and Finance concentration
Hochschule Niederrhein, Germany
Mechanical Engineering, Textile Technology
FINRA March 2014 - Present
CBOE November 2012 - March 2014
National Stock Exchange June 2012 - November 2012
National Stock Exchange August 2011 - June 2012
FINRA September 2009 - December 2009
Banco Popular 2006 - 2008
Skills
Risk Management, Leadership, Valuation, Finance, Mergers & Acquisitions, Microsoft Excel, Securities, Equities, Financial Analysis, Capital Markets, Due Diligence, Investments, Financial Markets, Derivatives, Options, Banking, Financial Modeling, Trading, Financial Risk, Corporate Finance, Analysis, Bloomberg
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2009 — 2010
MBA, International Business and Finance concentration
Hochschule Niederrhein, Germany
Mechanical Engineering, Textile Technology
Sarah Rayfield's FINRA Experience May 2010 - August 2010
Job Senior Financial Accounting Advisory Services at EY
Industry Accounting
Experience
EY August 2014 - Present
EY September 2013 - August 2014
FASB July 2012 - June 2013
KPMG June 2011 - August 2011
FINRA May 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Education
University of Virginia 2011 — 2012
Master of Science, Accounting
Bradley University 2007 — 2011
BS, Accounting
EY August 2014 - Present
EY September 2013 - August 2014
FASB July 2012 - June 2013
KPMG June 2011 - August 2011
FINRA May 2010 - August 2010
US Securities and Exchange Commission June 2009 - August 2009
Education
University of Virginia 2011 — 2012
Master of Science, Accounting
Bradley University 2007 — 2011
BS, Accounting
Rachael Petramale's FINRA Experience October 2008 - June 2010
Job Senior Analyst Short Sales at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
Financial Industry Regulatory Authority June 2010 - Present
FINRA October 2008 - June 2010
Skills
Call Center, AML, Customer Service, Microsoft Excel, Financial Services, Microsoft Office, Business Analysis, Outlook, Analysis, Equities, Anti Money Laundering, Microsoft Word, Access, PowerPoint, FINRA, Call Centers
Education
Clark University 2004 — 2007
Bachelor's degree, Sociology
Ulster County Community College 2003 — 2004
Associate's degree
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
Financial Industry Regulatory Authority June 2010 - Present
FINRA October 2008 - June 2010
Skills
Call Center, AML, Customer Service, Microsoft Excel, Financial Services, Microsoft Office, Business Analysis, Outlook, Analysis, Equities, Anti Money Laundering, Microsoft Word, Access, PowerPoint, FINRA, Call Centers
Education
Clark University 2004 — 2007
Bachelor's degree, Sociology
Ulster County Community College 2003 — 2004
Associate's degree
Elizabeth (Amundson) Heimlich's FINRA Experience September 2006 - Present
Job Financial Analyst at FINRA
Industry Financial Services
Experience
FINRA September 2006 - Present
Westminster Financial Companies, Inc. 1996 - 2006
Skills
FINRA, Securities Regulation, Securities, Series 7, Broker-Dealer
Education
Cedarville University 1992 — 1996
FINRA September 2006 - Present
Westminster Financial Companies, Inc. 1996 - 2006
Skills
FINRA, Securities Regulation, Securities, Series 7, Broker-Dealer
Education
Cedarville University 1992 — 1996
Luis Biason's FINRA Experience January 2001 - March 2001
Job at Luis F. Biason, P.A.
Industry Law Practice
Experience
Luis F. Biason, P.A. 2001 - Present
Johnson & Wales University March 2008 - March 2012
FINRA January 2001 - March 2001
Charles Schwab November 1991 - August 1997
Presearch, Inc. January 1985 - March 1987
U.S. Army INSCOM June 1981 - November 1984
Skills
Securities, Legal Writing, Arbitration, Licensing, Trials, Personal Injury, Finance, Dispute Resolution, Series 7, Criminal Defense, Trusts, FINRA, Options, Dispute
Education
St. Thomas University School of Law 1996 — 1999
J.D., Banking, Corporate, Finance, and Securities Law; International Law
Eastern Illinois University 1970 — 1975
B.A., French / Philosophy
Université Paris-Sorbonne 1973 — 1974
Diplome, Langues et Civilisation
Luis F. Biason, P.A. 2001 - Present
Johnson & Wales University March 2008 - March 2012
FINRA January 2001 - March 2001
Charles Schwab November 1991 - August 1997
Presearch, Inc. January 1985 - March 1987
U.S. Army INSCOM June 1981 - November 1984
Skills
Securities, Legal Writing, Arbitration, Licensing, Trials, Personal Injury, Finance, Dispute Resolution, Series 7, Criminal Defense, Trusts, FINRA, Options, Dispute
Education
St. Thomas University School of Law 1996 — 1999
J.D., Banking, Corporate, Finance, and Securities Law; International Law
Eastern Illinois University 1970 — 1975
B.A., French / Philosophy
Université Paris-Sorbonne 1973 — 1974
Diplome, Langues et Civilisation
Warren Beinart's FINRA Experience September 2003 - September 2013
Job President at BeinArt Consulting, inc
Industry Information Technology and Services
Experience
Be-in-Art Consulting, inc October 2013 - Present
FINRA September 2003 - September 2013
NASDAQ November 2000 - August 2003
The World Bank May 1998 - November 2000
Lockheed Martin October 1994 - May 1998
Information Builders May 1990 - October 1994
Mobil Oil, South Africa February 1987 - December 1989
Skills
Requirements Gathering, SDLC, Leadership, CRM, Requirements Analysis, User Acceptance Testing, Business Requirements, Visio, Business Analysis, Software Project..., SharePoint, Data Warehousing, Systems Analysis, Business Intelligence, Oracle
Education
Cape Peninsula University of Technology / Cape Technikon 1989 — 1989
Masters, Computer Systems
Cape Peninsula University of Technology / Cape Technikon 1986 — 1988
Bachelor of Science (BS), Computer Technology/Computer Systems Technology
Be-in-Art Consulting, inc October 2013 - Present
FINRA September 2003 - September 2013
NASDAQ November 2000 - August 2003
The World Bank May 1998 - November 2000
Lockheed Martin October 1994 - May 1998
Information Builders May 1990 - October 1994
Mobil Oil, South Africa February 1987 - December 1989
Skills
Requirements Gathering, SDLC, Leadership, CRM, Requirements Analysis, User Acceptance Testing, Business Requirements, Visio, Business Analysis, Software Project..., SharePoint, Data Warehousing, Systems Analysis, Business Intelligence, Oracle
Education
Cape Peninsula University of Technology / Cape Technikon 1989 — 1989
Masters, Computer Systems
Cape Peninsula University of Technology / Cape Technikon 1986 — 1988
Bachelor of Science (BS), Computer Technology/Computer Systems Technology
Veronica Rivera(work)'s FINRA Experience November 2003 - Present
Job Office Assistant at FINRA
Industry Financial Services
Experience
FINRA November 2003 - Present
Skills
Outlook, Administrative..., PowerPoint, Microsoft Excel, Microsoft Office, Event Planning, Microsoft Word, Access, Customer Service, PeopleSoft, Research, Office Management, Spreadsheets, Data Entry, Public Speaking, Administrative...
Education
College of Mount Saint Vincent 1997 — 2001
Bachelor of Arts (B.A.), Communication, General
FINRA November 2003 - Present
Skills
Outlook, Administrative..., PowerPoint, Microsoft Excel, Microsoft Office, Event Planning, Microsoft Word, Access, Customer Service, PeopleSoft, Research, Office Management, Spreadsheets, Data Entry, Public Speaking, Administrative...
Education
College of Mount Saint Vincent 1997 — 2001
Bachelor of Arts (B.A.), Communication, General
Marie D. Johnson's FINRA Experience 1987 - 1994
Job Broker Dealer Regulatory Compliance Consultant; FINOP at Dugue Johnson LLC
Industry Financial Services
Experience
Dugue Johnson LLC March 2012 - Present
Resources Global Professionals 2004 - March 2012
CIBC 1999 - 2004
Citi 1998 - 1999
Citicorp Securities Inc. 1997 - 1998
Citicorp Securities Clearing Services Inc. 1994 - 1997
New York Stock Exchange 1987 - 1994
FINRA 1987 - 1994
Arthur Andersen 1985 - 1987
Skills
Risk Management, Corporate Finance
Education
Hunter College
B.S., Accounting
Dugue Johnson LLC March 2012 - Present
Resources Global Professionals 2004 - March 2012
CIBC 1999 - 2004
Citi 1998 - 1999
Citicorp Securities Inc. 1997 - 1998
Citicorp Securities Clearing Services Inc. 1994 - 1997
New York Stock Exchange 1987 - 1994
FINRA 1987 - 1994
Arthur Andersen 1985 - 1987
Skills
Risk Management, Corporate Finance
Education
Hunter College
B.S., Accounting
Israel Maya's FINRA Experience June 2000 - August 2003
Job
Industry Accounting
Experience
U.S. Securities & Exchange Commission September 2012 - Present
FINRA June 2000 - August 2003
Public Accounting Firm 1998 - June 2000
Skills
Securities and Futures..., AML, Accounting, Anti Money Laundering, Auditing, Due Diligence, Equities, Financial Analysis
Education
City University of New York-Brooklyn College 1972 — 1978
Bachelor's Science in Acccounting, Accounting and Economics
Canarsie High School Brooklyn New York 1969 — 1972
Accademic Diploma
U.S. Securities & Exchange Commission September 2012 - Present
FINRA June 2000 - August 2003
Public Accounting Firm 1998 - June 2000
Skills
Securities and Futures..., AML, Accounting, Anti Money Laundering, Auditing, Due Diligence, Equities, Financial Analysis
Education
City University of New York-Brooklyn College 1972 — 1978
Bachelor's Science in Acccounting, Accounting and Economics
Canarsie High School Brooklyn New York 1969 — 1972
Accademic Diploma
Denise Robb's FINRA Experience March 2007 - Present
Job Paralegal at FINRA
Industry Financial Services
Experience
FINRA March 2007 - Present
Harrington Henry LLP April 1994 - September 2000
Diamond Paino & Cardo, P.C. February 1986 - April 1994
Education
City University of New York-Hunter College 2007 — 2008
Paralegal Certificate
Waltham Forest College, London, England 1984 — 1985
Certificate in Business Administration
FINRA March 2007 - Present
Harrington Henry LLP April 1994 - September 2000
Diamond Paino & Cardo, P.C. February 1986 - April 1994
Education
City University of New York-Hunter College 2007 — 2008
Paralegal Certificate
Waltham Forest College, London, England 1984 — 1985
Certificate in Business Administration
Evan Rosser's FINRA Experience 2007 - 2010
Job Associate Director, Oyster Consulting, LLC
Industry Financial Services
Experience
Oyster Consulting LLC May 2013 - Present
Rosser Consulting LLC January 2012 - May 2013
FINRA 2007 - 2010
NASD, Inc. 1986 - 2007
Folger Nolan Fleming Douglas 1985 - 1986
Evan R. Rosser & Co. 1979 - 1985
Skills
Compliance, FINRA, Securities Regulation, Investments, Litigation Support, Mutual Funds, Investment Advisory, Equities, Series 7, AML, Securities, Hedge Funds, SEC, Fraud, Financial Services
Education
Bucknell University
BA, English and history
Oyster Consulting LLC May 2013 - Present
Rosser Consulting LLC January 2012 - May 2013
FINRA 2007 - 2010
NASD, Inc. 1986 - 2007
Folger Nolan Fleming Douglas 1985 - 1986
Evan R. Rosser & Co. 1979 - 1985
Skills
Compliance, FINRA, Securities Regulation, Investments, Litigation Support, Mutual Funds, Investment Advisory, Equities, Series 7, AML, Securities, Hedge Funds, SEC, Fraud, Financial Services
Education
Bucknell University
BA, English and history
Dmitry Portnoy's FINRA Experience March 2012 - June 2012
Job Software Engineer at Digital Sandbox
Industry Computer Software
Experience
Digital Sandbox July 2012 - Present
FINRA March 2012 - June 2012
Mobomo February 2011 - April 2011
Skills
Gameplay Programming, Java, PHP, MySQL, PostgreSQL, OpenGL, Python, C++, Computer Science, Game Programming, C, JavaScript, Programming, HTML, CSS, Eclipse, Subversion, Android, Git, Tomcat
Education
Carnegie Mellon University 2006 — 2010
BS, Computer Science
Digital Sandbox July 2012 - Present
FINRA March 2012 - June 2012
Mobomo February 2011 - April 2011
Skills
Gameplay Programming, Java, PHP, MySQL, PostgreSQL, OpenGL, Python, C++, Computer Science, Game Programming, C, JavaScript, Programming, HTML, CSS, Eclipse, Subversion, Android, Git, Tomcat
Education
Carnegie Mellon University 2006 — 2010
BS, Computer Science
Scott Andersen's FINRA Experience January 2011 - Present
Job Principal Examiner Fixed Income at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
FINRA January 2011 - Present
Smith Jacobs/Raymond C. Forbes June 2006 - December 2010
NYSE Euronext 1999 - 2010
Prudential Financial April 2002 - June 2006
Merrill Lynch 2002 - 2006
Skills
Series 7, Series 63, Series 24, Securities, Equities, Trading, Equity Trading, Bloomberg, Electronic Trading, Financial Markets, Options, Hedge Funds, Capital Markets, Mutual Funds, Fixed Income, ETFs, FINRA, Trading Systems, Risk Management, Proprietary Trading, AML, Due Diligence, Structured Products, Equity Derivatives, Prime Brokerage, Private Placements, Equity Research, Stocks, Investment Advisory, Investments, Derivatives, Alternative Investments
Education
Dowling College 2001 — 2003
Master of Business Administration (MBA), Banking and Finance, 3.85
New York Institute of Technology-Old Westbury
Bachelor of Science (BS), Business Administration and Management, General, 3.7
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
FINRA January 2011 - Present
Smith Jacobs/Raymond C. Forbes June 2006 - December 2010
NYSE Euronext 1999 - 2010
Prudential Financial April 2002 - June 2006
Merrill Lynch 2002 - 2006
Skills
Series 7, Series 63, Series 24, Securities, Equities, Trading, Equity Trading, Bloomberg, Electronic Trading, Financial Markets, Options, Hedge Funds, Capital Markets, Mutual Funds, Fixed Income, ETFs, FINRA, Trading Systems, Risk Management, Proprietary Trading, AML, Due Diligence, Structured Products, Equity Derivatives, Prime Brokerage, Private Placements, Equity Research, Stocks, Investment Advisory, Investments, Derivatives, Alternative Investments
Education
Dowling College 2001 — 2003
Master of Business Administration (MBA), Banking and Finance, 3.85
New York Institute of Technology-Old Westbury
Bachelor of Science (BS), Business Administration and Management, General, 3.7
Nicholas Wendland's FINRA Experience June 2010 - May 2011
Job Chief Compliance Officer, General Counsel at Sun Trading LLC
Industry Financial Services
Experience
Sun Trading LLC January 2012 - Present
Sun Trading LLC May 2011 - December 2011
FINRA June 2010 - May 2011
NYSE May 2009 - June 2010
McKnight, Kitzinger, McCarty & Pravdic, LLC April 2008 - May 2009
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2004 — 2007
Doctor of Law (J.D.), Cum Laude
University of St. Thomas 1998 — 2002
BA, History
Sun Trading LLC January 2012 - Present
Sun Trading LLC May 2011 - December 2011
FINRA June 2010 - May 2011
NYSE May 2009 - June 2010
McKnight, Kitzinger, McCarty & Pravdic, LLC April 2008 - May 2009
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2004 — 2007
Doctor of Law (J.D.), Cum Laude
University of St. Thomas 1998 — 2002
BA, History
UnBo (Bob) Chung, JD, LL.M's FINRA Experience November 2003 - September 2012
Job General Counsel at Arete Wealth Management, LLC
Industry Financial Services
Experience
Arete Wealth Management, LLC June 2013 - Present
Simon Compliance LLC September 2012 - June 2013
FINRA November 2003 - September 2012
Cook County State's Attorney's Office January 1998 - November 2003
Skills
Litigation, Legal Writing, Private Investigations, Financial Regulation, FINRA, Securities Regulation, Legal Research, Civil Litigation, Arbitration, Fraud, Securities, Courts, Criminal Law, Trials, Broker-Dealer, AML, Corporate Governance, Legal Compliance, SEC, FCPA, Corporate Law, Privacy Law, Litigation Management, Securities Litigation
Education
Northwestern University 2010 — 2011
Certificate, Futures and Options Trading
Chicago-Kent College of Law, Illinois Institute of Technology 2004 — 2007
LL.M., Financial Services Law
Loyola University Chicago School of Law 1994 — 1997
JD
Oberlin College 1989 — 1992
BA, English
Arete Wealth Management, LLC June 2013 - Present
Simon Compliance LLC September 2012 - June 2013
FINRA November 2003 - September 2012
Cook County State's Attorney's Office January 1998 - November 2003
Skills
Litigation, Legal Writing, Private Investigations, Financial Regulation, FINRA, Securities Regulation, Legal Research, Civil Litigation, Arbitration, Fraud, Securities, Courts, Criminal Law, Trials, Broker-Dealer, AML, Corporate Governance, Legal Compliance, SEC, FCPA, Corporate Law, Privacy Law, Litigation Management, Securities Litigation
Education
Northwestern University 2010 — 2011
Certificate, Futures and Options Trading
Chicago-Kent College of Law, Illinois Institute of Technology 2004 — 2007
LL.M., Financial Services Law
Loyola University Chicago School of Law 1994 — 1997
JD
Oberlin College 1989 — 1992
BA, English
Danielle Schanz's FINRA Experience Senior Trial CounselNYSE Euronext1997 - 2007
Job Senior Litigation Counsel at FINRA
Industry Financial Services
Experience
FINRA Senior Trial CounselNYSE Euronext1997 - 2007
Breed Abbott and Morgan 1988 - 1996
Nourse and Bowles 1986 - 1988
Gaston Snow and Eli Bartlett 1984 - 1986
Skills
Litigation; Securities..., Litigation, Securities Regulation, Commercial Litigation, Corporate Governance, Legal Research, Securities, Legal Writing, Corporate Law, Arbitration, Civil Litigation
Education
The George Washington University Law School 1981 — 1984
JD, Law
Dartmouth College 1977 — 1981
BA, Anthropology/ Philosophy
Trinity School 1974 — 1977
HS
Lycee Francais de New York 1966 — 1974
FINRA Senior Trial CounselNYSE Euronext1997 - 2007
Breed Abbott and Morgan 1988 - 1996
Nourse and Bowles 1986 - 1988
Gaston Snow and Eli Bartlett 1984 - 1986
Skills
Litigation; Securities..., Litigation, Securities Regulation, Commercial Litigation, Corporate Governance, Legal Research, Securities, Legal Writing, Corporate Law, Arbitration, Civil Litigation
Education
The George Washington University Law School 1981 — 1984
JD, Law
Dartmouth College 1977 — 1981
BA, Anthropology/ Philosophy
Trinity School 1974 — 1977
HS
Lycee Francais de New York 1966 — 1974
Shubham Raj, MISM, CSM, MHP's FINRA Experience January 2011 - May 2011
Job Consultant at Deloitte
Industry Management Consulting
Experience
Deloitte January 2014 - Present
SDLC Partners, L.P. October 2011 - January 2014
Ventyx, an ABB Company June 2011 - September 2011
FINRA January 2011 - May 2011
EDMC August 2010 - December 2010
The Children's Institute August 2010 - December 2010
Jetwave Solutions India Pvt. Ltd. September 2008 - May 2010
Cognizant Technology Solutions May 2007 - September 2008
Cognizant Technology Solutions July 2006 - May 2007
Skills
Business Analysis, Requirements Analysis, Requirements Gathering, Management Consulting, Project Management, Data Analysis, Software Project..., Market Research, Testing, Analysis, Strategic Planning, Systems Analysis, Consulting, Software Development, Oracle, Product Analysis, Linear Programming, Microsoft Excel, Business Process..., Competitive Analysis, Business Process Design, Healthcare Consulting, Business Process..., Business Process..., Healthcare Information..., Digital Marketing, Social Media Marketing, Social Media Consulting, Product Cost Analysis, Pharmacy Consulting, Visio, Change Management, Governance, RACI, Process Automation, System Automation, SDLC, Strategy, Enterprise Architecture
Education
Carnegie Mellon University
Masters of Information Systems Management
Rajiv Gandhi Prodyogiki Vishwavidyalaya
Bachelor of Engineering, Electronics & Communications
Deloitte January 2014 - Present
SDLC Partners, L.P. October 2011 - January 2014
Ventyx, an ABB Company June 2011 - September 2011
FINRA January 2011 - May 2011
EDMC August 2010 - December 2010
The Children's Institute August 2010 - December 2010
Jetwave Solutions India Pvt. Ltd. September 2008 - May 2010
Cognizant Technology Solutions May 2007 - September 2008
Cognizant Technology Solutions July 2006 - May 2007
Skills
Business Analysis, Requirements Analysis, Requirements Gathering, Management Consulting, Project Management, Data Analysis, Software Project..., Market Research, Testing, Analysis, Strategic Planning, Systems Analysis, Consulting, Software Development, Oracle, Product Analysis, Linear Programming, Microsoft Excel, Business Process..., Competitive Analysis, Business Process Design, Healthcare Consulting, Business Process..., Business Process..., Healthcare Information..., Digital Marketing, Social Media Marketing, Social Media Consulting, Product Cost Analysis, Pharmacy Consulting, Visio, Change Management, Governance, RACI, Process Automation, System Automation, SDLC, Strategy, Enterprise Architecture
Education
Carnegie Mellon University
Masters of Information Systems Management
Rajiv Gandhi Prodyogiki Vishwavidyalaya
Bachelor of Engineering, Electronics & Communications
Ilana Glusband's FINRA Experience September 2009 - November 2009
Job Compliance at RBC Capital Markets
Industry
Experience
RBC Capital Markets September 2010 - Present
Knight Equity Markets March 2010 - May 2010
FINRA September 2009 - November 2009
Chanel August 2008 - August 2009
United States District Court - SDNY May 2008 - August 2008
Freshfields Bruckhaus Deringer July 2006 - July 2007
Education
Brooklyn Law School 2007 — 2010
JD
University of Wisconsin-Madison 2002 — 2006
BA, Political Science, Journalism and Mass Communication
Horace Mann
RBC Capital Markets September 2010 - Present
Knight Equity Markets March 2010 - May 2010
FINRA September 2009 - November 2009
Chanel August 2008 - August 2009
United States District Court - SDNY May 2008 - August 2008
Freshfields Bruckhaus Deringer July 2006 - July 2007
Education
Brooklyn Law School 2007 — 2010
JD
University of Wisconsin-Madison 2002 — 2006
BA, Political Science, Journalism and Mass Communication
Horace Mann
Allana Grinshteyn, Esq.'s FINRA Experience September 2010 - December 2010
Job Vice President at Morgan Stanley
Industry Law Practice
Experience
Morgan Stanley August 2014 - Present
Proskauer Rose LLP October 2012 - July 2014
Hofstra Law Review March 2011 - May 2012
Proskauer Rose LLP May 2011 - July 2011
FINRA September 2010 - December 2010
New York City Department of Investigation June 2010 - July 2010
The Long Beach, New York, Corporation Counsel February 2010 - April 2010
Morgan Stanley Smith Barney January 2006 - July 2009
Education
Hofstra University School of Law 2009 — 2012
Juris Doctor
Drew University 2001 — 2005
Bachelor of Arts (B.A.), Economics
Morgan Stanley August 2014 - Present
Proskauer Rose LLP October 2012 - July 2014
Hofstra Law Review March 2011 - May 2012
Proskauer Rose LLP May 2011 - July 2011
FINRA September 2010 - December 2010
New York City Department of Investigation June 2010 - July 2010
The Long Beach, New York, Corporation Counsel February 2010 - April 2010
Morgan Stanley Smith Barney January 2006 - July 2009
Education
Hofstra University School of Law 2009 — 2012
Juris Doctor
Drew University 2001 — 2005
Bachelor of Arts (B.A.), Economics
Isonia Ricks's FINRA Experience November 1996 - Present
Job Business Analyst at FINRA
Industry Financial Services
Experience
FINRA November 1996 - Present
ACS September 2006 - July 2011
Skills
Business Analysis, Data Analysis, Microsoft Office, Microsoft Excel, Strategic Planning, Leadership, Customer Service, Program Management, Analysis, Budgets, Financial Analysis, Fundraising, Project Management, Strategy, Process Improvement, Policy, Software Documentation, Time Management, Investments
Education
CUNY Bronx Community College 2013 — 2014
Current CDA Student
Project Enterprise
FINRA November 1996 - Present
ACS September 2006 - July 2011
Skills
Business Analysis, Data Analysis, Microsoft Office, Microsoft Excel, Strategic Planning, Leadership, Customer Service, Program Management, Analysis, Budgets, Financial Analysis, Fundraising, Project Management, Strategy, Process Improvement, Policy, Software Documentation, Time Management, Investments
Education
CUNY Bronx Community College 2013 — 2014
Current CDA Student
Project Enterprise
Jasmine Loague's FINRA Experience January 2007 - Present
Job Administrative Assistant at FINRA
Industry Financial Services
Experience
FINRA January 2007 - Present
Financial Industry Regulatory Authority August 2004 - January 2007
Swissotel Chicago November 2001 - August 2004
Skills
Administrative..., Outlook, Travel Arrangements, Fax, Spreadsheets, Data Entry, Microsoft Excel, File Management, Adobe Acrobat, Customer Service, Meeting Scheduling, Nuance
Education
City Colleges of Chicago-Harry S Truman College 2011 — 2012
Certificate, Medical Billing and Coding
FINRA January 2007 - Present
Financial Industry Regulatory Authority August 2004 - January 2007
Swissotel Chicago November 2001 - August 2004
Skills
Administrative..., Outlook, Travel Arrangements, Fax, Spreadsheets, Data Entry, Microsoft Excel, File Management, Adobe Acrobat, Customer Service, Meeting Scheduling, Nuance
Education
City Colleges of Chicago-Harry S Truman College 2011 — 2012
Certificate, Medical Billing and Coding
Brandes Beauchamp's FINRA Experience January 2002 - September 2013
Job Senior Manager, Legal Services at Accenture
Industry Legal Services
Experience
Accenture February 2013 - Present
FINRA January 2002 - September 2013
CSC January 2012 - November 2012
Logistics Management Institute November 2011 - January 2012
XO Communications February 2011 - October 2011
Verizon Wireless January 2008 - October 2010
Verizon Business October 2004 - January 2008
Independent Consultant for Various Companies January 2003 - October 2004
Cable & Wireless January 2000 - January 2003
K&L Gates September 1997 - January 2000
Skills
Strategic Planning, Software Licensing, Project Management, Arbitration, Contract Negotiation, Outsourcing, Government Contracting, IT law, Intellectual Property, Dispute Resolution, Telecommunications, Management, Cloud Computing, Business Strategy, Contract Law, Government Procurement, Corporate Governance, Corporate Law, Mergers & Acquisitions, Due Diligence, Legal Writing, Contract Management, Joint Ventures, Licensing
Education
Boston University School of Law
JD
University of Pennsylvania
BA
Accenture February 2013 - Present
FINRA January 2002 - September 2013
CSC January 2012 - November 2012
Logistics Management Institute November 2011 - January 2012
XO Communications February 2011 - October 2011
Verizon Wireless January 2008 - October 2010
Verizon Business October 2004 - January 2008
Independent Consultant for Various Companies January 2003 - October 2004
Cable & Wireless January 2000 - January 2003
K&L Gates September 1997 - January 2000
Skills
Strategic Planning, Software Licensing, Project Management, Arbitration, Contract Negotiation, Outsourcing, Government Contracting, IT law, Intellectual Property, Dispute Resolution, Telecommunications, Management, Cloud Computing, Business Strategy, Contract Law, Government Procurement, Corporate Governance, Corporate Law, Mergers & Acquisitions, Due Diligence, Legal Writing, Contract Management, Joint Ventures, Licensing
Education
Boston University School of Law
JD
University of Pennsylvania
BA
Rebecca Studdy's FINRA Experience April 2007 - Present
Job LAN Admin at FINRA
Industry Financial Services
Experience
FINRA April 2007 - Present
IntelliTrans March 2004 - March 2007
Fast-Track Systems 2002 - 2003
DataEdge, LLC August 1995 - 2002
Skills
Analysis, Process Improvement, Access, Microsoft Office, Databases, SQL, Project Management, Visio, Vendor Management, SharePoint, SDLC, Microsoft Excel, IT Management, Data Analysis, Cross-functional Team..., Business Analysis
Education
Drexel University 1999 — 2002
MSIS, Information Systems
Villanova University 1991 — 1995
BA, Political Science, Psychology
FINRA April 2007 - Present
IntelliTrans March 2004 - March 2007
Fast-Track Systems 2002 - 2003
DataEdge, LLC August 1995 - 2002
Skills
Analysis, Process Improvement, Access, Microsoft Office, Databases, SQL, Project Management, Visio, Vendor Management, SharePoint, SDLC, Microsoft Excel, IT Management, Data Analysis, Cross-functional Team..., Business Analysis
Education
Drexel University 1999 — 2002
MSIS, Information Systems
Villanova University 1991 — 1995
BA, Political Science, Psychology
Daha Hassan's FINRA Experience June 2014 - Present
Job IAM Analyst at FINRA
Industry Information Technology and Services
Experience
FINRA June 2014 - Present
Brown College January 2008 - February 2013
Skills
Windows Server, Windows 7, Windows, Computer Hardware, XP, Troubleshooting, Computer Repair, SharePoint, Networking, Software Installation, Mac OS X, Information Technology
Education
Brown College 2007 — 2012
Bachelor of Science (BS), IT
FINRA June 2014 - Present
Brown College January 2008 - February 2013
Skills
Windows Server, Windows 7, Windows, Computer Hardware, XP, Troubleshooting, Computer Repair, SharePoint, Networking, Software Installation, Mac OS X, Information Technology
Education
Brown College 2007 — 2012
Bachelor of Science (BS), IT
Maria Rabinovich's FINRA Experience May 2009 - July 2012
Job Director, Structured Products and Equity Derivatives at Scotiabank
Industry Financial Services
Experience
Scotiabank July 2012 - Present
FINRA May 2009 - July 2012
UBS March 2007 - January 2009
Deutsche Bank May 2004 - March 2007
Winston & Strawn LLP April 1999 - April 2002
Milbank, Tweed, Hadley & McCloy LLP April 1997 - March 1999
Education
New York Law School 1992 — 1996
JD, Law
Columbia University in the City of New York 1986 — 1990
BA, Political Science, Comparative Literature
Stuyvesant H.S. 1983 — 1986
Scotiabank July 2012 - Present
FINRA May 2009 - July 2012
UBS March 2007 - January 2009
Deutsche Bank May 2004 - March 2007
Winston & Strawn LLP April 1999 - April 2002
Milbank, Tweed, Hadley & McCloy LLP April 1997 - March 1999
Education
New York Law School 1992 — 1996
JD, Law
Columbia University in the City of New York 1986 — 1990
BA, Political Science, Comparative Literature
Stuyvesant H.S. 1983 — 1986
Veronica Rivera(work)'s FINRA Experience November 2003 - Present
Job Office Assistant at FINRA
Industry Financial Services
Experience
FINRA November 2003 - Present
Education
College of Mount Saint Vincent 1997 — 2001
Bachelor of Arts (B.A.), Communication and Media Studies
FINRA November 2003 - Present
Education
College of Mount Saint Vincent 1997 — 2001
Bachelor of Arts (B.A.), Communication and Media Studies
Jodi Schuman's FINRA Experience April 1993 - July 2013
Job Business Analyst at CMSI/FIS Global
Industry Financial Services
Experience
FIS Global/CMSI September 2014 - Present
FINRA April 1993 - July 2013
CDSI December 1988 - April 1993
Skills
SDLC, Quality Center, Test Planning, Agile Methodologies, Testing
Education
Capital College, Pennsylvania State University 1987 — 1988
Bachelor's degree, Accounting
Penn State University - Mont Alto, PA 1982 — 1984
Associate's degree, Business Administration and Management, General
FIS Global/CMSI September 2014 - Present
FINRA April 1993 - July 2013
CDSI December 1988 - April 1993
Skills
SDLC, Quality Center, Test Planning, Agile Methodologies, Testing
Education
Capital College, Pennsylvania State University 1987 — 1988
Bachelor's degree, Accounting
Penn State University - Mont Alto, PA 1982 — 1984
Associate's degree, Business Administration and Management, General
Sharon Witherspoon's FINRA Experience 2003 - 2007
Job Regulatory Analyst at NASDAQ OMX
Industry Financial Services
Experience
NASDAQ OMX October 2007 - November 2014
FINRA 2003 - 2007
NASDAQ OMX 2001 - 2003
Education
College of Mount Saint Vincent
BS, Business/ Finance
NASDAQ OMX October 2007 - November 2014
FINRA 2003 - 2007
NASDAQ OMX 2001 - 2003
Education
College of Mount Saint Vincent
BS, Business/ Finance
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
Amnesty International