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
Hope M. Jarkowski Hope M. Jarkowski's FINRA Experience September 2002 - February 2004
Job Partner at Delta Strategy Group
Industry Law Practice
Experience
U.S. Senate Committee on Banking, Housing and Urban Affairs May 2013 - April 2014
U.S. Securities and Exchange Commission April 2010 - May 2013
Bingham McCutchen, LLP February 2004 - April 2010
FINRA September 2002 - February 2004
Skills
Securities Regulation, Legal Research, Litigation, Legal Writing, Corporate Law, Corporate Governance, Commercial Litigation, Securities, Securities Litigation, Arbitration, Civil Litigation, Intellectual Property, FINRA, Appeals, Westlaw, International Law, Legal Advice, Due Diligence, Trials, Internal Investigations, Broker-Dealer
Education
The Catholic University of America, Columbus School of Law 2000 — 2002
J.D., Banking, Corporate, Finance, and Securities Law
Emory University
Bachelor of Arts (BA)
U.S. Senate Committee on Banking, Housing and Urban Affairs May 2013 - April 2014
U.S. Securities and Exchange Commission April 2010 - May 2013
Bingham McCutchen, LLP February 2004 - April 2010
FINRA September 2002 - February 2004
Skills
Securities Regulation, Legal Research, Litigation, Legal Writing, Corporate Law, Corporate Governance, Commercial Litigation, Securities, Securities Litigation, Arbitration, Civil Litigation, Intellectual Property, FINRA, Appeals, Westlaw, International Law, Legal Advice, Due Diligence, Trials, Internal Investigations, Broker-Dealer
Education
The Catholic University of America, Columbus School of Law 2000 — 2002
J.D., Banking, Corporate, Finance, and Securities Law
Emory University
Bachelor of Arts (BA)
Debraj Sinha Debraj Sinha's FINRA Experience September 2009 - February 2011
Job Lead Infrastructure Engineer at American Express
Industry Financial Services
Experience
American Express February 2015 - Present
Terumo BCT February 2012 - February 2015
Compliance Systems, Inc. April 2011 - January 2012
MarketNet Services November 2010 - May 2011
FINRA September 2009 - February 2011
CaridianBCT (formerly Gambro) 2006 - September 2009
CaridianBCT (formerly Gambro) October 2000 - June 2008
Oracle Financial Services 1997 - 2000
Skills
Software Development, Process Improvement, Technical Support, Technical Writing, Systems Analysis, Technical Architecture, Web Design, Technology Integration, Procedure Development, Cross-functional Team..., Analysis, Agile Methodologies, Software Project..., Business Analysis, Databases, Strategy, Leadership, MS Project, Software Documentation, Product Development, Project Management, Program Management
Education
University of Denver - Daniels College of Business 2006 — 2009
MBA
Indian Institute of Technology, Bombay 1993 — 1997
BTech, electrical engineering
Delhi Public School - Bokaro
American Express February 2015 - Present
Terumo BCT February 2012 - February 2015
Compliance Systems, Inc. April 2011 - January 2012
MarketNet Services November 2010 - May 2011
FINRA September 2009 - February 2011
CaridianBCT (formerly Gambro) 2006 - September 2009
CaridianBCT (formerly Gambro) October 2000 - June 2008
Oracle Financial Services 1997 - 2000
Skills
Software Development, Process Improvement, Technical Support, Technical Writing, Systems Analysis, Technical Architecture, Web Design, Technology Integration, Procedure Development, Cross-functional Team..., Analysis, Agile Methodologies, Software Project..., Business Analysis, Databases, Strategy, Leadership, MS Project, Software Documentation, Product Development, Project Management, Program Management
Education
University of Denver - Daniels College of Business 2006 — 2009
MBA
Indian Institute of Technology, Bombay 1993 — 1997
BTech, electrical engineering
Delhi Public School - Bokaro
Jie Chung Jie Chung's FINRA Experience April 2010 - Present
Job Dispute Resolutions
Industry Financial Services
Experience
FINRA April 2010 - Present
Executive Financial April 2009 - April 2010
Park Law Firm April 2008 - April 2009
Skills
PowerPoint, Public Speaking, Arbitration, Legal Writing, Marketing Strategy, Microsoft Office, Real Estate, Contract Negotiation, Microsoft Excel, Mediation, FINRA, Insurance, Litigation, Commercial Litigation
Education
Grand Canyon University 2014 — 2015
Master's Degree, Masters of Divinity with Emphasis on Youth Ministry
University of California, Riverside 2004 — 2008
Psych/Law, Psychology & Law/Society
FINRA April 2010 - Present
Executive Financial April 2009 - April 2010
Park Law Firm April 2008 - April 2009
Skills
PowerPoint, Public Speaking, Arbitration, Legal Writing, Marketing Strategy, Microsoft Office, Real Estate, Contract Negotiation, Microsoft Excel, Mediation, FINRA, Insurance, Litigation, Commercial Litigation
Education
Grand Canyon University 2014 — 2015
Master's Degree, Masters of Divinity with Emphasis on Youth Ministry
University of California, Riverside 2004 — 2008
Psych/Law, Psychology & Law/Society
Gene DeMaio Gene DeMaio's FINRA Experience 2003 - Present
Job Senior Vice President at FINRA
Industry Financial Services
Experience
FINRA 2003 - Present
Triple J Trading 1998 - 2003
Skills
Fixed Income, Equities, Series 7, ETFs, Capital Markets, FINRA, Financial Services, Options, Securities, Trading, AML, Hedge Funds, Finance, Financial Markets, Securities Regulation, Derivatives, Series 63, Mutual Funds, Equity Trading, Series 24, Alternative Investments, Bloomberg, Electronic Trading, Investment Advisory, Trading Systems, Asset Management
Education
New York University School of Law 1996 — 1999
LL.M, Corporate Law
Fordham University School of Law 1993 — 1996
J.D.
Fordham University 1989 — 1993
B.S., Accounting
FINRA 2003 - Present
Triple J Trading 1998 - 2003
Skills
Fixed Income, Equities, Series 7, ETFs, Capital Markets, FINRA, Financial Services, Options, Securities, Trading, AML, Hedge Funds, Finance, Financial Markets, Securities Regulation, Derivatives, Series 63, Mutual Funds, Equity Trading, Series 24, Alternative Investments, Bloomberg, Electronic Trading, Investment Advisory, Trading Systems, Asset Management
Education
New York University School of Law 1996 — 1999
LL.M, Corporate Law
Fordham University School of Law 1993 — 1996
J.D.
Fordham University 1989 — 1993
B.S., Accounting
James Yarbough James Yarbough's FINRA Experience May 2008 - August 2008
Job Project Manager, Software Developer at RandallReilly
Industry Marketing and Advertising
Experience
Randall-Reilly September 2014 - Present
Pi Kappa Phi Fraternity / Push America May 2009 - August 2014
AAWP January 2009 - May 2009
High Point University September 2006 - May 2009
FINRA May 2008 - August 2008
Tool Buyers Network March 2005 - August 2007
Skills
SharePoint, Business Intelligence, Crystal Reports, Vendor Management, Project Management, SQL, Active Directory, SSRS, Microsoft SQL Server, Analysis, Integration, Process Improvement, Data Mining, Budget Setting, Data Modeling, ASP.NET, Information Architecture, MS Project, Web Development, Visio, Windows Server, Network Administration, ColdFusion, Hyper-V, Visual Basic, Photoshop, InDesign, Dreamweaver, Graphic Design, IIS, Microsoft Exchange, C#, Agile & Waterfall..., Project Planning
Education
Queens University of Charlotte 2010 — 2013
Master of Business Administration (MBA)
High Point University 2005 — 2009
Bachelor of Science (B.S.), Computer Information Systems
Randall-Reilly September 2014 - Present
Pi Kappa Phi Fraternity / Push America May 2009 - August 2014
AAWP January 2009 - May 2009
High Point University September 2006 - May 2009
FINRA May 2008 - August 2008
Tool Buyers Network March 2005 - August 2007
Skills
SharePoint, Business Intelligence, Crystal Reports, Vendor Management, Project Management, SQL, Active Directory, SSRS, Microsoft SQL Server, Analysis, Integration, Process Improvement, Data Mining, Budget Setting, Data Modeling, ASP.NET, Information Architecture, MS Project, Web Development, Visio, Windows Server, Network Administration, ColdFusion, Hyper-V, Visual Basic, Photoshop, InDesign, Dreamweaver, Graphic Design, IIS, Microsoft Exchange, C#, Agile & Waterfall..., Project Planning
Education
Queens University of Charlotte 2010 — 2013
Master of Business Administration (MBA)
High Point University 2005 — 2009
Bachelor of Science (B.S.), Computer Information Systems
Grant Callery Grant Callery's FINRA Experience October 1979 - October 2012
Job
Industry Financial Services
Experience
Oversight & Governance Solutions, LLC October 2014 - Present
Public Company Accounting Oversight Board (PCAOB) February 2013 - Present
Association of Governing Boards of Universities and Colleges 2010 - 2014
FINRA October 1979 - October 2012
Skills
Securities Regulation, FINRA, Corporate Governance, Securities, Licensing, Higher Education..., Due Diligence, Mutual Funds, Private Equity, Corporate Law, Arbitration, Commercial Litigation, Financial Regulation, Series 7
Education
Georgetown University Law Center
Doctor of Law (J.D.)
Marietta College 1964 — 1968
Bachelor of Science (BS), Biology
Oversight & Governance Solutions, LLC October 2014 - Present
Public Company Accounting Oversight Board (PCAOB) February 2013 - Present
Association of Governing Boards of Universities and Colleges 2010 - 2014
FINRA October 1979 - October 2012
Skills
Securities Regulation, FINRA, Corporate Governance, Securities, Licensing, Higher Education..., Due Diligence, Mutual Funds, Private Equity, Corporate Law, Arbitration, Commercial Litigation, Financial Regulation, Series 7
Education
Georgetown University Law Center
Doctor of Law (J.D.)
Marietta College 1964 — 1968
Bachelor of Science (BS), Biology
Kathy O'Grady, SPHR Kathy O'Grady, SPHR's FINRA Experience 2007 - 2012
Job Chief Human Resources Officer MidAtlantic and South at USI Insurance Services
Industry Financial Services
Experience
USI Insurance Services 2014 - Present
James G. Davis Construction 2012 - 2014
FINRA 2007 - 2012
Adventist Healthcare June 2000 - June 2007
Sytel February 1998 - June 2000
Nextel 1996 - 1998
Mediplex Healthcare 1993 - 1996
Skills
Employee Relations, Onboarding, Talent Acquisition, Employee Benefits, Performance Management, Recruiting, Succession Planning, Employee Engagement, SPHR, Organizational..., Leadership Development, Change Management, Talent Management, Human Resources, Organizational Culture, Employee Surveys, PeopleSoft, Budgets, Workforce Planning, HRIS, Organizational..., Training, Leadership, Organizational Design, Executive Coaching, Management, Deferred Compensation, Policy, New Hire Orientations, Strategic HR, Personnel Management, HR Policies, Benefits Administration, College Recruiting, Employer Branding, Applicant Tracking..., Labor Relations, Job Descriptions, Employment Law, Interviews, HR Consulting, Performance Appraisal, Employee Training, EEO, FMLA, Payroll, Compensation & Benefit, Taleo, Conflict Resolution, Temporary Placement
Education
University of Maryland College Park
Master of Business Administration (MBA)
University of Maryland College Park
Master of Science (M.S.), Human Resources Management and Services
High Point University
Bachelor of Arts (B.A.), Human Relations
USI Insurance Services 2014 - Present
James G. Davis Construction 2012 - 2014
FINRA 2007 - 2012
Adventist Healthcare June 2000 - June 2007
Sytel February 1998 - June 2000
Nextel 1996 - 1998
Mediplex Healthcare 1993 - 1996
Skills
Employee Relations, Onboarding, Talent Acquisition, Employee Benefits, Performance Management, Recruiting, Succession Planning, Employee Engagement, SPHR, Organizational..., Leadership Development, Change Management, Talent Management, Human Resources, Organizational Culture, Employee Surveys, PeopleSoft, Budgets, Workforce Planning, HRIS, Organizational..., Training, Leadership, Organizational Design, Executive Coaching, Management, Deferred Compensation, Policy, New Hire Orientations, Strategic HR, Personnel Management, HR Policies, Benefits Administration, College Recruiting, Employer Branding, Applicant Tracking..., Labor Relations, Job Descriptions, Employment Law, Interviews, HR Consulting, Performance Appraisal, Employee Training, EEO, FMLA, Payroll, Compensation & Benefit, Taleo, Conflict Resolution, Temporary Placement
Education
University of Maryland College Park
Master of Business Administration (MBA)
University of Maryland College Park
Master of Science (M.S.), Human Resources Management and Services
High Point University
Bachelor of Arts (B.A.), Human Relations
Jametriss Roulhac Boone, CFE Jametriss Roulhac Boone, CFE's FINRA Experience May 2011 - July 2012
Job Assistant Vice President, Deutsche Bank Securities Compliance
Industry Financial Services
Experience
Deutsche Bank July 2014 - Present
Florida Office of Financial Regulation August 2012 - July 2014
FINRA May 2011 - July 2012
Florida Office of Financial Regulation-Bureau of Securities Regulation February 2005 - May 2011
Merrill Lynch August 2001 - October 2003
Skills
Compliance, Investigations, Fraud, Analysis, Securities Regulation, Financial Analysis, Auditing, Finance, Employee Training, Mergers & Acquisitions, FINRA, Leadership, Budgets, Government, Financial Regulation, Management, Microsoft Word, Investment Advisory, Team Building, Equities, Private Investigations, Risk Assessment, Corporate Finance, Financial Services, Financial Modeling, Microsoft Excel, Fixed Income, System Administration, Change Management, Data Analysis, Mutual Funds, Investigation, Managerial Finance, Outlook
Education
Webster University
Masters, Business Administration (MBA)
Florida Agricultural and Mechanical University 1994 — 1999
BS, Business Administration
Deutsche Bank July 2014 - Present
Florida Office of Financial Regulation August 2012 - July 2014
FINRA May 2011 - July 2012
Florida Office of Financial Regulation-Bureau of Securities Regulation February 2005 - May 2011
Merrill Lynch August 2001 - October 2003
Skills
Compliance, Investigations, Fraud, Analysis, Securities Regulation, Financial Analysis, Auditing, Finance, Employee Training, Mergers & Acquisitions, FINRA, Leadership, Budgets, Government, Financial Regulation, Management, Microsoft Word, Investment Advisory, Team Building, Equities, Private Investigations, Risk Assessment, Corporate Finance, Financial Services, Financial Modeling, Microsoft Excel, Fixed Income, System Administration, Change Management, Data Analysis, Mutual Funds, Investigation, Managerial Finance, Outlook
Education
Webster University
Masters, Business Administration (MBA)
Florida Agricultural and Mechanical University 1994 — 1999
BS, Business Administration
Ben Miller's FINRA Experience October 2005 - February 2009
Job Vice President Digital Products at Sinclair Broadcast Group
Industry Computer Software
Experience
Sinclair Digital March 2015 - August 2015
Sinclair Digital May 2014 - March 2015
Amazon September 2013 - April 2014
Firejack Technologies March 2010 - October 2013
AOL Advertising 2009 - April 2010
FINRA October 2005 - February 2009
Booz Allen Hamilton April 2004 - October 2005
Fidelity Investments March 2001 - April 2004
Voter.com February 2000 - March 2001
ICast (A CMGI Company) October 1999 - January 2000
Skills
Enterprise Architecture, SDLC, Vendor Management, Process Improvement, Enterprise Content..., Computer Security, Performance Management, User-centered Design, Negotiation, Agile Methodologies, SOA, Java Enterprise Edition, Product Management, Integration, Software Development, System Architecture, Web Services, Mobile Applications, Spring, E-commerce, Scrum, Architecture, Software Project..., XML, Enterprise Software, Distributed Systems, .NET, Agile Project Management, IT Strategy, Tomcat, Software Engineering, Cloud Computing, Unix, Web Applications, SaaS, Subversion, Solution Architecture, Security, SQL, Software Design, Management, JavaScript, Architectures, Java, REST, Requirements Analysis
Education
Harvard University 1996 — 2006
ALB
University of Maryland College Park 1994 — 1996
Bachelor of Arts (B.A.)
Sinclair Digital March 2015 - August 2015
Sinclair Digital May 2014 - March 2015
Amazon September 2013 - April 2014
Firejack Technologies March 2010 - October 2013
AOL Advertising 2009 - April 2010
FINRA October 2005 - February 2009
Booz Allen Hamilton April 2004 - October 2005
Fidelity Investments March 2001 - April 2004
Voter.com February 2000 - March 2001
ICast (A CMGI Company) October 1999 - January 2000
Skills
Enterprise Architecture, SDLC, Vendor Management, Process Improvement, Enterprise Content..., Computer Security, Performance Management, User-centered Design, Negotiation, Agile Methodologies, SOA, Java Enterprise Edition, Product Management, Integration, Software Development, System Architecture, Web Services, Mobile Applications, Spring, E-commerce, Scrum, Architecture, Software Project..., XML, Enterprise Software, Distributed Systems, .NET, Agile Project Management, IT Strategy, Tomcat, Software Engineering, Cloud Computing, Unix, Web Applications, SaaS, Subversion, Solution Architecture, Security, SQL, Software Design, Management, JavaScript, Architectures, Java, REST, Requirements Analysis
Education
Harvard University 1996 — 2006
ALB
University of Maryland College Park 1994 — 1996
Bachelor of Arts (B.A.)
Steve Fleckenstein Steve Fleckenstein's FINRA Experience June 2007 - June 2013
Job MissionDriven Digital Strategist, Product Manager, Project Manager
Industry Internet
Experience
(independent) August 2013 - Present
American Society of Clinical Oncology October 2013 - July 2014
FINRA June 2007 - June 2013
Deloitte Consulting October 2006 - June 2007
Unisys June 2002 - October 2006
Arthur Andersen May 2001 - June 2002
Independent February 2000 - April 2001
Arthur Andersen October 1998 - January 2000
Morino Institute October 1996 - October 1998
MCI February 1996 - September 1996
Skills
digital strategy, user experience, content strategy, content management, CMS, website operations, project management, organizational..., SEO, SEM, information architecture, social media, digital marketing, Google Analytics, interaction design, wireframes, usability testing, visual design, strategic planning, proposal writing, training, recruiting, career development, performance management, public speaking, design thinking, financial management, budgeting, nonprofit management, software selection, vendor management, digital video, Drupal, Omniture, usability, mentoring, coaching
Education
Georgetown University - MBA Coursework 1993 — 1994
Business
Penn State University 1986 — 1987
Business
Penn State University 1982 — 1986
BS, Accounting
(independent) August 2013 - Present
American Society of Clinical Oncology October 2013 - July 2014
FINRA June 2007 - June 2013
Deloitte Consulting October 2006 - June 2007
Unisys June 2002 - October 2006
Arthur Andersen May 2001 - June 2002
Independent February 2000 - April 2001
Arthur Andersen October 1998 - January 2000
Morino Institute October 1996 - October 1998
MCI February 1996 - September 1996
Skills
digital strategy, user experience, content strategy, content management, CMS, website operations, project management, organizational..., SEO, SEM, information architecture, social media, digital marketing, Google Analytics, interaction design, wireframes, usability testing, visual design, strategic planning, proposal writing, training, recruiting, career development, performance management, public speaking, design thinking, financial management, budgeting, nonprofit management, software selection, vendor management, digital video, Drupal, Omniture, usability, mentoring, coaching
Education
Georgetown University - MBA Coursework 1993 — 1994
Business
Penn State University 1986 — 1987
Business
Penn State University 1982 — 1986
BS, Accounting
Jason Kahn Jason Kahn's FINRA Experience May 2012 - August 2012
Job Analyst at Barclays Investment Bank
Industry Financial Services
Experience
Barclays Investment Bank July 2014 - Present
Barclays Investment Bank June 2013 - August 2013
FINRA May 2012 - August 2012
The Tutoring Center, University of Pennsylvania January 2011 - May 2012
Wolverine Trading June 2011 - August 2011
Wolverine Asset Management June 2010 - August 2010
Teach for America June 2009 - August 2009
Education
University of Pennsylvania 2010 — 2014
Bachelor of Science in Engineering (BSE), Computer Science
Francis W. Parker School 2006 — 2010
Barclays Investment Bank July 2014 - Present
Barclays Investment Bank June 2013 - August 2013
FINRA May 2012 - August 2012
The Tutoring Center, University of Pennsylvania January 2011 - May 2012
Wolverine Trading June 2011 - August 2011
Wolverine Asset Management June 2010 - August 2010
Teach for America June 2009 - August 2009
Education
University of Pennsylvania 2010 — 2014
Bachelor of Science in Engineering (BSE), Computer Science
Francis W. Parker School 2006 — 2010
Kristina Gentner Kristina Gentner's FINRA Experience January 2006 - March 2008
Job Senior AntiMoney Laundering Risk Assessment Consultant at BMO Harris Bank
Industry Financial Services
Experience
BMO Harris Bank August 2015 - Present
BMO Harris Bank October 2014 - June 2015
PMA Financial Network September 2010 - September 2014
Real Estate Institute November 2009 - October 2010
National Stock Exchange March 2008 - December 2008
FINRA January 2006 - March 2008
FINRA 2003 - 2005
FINRA 2002 - 2003
Kelly Law Registry 2000 - 2002
Law Offices of Mark M. Carroll, P.A. 1997 - 2000
Skills
Compliance, Securities, AML, Investments, FINRA, Mutual Funds, Series 7, Series 63, Equities, Insurance, Banking, Risk Management, Securities Regulation, Fixed Income, Training, Due Diligence, Mergers & Acquisitions, Asset Management, Financial Risk, Auditing, Alternative Investments, Management, Anti Money Laundering
Education
University of Miami School of Law 1992 — 1995
JD, 1995
Florida State University
BS, Major: Political Science, Minor: African-American Studies, 1991
The Hague Academy of International Law
Public International Law Session, 1997
BMO Harris Bank August 2015 - Present
BMO Harris Bank October 2014 - June 2015
PMA Financial Network September 2010 - September 2014
Real Estate Institute November 2009 - October 2010
National Stock Exchange March 2008 - December 2008
FINRA January 2006 - March 2008
FINRA 2003 - 2005
FINRA 2002 - 2003
Kelly Law Registry 2000 - 2002
Law Offices of Mark M. Carroll, P.A. 1997 - 2000
Skills
Compliance, Securities, AML, Investments, FINRA, Mutual Funds, Series 7, Series 63, Equities, Insurance, Banking, Risk Management, Securities Regulation, Fixed Income, Training, Due Diligence, Mergers & Acquisitions, Asset Management, Financial Risk, Auditing, Alternative Investments, Management, Anti Money Laundering
Education
University of Miami School of Law 1992 — 1995
JD, 1995
Florida State University
BS, Major: Political Science, Minor: African-American Studies, 1991
The Hague Academy of International Law
Public International Law Session, 1997
Charles Marshall Charles Marshall's FINRA Experience 2005 - 2008
Job Vice President, MLP Equity Research
Industry Oil & Energy
Experience
Capital One May 2014 - Present
Child Advocates, Inc. March 2014 - Present
Plains All American March 2014 - May 2014
Plains All American January 2014 - March 2014
Plains All American April 2012 - January 2014
Capital One Southcoast, Inc. October 2011 - March 2012
Morgan Stanley February 2008 - April 2011
FINRA 2005 - 2008
Active International September 2004 - February 2005
Skills
Financial Modeling, Mergers & Acquisitions, Analysis, Valuation, Microsoft Office, Corporate Finance, Investment Banking, Excel, Word, PowerPoint, Bloomberg, Fundamental Research, Legal Compliance, Data Modeling, Energy, Oil&Gas, Strategic Analysis, Natural Gas, Business Strategy, Gas Storage, Capital IQ, DCF Valuation, Company Valuation, Market Research, Competitive Analysis, Investor Relations, Presentation Development, Strategic Planning, SWOT analysis, Risk Analysis, Gas Pipelines, Financial Analysis, Equity Research, Energy Industry, Oil, Equity Valuation, Series 7, Series 63, FactSet, MLP, Midstream
Education
Rice University - Jesse H. Jones Graduate School of Management 2011 — 2013
MBA, Finance, Energy
Hofstra University 2000 — 2004
BBA, Marketing
Capital One May 2014 - Present
Child Advocates, Inc. March 2014 - Present
Plains All American March 2014 - May 2014
Plains All American January 2014 - March 2014
Plains All American April 2012 - January 2014
Capital One Southcoast, Inc. October 2011 - March 2012
Morgan Stanley February 2008 - April 2011
FINRA 2005 - 2008
Active International September 2004 - February 2005
Skills
Financial Modeling, Mergers & Acquisitions, Analysis, Valuation, Microsoft Office, Corporate Finance, Investment Banking, Excel, Word, PowerPoint, Bloomberg, Fundamental Research, Legal Compliance, Data Modeling, Energy, Oil&Gas, Strategic Analysis, Natural Gas, Business Strategy, Gas Storage, Capital IQ, DCF Valuation, Company Valuation, Market Research, Competitive Analysis, Investor Relations, Presentation Development, Strategic Planning, SWOT analysis, Risk Analysis, Gas Pipelines, Financial Analysis, Equity Research, Energy Industry, Oil, Equity Valuation, Series 7, Series 63, FactSet, MLP, Midstream
Education
Rice University - Jesse H. Jones Graduate School of Management 2011 — 2013
MBA, Finance, Energy
Hofstra University 2000 — 2004
BBA, Marketing
Ron Sellers Ron Sellers's FINRA Experience December 2014 - Present
Job Regulatory Coordinator at FINRA
Industry Investment Banking
Experience
FINRA December 2014 - Present
Goldman Sachs April 2013 - April 2014
Goldman Sachs March 2003 - March 2013
First Options of Chicago, Inc March 1997 - March 2003
CBOE November 1989 - March 1997
Skills
Derivatives, Equities, Securities, Options, Alternative Investments, Trading Systems, Trading, Leadership, Corporate Finance, Series 27, Securities Regulation, Regulatory Compliance
Education
Illinois Institute of Technology
Master of Business Administration (MBA), Finance, General
Northern Illinois University
Bachelor of Science (B.S.), Finance, General
FINRA December 2014 - Present
Goldman Sachs April 2013 - April 2014
Goldman Sachs March 2003 - March 2013
First Options of Chicago, Inc March 1997 - March 2003
CBOE November 1989 - March 1997
Skills
Derivatives, Equities, Securities, Options, Alternative Investments, Trading Systems, Trading, Leadership, Corporate Finance, Series 27, Securities Regulation, Regulatory Compliance
Education
Illinois Institute of Technology
Master of Business Administration (MBA), Finance, General
Northern Illinois University
Bachelor of Science (B.S.), Finance, General
Christopher Verhoeven Christopher Verhoeven's FINRA Experience June 2011 - Present
Job Product Manager at FINRA
Industry Information Technology and Services
Experience
Raygun Engineering Guitars March 2014 - Present
FINRA June 2011 - Present
MuX Guitars January 2003 - January 2015
Jazz Holdings September 2008 - December 2011
FINRA/Quantum Agility March 2011 - June 2011
Myka Guitars May 2009 - August 2009
Wild Wing Cafe August 2008 - February 2009
ChynaHouse Records April 2005 - May 2005
Pug Jelly December 2004 - April 2005
Skills
Strategic Planning, Management, Process Improvement, Analysis, Requirements Analysis, Start-ups, Integration, Requirements Gathering
Education
Erasmus Universiteit Rotterdam 2009 — 2012
MscBA, Entrepreneurship
Georgetown University - The McDonough School of Business 2006 — 2008
BS International Business
University of Miami - School of Business 2004 — 2006
Legal Studies, Legal Studies and Electrical Engineering
Raygun Engineering Guitars March 2014 - Present
FINRA June 2011 - Present
MuX Guitars January 2003 - January 2015
Jazz Holdings September 2008 - December 2011
FINRA/Quantum Agility March 2011 - June 2011
Myka Guitars May 2009 - August 2009
Wild Wing Cafe August 2008 - February 2009
ChynaHouse Records April 2005 - May 2005
Pug Jelly December 2004 - April 2005
Skills
Strategic Planning, Management, Process Improvement, Analysis, Requirements Analysis, Start-ups, Integration, Requirements Gathering
Education
Erasmus Universiteit Rotterdam 2009 — 2012
MscBA, Entrepreneurship
Georgetown University - The McDonough School of Business 2006 — 2008
BS International Business
University of Miami - School of Business 2004 — 2006
Legal Studies, Legal Studies and Electrical Engineering
Anne Teehan Anne Teehan's FINRA Experience 1995 - 1998
Job Principal
Industry Management Consulting
Experience
Anne Teehan and Associates February 2005 - Present
Tandem Partners February 2005 - March 2013
The Washington Post 2005 - 2007
SAP America 2002 - 2005
Discovery Communications 1998 - 2001
FINRA 1995 - 1998
USF&G June 1993 - October 1994
Skills
Change Management, Management Consulting, Program Management, Executive Coaching, Organizational..., Business Process..., Leadership Development, Coaching, Project Management, Project Portfolio..., Strategic Planning, PMP, Business Analysis, Business Process, Process Improvement, Leadership, Career Counseling, Team Building, SAP, Management, Training, Human Resources, Succession Planning, Business Strategy, Strategy, Enterprise Architecture, Organizational Design, Business Transformation, Consulting, Organizational..., Performance Management, Workshop Facilitation
Education
Georgetown University 2000 — 2001
Certificate
Mount St. Mary's University 1990 — 1993
MBA
Adult Development
Anne Teehan and Associates February 2005 - Present
Tandem Partners February 2005 - March 2013
The Washington Post 2005 - 2007
SAP America 2002 - 2005
Discovery Communications 1998 - 2001
FINRA 1995 - 1998
USF&G June 1993 - October 1994
Skills
Change Management, Management Consulting, Program Management, Executive Coaching, Organizational..., Business Process..., Leadership Development, Coaching, Project Management, Project Portfolio..., Strategic Planning, PMP, Business Analysis, Business Process, Process Improvement, Leadership, Career Counseling, Team Building, SAP, Management, Training, Human Resources, Succession Planning, Business Strategy, Strategy, Enterprise Architecture, Organizational Design, Business Transformation, Consulting, Organizational..., Performance Management, Workshop Facilitation
Education
Georgetown University 2000 — 2001
Certificate
Mount St. Mary's University 1990 — 1993
MBA
Adult Development
Erin King Erin King's FINRA Experience October 1999 - May 2002
Job Managing Director, Legal & Compliance Operations Officer, CoHead of Institutional Compliance for Guggenheim Investments
Industry Financial Services
Experience
Guggenheim Partners May 2014 - Present
Transamerica June 2013 - April 2014
Guggenheim Partners September 2007 - June 2013
Western Asset Management August 2004 - August 2007
Citigroup Asset Management June 2002 - August 2004
FINRA October 1999 - May 2002
Skills
Securities, SEC, Investments, Investment Advisory, Series 63, Compliance, Risk Management, Portfolio Management, Investment Advisers Act, Financial Risk, Financial Advisory, Management, Anti Money Laundering, Financial Services, Asset Allocation, Investment Management
Education
New York Law School 1999 — 2001
Doctor of Law (JD), Law
Florida State University
Bachelor of Science (B.S.), Sociology
Guggenheim Partners May 2014 - Present
Transamerica June 2013 - April 2014
Guggenheim Partners September 2007 - June 2013
Western Asset Management August 2004 - August 2007
Citigroup Asset Management June 2002 - August 2004
FINRA October 1999 - May 2002
Skills
Securities, SEC, Investments, Investment Advisory, Series 63, Compliance, Risk Management, Portfolio Management, Investment Advisers Act, Financial Risk, Financial Advisory, Management, Anti Money Laundering, Financial Services, Asset Allocation, Investment Management
Education
New York Law School 1999 — 2001
Doctor of Law (JD), Law
Florida State University
Bachelor of Science (B.S.), Sociology
Amy Kaplan Eckman, Esq. Amy Kaplan Eckman, Esq.'s FINRA Experience April 2014 - Present
Job Arbitrator & Mediator
Industry Alternative Dispute Resolution
Experience
American Arbitration Association 2004 - Present
New York Supreme Court - Commercial Division ADR Program 2012 - Present
FINRA April 2014 - Present
Eckman Construction 1983 - 2008
Sulloway & Hollis, PLLC 1980 - 1984
Skills
Alternative Dispute..., Arbitration, Grievance Arbitrations, Mediation, Construction Law, Qualified Mediator, Judgment, Corporate Law, Real Estate, Real Estate Development, Real Estate Transactions, Commercial Real Estate, Construction, Construction Management, Commercial Litigation, Dispute Resolution
Education
Fordham University School of Law 1975 — 1978
Doctor of Law (JD)
Vassar College
Artium Baccalaureatus (A.B.) Degree, East Asian Studies, Departmental Honors
The Dalton School (New York City)
High School Diploma, Regents Scholar
Yale University
Post Graduate Level, Summer Language Institute, Honors in Intermediate Chinese
American Arbitration Association 2004 - Present
New York Supreme Court - Commercial Division ADR Program 2012 - Present
FINRA April 2014 - Present
Eckman Construction 1983 - 2008
Sulloway & Hollis, PLLC 1980 - 1984
Skills
Alternative Dispute..., Arbitration, Grievance Arbitrations, Mediation, Construction Law, Qualified Mediator, Judgment, Corporate Law, Real Estate, Real Estate Development, Real Estate Transactions, Commercial Real Estate, Construction, Construction Management, Commercial Litigation, Dispute Resolution
Education
Fordham University School of Law 1975 — 1978
Doctor of Law (JD)
Vassar College
Artium Baccalaureatus (A.B.) Degree, East Asian Studies, Departmental Honors
The Dalton School (New York City)
High School Diploma, Regents Scholar
Yale University
Post Graduate Level, Summer Language Institute, Honors in Intermediate Chinese
William Haughton's FINRA Experience May 2009 - July 2012
Job Associate at Rabobank
Industry Financial Services
Experience
Rabobank May 2015 - Present
Rabobank May 2013 - Present
Rabobank July 2012 - May 2013
FINRA May 2009 - July 2012
Skills
Risk Management, Finance, Banking, Capital Markets, Microsoft Excel, Bloomberg, PowerPoint, Corporate Finance, Economics, Sales, CPA
Education
Florida Atlantic University 2009 — 2011
Master's degree, Accounting
Florida State University 2004 — 2008
Bachelor of Science (BS), Finance and Risk Management Insurance
Rabobank May 2015 - Present
Rabobank May 2013 - Present
Rabobank July 2012 - May 2013
FINRA May 2009 - July 2012
Skills
Risk Management, Finance, Banking, Capital Markets, Microsoft Excel, Bloomberg, PowerPoint, Corporate Finance, Economics, Sales, CPA
Education
Florida Atlantic University 2009 — 2011
Master's degree, Accounting
Florida State University 2004 — 2008
Bachelor of Science (BS), Finance and Risk Management Insurance
Lois (Walls) Benjamin Lois (Walls) Benjamin's FINRA Experience May 2001 - August 2008
Job Diverse Financial Background
Industry Financial Services
Experience
Ermak February 2011 - Present
LCDC, Inc. May 2009 - October 2010
FINRA May 2001 - August 2008
H.B. Fuller Co, TEC Specialty Products, Inc January 1999 - January 2001
Accountemps, Inc January 1997 - January 1999
Central District January 1987 - January 1997
Skills
Microsoft Excel, Strategic Planning, Financial Analysis, Compliance, Customer Service, Financial Statements, Forecasting, Finance, Marketing Strategy, Training, Marketing, Sales, Business Strategy, Team Leadership, Credit, Account Reconciliation, Risk Assessment, Budgets, Business Planning, Portfolio Management, Accounting, Leadership Development, Management, Team Building, Leadership, Accounts Receivable, Process Improvement, Project Management, Risk Management, Business Development, Auditing, Cross-functional Team..., Data Analysis
Education
Florida Agricultural and Mechanical University 1981 — 1986
Bachelor of Science, Business Administration
Ermak February 2011 - Present
LCDC, Inc. May 2009 - October 2010
FINRA May 2001 - August 2008
H.B. Fuller Co, TEC Specialty Products, Inc January 1999 - January 2001
Accountemps, Inc January 1997 - January 1999
Central District January 1987 - January 1997
Skills
Microsoft Excel, Strategic Planning, Financial Analysis, Compliance, Customer Service, Financial Statements, Forecasting, Finance, Marketing Strategy, Training, Marketing, Sales, Business Strategy, Team Leadership, Credit, Account Reconciliation, Risk Assessment, Budgets, Business Planning, Portfolio Management, Accounting, Leadership Development, Management, Team Building, Leadership, Accounts Receivable, Process Improvement, Project Management, Risk Management, Business Development, Auditing, Cross-functional Team..., Data Analysis
Education
Florida Agricultural and Mechanical University 1981 — 1986
Bachelor of Science, Business Administration
Natalie Roberts Natalie Roberts's FINRA Experience 2001 - March 2012
Job Candidate for LLM in Taxation at Univ of Florida
Industry Higher Education
Experience
Candidate for LLM in Taxation, UF August 2015 - Present
Florida OFR Division of Securities July 2014 - August 2015
Compliglobe Asia November 2013 - May 2014
Minnesota Department of Commerce February 2012 - October 2013
FINRA 2001 - March 2012
State of Minnesota January 2011 - February 2012
Inner City Tennis 2010 - 2010
Atlas, Pearlman and Trop, PA March 1988 - May 1992
UNITED STATES SECURITIES AND EXCHANGE COMMISSION January 1984 - January 1988
Skills
Securities Regulation, Legal Writing, Legal Research, Litigation, Fraud, Arbitration, Securities Litigation, Policy, Administrative Law, Civil Litigation, Financial Services, investment adviser..., FINRA, Investments, Due Diligence, SEC, SEC filings, hedge fund compliance..., securities fraud..., mortgage origination..., mortgage fraud..., AML, Accounting for lawyers..., Broker-dealer..., (General) EMIR, Internal Investigations, Mediation, Anti Money Laundering, Securities, Management, Public Speaking, Leadership, Research, Government, Strategic Planning, Investigation, Program Management, Risk Management
Education
University of Florida - Fredric G. Levin College of Law 1980 — 1983
JD, Special interest in corporate and securities law
Emory University
BA, History
Candidate for LLM in Taxation, UF August 2015 - Present
Florida OFR Division of Securities July 2014 - August 2015
Compliglobe Asia November 2013 - May 2014
Minnesota Department of Commerce February 2012 - October 2013
FINRA 2001 - March 2012
State of Minnesota January 2011 - February 2012
Inner City Tennis 2010 - 2010
Atlas, Pearlman and Trop, PA March 1988 - May 1992
UNITED STATES SECURITIES AND EXCHANGE COMMISSION January 1984 - January 1988
Skills
Securities Regulation, Legal Writing, Legal Research, Litigation, Fraud, Arbitration, Securities Litigation, Policy, Administrative Law, Civil Litigation, Financial Services, investment adviser..., FINRA, Investments, Due Diligence, SEC, SEC filings, hedge fund compliance..., securities fraud..., mortgage origination..., mortgage fraud..., AML, Accounting for lawyers..., Broker-dealer..., (General) EMIR, Internal Investigations, Mediation, Anti Money Laundering, Securities, Management, Public Speaking, Leadership, Research, Government, Strategic Planning, Investigation, Program Management, Risk Management
Education
University of Florida - Fredric G. Levin College of Law 1980 — 1983
JD, Special interest in corporate and securities law
Emory University
BA, History
Kristopher Maleski's FINRA Experience August 2010 - January 2011
Job Investment Analyst
Industry Financial Services
Experience
Strategic Financial Associates, LLC September 2015 - Present
Strategic Wealth Management Group LLC January 2014 - August 2015
Guggenheim Partners February 2011 - December 2013
FINRA August 2010 - January 2011
CareOne Debt Relief Services June 2009 - May 2010
Erie Water Works September 2008 - May 2009
Skills
Financial Analysis, Customer Service, Mutual Funds, Business Analysis, Direct Sales, Finance, Investments, Analysis, Leadership, Microsoft Excel, Microsoft Word, CRM, Time Management, Strategy, Accounting, Budgets, Financial Services, Asset Management, Equities, Alternative Investments, Derivatives, Portfolio Management, Fixed Income Portfolio..., Financial Planning, Financial Risk, Microsoft Office, Asset Allocation, Risk Management, Strategic Planning, Securities, Financial Modeling
Education
Gannon University 2005 — 2009
Bachelors of Science, Finance
Strategic Financial Associates, LLC September 2015 - Present
Strategic Wealth Management Group LLC January 2014 - August 2015
Guggenheim Partners February 2011 - December 2013
FINRA August 2010 - January 2011
CareOne Debt Relief Services June 2009 - May 2010
Erie Water Works September 2008 - May 2009
Skills
Financial Analysis, Customer Service, Mutual Funds, Business Analysis, Direct Sales, Finance, Investments, Analysis, Leadership, Microsoft Excel, Microsoft Word, CRM, Time Management, Strategy, Accounting, Budgets, Financial Services, Asset Management, Equities, Alternative Investments, Derivatives, Portfolio Management, Fixed Income Portfolio..., Financial Planning, Financial Risk, Microsoft Office, Asset Allocation, Risk Management, Strategic Planning, Securities, Financial Modeling
Education
Gannon University 2005 — 2009
Bachelors of Science, Finance
Bonnie McLaughlin Bonnie McLaughlin's FINRA Experience 1998 - 2014
Job Financial Services Professional
Industry Financial Services
Experience
FINRA 1998 - 2014
The Delaware Group November 1995 - April 1998
Merrill Lynch November 1981 - June 1990
Skills
Training, Analysis, Employee Training, Management, Interviews, Internal Controls, Risk Assessment, E-Learning, Securities, Mutual Funds, Equities, AML, Fixed Income, Investments, FINRA, broker/dealer, Capital Markets, Customer Service, Portfolio Management, Risk Management, Leadership, Financial Services, Financial Analysis
Education
Immaculata University
Bachelor of Science (BS), Business/Merchandising
FINRA 1998 - 2014
The Delaware Group November 1995 - April 1998
Merrill Lynch November 1981 - June 1990
Skills
Training, Analysis, Employee Training, Management, Interviews, Internal Controls, Risk Assessment, E-Learning, Securities, Mutual Funds, Equities, AML, Fixed Income, Investments, FINRA, broker/dealer, Capital Markets, Customer Service, Portfolio Management, Risk Management, Leadership, Financial Services, Financial Analysis
Education
Immaculata University
Bachelor of Science (BS), Business/Merchandising
Randall Place's FINRA Experience 2003 - 2004
Job Partner at Place and Hanley
Industry Legal Services
Experience
Place and Hanley January 2008 - Present
FINRA 2003 - 2004
Raymond James Financial Inc. 1993 - 1998
Skills
Securities Litigation, Securities Regulation, FINRA, Securities, Arbitration, Litigation, Commercial Litigation, Class Actions, Civil Litigation, SEC, Internal Investigations, Legal Research, Mediation, Legal Writing, Corporate Law, Dispute Resolution, Corporate Governance, Alternative Dispute..., Fraud
Education
Georgetown University Law Center 2002 — 2004
Master of Laws (LLM), Investments and Securities
Thomas M. Cooley Law School 1998 — 2000
Doctor of Law (J.D.), Law
Place and Hanley January 2008 - Present
FINRA 2003 - 2004
Raymond James Financial Inc. 1993 - 1998
Skills
Securities Litigation, Securities Regulation, FINRA, Securities, Arbitration, Litigation, Commercial Litigation, Class Actions, Civil Litigation, SEC, Internal Investigations, Legal Research, Mediation, Legal Writing, Corporate Law, Dispute Resolution, Corporate Governance, Alternative Dispute..., Fraud
Education
Georgetown University Law Center 2002 — 2004
Master of Laws (LLM), Investments and Securities
Thomas M. Cooley Law School 1998 — 2000
Doctor of Law (J.D.), Law
Troy Lingenfelter Troy Lingenfelter's FINRA Experience May 2010 - July 2012
Job IT Specialist
Industry Information Technology and Services
Experience
Social Security Administration October 2014 - Present
CSC March 2013 - October 2014
Teksystems August 2012 - March 2013
FINRA May 2010 - July 2012
Integral Systems, Inc. March 2008 - April 2010
Naval Research Laboratory July 2002 - March 2008
Skills
Linux, Solaris, Windows, XP, Computer Hardware, Mac OS X, Windows Server 2003, Unix, SQL, System Administration, Active Directory, Operating Systems, SQL Server, Shell Scripting, C, C++, TCP/IP, HTML, Troubleshooting, Programming, MySQL, Servers, Integration, Apache, Databases, Perl, Visual Basic, Unix Shell Scripting, Windows Server, DNS, VMware, Tomcat, Cloud Computing, VMware ESX, Disaster Recovery, Testing, Requirements Analysis, ASP.NET, HP-UX, Java, XML, Security, Microsoft SQL Server, SharePoint, Visual Studio, Software Development
Education
Florida Southern College 2000 — 2001
Bachelor; Associate, Computer Science; Computer Information Systems
Jefferson Community College 1997 — 1999
AS, Computer Information Systems
Indian River High School 1985 — 1997
Regents Diploma
Social Security Administration October 2014 - Present
CSC March 2013 - October 2014
Teksystems August 2012 - March 2013
FINRA May 2010 - July 2012
Integral Systems, Inc. March 2008 - April 2010
Naval Research Laboratory July 2002 - March 2008
Skills
Linux, Solaris, Windows, XP, Computer Hardware, Mac OS X, Windows Server 2003, Unix, SQL, System Administration, Active Directory, Operating Systems, SQL Server, Shell Scripting, C, C++, TCP/IP, HTML, Troubleshooting, Programming, MySQL, Servers, Integration, Apache, Databases, Perl, Visual Basic, Unix Shell Scripting, Windows Server, DNS, VMware, Tomcat, Cloud Computing, VMware ESX, Disaster Recovery, Testing, Requirements Analysis, ASP.NET, HP-UX, Java, XML, Security, Microsoft SQL Server, SharePoint, Visual Studio, Software Development
Education
Florida Southern College 2000 — 2001
Bachelor; Associate, Computer Science; Computer Information Systems
Jefferson Community College 1997 — 1999
AS, Computer Information Systems
Indian River High School 1985 — 1997
Regents Diploma
Bob Venters Bob Venters's FINRA Experience January 2010 - Present
Job Currently doing supervision work at Ameriprise, a little arbitration for FINRA, and flying for American Airlines
Industry Financial Services
Experience
FINRA January 2010 - Present
Ameriprise November 2006 - Present
American Airlines May 1998 - Present
Skills
CFP, Series 7, Strategic Financial..., Financial Services, Securities, Investments, Estate Planning, Asset Management, Wealth Management, Retirement Planning, Investment Advisory, Retirement, Series 24, FINRA, Uniform Combined State..., Fixed Annuities, Legal Writing, Legal Research, Trusts, Legal Compliance, Process Improvement
Education
Hamline University 2008 — 2010
Masters, MBA
Hamline University School of Law 2004 — 2006
The University of North Dakota 1987 — 1991
B.S., Aviation
FINRA January 2010 - Present
Ameriprise November 2006 - Present
American Airlines May 1998 - Present
Skills
CFP, Series 7, Strategic Financial..., Financial Services, Securities, Investments, Estate Planning, Asset Management, Wealth Management, Retirement Planning, Investment Advisory, Retirement, Series 24, FINRA, Uniform Combined State..., Fixed Annuities, Legal Writing, Legal Research, Trusts, Legal Compliance, Process Improvement
Education
Hamline University 2008 — 2010
Masters, MBA
Hamline University School of Law 2004 — 2006
The University of North Dakota 1987 — 1991
B.S., Aviation
Michael E Jones Michael E Jones's FINRA Experience November 2006 - September 2009
Job Deputy Chief Executive Officer at New York State Liquor Authority
Industry Law Practice
Experience
New York State Liquor Authority September 2009 - Present
Finra November 2006 - September 2009
NYS Attorney General's Office August 1999 - November 2006
Barry, McTiernan, & Moore August 1994 - August 1999
New York County District Attorney's Office 1988 - 1994
Skills
Securities Regulation, Commercial Litigation, Securities Litigation, Litigation, Legal Research, Alcohol Licensing, Criminal Law, Negligence
Education
St. John's University School of Law 1985 — 1988
jd, law
Georgetown University 1982 — 1985
ab, government
New York State Liquor Authority September 2009 - Present
Finra November 2006 - September 2009
NYS Attorney General's Office August 1999 - November 2006
Barry, McTiernan, & Moore August 1994 - August 1999
New York County District Attorney's Office 1988 - 1994
Skills
Securities Regulation, Commercial Litigation, Securities Litigation, Litigation, Legal Research, Alcohol Licensing, Criminal Law, Negligence
Education
St. John's University School of Law 1985 — 1988
jd, law
Georgetown University 1982 — 1985
ab, government
James P Donovan James P Donovan's FINRA Experience 2008 - 2011
Job Global Operating Executive
Industry Financial Services
Experience
Cross Culture Coach LLC 2011 - Present
FINRA 2008 - 2011
Society for Worldwide Interbank Financial Telecommunication(SWIFT) 2005 - 2008
Citigroup(London) 1999 - 2005
Citibank 1988 - 1998
Chemical Bank 1984 - 1988
Skills
Leadership, Risk Management, Compliance, Financial Markets..., Financial Markets..., Strategy, Crisis Management, Turnaround Experience, Global Operations, Transaction Services, Transaction Banking, Innovation, Cross Cultural..., Board Director..., Operating Committee..., International Joint..., Financial Markets, Financial Services, Hedge Funds, Securities, Restructuring, Enterprise Risk..., Settlement, Finance, Change Management, Financial Institutions, Securities Lending, AML, Global Custody, Operational Risk, Cash Management, Capital Markets, Equities, Mergers
Education
Fordham University
Bachelor of Science
Harvard University
Executive Management Program
Stanford University
Executive Management Program
Cross Culture Coach LLC 2011 - Present
FINRA 2008 - 2011
Society for Worldwide Interbank Financial Telecommunication(SWIFT) 2005 - 2008
Citigroup(London) 1999 - 2005
Citibank 1988 - 1998
Chemical Bank 1984 - 1988
Skills
Leadership, Risk Management, Compliance, Financial Markets..., Financial Markets..., Strategy, Crisis Management, Turnaround Experience, Global Operations, Transaction Services, Transaction Banking, Innovation, Cross Cultural..., Board Director..., Operating Committee..., International Joint..., Financial Markets, Financial Services, Hedge Funds, Securities, Restructuring, Enterprise Risk..., Settlement, Finance, Change Management, Financial Institutions, Securities Lending, AML, Global Custody, Operational Risk, Cash Management, Capital Markets, Equities, Mergers
Education
Fordham University
Bachelor of Science
Harvard University
Executive Management Program
Stanford University
Executive Management Program
J. Bradley Bennett J. Bradley Bennett's FINRA Experience January 2011 - Present
Job Finra Enforcement
Industry Legal Services
Experience
FINRA January 2011 - Present
Baker Botts LLP January 2001 - December 2010
Miller, Cassidy, Larocca & Lewin 1992 - 2000
Miller, Cassidy, Larroca & Lewin 1992 - 2000
US Securities and Exchange Commission, Division of Enforcement 1988 - 1992
US Securities and Exchange Commission 1988 - 1992
Skills
Litigation, Securities Regulation, Corporate Law, Intellectual Property, Corporate Governance, Securities Litigation, Government, Due Diligence, White Collar Criminal..., Legal Writing, FCPA, FINRA, Class Actions, Enforcement, Appeals, Securities, Litigation Support, Trials, Fraud, Civil Litigation, Internal Investigations, Courts, Litigation Management, Country Music, Arbitration, Commercial Litigation, Legal Research
Education
Georgetown University Law Center 1985 — 1988
JD
St. Lawrence University 1981 — 1985
BA, Government
FINRA January 2011 - Present
Baker Botts LLP January 2001 - December 2010
Miller, Cassidy, Larocca & Lewin 1992 - 2000
Miller, Cassidy, Larroca & Lewin 1992 - 2000
US Securities and Exchange Commission, Division of Enforcement 1988 - 1992
US Securities and Exchange Commission 1988 - 1992
Skills
Litigation, Securities Regulation, Corporate Law, Intellectual Property, Corporate Governance, Securities Litigation, Government, Due Diligence, White Collar Criminal..., Legal Writing, FCPA, FINRA, Class Actions, Enforcement, Appeals, Securities, Litigation Support, Trials, Fraud, Civil Litigation, Internal Investigations, Courts, Litigation Management, Country Music, Arbitration, Commercial Litigation, Legal Research
Education
Georgetown University Law Center 1985 — 1988
JD
St. Lawrence University 1981 — 1985
BA, Government
James Melvin James Melvin's FINRA Experience May 2013 - August 2013
Job J.D. from St John's University School of Law
Industry Legal Services
Experience
Mendes & Mount September 2014 - Present
Four Wood Capital Partners August 2013 - December 2013
FINRA May 2013 - August 2013
Morgan Stanley May 2012 - August 2012
Skills
Westlaw, Legal Writing, Litigation, Lexis, Corporate Law, Research, Corporate Governance, Employment Law, Microsoft Excel, Microsoft Word, Outlook, Securities Regulation, Arbitration, Entertainment Law, PowerPoint, Contract Negotiation, Editing, Microsoft Office, Legal Research
Education
St. John's Law School 2011 — 2014
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law
Georgetown University 2007 — 2011
Bachelor of Science (BS), Finance and International Business
Mendes & Mount September 2014 - Present
Four Wood Capital Partners August 2013 - December 2013
FINRA May 2013 - August 2013
Morgan Stanley May 2012 - August 2012
Skills
Westlaw, Legal Writing, Litigation, Lexis, Corporate Law, Research, Corporate Governance, Employment Law, Microsoft Excel, Microsoft Word, Outlook, Securities Regulation, Arbitration, Entertainment Law, PowerPoint, Contract Negotiation, Editing, Microsoft Office, Legal Research
Education
St. John's Law School 2011 — 2014
Juris Doctor (J.D.), Banking, Corporate, Finance, and Securities Law
Georgetown University 2007 — 2011
Bachelor of Science (BS), Finance and International Business
Greg Kaled's FINRA Experience December 2006 - March 2010
Job Vice President North America Operations Regulatory Reporting & Control at Citigroup Global Markets Inc.
Industry Financial Services
Experience
Citigroup Global Markets Inc. May 2011 - Present
Deutsche Bank March 2010 - May 2011
FINRA December 2006 - March 2010
Assent LLC June 2006 - December 2006
Proprietary Trading Firms November 2000 - June 2006
Skills
FINRA, Series 7, Securities, Equities, Trading, Options, Risk, Risk Management, Compliance, Series 24, Financial Analysis, Process Improvement, Strategic Planning, Regulatory Reporting, Derivatives, Fixed Income, Bloomberg, VBA, Analysis, Data Analysis, Auditing, Excel, Banking, Equity Derivatives, Due Diligence, Trading Systems, Securities Regulation, Operational Risk..., Financial Regulation, Proprietary Trading, Financial Services, Microsoft Excel, Financial Risk, Equity Trading, AML, Trading Strategies, Operational Risk, Series 63, Electronic Trading
Education
Ithaca College 1996 — 2000
Bachelor's degree, Business, Management, Marketing, and Related Support Services
Citigroup Global Markets Inc. May 2011 - Present
Deutsche Bank March 2010 - May 2011
FINRA December 2006 - March 2010
Assent LLC June 2006 - December 2006
Proprietary Trading Firms November 2000 - June 2006
Skills
FINRA, Series 7, Securities, Equities, Trading, Options, Risk, Risk Management, Compliance, Series 24, Financial Analysis, Process Improvement, Strategic Planning, Regulatory Reporting, Derivatives, Fixed Income, Bloomberg, VBA, Analysis, Data Analysis, Auditing, Excel, Banking, Equity Derivatives, Due Diligence, Trading Systems, Securities Regulation, Operational Risk..., Financial Regulation, Proprietary Trading, Financial Services, Microsoft Excel, Financial Risk, Equity Trading, AML, Trading Strategies, Operational Risk, Series 63, Electronic Trading
Education
Ithaca College 1996 — 2000
Bachelor's degree, Business, Management, Marketing, and Related Support Services
Jill Fieldstein Jill Fieldstein's FINRA Experience July 2005 - October 2012
Job Principal at The Law Office of Jill G. Fieldstein, P.C.
Industry Law Practice
Experience
The Law Office of Jill G. Fieldstein, P.C. May 2013 - Present
CompliGuide LLC February 2013 - Present
FINRA July 2005 - October 2012
Baker Botts LLP August 2004 - May 2005
O'Melveny & Myers LLP April 2002 - July 2004
Weil Gotshal and Manges September 1998 - April 2002
Television News Production November 1981 - January 1995
Skills
Securities Regulation, Litigation, Commercial Litigation, Securities Litigation, Securities, FINRA, Arbitration, Legal Research, Legal Writing, SEC, Financial Regulation, Civil Litigation, LinkedIn, Business Communications, Business Development, Legal Compliance
Education
Fordham University School of Law 1995 — 1998
J.D.
University of Pennsylvania 1976 — 1980
Bachelor of Arts, Anthropology
The Law Office of Jill G. Fieldstein, P.C. May 2013 - Present
CompliGuide LLC February 2013 - Present
FINRA July 2005 - October 2012
Baker Botts LLP August 2004 - May 2005
O'Melveny & Myers LLP April 2002 - July 2004
Weil Gotshal and Manges September 1998 - April 2002
Television News Production November 1981 - January 1995
Skills
Securities Regulation, Litigation, Commercial Litigation, Securities Litigation, Securities, FINRA, Arbitration, Legal Research, Legal Writing, SEC, Financial Regulation, Civil Litigation, LinkedIn, Business Communications, Business Development, Legal Compliance
Education
Fordham University School of Law 1995 — 1998
J.D.
University of Pennsylvania 1976 — 1980
Bachelor of Arts, Anthropology
Richard A. Bachman Richard A. Bachman's FINRA Experience April 2000 - December 2009
Job Managing Partner, CEO at The Member Benefits Group LLC
Industry Management Consulting
Experience
The Member Benefits Group LLC May 2010 - Present
The Member Benefits Group LLC January 2010 - April 2010
FINRA April 2000 - December 2009
Citibank/CITI July 1996 - March 2000
MovieFone January 1995 - June 1996
L&F (Lysol) Products Company September 1985 - December 1994
Education
Isenberg School of Management, UMass Amherst
MBA
Syracuse University - School of Management
BS, Marketing
The Member Benefits Group LLC May 2010 - Present
The Member Benefits Group LLC January 2010 - April 2010
FINRA April 2000 - December 2009
Citibank/CITI July 1996 - March 2000
MovieFone January 1995 - June 1996
L&F (Lysol) Products Company September 1985 - December 1994
Education
Isenberg School of Management, UMass Amherst
MBA
Syracuse University - School of Management
BS, Marketing
Steve Sussman Steve Sussman's FINRA Experience 1982 - 1988
Job Owner, Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC 1989 - Present
KPMG 1988 - 1989
FINRA 1982 - 1988
Skills
SEC compliance, Regulatory Requirements, Regulatory Reporting, Foosball, Bowling, Securities, Mutual Funds, Due Diligence, Investments, SEC, Portfolio Management, Executive Management, Financial Services, Investment Advisory, Financial Accounting, FINRA, Risk Management, Alternative Investments, Options, Series 7, Enterprise Risk..., Accounting, Investment Management, AML, Series 63, Asset Management, Private Equity, Capital Markets, Anti Money Laundering, Finance, Equities, Financial Risk, Fixed Income, Financial Analysis
Education
Northeastern University 1985 — 1987
University College Certificate, Accounting
Hofstra University 1980 — 1982
MBA, Finance
State University of New York College at Buffalo 1975 — 1981
B.S., Business and Teaching Certificate
Regulatory Compliance, LLC 1989 - Present
KPMG 1988 - 1989
FINRA 1982 - 1988
Skills
SEC compliance, Regulatory Requirements, Regulatory Reporting, Foosball, Bowling, Securities, Mutual Funds, Due Diligence, Investments, SEC, Portfolio Management, Executive Management, Financial Services, Investment Advisory, Financial Accounting, FINRA, Risk Management, Alternative Investments, Options, Series 7, Enterprise Risk..., Accounting, Investment Management, AML, Series 63, Asset Management, Private Equity, Capital Markets, Anti Money Laundering, Finance, Equities, Financial Risk, Fixed Income, Financial Analysis
Education
Northeastern University 1985 — 1987
University College Certificate, Accounting
Hofstra University 1980 — 1982
MBA, Finance
State University of New York College at Buffalo 1975 — 1981
B.S., Business and Teaching Certificate
Rama Erigindindla Rama Erigindindla's FINRA Experience March 2007 - October 2007
Job Release Manager at StubHub
Industry Information Technology and Services
Experience
StubHub July 2011 - Present
Wells Fargo August 2009 - July 2011
NetApp August 2008 - April 2009
Blue Shield of California November 2007 - August 2008
FINRA March 2007 - October 2007
Freddie Mac March 2003 - November 2006
Education
Indian Institute of Science 1997 — 1999
Masters in Engineering, Aerospace Engineering
Sri Venkateswara University 1993 — 1997
B Tech, Electrical and Electronics Engineering
StubHub July 2011 - Present
Wells Fargo August 2009 - July 2011
NetApp August 2008 - April 2009
Blue Shield of California November 2007 - August 2008
FINRA March 2007 - October 2007
Freddie Mac March 2003 - November 2006
Education
Indian Institute of Science 1997 — 1999
Masters in Engineering, Aerospace Engineering
Sri Venkateswara University 1993 — 1997
B Tech, Electrical and Electronics Engineering
Peter Boyle Peter Boyle's FINRA Experience February 2010 - Present
Job Senior Consulting Executive at FINRA
Industry Financial Services
Experience
FINRA February 2010 - Present
NYSE January 2006 - January 2010
NYSE Euronext January 2004 - January 2006
NYSE Euronext June 1997 - December 2003
Hoffmann-La Roche Inc 1986 - 1997
Skills
Data Center, Operations Management, Vendor Management, Project Management, IT Strategy, Trading Systems, Engineering, Strategy, Security, Management, Strategic Planning, IT Management, Analysis, Business Analysis, Enterprise Software, Disaster Recovery, Infrastructure, Leadership, Integration, SDLC, Servers, Telecommunications
Education
Fordham Gabelli School of Business 1986 — 1991
MBA, Information Technology
State University of New York College at Oneonta 1979 — 1984
BA, Literature
St Mary's
FINRA February 2010 - Present
NYSE January 2006 - January 2010
NYSE Euronext January 2004 - January 2006
NYSE Euronext June 1997 - December 2003
Hoffmann-La Roche Inc 1986 - 1997
Skills
Data Center, Operations Management, Vendor Management, Project Management, IT Strategy, Trading Systems, Engineering, Strategy, Security, Management, Strategic Planning, IT Management, Analysis, Business Analysis, Enterprise Software, Disaster Recovery, Infrastructure, Leadership, Integration, SDLC, Servers, Telecommunications
Education
Fordham Gabelli School of Business 1986 — 1991
MBA, Information Technology
State University of New York College at Oneonta 1979 — 1984
BA, Literature
St Mary's
Michael Moise Michael Moise's FINRA Experience January 2010 - March 2011
Job Vice President at Arbor Research and Trading
Industry Investment Management
Experience
Arbor Research and Trading April 2011 - Present
FINRA January 2010 - March 2011
JPMorgan December 2001 - March 2009
J.P. Morgan August 1999 - December 2001
J.P. Morgan January 1996 - August 1999
Skills
Valuation, Portfolio Management, Equities, Hedge Funds, Fixed Income, Finance, Mutual Funds, Accounting, Investments, Financial Analysis, Account Reconciliation
Education
Illinois State University 1990 — 1994
B.A., Business Administration
Arbor Research and Trading April 2011 - Present
FINRA January 2010 - March 2011
JPMorgan December 2001 - March 2009
J.P. Morgan August 1999 - December 2001
J.P. Morgan January 1996 - August 1999
Skills
Valuation, Portfolio Management, Equities, Hedge Funds, Fixed Income, Finance, Mutual Funds, Accounting, Investments, Financial Analysis, Account Reconciliation
Education
Illinois State University 1990 — 1994
B.A., Business Administration
Bill Willis Bill Willis's FINRA Experience February 2007 - May 2009
Job Accomplished Technology Strategist
Industry Computer Software
Experience
Intersections Inc. June 2013 - Present
Pet Pawfection June 2011 - Present
OSG March 2004 - Present
BondDesk Group LLC January 2012 - April 2013
OSG October 2010 - December 2011
Capital One December 2010 - March 2011
Amtrak March 2010 - September 2010
Flipswap, Inc. June 2009 - January 2010
FINRA February 2007 - May 2009
Fannie Mae, Finance & Portfolio Technologies March 2004 - December 2006
Skills
IT Strategy, Cloud Computing, Mobile Applications, Continuous Integration, J2EE, Enterprise Architecture, Agile, SOA, Java, Agile Methodologies, Java Enterprise Edition, Scrum, Web Services, XML, Software Development, Hibernate, System Architecture, Tomcat, Software Project..., Enterprise Software, Requirements Analysis, REST, SDLC, UML, Integration, Architecture, Databases, Oracle, Design Patterns, Spring, Application Architecture, Maven, EJB, Software Design, Software Engineering, Object Oriented Design, Mobile Devices, Unix, Agile Project Management, JSF, Architectures
Education
George Mason University 1997 — 2000
MS, Software Engineering
Virginia Tech 1988 — 1992
BS, Aerospace Engineering
Virginia Tech 1988 — 1992
Minor, Mathematics
Intersections Inc. June 2013 - Present
Pet Pawfection June 2011 - Present
OSG March 2004 - Present
BondDesk Group LLC January 2012 - April 2013
OSG October 2010 - December 2011
Capital One December 2010 - March 2011
Amtrak March 2010 - September 2010
Flipswap, Inc. June 2009 - January 2010
FINRA February 2007 - May 2009
Fannie Mae, Finance & Portfolio Technologies March 2004 - December 2006
Skills
IT Strategy, Cloud Computing, Mobile Applications, Continuous Integration, J2EE, Enterprise Architecture, Agile, SOA, Java, Agile Methodologies, Java Enterprise Edition, Scrum, Web Services, XML, Software Development, Hibernate, System Architecture, Tomcat, Software Project..., Enterprise Software, Requirements Analysis, REST, SDLC, UML, Integration, Architecture, Databases, Oracle, Design Patterns, Spring, Application Architecture, Maven, EJB, Software Design, Software Engineering, Object Oriented Design, Mobile Devices, Unix, Agile Project Management, JSF, Architectures
Education
George Mason University 1997 — 2000
MS, Software Engineering
Virginia Tech 1988 — 1992
BS, Aerospace Engineering
Virginia Tech 1988 — 1992
Minor, Mathematics
Kostas Gaitanos Kostas Gaitanos's FINRA Experience 2006 - 2011
Job Senior Director at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority 2011 - Present
FINRA 2006 - 2011
MBNA March 1997 - May 2005
KG Technologies 1995 - 1997
IBM LAB 1987 - 1994
Skills
SDLC, Software Configuration..., Continuous Integration, Continuous Delivery, Project Management, IT Strategy, Enterprise Software, Enterprise Architecture, Agile Methodologies, PMP, Management, Vendor Management, Configuration Management, Analysis, Agile Project Management, Software Project..., Project Portfolio..., Release Management, Requirements Analysis, Software Development, IT Management, Integration, PMO, Business Analysis, Requirements Gathering, SOA, Scrum, Governance, Visio, Business Intelligence
Education
Georgetown University 2010 — 2011
Certificate, Project Management
University of Toronto 1990 — 1993
Masters of Engineering, Industrial Engineering
University of Guelph 1986 — 1989
Masters of Science, Operations Research, Optimization
York University 1980 — 1986
Bachelors, Mathematics & Comp. Sci.
Financial Industry Regulatory Authority 2011 - Present
FINRA 2006 - 2011
MBNA March 1997 - May 2005
KG Technologies 1995 - 1997
IBM LAB 1987 - 1994
Skills
SDLC, Software Configuration..., Continuous Integration, Continuous Delivery, Project Management, IT Strategy, Enterprise Software, Enterprise Architecture, Agile Methodologies, PMP, Management, Vendor Management, Configuration Management, Analysis, Agile Project Management, Software Project..., Project Portfolio..., Release Management, Requirements Analysis, Software Development, IT Management, Integration, PMO, Business Analysis, Requirements Gathering, SOA, Scrum, Governance, Visio, Business Intelligence
Education
Georgetown University 2010 — 2011
Certificate, Project Management
University of Toronto 1990 — 1993
Masters of Engineering, Industrial Engineering
University of Guelph 1986 — 1989
Masters of Science, Operations Research, Optimization
York University 1980 — 1986
Bachelors, Mathematics & Comp. Sci.
Peter Raj Amalraj Peter Raj Amalraj's FINRA Experience April 2011 - May 2014
Job Senior Consultant at CGI
Industry Information Technology and Services
Experience
CGI May 2014 - Present
FINRA April 2011 - May 2014
Fannie Mae January 2006 - March 2011
Sprint April 2005 - November 2006
Tata Elxsi February 2002 - March 2005
Sify May 2001 - February 2002
Pentamedia Graphics Limited January 1998 - May 2001
Skills
Test Cases, Test Scripts, Payment Card Processing, General Ledger, Cash Management, Account Reconciliation, Accruals, Quality Center, QTP, Agile Methodologies, User Acceptance Testing, SDLC, Requirements Analysis, Test Planning, LoadRunner, Testing, Configuration Management, Software Documentation, Scrum, Integration, Databases, SQL, Business Requirements, HP QTP
Education
Indira Gandhi National Open University 2000 — 2002
Master of Computer Applications, Computer Science
Loyola College, Chennai 1992 — 1995
Bachelor of Science, Chemistry
Thiru-vi-ka Hr Sec School 1990 — 1992
12th Grade, Computer Science
CGI May 2014 - Present
FINRA April 2011 - May 2014
Fannie Mae January 2006 - March 2011
Sprint April 2005 - November 2006
Tata Elxsi February 2002 - March 2005
Sify May 2001 - February 2002
Pentamedia Graphics Limited January 1998 - May 2001
Skills
Test Cases, Test Scripts, Payment Card Processing, General Ledger, Cash Management, Account Reconciliation, Accruals, Quality Center, QTP, Agile Methodologies, User Acceptance Testing, SDLC, Requirements Analysis, Test Planning, LoadRunner, Testing, Configuration Management, Software Documentation, Scrum, Integration, Databases, SQL, Business Requirements, HP QTP
Education
Indira Gandhi National Open University 2000 — 2002
Master of Computer Applications, Computer Science
Loyola College, Chennai 1992 — 1995
Bachelor of Science, Chemistry
Thiru-vi-ka Hr Sec School 1990 — 1992
12th Grade, Computer Science
Allen Fullerton Allen Fullerton's FINRA Experience 2006 - Present
Job Board of Arbitrators, FINRA Dispute Resolution
Industry Philanthropy
Experience
ContractPal, Inc. May 2011 - Present
FINRA 2006 - Present
Loon Mountain Ski School December 2005 - Present
Dana-Farber Cancer Institute September 1990 - Present
FAA - Private 1975 - Present
Harvard Business School - Class of 1969 1969 - Present
Episcopal Church March 1941 - Present
AARP September 2011 - June 2015
UBS Wealth Management January 2006 - December 2009
UBS Wealth Management September 1983 - December 2005
Skills
Financial Regulations, Fundraising, Non-profits, Assisting yonger people..., Finance, Financial Regulation, Management, Marketing, Mutual Funds, Mergers & Acquisitions, Leadership, Nonprofits, Program Management, Business Strategy, Strategic Planning, Team Leadership, New Business Development, Team Building, Teaching, Cross-functional Team..., Strategy, Leadership Development, Entrepreneurship, Start-ups, Budgets, Time Management, Community Outreach, Research, Analysis, Training, Government, Organizational..., Public Speaking
Education
Harvard Business School 1967 — 1969
MBA, Finance
United States Air Force Academy 1959 — 1963
BS, Aero Engineering
University of Nebraska-Lincoln 1958 — 1959
None, Major-Engineering
St. Petersburg High School 1955 — 1958
High School Diploma, College/University Preparatory and Advanced High School/Secondary Diploma Program
Boston College
Parent, Parent '86
University of Vermont
Parent '89
ContractPal, Inc. May 2011 - Present
FINRA 2006 - Present
Loon Mountain Ski School December 2005 - Present
Dana-Farber Cancer Institute September 1990 - Present
FAA - Private 1975 - Present
Harvard Business School - Class of 1969 1969 - Present
Episcopal Church March 1941 - Present
AARP September 2011 - June 2015
UBS Wealth Management January 2006 - December 2009
UBS Wealth Management September 1983 - December 2005
Skills
Financial Regulations, Fundraising, Non-profits, Assisting yonger people..., Finance, Financial Regulation, Management, Marketing, Mutual Funds, Mergers & Acquisitions, Leadership, Nonprofits, Program Management, Business Strategy, Strategic Planning, Team Leadership, New Business Development, Team Building, Teaching, Cross-functional Team..., Strategy, Leadership Development, Entrepreneurship, Start-ups, Budgets, Time Management, Community Outreach, Research, Analysis, Training, Government, Organizational..., Public Speaking
Education
Harvard Business School 1967 — 1969
MBA, Finance
United States Air Force Academy 1959 — 1963
BS, Aero Engineering
University of Nebraska-Lincoln 1958 — 1959
None, Major-Engineering
St. Petersburg High School 1955 — 1958
High School Diploma, College/University Preparatory and Advanced High School/Secondary Diploma Program
Boston College
Parent, Parent '86
University of Vermont
Parent '89
JJ Johnson JJ Johnson's FINRA Experience January 2008 - July 2008
Job Lead System Engineer at Booz Allen Hamilton
Industry Information Technology and Services
Experience
Booz Allen Hamilton March 2015 - Present
Aquilent February 2014 - April 2015
Celerity February 2013 - February 2014
Asurion September 2011 - November 2012
Asurion November 2009 - September 2011
Asurion July 2008 - December 2009
FINRA January 2008 - July 2008
Inserso January 2007 - January 2008
Fannie Mae September 2005 - January 2007
State of Tennessee Revenue Department December 2002 - September 2005
Skills
Meteor, Node.js, Express, MongoDB, MySQL, Web Development, Agile Methodologies, CSS, Git, PHP, Cloud Computing, Amazon EC2, DevOps, Docker, Web Services, Bootstrap, Jenkins, Python, jQuery, Information Architecture, JSON, Enterprise Architecture, Linux, Java, OOP, Sequelize, HTML, Drupal, Project Management, PostgreSQL, Open Source, grunt, Kohana Framework, Process Improvement, angular, JSP, PL/SQL, Django, Change Management, Laravel, Web Content Management, firebase, PhoneGap, MEAN, IDOC, Liferay, Oracle UCM, CodeIgniter, Redbean, Portals
Education
Harvard University 1998 — 2000
MA, Semitic Philology and the Pseudepigrapha
Hampden-Sydney College 1994 — 1998
BA, Philosophy, Religion
Booz Allen Hamilton March 2015 - Present
Aquilent February 2014 - April 2015
Celerity February 2013 - February 2014
Asurion September 2011 - November 2012
Asurion November 2009 - September 2011
Asurion July 2008 - December 2009
FINRA January 2008 - July 2008
Inserso January 2007 - January 2008
Fannie Mae September 2005 - January 2007
State of Tennessee Revenue Department December 2002 - September 2005
Skills
Meteor, Node.js, Express, MongoDB, MySQL, Web Development, Agile Methodologies, CSS, Git, PHP, Cloud Computing, Amazon EC2, DevOps, Docker, Web Services, Bootstrap, Jenkins, Python, jQuery, Information Architecture, JSON, Enterprise Architecture, Linux, Java, OOP, Sequelize, HTML, Drupal, Project Management, PostgreSQL, Open Source, grunt, Kohana Framework, Process Improvement, angular, JSP, PL/SQL, Django, Change Management, Laravel, Web Content Management, firebase, PhoneGap, MEAN, IDOC, Liferay, Oracle UCM, CodeIgniter, Redbean, Portals
Education
Harvard University 1998 — 2000
MA, Semitic Philology and the Pseudepigrapha
Hampden-Sydney College 1994 — 1998
BA, Philosophy, Religion
Eric J. Fiala, CFP® Eric J. Fiala, CFP®'s FINRA Experience March 2014 - Present
Job Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA March 2014 - Present
HSBC February 2013 - February 2014
Merrill Lynch February 2011 - February 2013
Wachovia, A Wells Fargo Company December 2009 - March 2011
Wachovia Bank February 2009 - December 2009
Wachovia Bank May 2007 - February 2009
Wachovia Retirement Services February 2006 - May 2007
Pei Wei Asian Diner June 2005 - February 2006
Skills
Series 7, Retirement Planning, Investments, Wealth Management, Portfolio Management, Mutual Funds, Retirement, Asset Allocation, Banking
Education
Georgetown University 2010 — 2010
Executive Certificate in Financial Planning
St. Olaf College 2000 — 2004
B.A., Sociology/Anthropology, Asian Studies
FINRA March 2014 - Present
HSBC February 2013 - February 2014
Merrill Lynch February 2011 - February 2013
Wachovia, A Wells Fargo Company December 2009 - March 2011
Wachovia Bank February 2009 - December 2009
Wachovia Bank May 2007 - February 2009
Wachovia Retirement Services February 2006 - May 2007
Pei Wei Asian Diner June 2005 - February 2006
Skills
Series 7, Retirement Planning, Investments, Wealth Management, Portfolio Management, Mutual Funds, Retirement, Asset Allocation, Banking
Education
Georgetown University 2010 — 2010
Executive Certificate in Financial Planning
St. Olaf College 2000 — 2004
B.A., Sociology/Anthropology, Asian Studies
Ashley Wroten Ashley Wroten's FINRA Experience January 2011 - May 2011
Job Associate Counsel at Ameriprise Financial Services, Inc.
Industry Law Practice
Experience
Ameriprise Financial Services, Inc. July 2014 - Present
Ameriprise Financial October 2013 - July 2014
Financial Industry Regulatory Authority July 2012 - October 2013
Snyder Kearney LLC May 2011 - June 2012
FINRA January 2011 - May 2011
Cohen, Snyder Eisenberg & Katzenberg, PA September 2009 - May 2010
Skills
Legal Research, Securities, Securities Litigation, Securities Regulation, Commercial Litigation, Legislative Relations, Corporate Law, Legal Writing, Westlaw, Civil Litigation, Lexis, Criminal Law, Legal Issues, Courts, Trials, Appeals, Document Review, Mediation, Intellectual Property, Litigation, International Law, Licensing
Education
Georgetown University Law Center 2010 — 2011
LL.M., Securities and Financial Regulation
University of Baltimore School of Law 2007 — 2010
J.D., Business Law
Towson University 2003 — 2007
B.S., Political Science
Ameriprise Financial Services, Inc. July 2014 - Present
Ameriprise Financial October 2013 - July 2014
Financial Industry Regulatory Authority July 2012 - October 2013
Snyder Kearney LLC May 2011 - June 2012
FINRA January 2011 - May 2011
Cohen, Snyder Eisenberg & Katzenberg, PA September 2009 - May 2010
Skills
Legal Research, Securities, Securities Litigation, Securities Regulation, Commercial Litigation, Legislative Relations, Corporate Law, Legal Writing, Westlaw, Civil Litigation, Lexis, Criminal Law, Legal Issues, Courts, Trials, Appeals, Document Review, Mediation, Intellectual Property, Litigation, International Law, Licensing
Education
Georgetown University Law Center 2010 — 2011
LL.M., Securities and Financial Regulation
University of Baltimore School of Law 2007 — 2010
J.D., Business Law
Towson University 2003 — 2007
B.S., Political Science
Jeff Chiappetta's FINRA Experience July 2003 - Present
Job Managing Director, Institutional Trading and Fixed Income at TD Ameritrade
Industry Financial Services
Experience
TD Ameritrade October 2010 - Present
FINRA July 2003 - Present
Charles Schwab April 2007 - October 2010
Charles Schwab November 2004 - April 2007
Charles Schwab September 1993 - November 2004
Skills
Series 7, Series 63, Series 24, Series 8, Series 4, Equities, FINRA, Fixed Income, Sales Management, Strategy, Trading, Options Strategies, Options, Mutual Funds, Futures Trading
Education
Hanover College 1989 — 1993
BA, Business Administration
TD Ameritrade October 2010 - Present
FINRA July 2003 - Present
Charles Schwab April 2007 - October 2010
Charles Schwab November 2004 - April 2007
Charles Schwab September 1993 - November 2004
Skills
Series 7, Series 63, Series 24, Series 8, Series 4, Equities, FINRA, Fixed Income, Sales Management, Strategy, Trading, Options Strategies, Options, Mutual Funds, Futures Trading
Education
Hanover College 1989 — 1993
BA, Business Administration
Matt Dwyer's FINRA Experience April 1999 - October 2004
Job President, MCD Consulting
Industry Financial Services
Experience
MCD Consulting 2010 - Present
PL Capital LLC November 2014 - Present
Olivet Nazarene University October 2007 - Present
Mesirow Financial October 2004 - November 2007
FINRA April 1999 - October 2004
Northern Trust April 1998 - April 1999
Skills
AML, Auditing, FINRA, Financial Services, Leadership, Program Management, Securities Regulation
Education
Olivet Nazarene University 2002 — 2004
MBA
Governors State University 1994 — 1998
B.A., Finance
Rich East H.S.
MCD Consulting 2010 - Present
PL Capital LLC November 2014 - Present
Olivet Nazarene University October 2007 - Present
Mesirow Financial October 2004 - November 2007
FINRA April 1999 - October 2004
Northern Trust April 1998 - April 1999
Skills
AML, Auditing, FINRA, Financial Services, Leadership, Program Management, Securities Regulation
Education
Olivet Nazarene University 2002 — 2004
MBA
Governors State University 1994 — 1998
B.A., Finance
Rich East H.S.
Nia A. Mobley Nia A. Mobley's FINRA Experience October 2006 - April 2010
Job Event Planner
Industry Events Services
Experience
Purposeful Events June 2010 - Present
FINRA October 2006 - April 2010
Gilda's Club of Greater Washington December 2004 - November 2006
Skills
Event Planning, Event Management, Media Relations, Social Media Marketing, Public Relations, Social Media, Corporate Events, Project Planning, Press Releases, Marketing Strategy, Budgets, Marketing, Training, Trade Shows, Social Networking, Public Speaking, Management, Microsoft Office, Customer Service, Vendor Relations, PowerPoint, Corporate Communications, Marketing Communications, Newsletters, Budgeting, Conferences, Facebook, Fundraising, Microsoft Word, Nonprofits, Microsoft Excel, Blogging, Event Designing
Education
Howard University 2001 — 2005
BA, Journalism/Public Relations
Temple University 2000 — 2001
N/A, Communications
Purposeful Events June 2010 - Present
FINRA October 2006 - April 2010
Gilda's Club of Greater Washington December 2004 - November 2006
Skills
Event Planning, Event Management, Media Relations, Social Media Marketing, Public Relations, Social Media, Corporate Events, Project Planning, Press Releases, Marketing Strategy, Budgets, Marketing, Training, Trade Shows, Social Networking, Public Speaking, Management, Microsoft Office, Customer Service, Vendor Relations, PowerPoint, Corporate Communications, Marketing Communications, Newsletters, Budgeting, Conferences, Facebook, Fundraising, Microsoft Word, Nonprofits, Microsoft Excel, Blogging, Event Designing
Education
Howard University 2001 — 2005
BA, Journalism/Public Relations
Temple University 2000 — 2001
N/A, Communications
Nate McCray Nate McCray's FINRA Experience August 2008 - May 2009
Job Global Regulatory Analyst at Bausch & Lomb
Industry Financial Services
Experience
Alliance for Quality Education August 2009 - Present
Alliance for Quality Education/Metro Justice May 2009 - Present
FINRA Dispute August 2008 - Present
ACN July 2008 - Present
GAB Robins January 2008 - Present
CIGNA January 2007 - Present
Bausch & Lomb June 2010 - July 2011
Bausch & Lomb July 2010 - June 2011
FINRA August 2008 - May 2009
GAB Robins July 2006 - June 2008
Education
Fashion Institute of Technology 2001 — 2005
Fashion Institute of Technology, SUNY
Associates of Applied Science, 2004; Advertising & Marketing Communication
Alliance for Quality Education August 2009 - Present
Alliance for Quality Education/Metro Justice May 2009 - Present
FINRA Dispute August 2008 - Present
ACN July 2008 - Present
GAB Robins January 2008 - Present
CIGNA January 2007 - Present
Bausch & Lomb June 2010 - July 2011
Bausch & Lomb July 2010 - June 2011
FINRA August 2008 - May 2009
GAB Robins July 2006 - June 2008
Education
Fashion Institute of Technology 2001 — 2005
Fashion Institute of Technology, SUNY
Associates of Applied Science, 2004; Advertising & Marketing Communication
Nicole Soriano Nicole Soriano's FINRA Experience August 2010 - December 2010
Job Corporate and Hedge Fund Attorney
Industry Law Practice
Experience
Hutner Klarish LLP November 2013 - Present
Arent Fox September 2011 - November 2013
In-House at Major International Fashion Company (secondment) April 2013 - August 2013
FINRA August 2010 - December 2010
Sullivan & Cromwell LLP 2006 - 2008
Skills
Spanish, Legal Writing, Corporate Law, Legal Research, Westlaw, International Law, Securities Regulation, Intellectual Property
Education
Fordham University School of Law 2008 — 2011
Juris Doctor
Tufts University 2002 — 2006
BA, Politics and International Relations
Hutner Klarish LLP November 2013 - Present
Arent Fox September 2011 - November 2013
In-House at Major International Fashion Company (secondment) April 2013 - August 2013
FINRA August 2010 - December 2010
Sullivan & Cromwell LLP 2006 - 2008
Skills
Spanish, Legal Writing, Corporate Law, Legal Research, Westlaw, International Law, Securities Regulation, Intellectual Property
Education
Fordham University School of Law 2008 — 2011
Juris Doctor
Tufts University 2002 — 2006
BA, Politics and International Relations
Neil Schachter Neil Schachter's FINRA Experience May 2007 - August 2007
Job Director, Prime Brokerage Compliance at Fidelity Investments
Industry Investment Banking
Experience
Fidelity Investments January 2013 - Present
Barclays Investment Bank May 2010 - January 2013
FINRA May 2007 - August 2007
US Securities and Exchange Commission January 2007 - April 2007
US Securities and Exchange Commission September 2006 - November 2006
Education
Georgetown University Law Center
LL.M, Securities and Financial Regulation
The Catholic University of America, Columbus School of Law
JD, Concentration in Securities
Emory University
Bachelor of Arts
Fidelity Investments January 2013 - Present
Barclays Investment Bank May 2010 - January 2013
FINRA May 2007 - August 2007
US Securities and Exchange Commission January 2007 - April 2007
US Securities and Exchange Commission September 2006 - November 2006
Education
Georgetown University Law Center
LL.M, Securities and Financial Regulation
The Catholic University of America, Columbus School of Law
JD, Concentration in Securities
Emory University
Bachelor of Arts
Anirudh Sarna's FINRA Experience August 2009 - December 2009
Job Presidential Management Fellow at the Consumer Financial Protection Bureau
Industry Financial Services
Experience
Consumer Financial Protection Bureau June 2014 - Present
Bethesda Tutors August 2013 - Present
Georgetown University Initiative on Innovation, Development and Evaluation August 2012 - Present
Georgetown University August 2012 - Present
Georgetown University August 2011 - Present
Sentinel Applied Analytics January 2014 - June 2014
FDIC May 2012 - June 2013
U.S. Department of State October 2011 - January 2012
University of Maryland, College Park August 2006 - May 2010
FINRA August 2009 - December 2009
Skills
Policy Analysis, Public Policy, Stata, International..., Data Analysis, Qualitative Research, Economics, Non-profits, Community Outreach, International Relations, Public Speaking, Mandarin, SPSS, Microsoft Office, SAS, Microsoft Excel, Microsoft Word, PowerPoint, Keynote, Research, Quantitative Research, Survey Design, Quantitative Analytics, Econometrics, Economic Development, Economic Research, International Economics, Randomization, Impact Evaluation, Impact Assessment, Statistics, Analysis, Government, Political Science, Program Evaluation, Leadership
Education
Georgetown University 2011 — 2013
Master's of Public Policy, International Policy Analysis
University of Maryland College Park 2006 — 2010
B.A., Economics & Finance Dual Degree
Consumer Financial Protection Bureau June 2014 - Present
Bethesda Tutors August 2013 - Present
Georgetown University Initiative on Innovation, Development and Evaluation August 2012 - Present
Georgetown University August 2012 - Present
Georgetown University August 2011 - Present
Sentinel Applied Analytics January 2014 - June 2014
FDIC May 2012 - June 2013
U.S. Department of State October 2011 - January 2012
University of Maryland, College Park August 2006 - May 2010
FINRA August 2009 - December 2009
Skills
Policy Analysis, Public Policy, Stata, International..., Data Analysis, Qualitative Research, Economics, Non-profits, Community Outreach, International Relations, Public Speaking, Mandarin, SPSS, Microsoft Office, SAS, Microsoft Excel, Microsoft Word, PowerPoint, Keynote, Research, Quantitative Research, Survey Design, Quantitative Analytics, Econometrics, Economic Development, Economic Research, International Economics, Randomization, Impact Evaluation, Impact Assessment, Statistics, Analysis, Government, Political Science, Program Evaluation, Leadership
Education
Georgetown University 2011 — 2013
Master's of Public Policy, International Policy Analysis
University of Maryland College Park 2006 — 2010
B.A., Economics & Finance Dual Degree
Daniel (Dan) Poole, CFA Daniel (Dan) Poole, CFA's FINRA Experience 2005 - Present
Job President at SA on Call
Industry Investment Management
Experience
SA on Call, LLC 2009 - Present
FINRA 2005 - Present
Lake Erie Nature & Science Center 2004 - December 2010
National City Private Client Group October 1997 - June 2009
Oppenheimer & Co. 1994 - 1997
H&R Block Financial Advisors 1991 - 1993
Skills
Portfolio Management, Equity Research, Capital Markets, Compliance, Research, Finance, Investments, Asset Management, Financial Modeling, FINRA, Securities, Equities, Series 7, Mutual Funds, Bloomberg, Investment Management
Education
University of Detroit 1986 — 1988
M.B.A.
Eastern Michigan University 1980 — 1984
B.A.
SA on Call, LLC 2009 - Present
FINRA 2005 - Present
Lake Erie Nature & Science Center 2004 - December 2010
National City Private Client Group October 1997 - June 2009
Oppenheimer & Co. 1994 - 1997
H&R Block Financial Advisors 1991 - 1993
Skills
Portfolio Management, Equity Research, Capital Markets, Compliance, Research, Finance, Investments, Asset Management, Financial Modeling, FINRA, Securities, Equities, Series 7, Mutual Funds, Bloomberg, Investment Management
Education
University of Detroit 1986 — 1988
M.B.A.
Eastern Michigan University 1980 — 1984
B.A.
Lucille A. Daileader's FINRA Experience 2004 - December 2008
Job FACILITIES
Industry Facilities Services
Experience
Contractor July 2015 - Present
NYC Department of Education February 2013 - Present
Details Oriented January 2010 - Present
The Renaissance School of the Arts November 2013 - November 2013
The Guardian Life Insurance Company of America June 2010 - September 2010
FINRA 2004 - December 2008
Arch Insurance Group 2004 - 2004
Guardian Life Insurance 1996 - 2003
CNA Insurance 1988 - 1995
Skills
Interior Design, Set Design, Administration, Furniture, Space Planning, AutoCAD, Microsoft Office, Outlook, Vendor Relations, Word, Coordination, Customer Service, Excel, Budgeting, Scheduling, Purchasing, Supervisory Skills, Event Management, Property Management, Contract Management, Proposal Writing, Vendor Management, Customer Relations, Problem Solving, Documentation, Inventory Management, Event Planning, Strategic Planning, Time Management, Research, Process Improvement, Planning, Facilities Management, Procurement, Negotiation, Public Speaking, Team Building, Contract Negotiation, Budget Management, Billing, Office Management, Teamwork, Administrative Support, Team Leadership, Forecasting, Real Estate, Mentoring, English, Windows, Operations Management
Education
New York Institute of Technology-Old Westbury 1964 — 1968
BFA, Interior and Stage Design
Hofstra University
MS, Education
Contractor July 2015 - Present
NYC Department of Education February 2013 - Present
Details Oriented January 2010 - Present
The Renaissance School of the Arts November 2013 - November 2013
The Guardian Life Insurance Company of America June 2010 - September 2010
FINRA 2004 - December 2008
Arch Insurance Group 2004 - 2004
Guardian Life Insurance 1996 - 2003
CNA Insurance 1988 - 1995
Skills
Interior Design, Set Design, Administration, Furniture, Space Planning, AutoCAD, Microsoft Office, Outlook, Vendor Relations, Word, Coordination, Customer Service, Excel, Budgeting, Scheduling, Purchasing, Supervisory Skills, Event Management, Property Management, Contract Management, Proposal Writing, Vendor Management, Customer Relations, Problem Solving, Documentation, Inventory Management, Event Planning, Strategic Planning, Time Management, Research, Process Improvement, Planning, Facilities Management, Procurement, Negotiation, Public Speaking, Team Building, Contract Negotiation, Budget Management, Billing, Office Management, Teamwork, Administrative Support, Team Leadership, Forecasting, Real Estate, Mentoring, English, Windows, Operations Management
Education
New York Institute of Technology-Old Westbury 1964 — 1968
BFA, Interior and Stage Design
Hofstra University
MS, Education
Robin Traxler Robin Traxler's FINRA Experience May 2010 - April 2012
Job Vice President of Regulatory Affairs and Associate General Counsel at Financial Services Institute
Industry Financial Services
Experience
Financial Services Institute April 2015 - Present
Financial Services Institute June 2013 - Present
Financial Industry Regulatory Authority April 2012 - May 2013
FINRA May 2010 - April 2012
MassMutual Financial Group May 2009 - April 2010
Thrivent Financial September 2004 - August 2008
Target 2000 - 2002
Skills
Securities, AML, FINRA, Securities Regulation, Series 7, Investments, Legal Research, Series 24, Investment Advisory..., Broker-Dealer Compliance, Broker-Dealer, Life Insurance, Investment Advisers Act, General Securities..., Securities Exchange Act..., Financial Services, Fraud Detection, Certified Fraud Examiner, Corporate Governance, Corporate Law, Anti Money Laundering
Education
William Mitchell College of Law 1999 — 2002
J.D., Law
Eckerd College 1995 — 1998
B.A., Political Science
Mahtomedi High School
Financial Services Institute April 2015 - Present
Financial Services Institute June 2013 - Present
Financial Industry Regulatory Authority April 2012 - May 2013
FINRA May 2010 - April 2012
MassMutual Financial Group May 2009 - April 2010
Thrivent Financial September 2004 - August 2008
Target 2000 - 2002
Skills
Securities, AML, FINRA, Securities Regulation, Series 7, Investments, Legal Research, Series 24, Investment Advisory..., Broker-Dealer Compliance, Broker-Dealer, Life Insurance, Investment Advisers Act, General Securities..., Securities Exchange Act..., Financial Services, Fraud Detection, Certified Fraud Examiner, Corporate Governance, Corporate Law, Anti Money Laundering
Education
William Mitchell College of Law 1999 — 2002
J.D., Law
Eckerd College 1995 — 1998
B.A., Political Science
Mahtomedi High School
John Ampah John Ampah's FINRA Experience December 1986 - March 2008
Job Pleasure
Industry International Affairs
Experience
Self-employed April 2008 - Present
FINRA December 1986 - March 2008
Skills
International Relations, Public Speaking, Microsoft Office, Research, Nonprofits, Community Outreach, Grant Writing, FINRA, Program Development, Program Management, Bonds, Mutual Funds, Investments, Equities, Securities Regulation, Securities, Project Management, Customer Service
Education
University of Pittsburgh 1965 — 1967
Master of Arts (M.A.), Economics
Howard University 1961 — 1965
Bachelor's degree, Liberal Arts and Sciences/Liberal Studies
Howard University 1961 — 1965
Self-employed April 2008 - Present
FINRA December 1986 - March 2008
Skills
International Relations, Public Speaking, Microsoft Office, Research, Nonprofits, Community Outreach, Grant Writing, FINRA, Program Development, Program Management, Bonds, Mutual Funds, Investments, Equities, Securities Regulation, Securities, Project Management, Customer Service
Education
University of Pittsburgh 1965 — 1967
Master of Arts (M.A.), Economics
Howard University 1961 — 1965
Bachelor's degree, Liberal Arts and Sciences/Liberal Studies
Howard University 1961 — 1965
Joshua Moline's FINRA Experience 2007 - 2010
Job User Research | UX Design | UI Development
Industry Information Technology and Services
Experience
Independent Consultant 2014 - Present
Practice Fusion 2013 - 2014
Huawei 2010 - 2013
FINRA 2007 - 2010
Indepent Consultant 2001 - 2010
WisdomTools 2002 - 2009
PeopleSoft 2000 - 2001
Indiana University 1995 - 2000
Skills
User Interface Design, User Experience, Usability, Mobile Applications, Interaction Design, Information Architecture, CSS, ActionScript, HTML, PHP, Photoshop, Flex, Illustrator, XML, Flash, Rapid Prototyping, OmniGraffle, Project Management, Product Management, User Interface..., Fireworks, JavaScript, jQuery, Yeoman, Angular JS, Ember JS, Ext JS, Bower, Grunt, Famous, GIT, SublimeText, Eclipse, Java, Unreal Engine, Unity3D, Oculus Rift, Drupal, D3.js, Three.js, WebVR, Virtual Reality
Education
Indiana University Bloomington 2002 — 2003
MA, Informatics - Human Computer Interaction
Indiana University Bloomington 1993 — 1997
BA, Anthropology (Archaeology)
Independent Consultant 2014 - Present
Practice Fusion 2013 - 2014
Huawei 2010 - 2013
FINRA 2007 - 2010
Indepent Consultant 2001 - 2010
WisdomTools 2002 - 2009
PeopleSoft 2000 - 2001
Indiana University 1995 - 2000
Skills
User Interface Design, User Experience, Usability, Mobile Applications, Interaction Design, Information Architecture, CSS, ActionScript, HTML, PHP, Photoshop, Flex, Illustrator, XML, Flash, Rapid Prototyping, OmniGraffle, Project Management, Product Management, User Interface..., Fireworks, JavaScript, jQuery, Yeoman, Angular JS, Ember JS, Ext JS, Bower, Grunt, Famous, GIT, SublimeText, Eclipse, Java, Unreal Engine, Unity3D, Oculus Rift, Drupal, D3.js, Three.js, WebVR, Virtual Reality
Education
Indiana University Bloomington 2002 — 2003
MA, Informatics - Human Computer Interaction
Indiana University Bloomington 1993 — 1997
BA, Anthropology (Archaeology)
Eric Barger's FINRA Experience January 2007 - August 2010
Job Chief Talent Officer at Stansberry Research
Industry Financial Services
Experience
Stansberry Research November 2014 - Present
McCormick August 2011 - November 2014
McCormick August 2011 - December 2012
Constellation Energy August 2010 - September 2011
FINRA January 2007 - August 2010
Discovery Communications (Discovery Channel) June 2004 - January 2007
Skills
Succession Planning, Talent Management, Organizational..., Performance Management, Talent Acquisition, Onboarding, Workforce Planning, Leadership Development, Organizational Design, Employee Engagement, Organizational..., HRIS, Personnel Management, Applicant Tracking..., College Recruiting, Strategy
Education
George Mason University 1999 — 2004
Ph.D., Industrial/Organizational Psychology
George Mason University 1997 — 1999
Masterâs Degree, Industrial/Organizational Psychology
University of Maryland Baltimore County 1993 — 1997
Bachelor of Arts (B.A.), Psychology
Stansberry Research November 2014 - Present
McCormick August 2011 - November 2014
McCormick August 2011 - December 2012
Constellation Energy August 2010 - September 2011
FINRA January 2007 - August 2010
Discovery Communications (Discovery Channel) June 2004 - January 2007
Skills
Succession Planning, Talent Management, Organizational..., Performance Management, Talent Acquisition, Onboarding, Workforce Planning, Leadership Development, Organizational Design, Employee Engagement, Organizational..., HRIS, Personnel Management, Applicant Tracking..., College Recruiting, Strategy
Education
George Mason University 1999 — 2004
Ph.D., Industrial/Organizational Psychology
George Mason University 1997 — 1999
Masterâs Degree, Industrial/Organizational Psychology
University of Maryland Baltimore County 1993 — 1997
Bachelor of Arts (B.A.), Psychology
Michael Dillon Michael Dillon's FINRA Experience February 2012 - Present
Job Vice President, Development Services at FINRA
Industry Information Technology and Services
Experience
FINRA February 2012 - Present
FINRA March 2009 - March 2012
FINRA April 2006 - March 2009
FGM, Inc. 2001 - 2006
Skills
Release Management, Vendor Management, Software Quality..., Change Management, Testing, Business Analysis, IT Strategy, Configuration Management, Cloud Computing, Business Process..., Management, Agile Project Management, Requirements Management, SharePoint, Security, PMO, Scrum, Business Process, CMMI, PMP, Agile Methodologies, Business Intelligence, Databases, Enterprise Software, Governance, Quality Assurance, Requirements Analysis, SDLC, Solution Architecture
Education
Golden Gate University
FINRA February 2012 - Present
FINRA March 2009 - March 2012
FINRA April 2006 - March 2009
FGM, Inc. 2001 - 2006
Skills
Release Management, Vendor Management, Software Quality..., Change Management, Testing, Business Analysis, IT Strategy, Configuration Management, Cloud Computing, Business Process..., Management, Agile Project Management, Requirements Management, SharePoint, Security, PMO, Scrum, Business Process, CMMI, PMP, Agile Methodologies, Business Intelligence, Databases, Enterprise Software, Governance, Quality Assurance, Requirements Analysis, SDLC, Solution Architecture
Education
Golden Gate University
Jenee Ward Jenee Ward's FINRA Experience November 2005 - Present
Job Paralegal at FINRA
Industry Financial Services
Experience
FINRA November 2005 - Present
Safeco Asset Management June 1995 - June 2004
Skills
Legal Research, Microsoft Office, Community Outreach, Courts, Arbitration, Legal Writing, Securities, Banking, Document Review, Leadership, Project Management, Westlaw
Education
University of Phoenix 2007 — 2009
Master of Science (M.S.), Criminal Justice/Safety Studies
University of Phoenix 2004 — 2007
Bachelor of Science (BS), Criminal Justice and Corrections
Edmonds Community College 2003 — 2004
Paralegal Certificate
FINRA November 2005 - Present
Safeco Asset Management June 1995 - June 2004
Skills
Legal Research, Microsoft Office, Community Outreach, Courts, Arbitration, Legal Writing, Securities, Banking, Document Review, Leadership, Project Management, Westlaw
Education
University of Phoenix 2007 — 2009
Master of Science (M.S.), Criminal Justice/Safety Studies
University of Phoenix 2004 — 2007
Bachelor of Science (BS), Criminal Justice and Corrections
Edmonds Community College 2003 — 2004
Paralegal Certificate
Rebecca Altman RN, MBA Rebecca Altman RN, MBA's FINRA Experience June 2005 - October 2008
Job Managing Director at BRG
Industry Hospital & Health Care
Experience
BRG Berkeley Research Group May 2015 - Present
George Washington University May 2014 - Present
xG Health Solutions November 2013 - April 2015
Johns Hopkins Medicine International May 2011 - January 2013
Johns Hopkins Home Care Group December 2010 - May 2011
Middleton Gardiner Group, LLC January 2010 - December 2010
FINRA June 2005 - October 2008
Skills
Project Management, Finance, Management, Investment Management, Financial Analysis, Investments, Asset Managment, Strategic Planning, International Relations, Negotiation, New Business Development, International Project..., Business Planning, Strategy, Business Development, Leadership, Strategic Partnerships, Program Management, Public Speaking
Education
The George Washington University - School of Business 2006 — 2009
MBA, Finance, International Business
Franklin & Marshall College 2001 — 2005
BA, Finance, Accounting, French
Lancaster General School of Nursing 1996 — 1999
RN, Nursing, Open Heart
Solanco highschool
BRG Berkeley Research Group May 2015 - Present
George Washington University May 2014 - Present
xG Health Solutions November 2013 - April 2015
Johns Hopkins Medicine International May 2011 - January 2013
Johns Hopkins Home Care Group December 2010 - May 2011
Middleton Gardiner Group, LLC January 2010 - December 2010
FINRA June 2005 - October 2008
Skills
Project Management, Finance, Management, Investment Management, Financial Analysis, Investments, Asset Managment, Strategic Planning, International Relations, Negotiation, New Business Development, International Project..., Business Planning, Strategy, Business Development, Leadership, Strategic Partnerships, Program Management, Public Speaking
Education
The George Washington University - School of Business 2006 — 2009
MBA, Finance, International Business
Franklin & Marshall College 2001 — 2005
BA, Finance, Accounting, French
Lancaster General School of Nursing 1996 — 1999
RN, Nursing, Open Heart
Solanco highschool
Mayank Shah (PMP) Mayank Shah (PMP)'s FINRA Experience August 2008 - Present
Job Sr System Analyst at Kingston Consulting LLC
Industry Information Technology and Services
Experience
FINRA August 2008 - Present
NYSE Euronext 2006 - 2008
Meditab Software 2004 - 2005
Skills
Oracle, SDLC, Cognos 10.2, Agile Methodologies, PL/SQL, Sr System Analyst, Sybase, Unix, PMP, Requirements Analysis, SOA, Software Project..., Solution Architecture, Enterprise Architecture, Java Enterprise Edition
Education
Gujarat University 1994 — 1997
Bachelor of Science, Statistics
FINRA August 2008 - Present
NYSE Euronext 2006 - 2008
Meditab Software 2004 - 2005
Skills
Oracle, SDLC, Cognos 10.2, Agile Methodologies, PL/SQL, Sr System Analyst, Sybase, Unix, PMP, Requirements Analysis, SOA, Software Project..., Solution Architecture, Enterprise Architecture, Java Enterprise Edition
Education
Gujarat University 1994 — 1997
Bachelor of Science, Statistics
Eric Howard Eric Howard's FINRA Experience May 2009 - August 2009
Job Entrepreneur and Attorney
Industry Law Practice
Experience
Elegran Real Estate & Development August 2012 - Present
Conde Nast December 2011 - January 2012
BDO USA, LLP 2012 - 2012
Bondi Iovino & Fusco October 2011 - December 2011
dd172 January 2011 - April 2011
The Arther Law Firm August 2010 - February 2011
GUADAGNOLI & ASSOCIATES P.C June 2010 - August 2010
Securities Arbitration Clinic January 2010 - May 2010
VP Records August 2009 - November 2009
FINRA May 2009 - August 2009
Skills
Westlaw, Lexis, EDGAR, Bloomberg, Licensing, Courts, Legal Research, Legal Writing, Litigation Support, Litigation, Corporate Law, Intellectual Property, Securities Regulation, Mediation, Entertainment Law, Contractual Agreements, Contract Negotiation, Real Estate, Real Estate Transactions, Trials, Music Industry, Music Publishing, Bankruptcy, International Law, Leases, Legal Issues, Joint Ventures
Education
Saint John's University School of Law 2008 — 2011
JD
Howard University 2004 — 2008
BBA, Finance
Elegran Real Estate & Development August 2012 - Present
Conde Nast December 2011 - January 2012
BDO USA, LLP 2012 - 2012
Bondi Iovino & Fusco October 2011 - December 2011
dd172 January 2011 - April 2011
The Arther Law Firm August 2010 - February 2011
GUADAGNOLI & ASSOCIATES P.C June 2010 - August 2010
Securities Arbitration Clinic January 2010 - May 2010
VP Records August 2009 - November 2009
FINRA May 2009 - August 2009
Skills
Westlaw, Lexis, EDGAR, Bloomberg, Licensing, Courts, Legal Research, Legal Writing, Litigation Support, Litigation, Corporate Law, Intellectual Property, Securities Regulation, Mediation, Entertainment Law, Contractual Agreements, Contract Negotiation, Real Estate, Real Estate Transactions, Trials, Music Industry, Music Publishing, Bankruptcy, International Law, Leases, Legal Issues, Joint Ventures
Education
Saint John's University School of Law 2008 — 2011
JD
Howard University 2004 — 2008
BBA, Finance
Brent R. Shelton Brent R. Shelton's FINRA Experience 1994 - June 1997
Job Accounting
Industry Financial Services
Experience
Accounting January 2012 - Present
Seeking Alpha January 2008 - Present
Bay Area Global Partners, LLC November 2014 - Present
Magic Consulting, Hedge Fund August 1999 - August 2003
Oppenheimer & Co. Inc. July 1997 - August 1999
FINRA 1994 - June 1997
Office of independent Counsel January 1994 - December 1995
Skills
Financial Statement..., Accounting Research, Forensic Accounting, Financial Modeling, DCF Valuation, Forecasting Quarterly..., Intrinsic Valuation, Securities, Valuation, Equity Research
Education
Golden Gate University 2004 — 2007
Macc, Accounting
Golden Gate University 2004 — 2007
Masters Certificate in Finance, Finance, General
George Mason University 1990 — 1994
BA, Government
Accounting January 2012 - Present
Seeking Alpha January 2008 - Present
Bay Area Global Partners, LLC November 2014 - Present
Magic Consulting, Hedge Fund August 1999 - August 2003
Oppenheimer & Co. Inc. July 1997 - August 1999
FINRA 1994 - June 1997
Office of independent Counsel January 1994 - December 1995
Skills
Financial Statement..., Accounting Research, Forensic Accounting, Financial Modeling, DCF Valuation, Forecasting Quarterly..., Intrinsic Valuation, Securities, Valuation, Equity Research
Education
Golden Gate University 2004 — 2007
Macc, Accounting
Golden Gate University 2004 — 2007
Masters Certificate in Finance, Finance, General
George Mason University 1990 — 1994
BA, Government
Donald Morris Donald Morris's FINRA Experience June 2000 - Present
Job Morris Financial Group at Raymond James
Industry Financial Services
Experience
Raymond James Financial Services, Inc. Member FINRA/SIPC March 2009 - Present
FINRA June 2000 - Present
Smith Barney 1994 - 2009
Skills
Retirement Planning, Series 7, Estate Planning, Asset Allocation, Mutual Funds, Investments, Asset Managment, 401k, IRAs, 401k Rollovers, Financial Services, Portfolio Management, Equities, Long-term Care, Life Insurance, Bonds, Variable Annuities, Investment Management, ETFs, Wealth Management..., Wealth, Succession Planning, Investment Strategies, Fixed Annuities, Securities, Investment Advisory, Insurance, Strategic Financial..., Financial Advisory, Wealth Management, Retirement, Asset Management, Series 63
Education
Franklin University 1978 — 1981
Bachelor of Science
The Ohio State University
Raymond James Financial Services, Inc. Member FINRA/SIPC March 2009 - Present
FINRA June 2000 - Present
Smith Barney 1994 - 2009
Skills
Retirement Planning, Series 7, Estate Planning, Asset Allocation, Mutual Funds, Investments, Asset Managment, 401k, IRAs, 401k Rollovers, Financial Services, Portfolio Management, Equities, Long-term Care, Life Insurance, Bonds, Variable Annuities, Investment Management, ETFs, Wealth Management..., Wealth, Succession Planning, Investment Strategies, Fixed Annuities, Securities, Investment Advisory, Insurance, Strategic Financial..., Financial Advisory, Wealth Management, Retirement, Asset Management, Series 63
Education
Franklin University 1978 — 1981
Bachelor of Science
The Ohio State University
John Horan, CAMS, MBA John Horan, CAMS, MBA's FINRA Experience 1987 - 1997
Job Investigations Specialist at FDIC
Industry Financial Services
Experience
FDIC March 2011 - Present
ACFE 2012 - 2012
Union Bank January 2011 - March 2011
FDIC October 2009 - May 2010
Northern Trust 2005 - 2009
Capital One 2003 - 2005
AXA Equitable 2002 - 2003
E*TRADE Financial 1998 - 2001
Charles Schwab 1997 - 1998
FINRA 1987 - 1997
Skills
AML, Risk Management, Financial Risk, Due Diligence, Internal Controls, Banking, Auditing, Project Management, Enterprise Risk..., Internal Audit, Operational Risk..., Risk Assessment, Asset Managment, Sarbanes-Oxley Act, Financial Analysis, Financial Services, Fraud, Loans
Education
American Bankers Association (ABA) National Compliance School 2004 — 2004
Golden Gate University 1992 — 1994
MBA, Corporate Finance
University of Colorado Boulder - Leeds School of Business 1983 — 1986
BS, Corporate Finance
Palo Alto High School 1976 — 1980
GE
FDIC March 2011 - Present
ACFE 2012 - 2012
Union Bank January 2011 - March 2011
FDIC October 2009 - May 2010
Northern Trust 2005 - 2009
Capital One 2003 - 2005
AXA Equitable 2002 - 2003
E*TRADE Financial 1998 - 2001
Charles Schwab 1997 - 1998
FINRA 1987 - 1997
Skills
AML, Risk Management, Financial Risk, Due Diligence, Internal Controls, Banking, Auditing, Project Management, Enterprise Risk..., Internal Audit, Operational Risk..., Risk Assessment, Asset Managment, Sarbanes-Oxley Act, Financial Analysis, Financial Services, Fraud, Loans
Education
American Bankers Association (ABA) National Compliance School 2004 — 2004
Golden Gate University 1992 — 1994
MBA, Corporate Finance
University of Colorado Boulder - Leeds School of Business 1983 — 1986
BS, Corporate Finance
Palo Alto High School 1976 — 1980
GE
Tom Deck Tom Deck's FINRA Experience June 1996 - May 1999
Job Chief Compliance Officer at M&T Securities
Industry Financial Services
Experience
M&T Securities August 2014 - Present
M&T Securities, Inc August 2013 - August 2014
Nationwide Securities LLC May 2012 - August 2013
Independent Contractor June 2011 - May 2012
BNY Mellon December 2007 - February 2011
PNC Global Investment Servicing December 2007 - June 2010
ING DIRECT January 2001 - December 2007
ING Funds May 1999 - December 2000
FINRA June 1996 - May 1999
Merril Lynch October 1995 - June 1996
Skills
Change Management, Asset Management, Compliance, Operations Management, Broker Dealer management, Securities Regulation, Six Sigma, Asset Managment, Finance, Financial Services, Mutual Funds, Call Centers, Financial Risk, Risk Management, Financial Analysis, Process Improvement, Loans, Management, Brokerage
Education
Temple University - Fox School of Business and Management 1993 — 1995
MBA, Finance
Franklin & Marshall College 1987 — 1991
BA
Hurstpierpoint College 1982 — 1986
O & A Levels
M&T Securities August 2014 - Present
M&T Securities, Inc August 2013 - August 2014
Nationwide Securities LLC May 2012 - August 2013
Independent Contractor June 2011 - May 2012
BNY Mellon December 2007 - February 2011
PNC Global Investment Servicing December 2007 - June 2010
ING DIRECT January 2001 - December 2007
ING Funds May 1999 - December 2000
FINRA June 1996 - May 1999
Merril Lynch October 1995 - June 1996
Skills
Change Management, Asset Management, Compliance, Operations Management, Broker Dealer management, Securities Regulation, Six Sigma, Asset Managment, Finance, Financial Services, Mutual Funds, Call Centers, Financial Risk, Risk Management, Financial Analysis, Process Improvement, Loans, Management, Brokerage
Education
Temple University - Fox School of Business and Management 1993 — 1995
MBA, Finance
Franklin & Marshall College 1987 — 1991
BA
Hurstpierpoint College 1982 — 1986
O & A Levels
Barbara Duffy Barbara Duffy's FINRA Experience June 2010 - April 2012
Job Compliance Officer
Industry Financial Services
Experience
Millennium Partners November 2013 - Present
Ernst & Young April 2012 - November 2013
FINRA June 2010 - April 2012
The New York Stock Exchange February 2006 - June 2010
Federal Aviation Administration May 2004 - October 2005
Skills
Financial Services, Integration, Legal Writing, Investments, Marketing, Management, Project Management, Policy, Risk Management, Research, Securities, Securities Regulation, Trading, Equities, Capital Markets, Business Strategy, Analysis, Finance
Education
Fordham University - Graduate School of Business Administration 2008 — 2010
MBA, Management and Marketing
Lehigh University 2000 — 2004
BA, Political Science and English
Pleasantville High School 1996 — 2000
Millennium Partners November 2013 - Present
Ernst & Young April 2012 - November 2013
FINRA June 2010 - April 2012
The New York Stock Exchange February 2006 - June 2010
Federal Aviation Administration May 2004 - October 2005
Skills
Financial Services, Integration, Legal Writing, Investments, Marketing, Management, Project Management, Policy, Risk Management, Research, Securities, Securities Regulation, Trading, Equities, Capital Markets, Business Strategy, Analysis, Finance
Education
Fordham University - Graduate School of Business Administration 2008 — 2010
MBA, Management and Marketing
Lehigh University 2000 — 2004
BA, Political Science and English
Pleasantville High School 1996 — 2000
Debra Speyer Debra Speyer's FINRA Experience October 1987 - July 1990
Job Elder Law Attorney | Wall Street Fraud Attorney | Probate Attorney | Estate Planning | Investment Fraud Recovery
Industry Law Practice
Experience
Debra G. Speyer Law Offices July 1990 - Present
Professional Services of Coconut Grove, LLC 2006 - 2013
FINRA October 1987 - July 1990
Thomson McKinnon Securities, Inc August 1984 - October 1987
Skills
Estate Planning, Mutual Funds, Derivatives, Wills, Trusts, Guardianship, Estate Law, Banking, Powers of Attorney, FINRA, Estate Administration
Education
Hofstra University 1984 — 1986
M.B.A., Finance; thesis - Program Trading and Stock Market Manipulation
Maurice A. Deane School of Law at Hofstra University 1981 — 1984
J.D., Law
Hofstra University 1976 — 1980
BBA, Accounting
Debra G. Speyer Law Offices July 1990 - Present
Professional Services of Coconut Grove, LLC 2006 - 2013
FINRA October 1987 - July 1990
Thomson McKinnon Securities, Inc August 1984 - October 1987
Skills
Estate Planning, Mutual Funds, Derivatives, Wills, Trusts, Guardianship, Estate Law, Banking, Powers of Attorney, FINRA, Estate Administration
Education
Hofstra University 1984 — 1986
M.B.A., Finance; thesis - Program Trading and Stock Market Manipulation
Maurice A. Deane School of Law at Hofstra University 1981 — 1984
J.D., Law
Hofstra University 1976 — 1980
BBA, Accounting
David Marzullo's FINRA Experience January 2010 - May 2010
Job Finance Manager at American Express
Industry Financial Services
Experience
American Express June 2015 - Present
American Express July 2013 - June 2015
Time Warner Inc. May 2012 - July 2013
Time Warner Inc. August 2010 - April 2012
FINRA January 2010 - May 2010
Koch Industries June 2009 - August 2009
Skills
Financial Analysis, Financial Reporting, Budgets, Variance Analysis, Essbase, Microsoft Excel, Analytics, Microsoft Office, Due Diligence, Research
Education
Hofstra University 2006 — 2010
B.B.A, Finance/Legal Studies, 3.8
Georgetown University 2009 — 2009
American Express June 2015 - Present
American Express July 2013 - June 2015
Time Warner Inc. May 2012 - July 2013
Time Warner Inc. August 2010 - April 2012
FINRA January 2010 - May 2010
Koch Industries June 2009 - August 2009
Skills
Financial Analysis, Financial Reporting, Budgets, Variance Analysis, Essbase, Microsoft Excel, Analytics, Microsoft Office, Due Diligence, Research
Education
Hofstra University 2006 — 2010
B.B.A, Finance/Legal Studies, 3.8
Georgetown University 2009 — 2009
Arthur Carr Arthur Carr's FINRA Experience November 2009 - Present
Job Resident Director Merrill Lynch
Industry Financial Services
Experience
Merrill Lynch August 2007 - Present
FINRA November 2009 - Present
Morgan Stanley October 1999 - August 2007
Skills
Wealth Management, Retirement Planning, Securities, Uniform Combined State..., Series 63, Series 7, Investments, Alternative Investments, Asset Allocation, Mutual Funds, Retirement, FINRA, Wealth Management..., 401k, Estate Planning, Financial Advisory
Education
Ithaca College 1975 — 1979
BS
Merrill Lynch August 2007 - Present
FINRA November 2009 - Present
Morgan Stanley October 1999 - August 2007
Skills
Wealth Management, Retirement Planning, Securities, Uniform Combined State..., Series 63, Series 7, Investments, Alternative Investments, Asset Allocation, Mutual Funds, Retirement, FINRA, Wealth Management..., 401k, Estate Planning, Financial Advisory
Education
Ithaca College 1975 — 1979
BS
Deborah Settles Deborah Settles's FINRA Experience May 2010 - October 2010
Job Web Developer
Industry Online Media
Experience
BAE Systems April 2014 - Present
Rever Designs June 2009 - Present
USAID February 2013 - March 2014
Info Reliance December 2010 - October 2012
FINRA May 2010 - October 2010
National Education Association September 2008 - January 2009
Sprint/IT April 2003 - April 2008
DynCorp International January 2002 - April 2003
Teleglobe July 2001 - May 2002
US Airways 1993 - 2000
Skills
SharePoint, HTML, CMS, Dreamweaver, Web Development, Joomla, Flash, Oracle, Photoshop, Web Content Management, Information Architecture, JavaScript, Front-end, User Interface, XML, CSS, WordPress, Content Management, Leadership
Education
George Mason University
Web Design/Web Development
ICM School of Business
Associates, Buisness Management
Westlake Internet Training
BAE Systems April 2014 - Present
Rever Designs June 2009 - Present
USAID February 2013 - March 2014
Info Reliance December 2010 - October 2012
FINRA May 2010 - October 2010
National Education Association September 2008 - January 2009
Sprint/IT April 2003 - April 2008
DynCorp International January 2002 - April 2003
Teleglobe July 2001 - May 2002
US Airways 1993 - 2000
Skills
SharePoint, HTML, CMS, Dreamweaver, Web Development, Joomla, Flash, Oracle, Photoshop, Web Content Management, Information Architecture, JavaScript, Front-end, User Interface, XML, CSS, WordPress, Content Management, Leadership
Education
George Mason University
Web Design/Web Development
ICM School of Business
Associates, Buisness Management
Westlake Internet Training
Joshua Kotok's FINRA Experience 2003 - 2004
Job
Industry Financial Services
Experience
Allegiance Advisory Group (AAG) January 2015 - Present
Federal Housing Finance Agency (FHFA) 2012 - 2014
Infinitive 2011 - 2012
Fannie Mae 2009 - 2011
Protiviti 2007 - 2009
Sunera LLC/KPMG LLP 2004 - 2007
FINRA 2003 - 2004
Arthur Andersen LLP 2001 - 2003
Skills
Enterprise Risk..., Operational Risk..., SOX, Business Advisory, IT Audit, Compliance Management, ERP, Risk, CISA, Internal Audit, Operational Risk, Certified Fraud Examiner, PeopleSoft, Governance, Risk and..., Financial Risk, Sarbanes-Oxley Act, Management Consulting, Risk Assessment, Fraud, Internal Controls, Risk Management, Business Process, Consulting, Financial Analysis, External Audit, Financial Reporting, Information Security, Governance, Auditing, SAS70, Leadership, Process Improvement, Information Technology, Security, Banking, Management, Project Management, Sarbanes-Oxley, COSO, SOX 404, Business Process..., Corporate Governance, Business Continuity, COBIT, Information Security..., IT Risk Management, Basel II, Financial Services, Managerial Finance, PCI DSS
Education
Florida State University
B.S., Information Studies
Allegiance Advisory Group (AAG) January 2015 - Present
Federal Housing Finance Agency (FHFA) 2012 - 2014
Infinitive 2011 - 2012
Fannie Mae 2009 - 2011
Protiviti 2007 - 2009
Sunera LLC/KPMG LLP 2004 - 2007
FINRA 2003 - 2004
Arthur Andersen LLP 2001 - 2003
Skills
Enterprise Risk..., Operational Risk..., SOX, Business Advisory, IT Audit, Compliance Management, ERP, Risk, CISA, Internal Audit, Operational Risk, Certified Fraud Examiner, PeopleSoft, Governance, Risk and..., Financial Risk, Sarbanes-Oxley Act, Management Consulting, Risk Assessment, Fraud, Internal Controls, Risk Management, Business Process, Consulting, Financial Analysis, External Audit, Financial Reporting, Information Security, Governance, Auditing, SAS70, Leadership, Process Improvement, Information Technology, Security, Banking, Management, Project Management, Sarbanes-Oxley, COSO, SOX 404, Business Process..., Corporate Governance, Business Continuity, COBIT, Information Security..., IT Risk Management, Basel II, Financial Services, Managerial Finance, PCI DSS
Education
Florida State University
B.S., Information Studies
Amol Kaikini's FINRA Experience 2006 - 2008
Job Retired
Industry Nonprofit Organization Management
Experience
SharePointXperts October 2012 - Present
Satory Global June 2009 - April 2012
Guident Technologies August 2008 - June 2009
Headstrong September 1998 - September 2008
Finra 2006 - 2008
SallieMae 1995 - 1998
Arbitron 1978 - 1995
Skills
SharePoint, Records Management, Information Architecture, Web Content Management, Site Design, SharePoint Designer, Enterprise Content..., Requirements Analysis, Visio, Management, Integration, Project Portfolio..., Portals, Business Analysis, Solution Architecture, Requirements Gathering, SDLC, Enterprise Architecture, SOA, Business Process..., Business Process..., Business Intelligence, Software Project..., Business Process, IT Strategy
Education
IIT Madras 1965 — 1970
B. Tech, Metallurgy
SharePointXperts October 2012 - Present
Satory Global June 2009 - April 2012
Guident Technologies August 2008 - June 2009
Headstrong September 1998 - September 2008
Finra 2006 - 2008
SallieMae 1995 - 1998
Arbitron 1978 - 1995
Skills
SharePoint, Records Management, Information Architecture, Web Content Management, Site Design, SharePoint Designer, Enterprise Content..., Requirements Analysis, Visio, Management, Integration, Project Portfolio..., Portals, Business Analysis, Solution Architecture, Requirements Gathering, SDLC, Enterprise Architecture, SOA, Business Process..., Business Process..., Business Intelligence, Software Project..., Business Process, IT Strategy
Education
IIT Madras 1965 — 1970
B. Tech, Metallurgy
Jane Venckus Zirlis's FINRA Experience 1999 - Present
Job Consultant at JVZ Consulting
Industry Management Consulting
Experience
Land Trust Alliance 2011 - Present
JVZ Consulting January 1991 - Present
FINRA, EEOC, CommMed-New Haven September 2008 - Present
FINRA 1999 - Present
KardasLarson, LLC January 2013 - December 2014
Mediation Works, Inc 2003 - 2007
Holt 1997 - 2003
Chase Manhattan Bank June 1985 - January 1991
Urban Business Assistance Corporation (UBAC) September 1983 - June 1985
Skills
Mediation, Workshop Facilitation, Staff Development, Conflict Management, Leadership Development, Management, Negotiation, Coaching, Alternative Dispute..., Leadership, Training, Conflict Resolution, Policy, Dispute Resolution, Litigation, Policy Analysis, Nonprofits, Public Speaking, Conflict, Situational Leadership, Arbitration, Management Consulting, Strategic Planning, Process Improvement, Organizational..., Organizational..., Executive Coaching, Consulting, Mergers & Acquisitions, Employment Law, Dispute, Performance Management, Program Management, Succession Planning, Strategy, Government
Education
New York University - Leonard N. Stern School of Business 1983 — 1985
MBA, Finance & Int'l Bus
Harvard University 1973 — 1977
BA, Cross-Cultural studies in Human Behavior
Girls' Latin School 1967 — 1973
College Curriculum
Land Trust Alliance 2011 - Present
JVZ Consulting January 1991 - Present
FINRA, EEOC, CommMed-New Haven September 2008 - Present
FINRA 1999 - Present
KardasLarson, LLC January 2013 - December 2014
Mediation Works, Inc 2003 - 2007
Holt 1997 - 2003
Chase Manhattan Bank June 1985 - January 1991
Urban Business Assistance Corporation (UBAC) September 1983 - June 1985
Skills
Mediation, Workshop Facilitation, Staff Development, Conflict Management, Leadership Development, Management, Negotiation, Coaching, Alternative Dispute..., Leadership, Training, Conflict Resolution, Policy, Dispute Resolution, Litigation, Policy Analysis, Nonprofits, Public Speaking, Conflict, Situational Leadership, Arbitration, Management Consulting, Strategic Planning, Process Improvement, Organizational..., Organizational..., Executive Coaching, Consulting, Mergers & Acquisitions, Employment Law, Dispute, Performance Management, Program Management, Succession Planning, Strategy, Government
Education
New York University - Leonard N. Stern School of Business 1983 — 1985
MBA, Finance & Int'l Bus
Harvard University 1973 — 1977
BA, Cross-Cultural studies in Human Behavior
Girls' Latin School 1967 — 1973
College Curriculum
Keith Yager's FINRA Experience October 2004 - July 2008
Job
Industry Computer Software
Experience
Lash Group, AmerisourceBergen Consulting Services July 2010 - Present
Lockheed Martin March 2009 - June 2009
FINRA October 2004 - July 2008
OPM February 1999 - June 2004
Andersen Consulting August 1997 - February 1998
Disclosure, Inc. October 1993 - April 1997
IBM September 1991 - October 1993
IBM July 1990 - February 1991
Skills
C++, XML, C#, Oracle, Database Administration, Programming, SDLC, Software Development, Java, SQL, Databases, JavaScript, Business Analysis, HTML, Microsoft SQL Server, Database Design
Education
University of Maryland College Park
Bachelor's degree
The Johns Hopkins University
Masters Certificate
George Mason University
Lash Group, AmerisourceBergen Consulting Services July 2010 - Present
Lockheed Martin March 2009 - June 2009
FINRA October 2004 - July 2008
OPM February 1999 - June 2004
Andersen Consulting August 1997 - February 1998
Disclosure, Inc. October 1993 - April 1997
IBM September 1991 - October 1993
IBM July 1990 - February 1991
Skills
C++, XML, C#, Oracle, Database Administration, Programming, SDLC, Software Development, Java, SQL, Databases, JavaScript, Business Analysis, HTML, Microsoft SQL Server, Database Design
Education
University of Maryland College Park
Bachelor's degree
The Johns Hopkins University
Masters Certificate
George Mason University
Kumar Vora's FINRA Experience 2006 - 2008
Job Lead Software Consultant
Industry Information Technology and Services
Experience
ThoughtWorks, Inc. January 2008 - Present
Major Political Party and Presidential Candidate’s Campaign June 2008 - November 2008
Cigital February 2006 - January 2008
FINRA 2006 - 2008
Capital Markets Technology May 2006 - December 2006
The George Washington Univerisity November 2005 - May 2006
IT Solution August 2002 - April 2004
Skills
Java, JavaScript, RDBMS, NoSQL, Ruby, Ruby on Rails, Groovy, Agile Testing, Agile Methodologies, Lean Processes, Test Driven Development, Clojure, GoLang, CoffeeScript
Education
The George Washington University 2004 — 2006
MS, Computer Science
Gujarat University 2002 — 2004
M.Sc., Computer Application and Information Technology
ThoughtWorks, Inc. January 2008 - Present
Major Political Party and Presidential Candidate’s Campaign June 2008 - November 2008
Cigital February 2006 - January 2008
FINRA 2006 - 2008
Capital Markets Technology May 2006 - December 2006
The George Washington Univerisity November 2005 - May 2006
IT Solution August 2002 - April 2004
Skills
Java, JavaScript, RDBMS, NoSQL, Ruby, Ruby on Rails, Groovy, Agile Testing, Agile Methodologies, Lean Processes, Test Driven Development, Clojure, GoLang, CoffeeScript
Education
The George Washington University 2004 — 2006
MS, Computer Science
Gujarat University 2002 — 2004
M.Sc., Computer Application and Information Technology
Shane Dornburg's FINRA Experience 1999 - May 2007
Job
Industry Law Practice
Experience
King & Spalding January 2014 - Present
King & Spalding January 2013 - December 2013
King & Spalding LLP May 2007 - January 2013
FINRA 1999 - May 2007
Skills
Secured Financing, Commercial Lending, Syndications, Commercial Banking, Asset Based Lending, Cash Flow Lending, Real Estate Lending, Debt Restructuring, Refinancings, Mergers & Acquisitions, Recapitalizations, Finance, Leveraged Finance, Credit, Investments, Banking, Loans, Litigation, Secured Transactions, Corporate Governance
Education
Georgia State University College of Law 2002 — 2006
JD, Law
University of Georgia - Terry College of Business 1996 — 1999
BBA, Finance
King & Spalding January 2014 - Present
King & Spalding January 2013 - December 2013
King & Spalding LLP May 2007 - January 2013
FINRA 1999 - May 2007
Skills
Secured Financing, Commercial Lending, Syndications, Commercial Banking, Asset Based Lending, Cash Flow Lending, Real Estate Lending, Debt Restructuring, Refinancings, Mergers & Acquisitions, Recapitalizations, Finance, Leveraged Finance, Credit, Investments, Banking, Loans, Litigation, Secured Transactions, Corporate Governance
Education
Georgia State University College of Law 2002 — 2006
JD, Law
University of Georgia - Terry College of Business 1996 — 1999
BBA, Finance
Gene Benedict's FINRA Experience April 2014 - Present
Job Examiner Sales Practices at FINRA
Industry Financial Services
Experience
FINRA April 2014 - Present
Personal Financial Strategies March 2010 - April 2014
First United Bank January 2007 - March 2010
Refco LLC and "R" Best Trading January 2004 - December 2006
IVAX Pharmaceuticals December 1999 - December 2003
RS Corp May 1992 - November 1999
Skills
FINRA, Regulatory Compliance, Project Management, Investments, Leadership, Management, Financial Analysis, Strategic Planning, Risk Management, Sales, Customer Service, Finance, Series 7, Series 63, Series 6, Series 65, Securities, Team Building, Trading, Portfolio Management, Insurance, Retirement, Financial Services
Education
Graduate School of Banking, Madison WI 2008 — 2010
Banking
Indiana University Bloomington 1989 — 1999
FINRA April 2014 - Present
Personal Financial Strategies March 2010 - April 2014
First United Bank January 2007 - March 2010
Refco LLC and "R" Best Trading January 2004 - December 2006
IVAX Pharmaceuticals December 1999 - December 2003
RS Corp May 1992 - November 1999
Skills
FINRA, Regulatory Compliance, Project Management, Investments, Leadership, Management, Financial Analysis, Strategic Planning, Risk Management, Sales, Customer Service, Finance, Series 7, Series 63, Series 6, Series 65, Securities, Team Building, Trading, Portfolio Management, Insurance, Retirement, Financial Services
Education
Graduate School of Banking, Madison WI 2008 — 2010
Banking
Indiana University Bloomington 1989 — 1999
Jason Murray's FINRA Experience March 2003 - Present
Job Learning Innovator, Instructional Designer, and Trainer with 15 + years of exp., MBA, and MS in Learning Technology.
Industry Financial Services
Experience
FINRA March 2003 - Present
Citifinancial November 1999 - February 2003
NYC Board of Education 1995 - 1999
Skills
FINRA, Securities, AML, Series 7, Financial Services, Equities, Mutual Funds, Securities Regulation, Financial Risk, Financial Regulation, Series 24, Risk Management, Investments, Fixed Income, Options, Portfolio Management, Wealth Management, Banking, Derivatives, Trading, Distance Learning, Blended Learning, Adobe eLearning Suite, Captivate, Training, Program Management, Project Management, Training Delivery, Series 63, Finance, Anti Money Laundering
Education
University of Maryland University College 2002 — 2005
MBA
Mercy College 1997 — 1998
MS, Learning Technology
Indiana University of Pennsylvania 1989 — 1993
Education
St. John's Prep
FINRA March 2003 - Present
Citifinancial November 1999 - February 2003
NYC Board of Education 1995 - 1999
Skills
FINRA, Securities, AML, Series 7, Financial Services, Equities, Mutual Funds, Securities Regulation, Financial Risk, Financial Regulation, Series 24, Risk Management, Investments, Fixed Income, Options, Portfolio Management, Wealth Management, Banking, Derivatives, Trading, Distance Learning, Blended Learning, Adobe eLearning Suite, Captivate, Training, Program Management, Project Management, Training Delivery, Series 63, Finance, Anti Money Laundering
Education
University of Maryland University College 2002 — 2005
MBA
Mercy College 1997 — 1998
MS, Learning Technology
Indiana University of Pennsylvania 1989 — 1993
Education
St. John's Prep
Robert Bolton's FINRA Experience June 2002 - November 2005
Job Manager at KPMG
Industry Financial Services
Experience
KPMG January 2013 - Present
Fidelity Investments September 2009 - December 2012
KPMG December 2005 - September 2009
FINRA June 2002 - November 2005
Skills
Securities, FINRA, Series 7, AML, Compliance, SEC reporting, Dodd-Frank
Education
Fordham Gabelli School of Business 2009 — 2011
MBA, Management
Morehouse College 1998 — 2002
BA, Business Administration
KPMG January 2013 - Present
Fidelity Investments September 2009 - December 2012
KPMG December 2005 - September 2009
FINRA June 2002 - November 2005
Skills
Securities, FINRA, Series 7, AML, Compliance, SEC reporting, Dodd-Frank
Education
Fordham Gabelli School of Business 2009 — 2011
MBA, Management
Morehouse College 1998 — 2002
BA, Business Administration
Gia Abdolcader's FINRA Experience September 2003 - March 2015
Job Senior Risk Specialist at Federal Reserve Bank of San Francisco
Industry Financial Services
Experience
Federal Reserve Bank of San Francisco March 2015 - Present
FINRA September 2003 - March 2015
Charles Schwab June 2001 - September 2003
Wells Fargo & Co. June 1997 - June 2000
Skills
AML, FINRA, Securities, Hedge Funds, Mutual Funds, Alternative Investments, Investments, Equities, Fixed Income, Risk Management, Banking, Asset Management, Portfolio Management, Anti Money Laundering
Education
Golden Gate University 1999 — 2002
MBA, Computer Information Systems
University of San Francisco 1993 — 1997
Bachelor of Science (B.S.), Accounting
Federal Reserve Bank of San Francisco March 2015 - Present
FINRA September 2003 - March 2015
Charles Schwab June 2001 - September 2003
Wells Fargo & Co. June 1997 - June 2000
Skills
AML, FINRA, Securities, Hedge Funds, Mutual Funds, Alternative Investments, Investments, Equities, Fixed Income, Risk Management, Banking, Asset Management, Portfolio Management, Anti Money Laundering
Education
Golden Gate University 1999 — 2002
MBA, Computer Information Systems
University of San Francisco 1993 — 1997
Bachelor of Science (B.S.), Accounting
Narendra Krishnappa's FINRA Experience 2004 - Present
Job Senior Consultant at FINRA
Industry Computer Software
Experience
NASD/FINRA February 2004 - Present
FINRA 2004 - Present
EDS January 2004 - March 2007
Nasdaq June 1999 - January 2004
Skills
Agile Methodologies, SDLC, Enterprise Architecture, SOA, Software Project..., Data Warehousing, Web Services, Software Development, SQL, Requirements Analysis, Oracle
Education
Gulbarga University
BS, Computer Science
NASD/FINRA February 2004 - Present
FINRA 2004 - Present
EDS January 2004 - March 2007
Nasdaq June 1999 - January 2004
Skills
Agile Methodologies, SDLC, Enterprise Architecture, SOA, Software Project..., Data Warehousing, Web Services, Software Development, SQL, Requirements Analysis, Oracle
Education
Gulbarga University
BS, Computer Science
Jared Ursani's FINRA Experience June 2008 - February 2013
Job Communications and Information Manager at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority December 2012 - Present
FINRA June 2008 - February 2013
Laundry Connect, Inc. September 2005 - May 2008
NASD June 2007 - August 2007
Northwestern Mutual January 2007 - May 2007
Merrill Lynch May 2006 - August 2006
Skills
Financial Modeling, Securities, Financial Analysis, Bloomberg, Valuation, Equities, Fixed Income, Due Diligence, Capital Markets, Business Analysis, Economics, Microsoft Office, Management
Education
University of Maryland - Robert H. Smith School of Business 2010 — 2013
Master of Business Administration (MBA), Finance, General
Franklin & Marshall College 2004 — 2008
Business/Government, Economics
St. Augustine Prep 2000 — 2004
Financial Industry Regulatory Authority December 2012 - Present
FINRA June 2008 - February 2013
Laundry Connect, Inc. September 2005 - May 2008
NASD June 2007 - August 2007
Northwestern Mutual January 2007 - May 2007
Merrill Lynch May 2006 - August 2006
Skills
Financial Modeling, Securities, Financial Analysis, Bloomberg, Valuation, Equities, Fixed Income, Due Diligence, Capital Markets, Business Analysis, Economics, Microsoft Office, Management
Education
University of Maryland - Robert H. Smith School of Business 2010 — 2013
Master of Business Administration (MBA), Finance, General
Franklin & Marshall College 2004 — 2008
Business/Government, Economics
St. Augustine Prep 2000 — 2004
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
Guy Calo's FINRA Experience September 2008 - May 2011
Job at Knight Capital Americas, LP
Industry Financial Services
Experience
Knight Capital Group LLC Vice President - ComplianceKnight Capital Americas, LPMay 2011 - June 2012
FINRA September 2008 - May 2011
FINRA August 2007 - August 2008
CERUSSI June 2004 - August 2007
STEPHEN JEFFRIES & ASSOCIATES December 2001 - December 2002
Education
Fordham University - Graduate School of Business Administration 2002 — 2004
MBA, Accounting
Villanova University School of Law 1997 — 2000
J.D.
Long Island University 1993 — 1997
B.A., Psychology
Comedy Writing Class
Knight Capital Group LLC Vice President - ComplianceKnight Capital Americas, LPMay 2011 - June 2012
FINRA September 2008 - May 2011
FINRA August 2007 - August 2008
CERUSSI June 2004 - August 2007
STEPHEN JEFFRIES & ASSOCIATES December 2001 - December 2002
Education
Fordham University - Graduate School of Business Administration 2002 — 2004
MBA, Accounting
Villanova University School of Law 1997 — 2000
J.D.
Long Island University 1993 — 1997
B.A., Psychology
Comedy Writing Class
Dan Morris, PMP's FINRA Experience January 2011 - Present
Job Analyst at FINRA
Industry Financial Services
Experience
FINRA January 2011 - Present
Fannie Mae November 2009 - January 2011
Oracle Financial Services Software Ltd January 2009 - September 2009
Freddie Mac December 1991 - April 2008
Skills
Capital Markets, Requirements Analysis, Fixed Income, SDLC, Business Analysis, Requirements Gathering, Perl, Software Project..., Derivatives, Business Requirements
Education
George Mason University 1973 — 1977
Bachelor of Science
FINRA January 2011 - Present
Fannie Mae November 2009 - January 2011
Oracle Financial Services Software Ltd January 2009 - September 2009
Freddie Mac December 1991 - April 2008
Skills
Capital Markets, Requirements Analysis, Fixed Income, SDLC, Business Analysis, Requirements Gathering, Perl, Software Project..., Derivatives, Business Requirements
Education
George Mason University 1973 — 1977
Bachelor of Science
Kiet Ly's FINRA Experience May 2012 - Present
Job ATG Architect at FINRA
Industry Computer Software
Experience
FINRA May 2012 - Present
Metron Aviation September 2009 - May 2012
Lockheed Martin March 2006 - August 2009
KTL Consulting, Inc June 1993 - August 2009
IBM September 1989 - June 1993
Skills
Enterprise Architecture, Agile Methodologies, Software Development, Big Data, Technical Leadership, SOA, Solution Architecture, SDLC, Hadoop, Hive, Pig, Oozie, Cassandra, ElasticSearch, Solr, HBase, Amazon Web Services..., vSphere, Chef
Education
George Mason University 1997 — 1998
PhD Candidate, Information Technology
The Johns Hopkins University
Master, Computer Science
University of Maryland College Park
BS, Electrical Engineering
FINRA May 2012 - Present
Metron Aviation September 2009 - May 2012
Lockheed Martin March 2006 - August 2009
KTL Consulting, Inc June 1993 - August 2009
IBM September 1989 - June 1993
Skills
Enterprise Architecture, Agile Methodologies, Software Development, Big Data, Technical Leadership, SOA, Solution Architecture, SDLC, Hadoop, Hive, Pig, Oozie, Cassandra, ElasticSearch, Solr, HBase, Amazon Web Services..., vSphere, Chef
Education
George Mason University 1997 — 1998
PhD Candidate, Information Technology
The Johns Hopkins University
Master, Computer Science
University of Maryland College Park
BS, Electrical Engineering
Caitlin Olund's FINRA Experience September 2007 - May 2012
Job Vice President Compliance at Pershing LLC
Industry Financial Services
Experience
Pershing LLC May 2012 - Present
FINRA September 2007 - May 2012
Department of the Navy September 2006 - July 2007
Skills
Securities, Equities, Securities Regulation, FINRA, Capital Markets, Trading Strategies, Market Data, SEC, Market Making, Financial Markets, Broker-Dealer, Equity Trading, Analysis, Regulations, Regulatory Requirements, Trading Systems, Internal Controls, KYC, Series 7
Education
Georgian Court College 2007 — 2012
MBA, Concentration: Management
James Madison University - College of Business 2002 — 2006
Bachelor of Business Administration, Finance
Pershing LLC May 2012 - Present
FINRA September 2007 - May 2012
Department of the Navy September 2006 - July 2007
Skills
Securities, Equities, Securities Regulation, FINRA, Capital Markets, Trading Strategies, Market Data, SEC, Market Making, Financial Markets, Broker-Dealer, Equity Trading, Analysis, Regulations, Regulatory Requirements, Trading Systems, Internal Controls, KYC, Series 7
Education
Georgian Court College 2007 — 2012
MBA, Concentration: Management
James Madison University - College of Business 2002 — 2006
Bachelor of Business Administration, Finance
Andrew Tourney's FINRA Experience October 2004 - April 2012
Job Chief Compliance Officer at PEAK6 Investments, L.P.
Industry Financial Services
Experience
PEAK6 Investments LP September 2013 - Present
Ernst & Young April 2012 - September 2013
FINRA October 2004 - April 2012
Skills
Due Diligence, AML, Securities, Financial Analysis, Risk Management, SEC filings, Accounting, Financial Modeling, Equities, Financial Reporting, Investments, Valuation, FINRA, Capital Markets, Mutual Funds, Hedge Funds, Auditing, Financial Services, Asset Management, Executive Management
Education
Fordham University 2000 — 2004
Bachelor of Science (BS), Business Adminisration
Loyola High School 1996 — 2000
PEAK6 Investments LP September 2013 - Present
Ernst & Young April 2012 - September 2013
FINRA October 2004 - April 2012
Skills
Due Diligence, AML, Securities, Financial Analysis, Risk Management, SEC filings, Accounting, Financial Modeling, Equities, Financial Reporting, Investments, Valuation, FINRA, Capital Markets, Mutual Funds, Hedge Funds, Auditing, Financial Services, Asset Management, Executive Management
Education
Fordham University 2000 — 2004
Bachelor of Science (BS), Business Adminisration
Loyola High School 1996 — 2000
Mark Groch's FINRA Experience 2010 - Present
Job Supervisor at E*TRADE Financial
Industry Financial Services
Experience
FINRA 2010 - Present
E*TRADE Financial November 2007 - December 2010
E*Trade Financial January 2007 - November 2007
Terre Haute Air Center September 2004 - August 2006
Indiana State University August 2004 - December 2005
Skills
Series 7, Risk Management, FINRA, Securities, Banking, Customer Service, Financial Analysis, Process Improvement, Microsoft Excel, Strategic Planning, AML, Outlook, Access, Budgets, Team Building, Credit, Business Analysis, Microsoft Office, Public Speaking, Microsoft Word
Education
Indiana State University 2004 — 2005
MBA, General MBA
Indiana State University 2000 — 2004
BS, Aviation
FINRA 2010 - Present
E*TRADE Financial November 2007 - December 2010
E*Trade Financial January 2007 - November 2007
Terre Haute Air Center September 2004 - August 2006
Indiana State University August 2004 - December 2005
Skills
Series 7, Risk Management, FINRA, Securities, Banking, Customer Service, Financial Analysis, Process Improvement, Microsoft Excel, Strategic Planning, AML, Outlook, Access, Budgets, Team Building, Credit, Business Analysis, Microsoft Office, Public Speaking, Microsoft Word
Education
Indiana State University 2004 — 2005
MBA, General MBA
Indiana State University 2000 — 2004
BS, Aviation
Jaimie Badr's FINRA Experience July 2000 - Present
Job Examination Manager at FINRA
Industry Financial Services
Experience
FINRA July 2000 - Present
Skills
FINRA, Securities, Financial Accounting, Financial Markets, Risk Management, Credit Risk, Operational Risk, Financial Risk, Microsoft Office, Microsoft Excel, Project Management, Microsoft Word, Public Speaking, Due Diligence
Education
Fordham University 1996 — 2000
Bachelor of Science (B.A.S), Finance and Economics
FINRA July 2000 - Present
Skills
FINRA, Securities, Financial Accounting, Financial Markets, Risk Management, Credit Risk, Operational Risk, Financial Risk, Microsoft Office, Microsoft Excel, Project Management, Microsoft Word, Public Speaking, Due Diligence
Education
Fordham University 1996 — 2000
Bachelor of Science (B.A.S), Finance and Economics
Sara A. Bakker's FINRA Experience September 2008 - Present
Job Corporate Finance Analyst at Financial Industry Regulatory Authority
Industry Law Practice
Experience
FINRA September 2008 - Present
Prince George's County Circuit Court August 2007 - September 2008
US Securities and Exchange Commission February 2007 - April 2007
Education
Georgetown University Law Center 2010 — 2011
LL.M., Securities and Finance Regulation
The Catholic University of America, Columbus School of Law 2003 — 2007
JD, Corporate and Securities Law Certificate Program
The George Washington University
B.A., Communication & Political Science
FINRA September 2008 - Present
Prince George's County Circuit Court August 2007 - September 2008
US Securities and Exchange Commission February 2007 - April 2007
Education
Georgetown University Law Center 2010 — 2011
LL.M., Securities and Finance Regulation
The Catholic University of America, Columbus School of Law 2003 — 2007
JD, Corporate and Securities Law Certificate Program
The George Washington University
B.A., Communication & Political Science
Bernard Howard's FINRA Experience August 1999 - December 2007
Job Senior Manager (Disclosure)
Industry Financial Services
Experience
Financial Industry Regulatory Authority January 2012 - Present
Financial Industry Regulatory Authority January 2008 - December 2011
FINRA August 1999 - December 2007
Education
Howard University School of Law 1995 — 1998
J.D., Law
Morehouse College 1991 — 1995
Financial Industry Regulatory Authority January 2012 - Present
Financial Industry Regulatory Authority January 2008 - December 2011
FINRA August 1999 - December 2007
Education
Howard University School of Law 1995 — 1998
J.D., Law
Morehouse College 1991 — 1995
Richard Tinelli's FINRA Experience May 2010 - Present
Job Senior Analyst, Market Regulation at FINRA
Industry Financial Services
Experience
FINRA May 2010 - Present
Technovision October 2009 - June 2010
Accume Partners February 2008 - December 2009
NYSE October 2000 - November 2006
NYSE November 1993 - October 2000
New York Futures Exchange 1987 - 1993
Skills
Options, Risk Management, Analysis, Trading, Capital Markets, Financial Risk, Securities, Corporate Governance, Financial Markets, Auditing, AML, Derivatives, ETFs, Hedge Funds, Equities, Securities Regulation, FINRA, Fixed Income, Financial Services, Trading Systems, Financial Regulation, Alternative Investments, Investment Banking
Education
Iona College 1980 — 1984
FINRA May 2010 - Present
Technovision October 2009 - June 2010
Accume Partners February 2008 - December 2009
NYSE October 2000 - November 2006
NYSE November 1993 - October 2000
New York Futures Exchange 1987 - 1993
Skills
Options, Risk Management, Analysis, Trading, Capital Markets, Financial Risk, Securities, Corporate Governance, Financial Markets, Auditing, AML, Derivatives, ETFs, Hedge Funds, Equities, Securities Regulation, FINRA, Fixed Income, Financial Services, Trading Systems, Financial Regulation, Alternative Investments, Investment Banking
Education
Iona College 1980 — 1984
William Jannace's FINRA Experience 2007 - Present
Job Director at FINRA
Industry Financial Services
Experience
FINRA 2007 - Present
NYSE March 2007 - February 2008
Skills
Securities, Capital Markets, Equities, Fixed Income, Hedge Funds, FINRA, Series 7, Investments, Due Diligence, Securities Regulation, Financial Services, Derivatives, Asset Management, Investment Banking, Mutual Funds, Financial Markets, Alternative Investments, Series 63, Private Equity, Leadership Development, Portfolio Management, Trading
Education
Fordham University School of Law 1994 — 1996
Master of Laws (LL.M.), Banking, Corporate, Finance, and Securities Law
New York Law School
Doctor of Law (J.D.), Law
FINRA 2007 - Present
NYSE March 2007 - February 2008
Skills
Securities, Capital Markets, Equities, Fixed Income, Hedge Funds, FINRA, Series 7, Investments, Due Diligence, Securities Regulation, Financial Services, Derivatives, Asset Management, Investment Banking, Mutual Funds, Financial Markets, Alternative Investments, Series 63, Private Equity, Leadership Development, Portfolio Management, Trading
Education
Fordham University School of Law 1994 — 1996
Master of Laws (LL.M.), Banking, Corporate, Finance, and Securities Law
New York Law School
Doctor of Law (J.D.), Law
Anthony Cavallaro's FINRA Experience August 2007 - Present
Job Senior Vice President at FINRA
Industry Financial Services
Experience
FINRA August 2007 - Present
NYSE Regulation, Inc. January 1997 - July 2007
United States Army Reserve 1984 - 2004
New York County District Attorney's Office 1992 - 1997
Education
Saint John's University School of Law 1988 — 1991
Doctor of Law (J.D.), Law
Fordham University 1982 — 1986
Bachelor of Science (BS), Finance, General
La Salle Military Academy 1980 — 1982
FINRA August 2007 - Present
NYSE Regulation, Inc. January 1997 - July 2007
United States Army Reserve 1984 - 2004
New York County District Attorney's Office 1992 - 1997
Education
Saint John's University School of Law 1988 — 1991
Doctor of Law (J.D.), Law
Fordham University 1982 — 1986
Bachelor of Science (BS), Finance, General
La Salle Military Academy 1980 — 1982
Joe Ierace's FINRA Experience July 2007 - Present
Job Director at FINRA
Industry Information Technology and Services
Experience
FINRA July 2007 - Present
The New York Stock Exchange March 2005 - July 2007
Novations July 1994 - March 2005
Berkeley College April 1992 - July 1994
IBM June 1991 - April 1992
Institute for Computer Studies, Iona College December 1988 - June 1991
Education
Iona College 1988 — 1989
BS, Computer Information Systems
SOX Institute
FINRA July 2007 - Present
The New York Stock Exchange March 2005 - July 2007
Novations July 1994 - March 2005
Berkeley College April 1992 - July 1994
IBM June 1991 - April 1992
Institute for Computer Studies, Iona College December 1988 - June 1991
Education
Iona College 1988 — 1989
BS, Computer Information Systems
SOX Institute
Ashley Tyson's FINRA Experience May 2009 - August 2009
Job Student at Howard University School of Law
Industry Legal Services
Experience
U.S. Securities and Exchange Commission May 2015 - July 2015
U.S. Department of Justice May 2013 - July 2014
U.S. Department of Justice January 2013 - May 2013
Taxpayers Against Fraud Education Fund June 2010 - May 2012
Haverford College, Language Learning Center (LLC) September 2008 - May 2010
U.S. Department of Justice; Bureau of Alcohol, Tobacco, Firearms and Explosives August 2009 - August 2009
FINRA May 2009 - August 2009
Recreation Wish List Committee (RWLC) June 2008 - August 2008
Haverford College, Institutional Advancement Office October 2007 - April 2008
DC Children And Youth Investment Trust Corporation June 2007 - August 2007
Skills
Legal Research, Legal Writing, Microsoft Office, Adobe Acrobat, Westlaw, Editing, Lexis, Microsoft Word, Microsoft Excel, PowerPoint, FrontPage, Research, Outlook, Non-profits, Bluebook
Education
Howard University School of Law 2014 — 2017
Juris Doctor (J.D.)
Georgetown University 2011 — 2012
Certificate, Paralegal Studies Program
Haverford College 2006 — 2010
BA, Political Science
Georgetown Day High School 2002 — 2006
Diploma
U.S. Securities and Exchange Commission May 2015 - July 2015
U.S. Department of Justice May 2013 - July 2014
U.S. Department of Justice January 2013 - May 2013
Taxpayers Against Fraud Education Fund June 2010 - May 2012
Haverford College, Language Learning Center (LLC) September 2008 - May 2010
U.S. Department of Justice; Bureau of Alcohol, Tobacco, Firearms and Explosives August 2009 - August 2009
FINRA May 2009 - August 2009
Recreation Wish List Committee (RWLC) June 2008 - August 2008
Haverford College, Institutional Advancement Office October 2007 - April 2008
DC Children And Youth Investment Trust Corporation June 2007 - August 2007
Skills
Legal Research, Legal Writing, Microsoft Office, Adobe Acrobat, Westlaw, Editing, Lexis, Microsoft Word, Microsoft Excel, PowerPoint, FrontPage, Research, Outlook, Non-profits, Bluebook
Education
Howard University School of Law 2014 — 2017
Juris Doctor (J.D.)
Georgetown University 2011 — 2012
Certificate, Paralegal Studies Program
Haverford College 2006 — 2010
BA, Political Science
Georgetown Day High School 2002 — 2006
Diploma
SherriAnnelle Chevalier's FINRA Experience August 2004 - January 2011
Job Talent Acquisition Recruiter at EY
Industry Financial Services
Experience
EY May 2015 - Present
Avaya February 2014 - May 2015
DOOR3 Business Applications, Inc. October 2011 - January 2014
FINRA August 2004 - January 2011
FINRA August 2004 - April 2006
Campus USA Credit Union 2001 - 2004
Skills
Mobile Applications, E-commerce, Software Development, Digital Strategy, Android, iPhone, User Experience Design, Drupal, Talent Acquisition, Human Resources, Mobile Internet, Enterprise Architecture, Business Strategy, Technical Recruiting, SDLC, Employee Relations, College Recruiting, Applicant Tracking..., Employee Benefits, HR Policies, Leadership Development, Conflict Resolution, Peer Reviews, Vendor Management, Consulting, Recruiting, Interviews, Leadership, Corporate Recruiting, Clear Communications
Education
French Culinary Institute 2009 — 2010
Pastry Arts, Baking and Pastry Arts/Baker/Pastry Chef
Franklin Elementary
South Plainfield High School
South Plainfield High School
University of Florida
Bachelor of Arts (BA), Political Science and Government
EY May 2015 - Present
Avaya February 2014 - May 2015
DOOR3 Business Applications, Inc. October 2011 - January 2014
FINRA August 2004 - January 2011
FINRA August 2004 - April 2006
Campus USA Credit Union 2001 - 2004
Skills
Mobile Applications, E-commerce, Software Development, Digital Strategy, Android, iPhone, User Experience Design, Drupal, Talent Acquisition, Human Resources, Mobile Internet, Enterprise Architecture, Business Strategy, Technical Recruiting, SDLC, Employee Relations, College Recruiting, Applicant Tracking..., Employee Benefits, HR Policies, Leadership Development, Conflict Resolution, Peer Reviews, Vendor Management, Consulting, Recruiting, Interviews, Leadership, Corporate Recruiting, Clear Communications
Education
French Culinary Institute 2009 — 2010
Pastry Arts, Baking and Pastry Arts/Baker/Pastry Chef
Franklin Elementary
South Plainfield High School
South Plainfield High School
University of Florida
Bachelor of Arts (BA), Political Science and Government
Julie Bauer's FINRA Experience April 2014 - Present
Job SVP, Government Relations and Chief of Staff, Corporate Commuications at FINRA
Industry Financial Services
Experience
FINRA April 2014 - Present
D.C. Policy Group November 2013 - April 2014
FINRA August 2007 - October 2013
Chicago Board of Trade 1990 - 2007
Skills
Public Policy, Policy Analysis, Policy, Legislative Relations, Government, Public Affairs, Legislation, Crisis Communications, Capital Markets, Corporate Governance, Politics, Crisis Management, Strategic Planning, Government Relations, Corporate Law, Securities, Strategic Communications, Securities Regulation, Grassroots Organizing, Federal Government
Education
Georgetown University
Master of Arts (MA), American Government
University of Virginia
Bachelor of Arts (BA)
FINRA April 2014 - Present
D.C. Policy Group November 2013 - April 2014
FINRA August 2007 - October 2013
Chicago Board of Trade 1990 - 2007
Skills
Public Policy, Policy Analysis, Policy, Legislative Relations, Government, Public Affairs, Legislation, Crisis Communications, Capital Markets, Corporate Governance, Politics, Crisis Management, Strategic Planning, Government Relations, Corporate Law, Securities, Strategic Communications, Securities Regulation, Grassroots Organizing, Federal Government
Education
Georgetown University
Master of Arts (MA), American Government
University of Virginia
Bachelor of Arts (BA)
Brian Petraitis's FINRA Experience January 2006 - August 2010
Job AVP Governance
Industry Financial Services
Experience
Deutsche Bank April 2015 - Present
ACA Compliance Group April 2013 - March 2015
US Securities and Exchange Commission August 2010 - April 2013
FINRA January 2006 - August 2010
Mesirow Financial January 2001 - December 2005
Skills
Securities, Hedge Funds, Due Diligence, FINRA, Broker-Dealer, Finance, Securities Regulation, Mutual Funds, Equities, SEC filings, AML
Education
Iowa State University - College of Business 2002 — 2005
BS, Accounting
Fort Lewis College 2001 — 2002
Accounting
Deutsche Bank April 2015 - Present
ACA Compliance Group April 2013 - March 2015
US Securities and Exchange Commission August 2010 - April 2013
FINRA January 2006 - August 2010
Mesirow Financial January 2001 - December 2005
Skills
Securities, Hedge Funds, Due Diligence, FINRA, Broker-Dealer, Finance, Securities Regulation, Mutual Funds, Equities, SEC filings, AML
Education
Iowa State University - College of Business 2002 — 2005
BS, Accounting
Fort Lewis College 2001 — 2002
Accounting
Jack Macken's FINRA Experience January 2011 - Present
Job Counsel, Market Regulation, FINRA
Industry Financial Services
Experience
FINRA January 2011 - Present
NYSE January 2010 - June 2010
NYSE Regulation April 2007 - June 2010
New NYSE Regulation, Inc. October 2008 - January 2010
Tompkins & Davidson, LLP April 2006 - April 2007
White and Williams LLP April 2005 - April 2006
The Honorable John T.J. Kelly, Jr. of the Pennsylvania Superior Court 2003 - 2005
Skills
Securities Regulation
Education
The Catholic University of America, Columbus School of Law 2000 — 2003
JD
Georgetown University 1995 — 1999
BA, English
Regis High School 1991 — 1995
Regis High School
FINRA January 2011 - Present
NYSE January 2010 - June 2010
NYSE Regulation April 2007 - June 2010
New NYSE Regulation, Inc. October 2008 - January 2010
Tompkins & Davidson, LLP April 2006 - April 2007
White and Williams LLP April 2005 - April 2006
The Honorable John T.J. Kelly, Jr. of the Pennsylvania Superior Court 2003 - 2005
Skills
Securities Regulation
Education
The Catholic University of America, Columbus School of Law 2000 — 2003
JD
Georgetown University 1995 — 1999
BA, English
Regis High School 1991 — 1995
Regis High School
Angela Vignogna's FINRA Experience June 2010 - November 2010
Job Law Enforcement
Industry Legal Services
Experience
FINRA June 2010 - November 2010
NYSE Regulation July 2008 - June 2010
Phibro Animal Health September 2005 - June 2008
NYS Attorney General's Office - OCTF February 2008 - May 2008
Skills
Legal Writing, Criminal Justice, Research, Legal Research, Policy Analysis, Community Outreach, Microsoft Excel, Enforcement, Policy, Criminal Investigations, Private Investigations, Internal Investigations, Investigation, Criminal Law, Law Enforcement, Microsoft Office, Management, Police, Risk Management, Financial Services
Education
Iona College 2004 — 2008
Bachelor of Arts Degree, Criminal Justice
FINRA June 2010 - November 2010
NYSE Regulation July 2008 - June 2010
Phibro Animal Health September 2005 - June 2008
NYS Attorney General's Office - OCTF February 2008 - May 2008
Skills
Legal Writing, Criminal Justice, Research, Legal Research, Policy Analysis, Community Outreach, Microsoft Excel, Enforcement, Policy, Criminal Investigations, Private Investigations, Internal Investigations, Investigation, Criminal Law, Law Enforcement, Microsoft Office, Management, Police, Risk Management, Financial Services
Education
Iona College 2004 — 2008
Bachelor of Arts Degree, Criminal Justice
Evan Hill's FINRA Experience January 2010 - May 2010
Job Associate at Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates
Industry Law Practice
Experience
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates March 2014 - Present
White & Case LLP October 2011 - February 2014
White & Case LLP May 2010 - August 2010
FINRA January 2010 - May 2010
New York City Council September 2009 - December 2009
United States District Court for the Southern District of New York May 2009 - August 2009
University of Pittsburgh Medical Center 2007 - 2008
Rutgers University April 2007 - August 2007
University of Pittsburgh September 2006 - December 2006
Skills
Research, Biotechnology, Legal Research, Mergers & Acquisitions, Intellectual Property
Education
Fordham University School of Law 2008 — 2011
J.D.
University of Pittsburgh 2004 — 2008
B.S., Bioengineering
University of Hyderabad
Indian Technology & Society
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates March 2014 - Present
White & Case LLP October 2011 - February 2014
White & Case LLP May 2010 - August 2010
FINRA January 2010 - May 2010
New York City Council September 2009 - December 2009
United States District Court for the Southern District of New York May 2009 - August 2009
University of Pittsburgh Medical Center 2007 - 2008
Rutgers University April 2007 - August 2007
University of Pittsburgh September 2006 - December 2006
Skills
Research, Biotechnology, Legal Research, Mergers & Acquisitions, Intellectual Property
Education
Fordham University School of Law 2008 — 2011
J.D.
University of Pittsburgh 2004 — 2008
B.S., Bioengineering
University of Hyderabad
Indian Technology & Society
Leah Murray's FINRA Experience September 1988 - Present
Job Vice President at Central Trust Company
Industry Investment Management
Experience
Central Trust Company May 2008 - Present
FINRA September 1988 - Present
CPI Corp. June 1987 - December 1988
Lowenhaupt,Chasnoff June 1985 - June 1987
Skills
mediation, arbitration, trust administration, financial planning, not-for-profit..., special needs trusts, elder law and care, EEOC compliance training, Resolution of..., Nationally Published..., Ghost Writer, Arbitration, Strategic Financial..., Mergers, Mediation, Investments, Special Needs Trusts, Ghostwriting, Estate Planning, Wealth Management, Asset Allocation, Portfolio Management, Mergers & Acquisitions, Securities, Mutual Funds, Finance, Due Diligence, Financial Planning, Litigation, Corporate Law, Trusts
Education
Washington University in St. Louis School of Law 1981 — 1984
J.D., Law
Emory University 1977 — 1981
BA, Economics
Central Trust Company May 2008 - Present
FINRA September 1988 - Present
CPI Corp. June 1987 - December 1988
Lowenhaupt,Chasnoff June 1985 - June 1987
Skills
mediation, arbitration, trust administration, financial planning, not-for-profit..., special needs trusts, elder law and care, EEOC compliance training, Resolution of..., Nationally Published..., Ghost Writer, Arbitration, Strategic Financial..., Mergers, Mediation, Investments, Special Needs Trusts, Ghostwriting, Estate Planning, Wealth Management, Asset Allocation, Portfolio Management, Mergers & Acquisitions, Securities, Mutual Funds, Finance, Due Diligence, Financial Planning, Litigation, Corporate Law, Trusts
Education
Washington University in St. Louis School of Law 1981 — 1984
J.D., Law
Emory University 1977 — 1981
BA, Economics
Leo Orenstein's FINRA Experience March 2002 - Present
Job Appellate Securities Lawyer
Industry Legal Services
Experience
FINRA March 2002 - Present
Education
Harvard Law School 1977 — 1980
JD
Yale University 1973 — 1977
B.A., history
FINRA March 2002 - Present
Education
Harvard Law School 1977 — 1980
JD
Yale University 1973 — 1977
B.A., history
Janaki Parameswaran's FINRA Experience
Job Technology Project Manager
Industry Information Technology and Services
Experience
FINRA
Skills
Business Analysis, Requirements Analysis, SDLC, Enterprise Architecture, Data Warehousing, IT Strategy, Requirements Gathering, Business Intelligence, SOA, SQL, Program Management, Integration, Project Management, Software Project...
Education
Indian Institute of Technology, Madras
Master of Science (MS), Applied Mathematics
FINRA
Skills
Business Analysis, Requirements Analysis, SDLC, Enterprise Architecture, Data Warehousing, IT Strategy, Requirements Gathering, Business Intelligence, SOA, SQL, Program Management, Integration, Project Management, Software Project...
Education
Indian Institute of Technology, Madras
Master of Science (MS), Applied Mathematics
Kris Sumner's FINRA Experience 2002 - 2004
Job Compliance Officer at E*TRADE Capital Management, LLC
Industry Financial Services
Experience
E*TRADE Capital Management, LLC June 2009 - Present
E*TRADE Financial February 2004 - Present
Kobren Insight Management, an E*TRADE Financial Wealth Management Company February 2010 - February 2011
Financial Industry Regulatory Authority (FINRA) June 2000 - February 2004
FINRA 2002 - 2004
Skills
Securities, Series 7, Compliance, Capital Markets, Risk Management
Education
Georgetown University 2006 — 2006
Professional Development Certificate, Financial Planning
James Madison University 1992 — 1996
BBA, Management, Economics
E*TRADE Capital Management, LLC June 2009 - Present
E*TRADE Financial February 2004 - Present
Kobren Insight Management, an E*TRADE Financial Wealth Management Company February 2010 - February 2011
Financial Industry Regulatory Authority (FINRA) June 2000 - February 2004
FINRA 2002 - 2004
Skills
Securities, Series 7, Compliance, Capital Markets, Risk Management
Education
Georgetown University 2006 — 2006
Professional Development Certificate, Financial Planning
James Madison University 1992 — 1996
BBA, Management, Economics
Jake Ciuccio's FINRA Experience February 2012 - Present
Job Technical Project Manager at FINRA
Industry Financial Services
Experience
FINRA February 2012 - Present
FINRA December 2010 - February 2012
Thomson Reuters April 2005 - December 2010
Thomson Financial 2000 - 2005
Skills
SDLC, Database Design, Data Warehousing, Data Modeling, ETL, Agile Methodologies, Enterprise Architecture, SQL, Oracle, Databases, Web Services, XML, Requirements Gathering, Disaster Recovery, Database Administration, Oracle RAC, Performance Tuning, Agile Project Management, Unix Shell Scripting, Release Management, Project Management, Requirements Analysis, Software Project..., PL/SQL, Solution Architecture
Education
Hamilton College 1993 — 1997
Bachelors
FINRA February 2012 - Present
FINRA December 2010 - February 2012
Thomson Reuters April 2005 - December 2010
Thomson Financial 2000 - 2005
Skills
SDLC, Database Design, Data Warehousing, Data Modeling, ETL, Agile Methodologies, Enterprise Architecture, SQL, Oracle, Databases, Web Services, XML, Requirements Gathering, Disaster Recovery, Database Administration, Oracle RAC, Performance Tuning, Agile Project Management, Unix Shell Scripting, Release Management, Project Management, Requirements Analysis, Software Project..., PL/SQL, Solution Architecture
Education
Hamilton College 1993 — 1997
Bachelors
Justin Tubiolo's FINRA Experience Vice PresidentCowen & Company1986 - 1995
Job Vice President at FINRA
Industry Financial Services
Experience
FINRA Vice PresidentCowen & Company1986 - 1995
Education
Iona College 1971 — 1975
BA, Polical Science
FINRA Vice PresidentCowen & Company1986 - 1995
Education
Iona College 1971 — 1975
BA, Polical Science
A. Valerie Mirko's FINRA Experience 2004 - 2004
Job Deputy General Counsel at North American Securities Administrators Association (NASAA)
Industry Law Practice
Experience
North American Securities Administrators Association (NASAA) March 2014 - Present
North American Securities Administrators Association (NASAA) April 2013 - March 2014
North American Securities Administrators Association (NASAA) April 2012 - April 2013
Pickard & Djinis October 2008 - April 2012
Merrill Lynch (now Bank of America Merrill Lynch) March 2007 - October 2008
Oppenheimer & Co. 2004 - 2007
FINRA 2004 - 2004
US Securities and Exchange Commission 2003 - 2003
Corporate Executive Board 1998 - 2001
Skills
Enforcement, Securities Regulation, Corporate Governance, Litigation, Arbitration, Securities, FINRA, Corporate Law, Research, Securities Litigation, Commercial Litigation, Licensing, Fraud, Privacy Law, Legal Research, Legal Writing, Civil Litigation, Mergers & Acquisitions, Intellectual Property
Education
The George Washington University Law School 2002 — 2005
Doctor of Law (J.D.)
Georgetown University 2001 — 2002
School of Foreign Service
Wellesley College 1994 — 1998
Bachelor of Arts (B.A.), cum laude, Political Science and Economics (double major)
North American Securities Administrators Association (NASAA) March 2014 - Present
North American Securities Administrators Association (NASAA) April 2013 - March 2014
North American Securities Administrators Association (NASAA) April 2012 - April 2013
Pickard & Djinis October 2008 - April 2012
Merrill Lynch (now Bank of America Merrill Lynch) March 2007 - October 2008
Oppenheimer & Co. 2004 - 2007
FINRA 2004 - 2004
US Securities and Exchange Commission 2003 - 2003
Corporate Executive Board 1998 - 2001
Skills
Enforcement, Securities Regulation, Corporate Governance, Litigation, Arbitration, Securities, FINRA, Corporate Law, Research, Securities Litigation, Commercial Litigation, Licensing, Fraud, Privacy Law, Legal Research, Legal Writing, Civil Litigation, Mergers & Acquisitions, Intellectual Property
Education
The George Washington University Law School 2002 — 2005
Doctor of Law (J.D.)
Georgetown University 2001 — 2002
School of Foreign Service
Wellesley College 1994 — 1998
Bachelor of Arts (B.A.), cum laude, Political Science and Economics (double major)
Leilani Hall's FINRA Experience December 2007 - April 2014
Job Head, Professional Conduct at CFA Institute
Industry Investment Management
Experience
CFA Institute April 2014 - Present
FINRA December 2007 - April 2014
AARP Financial September 2005 - December 2007
Securities & Exchange Commission October 2003 - September 2005
Pendragon Asia Advisory January 2002 - October 2003
The Pioneer Group, Inc March 1995 - January 2002
The Enterprise Group, Inc May 1990 - March 1995
Evaluation Associates June 1989 - May 1990
Financial Service Corporation December 1985 - June 1989
Deloitte June 1982 - December 1985
Education
Harvard University 2000 — 2000
Executive Program, Financial
The Tuck School of Business at Dartmouth 1993 — 1993
Summer Program, Strategic Managment
Georgia State University 1979 — 1982
BS, Accounting
CFA Institute April 2014 - Present
FINRA December 2007 - April 2014
AARP Financial September 2005 - December 2007
Securities & Exchange Commission October 2003 - September 2005
Pendragon Asia Advisory January 2002 - October 2003
The Pioneer Group, Inc March 1995 - January 2002
The Enterprise Group, Inc May 1990 - March 1995
Evaluation Associates June 1989 - May 1990
Financial Service Corporation December 1985 - June 1989
Deloitte June 1982 - December 1985
Education
Harvard University 2000 — 2000
Executive Program, Financial
The Tuck School of Business at Dartmouth 1993 — 1993
Summer Program, Strategic Managment
Georgia State University 1979 — 1982
BS, Accounting
John Coster IV's FINRA Experience September 2014 - December 2014
Job Law Clerk at Satterlee Stephens Burke & Burke LLP
Industry Legal Services
Experience
Satterlee Stephens Burke & Burke LLP September 2015 - Present
FINRA September 2014 - December 2014
Satterlee Stephens Burke & Burke LLP May 2014 - August 2014
Satterlee Stephens Burke & Burke LLP June 2013 - August 2013
Hon. P. Kevin Castel, U.S. District Court, S.D.N.Y. May 2013 - May 2013
Graber Medina LLC June 2010 - May 2011
Business Office of Montefiore Medical Center May 2008 - June 2009
Education
Saint John's University School of Law 2012 — 2015
J.D.
Fordham University 2008 — 2012
B.S., Business Administration: Entrepreneurship
Archbishop Molloy High School 2004 — 2008
Satterlee Stephens Burke & Burke LLP September 2015 - Present
FINRA September 2014 - December 2014
Satterlee Stephens Burke & Burke LLP May 2014 - August 2014
Satterlee Stephens Burke & Burke LLP June 2013 - August 2013
Hon. P. Kevin Castel, U.S. District Court, S.D.N.Y. May 2013 - May 2013
Graber Medina LLC June 2010 - May 2011
Business Office of Montefiore Medical Center May 2008 - June 2009
Education
Saint John's University School of Law 2012 — 2015
J.D.
Fordham University 2008 — 2012
B.S., Business Administration: Entrepreneurship
Archbishop Molloy High School 2004 — 2008
Jenny Fein's FINRA Experience September 2009 - May 2010
Job Managing Director at Pittsburgh School For The Choral Arts
Industry Legal Services
Experience
Pittsburgh School For The Choral Arts August 2015 - Present
Choice Counsel, Special Counsel, LegalSource June 2010 - July 2015
Law Offices of Marc J Reiter March 2014 - April 2014
Adecco Staffing, USA October 2013 - January 2014
Legal Voice June 2012 - May 2013
US Securities and Exchange Commission July 2010 - September 2010
FINRA September 2009 - May 2010
Student Press Law Center May 2008 - May 2009
University of the District of Columbia, David A Clarke School of Law September 2006 - May 2009
UDC Legal Clinic August 2008 - December 2008
Skills
First Amendment, Non-profits, Legal Writing, Corporate Law, Civil Litigation, Editing, Legal Assistance, Nonprofits, Research, Legal Research, Immigration Law, Community Outreach, Fundraising, Politics
Education
University of the District of Columbia - The David A. Clarke School of Law 2006 — 2009
J.D., Law
Ithaca College 2001 — 2005
B.A., English & Theatre
Pittsburgh School For The Choral Arts August 2015 - Present
Choice Counsel, Special Counsel, LegalSource June 2010 - July 2015
Law Offices of Marc J Reiter March 2014 - April 2014
Adecco Staffing, USA October 2013 - January 2014
Legal Voice June 2012 - May 2013
US Securities and Exchange Commission July 2010 - September 2010
FINRA September 2009 - May 2010
Student Press Law Center May 2008 - May 2009
University of the District of Columbia, David A Clarke School of Law September 2006 - May 2009
UDC Legal Clinic August 2008 - December 2008
Skills
First Amendment, Non-profits, Legal Writing, Corporate Law, Civil Litigation, Editing, Legal Assistance, Nonprofits, Research, Legal Research, Immigration Law, Community Outreach, Fundraising, Politics
Education
University of the District of Columbia - The David A. Clarke School of Law 2006 — 2009
J.D., Law
Ithaca College 2001 — 2005
B.A., English & Theatre
Derrick Vermillion's FINRA Experience March 1998 - November 1998
Job Chief Compliance Officer at The Impact Partnership
Industry Financial Services
Experience
The Impact Partnership October 2014 - Present
AOPA 2010 - 2015
AOPA 2010 - 2015
World Financial Group, Inc. 2013 - October 2014
Transamerica Financial Advisors, Inc. 2012 - 2013
World Group Securities, Inc. December 2005 - January 2012
Transamerica Financial Advisors, Inc. 2012 - 2012
Primerica Financial Services 2001 - December 2005
Invest Financial November 1998 - September 2001
FINRA March 1998 - November 1998
Skills
Securities, FINRA, Auditing, Mutual Funds, Securities Regulation, Series 24, Investments, Alternative Investments, Insurance, Financial Services, Series 7, Investment Advisory, Retirement Planning, Retirement, Due Diligence, Risk Management, Financial Advisory, Variable Annuities, Financial Risk, Wealth Management, Fixed Income, Process Improvement, AML, Asset Management, Equities, Trading, Finance, Financial Planning, Management, Fixed Annuities, Negotiation, New Business Development, Day Trading, Life Insurance, 401k
Education
Florida State University 1993 — 1995
Finance, Finance
The Impact Partnership October 2014 - Present
AOPA 2010 - 2015
AOPA 2010 - 2015
World Financial Group, Inc. 2013 - October 2014
Transamerica Financial Advisors, Inc. 2012 - 2013
World Group Securities, Inc. December 2005 - January 2012
Transamerica Financial Advisors, Inc. 2012 - 2012
Primerica Financial Services 2001 - December 2005
Invest Financial November 1998 - September 2001
FINRA March 1998 - November 1998
Skills
Securities, FINRA, Auditing, Mutual Funds, Securities Regulation, Series 24, Investments, Alternative Investments, Insurance, Financial Services, Series 7, Investment Advisory, Retirement Planning, Retirement, Due Diligence, Risk Management, Financial Advisory, Variable Annuities, Financial Risk, Wealth Management, Fixed Income, Process Improvement, AML, Asset Management, Equities, Trading, Finance, Financial Planning, Management, Fixed Annuities, Negotiation, New Business Development, Day Trading, Life Insurance, 401k
Education
Florida State University 1993 — 1995
Finance, Finance
Anil Akkanapragada, ITIL® V3 Foundation, CSM's FINRA Experience July 2013 - Present
Job Technology Delivery Lead at FINRA
Industry Computer Software
Experience
FINRA July 2013 - Present
FINRA April 2011 - July 2013
FINRA 2004 - 2011
Nextel 2002 - 2004
Orange Technologies 1998 - 2001
E-Com Systems 1998 - 2001
AINS India Private Ltd 1997 - 1998
Skills
SDLC, EDI, Requirements Analysis, SQL, PL/SQL, Oracle, XML, Software Development, Software Project..., Data Warehousing, Agile Methodologies, SOA, ETL, Enterprise Architecture, Scrum, SaaS, Unix, Databases
Education
University of Maryland University College 2000 — 2002
Master of Science (M.S.)
Gulbarga University 1991 — 1995
Bachelor of Engineering (BE)
FINRA July 2013 - Present
FINRA April 2011 - July 2013
FINRA 2004 - 2011
Nextel 2002 - 2004
Orange Technologies 1998 - 2001
E-Com Systems 1998 - 2001
AINS India Private Ltd 1997 - 1998
Skills
SDLC, EDI, Requirements Analysis, SQL, PL/SQL, Oracle, XML, Software Development, Software Project..., Data Warehousing, Agile Methodologies, SOA, ETL, Enterprise Architecture, Scrum, SaaS, Unix, Databases
Education
University of Maryland University College 2000 — 2002
Master of Science (M.S.)
Gulbarga University 1991 — 1995
Bachelor of Engineering (BE)
Peter McElwain's FINRA Experience January 2011 - Present
Job Regulatory Analyst, FINRA
Industry Capital Markets
Experience
FINRA January 2011 - Present
Chevy Chase Bank 1997 - 2010
Skills
Portfolio Management, Investments, USA PATRIOT Act, Commercial Banking, Analysis, Credit Risk, Executive Management, Financial Services, Fixed Income, Finance, Anti Money Laundering
Education
Hood College
Utah State University
FINRA January 2011 - Present
Chevy Chase Bank 1997 - 2010
Skills
Portfolio Management, Investments, USA PATRIOT Act, Commercial Banking, Analysis, Credit Risk, Executive Management, Financial Services, Fixed Income, Finance, Anti Money Laundering
Education
Hood College
Utah State University
Kenneth Winer's FINRA Experience September 2014 - Present
Job Hearing Officer at FINRA
Industry Law Practice
Experience
FINRA September 2014 - Present
Foley & Lardner LLP February 1995 - September 2014
U.S. Securities and Exchange Commission, Division of Enforcement November 1984 - April 1988
Skills
Private Investigations, Securities Litigation, Corporate Governance, Corporate Law, Securities Regulation, FCPA, Litigation, Securities, Auditing, White Collar Criminal...
Education
Harvard Law School 1978 — 1981
J.D.
University of Pennsylvania - The Wharton School 1975 — 1978
B.S. in Economics, Finance
FINRA September 2014 - Present
Foley & Lardner LLP February 1995 - September 2014
U.S. Securities and Exchange Commission, Division of Enforcement November 1984 - April 1988
Skills
Private Investigations, Securities Litigation, Corporate Governance, Corporate Law, Securities Regulation, FCPA, Litigation, Securities, Auditing, White Collar Criminal...
Education
Harvard Law School 1978 — 1981
J.D.
University of Pennsylvania - The Wharton School 1975 — 1978
B.S. in Economics, Finance
Camillo Gargano's FINRA Experience November 2008 - January 2014
Job Consultant at RGP Consulting
Industry Financial Services
Experience
RGP Consulting December 2014 - Present
Deustche Bank January 2014 - December 2014
FINRA November 2008 - January 2014
B-Trade Services, LLC September 1998 - February 2007
Salomon Brothers January 1991 - November 1998
Skills
Securities, Fixed Income, Auditing, Equities, Accounting, Electronic Trading, Series 7, Capital Markets, Risk Management, Finance, Hedge Funds, Internal Audit, Series 24, Financial Risk, Financial Services, FINRA, Trading, Asset Management, Back Office, Options, Investment Banking, Portfolio Management, Bloomberg, Mutual Funds, Investments, Middle Office, Financial Markets, Equity Trading, Trading Systems, Financial Analysis, Derivatives, Banking, Anti Money Laundering, Alternative Investments
Education
Fairleigh Dickinson University 1976 — 1980
BS, Accounting
RGP Consulting December 2014 - Present
Deustche Bank January 2014 - December 2014
FINRA November 2008 - January 2014
B-Trade Services, LLC September 1998 - February 2007
Salomon Brothers January 1991 - November 1998
Skills
Securities, Fixed Income, Auditing, Equities, Accounting, Electronic Trading, Series 7, Capital Markets, Risk Management, Finance, Hedge Funds, Internal Audit, Series 24, Financial Risk, Financial Services, FINRA, Trading, Asset Management, Back Office, Options, Investment Banking, Portfolio Management, Bloomberg, Mutual Funds, Investments, Middle Office, Financial Markets, Equity Trading, Trading Systems, Financial Analysis, Derivatives, Banking, Anti Money Laundering, Alternative Investments
Education
Fairleigh Dickinson University 1976 — 1980
BS, Accounting
James Carlson-Zyats's FINRA Experience March 2014 - Present
Job FINRA
Industry Financial Services
Experience
FINRA March 2014 - Present
Bleakley Schwartz Cooney & Finney September 2012 - March 2014
Olson Financial Group, LLC. September 2008 - August 2012
Olson Financial Group, LLC September 2008 - August 2012
Northwestern Mutual 2008 - August 2012
Needham & Co June 2006 - August 2008
Guardian Life Ins Co June 2005 - June 2006
Northwestern May 1998 - June 2005
Stone Financial Group 1998 - 2000
Skills
NetX360, Microsoft Office, Investments, Training, Management, Securities, Insurance, Finance, Wealth Management, Hedge Funds, Policy, Sales, Marketing, Employee Benefits, Trading, Series 63, Financial Analysis, Risk Management, Series 7, FINRA, Mutual Funds, Banking, Financial Services
Education
Gettysburg College 1986 — 1987
Business
Whippany Park High School 1982 — 1986
Thomas Edison State
Business Administration
FINRA March 2014 - Present
Bleakley Schwartz Cooney & Finney September 2012 - March 2014
Olson Financial Group, LLC. September 2008 - August 2012
Olson Financial Group, LLC September 2008 - August 2012
Northwestern Mutual 2008 - August 2012
Needham & Co June 2006 - August 2008
Guardian Life Ins Co June 2005 - June 2006
Northwestern May 1998 - June 2005
Stone Financial Group 1998 - 2000
Skills
NetX360, Microsoft Office, Investments, Training, Management, Securities, Insurance, Finance, Wealth Management, Hedge Funds, Policy, Sales, Marketing, Employee Benefits, Trading, Series 63, Financial Analysis, Risk Management, Series 7, FINRA, Mutual Funds, Banking, Financial Services
Education
Gettysburg College 1986 — 1987
Business
Whippany Park High School 1982 — 1986
Thomas Edison State
Business Administration
Mukesh Vadgama's FINRA Experience May 2006 - Present
Job Senior Business Analyst at Celerity
Industry Information Technology and Services
Experience
Celerity October 2008 - Present
FINRA May 2006 - Present
JSMN International Inc January 2006 - September 2008
Skills
Requirements Gathering, SDLC, Web Services, Requirements Analysis, Business Analysis, Agile Methodologies, Software Project..., SOA, Enterprise Architecture, SQL, Vendor Management
Education
New York Institute of Technology 2003 — 2005
Master of Science, Electrical and Computer Engineering
Gujarat University 1998 — 2002
Bachelor of Engineering (B.E.), Instrumentation and Control
Celerity October 2008 - Present
FINRA May 2006 - Present
JSMN International Inc January 2006 - September 2008
Skills
Requirements Gathering, SDLC, Web Services, Requirements Analysis, Business Analysis, Agile Methodologies, Software Project..., SOA, Enterprise Architecture, SQL, Vendor Management
Education
New York Institute of Technology 2003 — 2005
Master of Science, Electrical and Computer Engineering
Gujarat University 1998 — 2002
Bachelor of Engineering (B.E.), Instrumentation and Control
Geronimo Gaerlan's FINRA Experience October 2006 - December 2008
Job Accounting Professional
Industry Accounting
Experience
FINRA October 2006 - December 2008
TRAUTMAN, WASSERMAN & CO, INC March 2000 - September 2006
BARINGTON CAPITAL GROUP, LP May 1996 - February 2000
COMSTOCK, INC October 1987 - June 1996
SABIC Marketing Ltd. (Riyadh, Saudi Arabia) December 1985 - December 1986
PepsiCo, Inc. (Philippine Branch - Mfg./Mktg./Distribution) August 1969 - November 1985
Education
Ateneo School of Business
Associate Degree, Basic Computer Science
CPA (Philippine Licensee - Philippine Institute of Certified
Far Eastern University
Bachelors Degree, Accounting/Finance; ) & Economics
FINRA October 2006 - December 2008
TRAUTMAN, WASSERMAN & CO, INC March 2000 - September 2006
BARINGTON CAPITAL GROUP, LP May 1996 - February 2000
COMSTOCK, INC October 1987 - June 1996
SABIC Marketing Ltd. (Riyadh, Saudi Arabia) December 1985 - December 1986
PepsiCo, Inc. (Philippine Branch - Mfg./Mktg./Distribution) August 1969 - November 1985
Education
Ateneo School of Business
Associate Degree, Basic Computer Science
CPA (Philippine Licensee - Philippine Institute of Certified
Far Eastern University
Bachelors Degree, Accounting/Finance; ) & Economics
Camillo Gargano's FINRA Experience November 2008 - January 2011
Job AVP at Deutsche Bank Securities
Industry Accounting
Experience
Deutsche Bank Securities January 2014 - Present
Financial Industry Regulatory Authority January 2011 - Present
FINRA November 2008 - January 2011
B-Trade Services 1998 - 2007
Skills
Series 7, Securities, Equities, Series 63, Series 24, Trading, Hedge Funds, Bloomberg, Options, Investments, Electronic Trading, FINRA, AML, Risk Management, Mutual Funds, Fixed Income, Trading Systems, Derivatives, Back Office, Financial Services, Equity Trading, Wealth Management, Financial Markets, Capital Markets, Portfolio Management, Prime Brokerage, Finance, FX Options, Financial Risk, Investment Banking, Asset Management, Investment Advisory, Strategic Financial..., Relationship Management, Alternative Investments
Education
Fairleigh Dickinson University 1976 — 1980
Bachelor of Science (BS), Accounting
North Bergen High 1972 — 1976
Academic, Accounting
Deutsche Bank Securities January 2014 - Present
Financial Industry Regulatory Authority January 2011 - Present
FINRA November 2008 - January 2011
B-Trade Services 1998 - 2007
Skills
Series 7, Securities, Equities, Series 63, Series 24, Trading, Hedge Funds, Bloomberg, Options, Investments, Electronic Trading, FINRA, AML, Risk Management, Mutual Funds, Fixed Income, Trading Systems, Derivatives, Back Office, Financial Services, Equity Trading, Wealth Management, Financial Markets, Capital Markets, Portfolio Management, Prime Brokerage, Finance, FX Options, Financial Risk, Investment Banking, Asset Management, Investment Advisory, Strategic Financial..., Relationship Management, Alternative Investments
Education
Fairleigh Dickinson University 1976 — 1980
Bachelor of Science (BS), Accounting
North Bergen High 1972 — 1976
Academic, Accounting
Chad Meyer's FINRA Experience May 2014 - October 2014
Job Analyst at TransAct Futures
Industry Capital Markets
Experience
TransAct Futures June 2015 - Present
BMO Capital Markets October 2014 - June 2015
Finra May 2014 - October 2014
Allston Trading May 2009 - November 2013
Allston Trading May 2008 - August 2008
Skills
Trading Systems, Electronic Trading, Options, Derivatives, Proprietary Trading, Series 24, Trading, FINRA, Hedge Funds, Commodity, Equities, Trading Strategies, Fixed Income, Regulatory Compliance, Trade Compliance, Compliance Management, Regulatory Risk, Risk Management, Financial Risk, Operational Risk, Risk Analysis, Operational Risk...
Education
Northeastern Illinois University 2010 — 2012
Bachelor of Arts (B.A.), Economics
Illinois State University 2007 — 2009
Economics
TransAct Futures June 2015 - Present
BMO Capital Markets October 2014 - June 2015
Finra May 2014 - October 2014
Allston Trading May 2009 - November 2013
Allston Trading May 2008 - August 2008
Skills
Trading Systems, Electronic Trading, Options, Derivatives, Proprietary Trading, Series 24, Trading, FINRA, Hedge Funds, Commodity, Equities, Trading Strategies, Fixed Income, Regulatory Compliance, Trade Compliance, Compliance Management, Regulatory Risk, Risk Management, Financial Risk, Operational Risk, Risk Analysis, Operational Risk...
Education
Northeastern Illinois University 2010 — 2012
Bachelor of Arts (B.A.), Economics
Illinois State University 2007 — 2009
Economics
Mario Greszes's FINRA Experience November 2011 - Present
Job Associate Supervisor Advertising Regulation at FINRA
Industry Financial Services
Experience
FINRA November 2011 - Present
Skills
FINRA, Series 7, Securities, Mutual Funds, Equities, Investments, Series 63, Compliance, Insurance, Fixed Income, Alternative Investments, Options, Morningstar, Securities Regulation, Annuities
Education
The George Washington University Law School 1982 — 1985
JD
Emory University 1975 — 1979
BA/MA, Political Science
FINRA November 2011 - Present
Skills
FINRA, Series 7, Securities, Mutual Funds, Equities, Investments, Series 63, Compliance, Insurance, Fixed Income, Alternative Investments, Options, Morningstar, Securities Regulation, Annuities
Education
The George Washington University Law School 1982 — 1985
JD
Emory University 1975 — 1979
BA/MA, Political Science
Sarvani Akkanapragada's FINRA Experience 2005 - 2010
Job Systems Analyst at Financial Industry Regulatory Authority (FINRA)
Industry Information Technology and Services
Experience
Financial Industry Regulatory Authority (FINRA) August 2013 - Present
Financial Industry Regulatory Authority April 2012 - August 2013
Hewlett-Packard August 2005 - April 2012
FINRA 2005 - 2010
United Healthcare October 2004 - July 2005
Skills
Quality Assurance, Gap Analysis, Process Control, Testing, Requirements Analysis, Software Quality..., Test Automation, Manual Testing, SQL, User Acceptance Testing, SDLC, Agile Methodologies, Quality Center, Regression Testing, Test Planning, Oracle, Software Project..., Enterprise Architecture
Education
George Mason University 2002 — 2004
Master of Sciences
Osmania University 1997 — 2001
Bachelor of Engineering
Financial Industry Regulatory Authority (FINRA) August 2013 - Present
Financial Industry Regulatory Authority April 2012 - August 2013
Hewlett-Packard August 2005 - April 2012
FINRA 2005 - 2010
United Healthcare October 2004 - July 2005
Skills
Quality Assurance, Gap Analysis, Process Control, Testing, Requirements Analysis, Software Quality..., Test Automation, Manual Testing, SQL, User Acceptance Testing, SDLC, Agile Methodologies, Quality Center, Regression Testing, Test Planning, Oracle, Software Project..., Enterprise Architecture
Education
George Mason University 2002 — 2004
Master of Sciences
Osmania University 1997 — 2001
Bachelor of Engineering
Miranda Chatelain's FINRA Experience December 2004 - December 2013
Job AML Officer at J.P. Morgan
Industry Financial Services
Experience
J.P. Morgan January 2014 - Present
FINRA December 2004 - December 2013
Merrill Lynch March 2004 - December 2004
Skills
Due Diligence, Finance, Risk Management, Derivatives, Project Management, Regulatory Requirements, Securities Regulation, Legal Compliance, Soft Skills
Education
Fordham University - Graduate School of Business Administration 2001 — 2003
Master of Business Administration (MBA), Finance, General
Fordham University School of Law 2000 — 2003
Doctor of Law (JD), Finance, General
J.P. Morgan January 2014 - Present
FINRA December 2004 - December 2013
Merrill Lynch March 2004 - December 2004
Skills
Due Diligence, Finance, Risk Management, Derivatives, Project Management, Regulatory Requirements, Securities Regulation, Legal Compliance, Soft Skills
Education
Fordham University - Graduate School of Business Administration 2001 — 2003
Master of Business Administration (MBA), Finance, General
Fordham University School of Law 2000 — 2003
Doctor of Law (JD), Finance, General
Euralis Figueroa's FINRA Experience July 2009 - October 2011
Job Vice President, Compliance at RBS Markets & International Banking
Industry Financial Services
Experience
Bank of America August 2015 - Present
RBS Markets & International Banking November 2012 - July 2015
Financial Industry Regulatory Authority October 2011 - October 2012
FINRA July 2009 - October 2011
FINRA July 2008 - July 2009
New York Stock Exchange July 2007 - July 2008
New York Stock Exchange July 2006 - July 2007
Kraft Foods 2003 - 2005
Skills
Securities, Equities, Financial Analysis, FINRA, Investments, Financial Reporting, Accounting, Auditing, Microsoft Excel, Broker-Dealer, Financial Services, Microsoft Office
Education
Iona College 2002 — 2006
BBA, Finance
Stamford High School 1998 — 2002
High School Diploma
Bank of America August 2015 - Present
RBS Markets & International Banking November 2012 - July 2015
Financial Industry Regulatory Authority October 2011 - October 2012
FINRA July 2009 - October 2011
FINRA July 2008 - July 2009
New York Stock Exchange July 2007 - July 2008
New York Stock Exchange July 2006 - July 2007
Kraft Foods 2003 - 2005
Skills
Securities, Equities, Financial Analysis, FINRA, Investments, Financial Reporting, Accounting, Auditing, Microsoft Excel, Broker-Dealer, Financial Services, Microsoft Office
Education
Iona College 2002 — 2006
BBA, Finance
Stamford High School 1998 — 2002
High School Diploma
Mark Valery's FINRA Experience May 2010 - February 2011
Job Senior Associate Investments
Industry Financial Services
Experience
Church Pension Group November 2011 - Present
Goldman Sachs May 2011 - September 2011
FINRA May 2010 - February 2011
Skills
Customer Service, Bloomberg, Derivatives, Access, Microsoft Excel, Asset Managment, Portfolio Management, Financial Modeling, Market Research, Budgets, Accounting, Valuation, Financial Reporting, Private Equity, Finance
Education
Hofstra University 2009 — 2010
MBA 2010, Finance
University of Massachusetts, Amherst 2004 — 2008
BS, Finance
Church Pension Group November 2011 - Present
Goldman Sachs May 2011 - September 2011
FINRA May 2010 - February 2011
Skills
Customer Service, Bloomberg, Derivatives, Access, Microsoft Excel, Asset Managment, Portfolio Management, Financial Modeling, Market Research, Budgets, Accounting, Valuation, Financial Reporting, Private Equity, Finance
Education
Hofstra University 2009 — 2010
MBA 2010, Finance
University of Massachusetts, Amherst 2004 — 2008
BS, Finance
Stephen Harber's FINRA Experience January 2010 - March 2011
Job Associate at Cole, Scott & Kissane, P.A.
Industry Law Practice
Experience
Cole, Scott & Kissane, P.A. June 2012 - Present
Ciardelli and Cummings January 2011 - November 2011
FINRA January 2010 - March 2011
Fair Housing Clinic June 2010 - July 2010
Cook County State's Attorneys Office May 2009 - August 2009
Education
The John Marshall Law School 2008 — 2011
Doctor of Law (J.D.)
Florida State University - College of Business 2004 — 2008
BS, Business Administration and Real Estate
Cole, Scott & Kissane, P.A. June 2012 - Present
Ciardelli and Cummings January 2011 - November 2011
FINRA January 2010 - March 2011
Fair Housing Clinic June 2010 - July 2010
Cook County State's Attorneys Office May 2009 - August 2009
Education
The John Marshall Law School 2008 — 2011
Doctor of Law (J.D.)
Florida State University - College of Business 2004 — 2008
BS, Business Administration and Real Estate
Edouard Khawly's FINRA Experience July 2000 - Present
Job Examination Manager at FINRA
Industry Financial Services
Experience
FINRA July 2000 - Present
Tele - Spot Systems / CJ Hood Company March 1995 - June 2000
People's United Bank September 1989 - March 1995
Skills
Accounting, Cash Flow, Portfolio Management, Risk Management, Forecasting, Capital Markets, Investments
Education
Iona College
Finance
FINRA July 2000 - Present
Tele - Spot Systems / CJ Hood Company March 1995 - June 2000
People's United Bank September 1989 - March 1995
Skills
Accounting, Cash Flow, Portfolio Management, Risk Management, Forecasting, Capital Markets, Investments
Education
Iona College
Finance
Thy Venkat's FINRA Experience August 2007 - Present
Job Software Consultant at FINRA
Industry Financial Services
Experience
FINRA August 2007 - Present
Eventville September 2006 - July 2007
SSA April 2005 - September 2006
Verizon October 1997 - February 2005
HCIA January 1995 - September 1997
Uniplus 1994 - 1997
CFW February 1994 - December 1994
Citicorp Overseas Software Ltd May 1990 - January 1994
Education
Indian Institute of Technology, Madras 1986 — 1990
B.Tech, Naval Architecture
FINRA August 2007 - Present
Eventville September 2006 - July 2007
SSA April 2005 - September 2006
Verizon October 1997 - February 2005
HCIA January 1995 - September 1997
Uniplus 1994 - 1997
CFW February 1994 - December 1994
Citicorp Overseas Software Ltd May 1990 - January 1994
Education
Indian Institute of Technology, Madras 1986 — 1990
B.Tech, Naval Architecture
Todd Machowiak's FINRA Experience July 2013 - Present
Job Sr. Manager at Charles Schwab
Industry Financial Services
Experience
FINRA July 2013 - Present
Charles Schwab January 2006 - Present
Connected Musicians March 1997 - January 2006
Skills
Series 7
Education
Indiana University Bloomington 2001 — 2005
BS, Business
FINRA July 2013 - Present
Charles Schwab January 2006 - Present
Connected Musicians March 1997 - January 2006
Skills
Series 7
Education
Indiana University Bloomington 2001 — 2005
BS, Business
Denis Dobrovolskii's FINRA Experience January 2012 - March 2013
Job Software Developer at PTFS
Industry Financial Services
Experience
PTFS March 2013 - Present
FINRA January 2012 - March 2013
Skills
Java
Education
George Mason University 2009 — 2011
BS, Computer Science
Northern Virginia Community College 2005 — 2007
AS, Computer Science
PTFS March 2013 - Present
FINRA January 2012 - March 2013
Skills
Java
Education
George Mason University 2009 — 2011
BS, Computer Science
Northern Virginia Community College 2005 — 2007
AS, Computer Science
Kathy Gurczynski's FINRA Experience November 2004 - September 2014
Job Chief Compliance Officer
Industry Financial Services
Experience
Vontobel Securities 2014 - Present
FINRA November 2004 - September 2014
JPMorgan Chase April 1998 - November 2004
Skills
Mutual Funds, Securities, FINRA, Series 7, AML, Series 24, Equities, Fixed Income, Relationship Management, Capital Markets, Investments, Financial Regulation, Investment Advisory, SEC, Hedge Funds, Risk Management, Investment Banking, Asset Management, Broker-Dealer, Series 63, Securities Regulation, Equity Trading, Bank Secrecy Act, Options, Financial Services, Alternative Investments, Financial Risk, OFAC, Prime Brokerage, Trading, USA PATRIOT Act, Private Placements, Financial Markets, Bloomberg
Education
Fairleigh Dickinson University
Master of Business Administration (MBA), Finance, General
Rutgers University-New Brunswick
Vontobel Securities 2014 - Present
FINRA November 2004 - September 2014
JPMorgan Chase April 1998 - November 2004
Skills
Mutual Funds, Securities, FINRA, Series 7, AML, Series 24, Equities, Fixed Income, Relationship Management, Capital Markets, Investments, Financial Regulation, Investment Advisory, SEC, Hedge Funds, Risk Management, Investment Banking, Asset Management, Broker-Dealer, Series 63, Securities Regulation, Equity Trading, Bank Secrecy Act, Options, Financial Services, Alternative Investments, Financial Risk, OFAC, Prime Brokerage, Trading, USA PATRIOT Act, Private Placements, Financial Markets, Bloomberg
Education
Fairleigh Dickinson University
Master of Business Administration (MBA), Finance, General
Rutgers University-New Brunswick
Bonnie McLaughlin's FINRA Experience March 1998 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA March 1998 - Present
Education
Immaculata University
Bachelor of Science (BS)
FINRA March 1998 - Present
Education
Immaculata University
Bachelor of Science (BS)
Kathryn Lawlor's FINRA Experience June 2013 - Present
Job Analyst at Cornerstone Research
Industry
Experience
Analyst July 2014 - Present
FINRA June 2013 - Present
USPTO March 2012 - August 2012
ACLD December 2009 - August 2011
Skills
PowerPoint, Microsoft Office, Microsoft Excel, Microsoft Word, Social Media, Econometrics, Economics, Statistics, Applied Mathematics
Education
Georgetown University 2010 — 2014
BA, Political Economy
University College London, U. of London 2013 — 2013
Analyst July 2014 - Present
FINRA June 2013 - Present
USPTO March 2012 - August 2012
ACLD December 2009 - August 2011
Skills
PowerPoint, Microsoft Office, Microsoft Excel, Microsoft Word, Social Media, Econometrics, Economics, Statistics, Applied Mathematics
Education
Georgetown University 2010 — 2014
BA, Political Economy
University College London, U. of London 2013 — 2013
Ger Corcimiglia's FINRA Experience June 2008 - Present
Job Principal Regulatory Coordinator
Industry Financial Services
Experience
FINRA June 2008 - Present
Education
Georgia State University - J. Mack Robinson College of Business 1997 — 2003
Bachelor of Science, Accounting
FINRA June 2008 - Present
Education
Georgia State University - J. Mack Robinson College of Business 1997 — 2003
Bachelor of Science, Accounting
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
Amnesty International