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.
FINRA List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at FINRA. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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FINRA Employees
Employee
Years
Job
Industry
Richard Gisler Richard Gisler's FINRA Experience 2003 - 2005
Job SVP Product Compliance at Citi
Industry Investment Banking
Experience
Bank of America July 2015 - Present
Citi December 2012 - July 2015
Barclays Capital May 2010 - December 2012
Deutsche Bank March 2007 - May 2010
FINRA 2003 - 2005
Education
Manhattan College 1993 — 2003
Bank of America July 2015 - Present
Citi December 2012 - July 2015
Barclays Capital May 2010 - December 2012
Deutsche Bank March 2007 - May 2010
FINRA 2003 - 2005
Education
Manhattan College 1993 — 2003
Stephen Mele Stephen Mele's FINRA Experience November 2014 - Present
Job Software Developer
Industry Computer Software
Experience
FINRA November 2014 - Present
FINRA December 2011 - Present
Financial Industry Regulatory Authority May 2011 - December 2011
Skills
Java, SQL, JavaScript, jQuery, Hive, Oracle SQL, Unix, WebDriver, Selenium, Java Concurrency, Object Oriented Design, XML, JSON, CSS, HTML, Hadoop, Maven, Unix Shell Scripting, C, Microsoft Office, Jenkins, C++, XPath, Cognos, Ant, Test Automation, Watij, RESTful WebServices, Atlassian JIRA, Confluence, Grails
Education
University of Maryland College Park 2008 — 2011
Bachelor of Science (BS), Computer Science
Montgomery College 2004 — 2007
Associate of Arts (A.A.), Business Administration and Management, General
FINRA November 2014 - Present
FINRA December 2011 - Present
Financial Industry Regulatory Authority May 2011 - December 2011
Skills
Java, SQL, JavaScript, jQuery, Hive, Oracle SQL, Unix, WebDriver, Selenium, Java Concurrency, Object Oriented Design, XML, JSON, CSS, HTML, Hadoop, Maven, Unix Shell Scripting, C, Microsoft Office, Jenkins, C++, XPath, Cognos, Ant, Test Automation, Watij, RESTful WebServices, Atlassian JIRA, Confluence, Grails
Education
University of Maryland College Park 2008 — 2011
Bachelor of Science (BS), Computer Science
Montgomery College 2004 — 2007
Associate of Arts (A.A.), Business Administration and Management, General
Alexander Aronov Alexander Aronov's FINRA Experience June 2010 - September 2013
Job Legal/Compliance
Industry Financial Services
Experience
Seemore & Doless, LLC May 2015 - Present
HSBC Global Banking and Markets September 2013 - May 2015
FINRA June 2010 - September 2013
NYSE Euronext 2006 - June 2010
SunGard 2004 - 2006
Zebra Capital Management 2003 - 2004
ITG 1999 - 2002
IBM 1998 - 1999
Skills
Trading Systems, Electronic Trading, Equities, Trading, Options, Capital Markets, Derivatives, Securities, Financial Markets, Equity Trading, Market Data
Education
New York Law School 2008 — 2012
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
New York University 2000 — 2002
Math in Finance
Stony Brook University 1996 — 1998
BS, Applied Math, Information Systems
Seemore & Doless, LLC May 2015 - Present
HSBC Global Banking and Markets September 2013 - May 2015
FINRA June 2010 - September 2013
NYSE Euronext 2006 - June 2010
SunGard 2004 - 2006
Zebra Capital Management 2003 - 2004
ITG 1999 - 2002
IBM 1998 - 1999
Skills
Trading Systems, Electronic Trading, Equities, Trading, Options, Capital Markets, Derivatives, Securities, Financial Markets, Equity Trading, Market Data
Education
New York Law School 2008 — 2012
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
New York University 2000 — 2002
Math in Finance
Stony Brook University 1996 — 1998
BS, Applied Math, Information Systems
Mark DiJulio Mark DiJulio's FINRA Experience December 1999 - January 2001
Job Director, Global Internal Communications
Industry Public Relations and Communications
Experience
NASDAQ OMX January 2001 - Present
FINRA December 1999 - January 2001
Orbcomm Global LP January 1999 - December 1999
NASDAQ May 1997 - December 1998
FINRA December 1993 - May 1997
Bayer, Bess Vanderwalker Advertising March 1991 - August 1993
Tassani Communications January 1990 - February 1991
Marvin Gerstin Advertising January 1987 - August 1989
Erlich Manes Advertising October 1984 - January 1987
Skills
Internal Communications, Corporate Communications, Intranet, Strategic Communications, Marketing Communications, Public Relations, Media Relations, Advertising, Strategic Planning, Press Releases, Digital Media, Strategy, Crisis Communications, Creative Direction, Copywriting, Investor Relations, Journalism, Marketing Strategy, Communications Planning, Integrated Marketing, Speech Writing, Digital Marketing, Blogging, Event Management, Messaging, Social Media Marketing, Management, Editing, Crisis Management, Social Media, Photography, Publications, Communication Training, Reputation Management, Message Development, Internal & External..., Marketing, Corporate Branding
Education
Marquette University 1980 — 1984
BA
NASDAQ OMX January 2001 - Present
FINRA December 1999 - January 2001
Orbcomm Global LP January 1999 - December 1999
NASDAQ May 1997 - December 1998
FINRA December 1993 - May 1997
Bayer, Bess Vanderwalker Advertising March 1991 - August 1993
Tassani Communications January 1990 - February 1991
Marvin Gerstin Advertising January 1987 - August 1989
Erlich Manes Advertising October 1984 - January 1987
Skills
Internal Communications, Corporate Communications, Intranet, Strategic Communications, Marketing Communications, Public Relations, Media Relations, Advertising, Strategic Planning, Press Releases, Digital Media, Strategy, Crisis Communications, Creative Direction, Copywriting, Investor Relations, Journalism, Marketing Strategy, Communications Planning, Integrated Marketing, Speech Writing, Digital Marketing, Blogging, Event Management, Messaging, Social Media Marketing, Management, Editing, Crisis Management, Social Media, Photography, Publications, Communication Training, Reputation Management, Message Development, Internal & External..., Marketing, Corporate Branding
Education
Marquette University 1980 — 1984
BA
Brendon Maloney Brendon Maloney's FINRA Experience February 2014 - Present
Job Regulatory Coordinator at FINRA
Industry Financial Services
Experience
FINRA February 2014 - Present
Cetera Financial Group June 2013 - January 2014
National Planning Holdings, INC. June 2011 - June 2013
Commonwealth Financial Network January 2007 - February 2010
Columbia Management October 2004 - July 2006
COPPER MOUNTAIN SKI RESORT December 2004 - March 2005
BERLIN MUSEUM FOR COMMUNICATION September 2002 - December 2002
Skills
Series 7, Series 24, Series 63, General Securities..., Investment Advisor..., Broker-Dealer Compliance, Securities Exchange Act..., Investment Company Act, Investment Advisers Act, Code of Ethics, Anti Money Laundering, Risk Management, Mutual Funds, Investments
Education
Nazareth College of Rochester 2000 — 2004
B.S.
Nazareth College of Rochester 2000 — 2004
Bachelor of Business Administration (BBA)
FINRA February 2014 - Present
Cetera Financial Group June 2013 - January 2014
National Planning Holdings, INC. June 2011 - June 2013
Commonwealth Financial Network January 2007 - February 2010
Columbia Management October 2004 - July 2006
COPPER MOUNTAIN SKI RESORT December 2004 - March 2005
BERLIN MUSEUM FOR COMMUNICATION September 2002 - December 2002
Skills
Series 7, Series 24, Series 63, General Securities..., Investment Advisor..., Broker-Dealer Compliance, Securities Exchange Act..., Investment Company Act, Investment Advisers Act, Code of Ethics, Anti Money Laundering, Risk Management, Mutual Funds, Investments
Education
Nazareth College of Rochester 2000 — 2004
B.S.
Nazareth College of Rochester 2000 — 2004
Bachelor of Business Administration (BBA)
Allen Telgenhof Allen Telgenhof's FINRA Experience January 2010 - Present
Job Allen Telgenhof is the Charlevoix County Prosecuting Attorney
Industry Law Enforcement
Experience
Charlevoix County January 2013 - Present
MacDonald Garber Broadcasting November 2010 - Present
FINRA January 2010 - Present
Charlevoix High School January 2006 - Present
Telgenhof & Snyder, P.C. December 2010 - December 2012
North Central Michigan College January 2009 - April 2011
Running, Wise & Ford January 2007 - December 2010
Hayes, Telgenhof, Turkelson & Groat January 2005 - December 2006
Joseph, Corcoran, Telgenhof & Snyder January 1994 - December 2005
Allen R. Telgenhof, P.C. January 1993 - January 1994
Skills
Litigation, Mediation, Criminal Procedure, Management, Prosecution, Leadership, Trial Practice, Department Budgeting, Coaching, Corporate Law, Appeals, Commercial Litigation, Insurance, Government, Public Speaking, Legal Writing, Legal Research, Courts, Trials, Family Law, Legal Issues
Education
Thomas M. Cooley Law School 1987 — 1989
J.D., cum laude, Law
Michigan State University 1981 — 1985
B.A., Business Administration
Charlevoix County January 2013 - Present
MacDonald Garber Broadcasting November 2010 - Present
FINRA January 2010 - Present
Charlevoix High School January 2006 - Present
Telgenhof & Snyder, P.C. December 2010 - December 2012
North Central Michigan College January 2009 - April 2011
Running, Wise & Ford January 2007 - December 2010
Hayes, Telgenhof, Turkelson & Groat January 2005 - December 2006
Joseph, Corcoran, Telgenhof & Snyder January 1994 - December 2005
Allen R. Telgenhof, P.C. January 1993 - January 1994
Skills
Litigation, Mediation, Criminal Procedure, Management, Prosecution, Leadership, Trial Practice, Department Budgeting, Coaching, Corporate Law, Appeals, Commercial Litigation, Insurance, Government, Public Speaking, Legal Writing, Legal Research, Courts, Trials, Family Law, Legal Issues
Education
Thomas M. Cooley Law School 1987 — 1989
J.D., cum laude, Law
Michigan State University 1981 — 1985
B.A., Business Administration
Jennifer Fair Jennifer Fair's FINRA Experience May 2013 - August 2013
Job Associate at Kopecky, Schumacher & Bleakley, P.C.
Industry Law Practice
Experience
Kopecky, Schumacher & Bleakley, P.C. November 2014 - Present
Kopecky, Schumacher & Bleakley, P.C. February 2014 - November 2014
Ziliak Law, LLC December 2013 - February 2014
US Securities and Exchange Commission September 2013 - December 2013
Business Law Clinic, Loyola University School of Law August 2013 - December 2013
FINRA May 2013 - August 2013
Loyola University Chicago School of Law May 2013 - August 2013
Sneckenberg, Thompson & Brody, LLP June 2012 - May 2013
Cabrini Green Legal Aid January 2012 - April 2013
Johns Hopkins Writing Center January 2009 - May 2011
Skills
Writing, Microsoft Office, Research, Legal Research, Legal Writing, Expungement and Sealing, Negotiation, Editing, Policy, Political Science, Social Media, Program Evaluation, Legal Assistance, Westlaw, Microsoft Word, Microsoft Excel, Economics, Press Releases, Personal Injury, Commercial Litigation, Trials, Courts, Facebook, Public Speaking, PowerPoint, Outlook, Strategic Communications, Politics, Litigation, Social Networking, Lexis, Public Policy, Civil Litigation, Government, Non-profits, Policy Analysis, Legal Issues, Mediation
Education
Loyola University Chicago School of Law 2011 — 2014
Juris Doctor (J.D.)
The Johns Hopkins University 2007 — 2011
B.A., International Studies
Kopecky, Schumacher & Bleakley, P.C. November 2014 - Present
Kopecky, Schumacher & Bleakley, P.C. February 2014 - November 2014
Ziliak Law, LLC December 2013 - February 2014
US Securities and Exchange Commission September 2013 - December 2013
Business Law Clinic, Loyola University School of Law August 2013 - December 2013
FINRA May 2013 - August 2013
Loyola University Chicago School of Law May 2013 - August 2013
Sneckenberg, Thompson & Brody, LLP June 2012 - May 2013
Cabrini Green Legal Aid January 2012 - April 2013
Johns Hopkins Writing Center January 2009 - May 2011
Skills
Writing, Microsoft Office, Research, Legal Research, Legal Writing, Expungement and Sealing, Negotiation, Editing, Policy, Political Science, Social Media, Program Evaluation, Legal Assistance, Westlaw, Microsoft Word, Microsoft Excel, Economics, Press Releases, Personal Injury, Commercial Litigation, Trials, Courts, Facebook, Public Speaking, PowerPoint, Outlook, Strategic Communications, Politics, Litigation, Social Networking, Lexis, Public Policy, Civil Litigation, Government, Non-profits, Policy Analysis, Legal Issues, Mediation
Education
Loyola University Chicago School of Law 2011 — 2014
Juris Doctor (J.D.)
The Johns Hopkins University 2007 — 2011
B.A., International Studies
Shannon Light Hadley Shannon Light Hadley's FINRA Experience June 2007 - October 2007
Job Professionally Creative, Creatively Professional
Industry Marketing and Advertising
Experience
Freelance Creative Services May 2011 - Present
What Works Studio July 2014 - August 2015
PCI Graphics July 2012 - November 2013
Fandango Productions November 2007 - July 2012
FINRA June 2007 - October 2007
Skills
Adobe Creative Suite, Photography, Graphic Design, Logo Design, Typography, Layout, Print, Floorplans, Social Media, Strategic Planning, Illustration, Art, Image Manipulation, Sculpture, Digital Printing, InDesign, Graphics, Image Editing, Pre-press, Creative Merchandising, Prop Design, Art Direction, Marketing, Business Cards, Social Media Marketing, Creative Direction, Public Relations, Illustrator, Event Management, Invitations, Digital Marketing, Corporate Identity, Direct Mail, Trade Shows, Advertising, Mac, Email Marketing, Photoshop, Copywriting, Brand Development, Drawing, Concept Design, Flyers
Education
Miami University 2001 — 2005
BFA, Graphic Design, Photography
Freelance Creative Services May 2011 - Present
What Works Studio July 2014 - August 2015
PCI Graphics July 2012 - November 2013
Fandango Productions November 2007 - July 2012
FINRA June 2007 - October 2007
Skills
Adobe Creative Suite, Photography, Graphic Design, Logo Design, Typography, Layout, Print, Floorplans, Social Media, Strategic Planning, Illustration, Art, Image Manipulation, Sculpture, Digital Printing, InDesign, Graphics, Image Editing, Pre-press, Creative Merchandising, Prop Design, Art Direction, Marketing, Business Cards, Social Media Marketing, Creative Direction, Public Relations, Illustrator, Event Management, Invitations, Digital Marketing, Corporate Identity, Direct Mail, Trade Shows, Advertising, Mac, Email Marketing, Photoshop, Copywriting, Brand Development, Drawing, Concept Design, Flyers
Education
Miami University 2001 — 2005
BFA, Graphic Design, Photography
Evan Pappas Evan Pappas's FINRA Experience May 2011 - August 2011
Job Student Naval Aviator
Industry Military
Experience
US Navy November 2013 - Present
National Consortium for the Study of Terrorism and Responses to Terrorism (START) August 2012 - May 2013
FINRA May 2011 - August 2011
City of Rockville April 2006 - June 2011
Skills
PowerPoint, Social Media, Public Relations, Public Speaking, Leadership, Public Policy, Microsoft Excel, Microsoft Office, Editing, Social Networking
Education
University of Maryland College Park 2010 — 2013
Bachelor of Arts (B.A.), Government and Politics
Juniata College 2009 — 2010
International Politics
US Navy November 2013 - Present
National Consortium for the Study of Terrorism and Responses to Terrorism (START) August 2012 - May 2013
FINRA May 2011 - August 2011
City of Rockville April 2006 - June 2011
Skills
PowerPoint, Social Media, Public Relations, Public Speaking, Leadership, Public Policy, Microsoft Excel, Microsoft Office, Editing, Social Networking
Education
University of Maryland College Park 2010 — 2013
Bachelor of Arts (B.A.), Government and Politics
Juniata College 2009 — 2010
International Politics
Theresa Ferraina Theresa Ferraina's FINRA Experience October 2012 - Present
Job Senior Examiner at FINRA
Industry Financial Services
Experience
FINRA October 2012 - Present
FINRA January 2011 - October 2012
Constellation Energy June 2010 - August 2010
Training Camp LLC January 2010 - May 2010
Citigroup June 2008 - August 2008
Skills
Risk Management, Management, Finance, Internal Audit, Financial Analysis, Social Media Marketing, Process Improvement, Corporate Finance, Marketing, Auditing, Securities, Financial Risk, FINRA, Bloomberg, Equities
Education
NYU 2012 — 2014
Professional Certificate, Financial Risk Management
Loyola University 2009 — 2010
MBA, Management
Loyola University Maryland 2005 — 2009
BA, Finance
FINRA October 2012 - Present
FINRA January 2011 - October 2012
Constellation Energy June 2010 - August 2010
Training Camp LLC January 2010 - May 2010
Citigroup June 2008 - August 2008
Skills
Risk Management, Management, Finance, Internal Audit, Financial Analysis, Social Media Marketing, Process Improvement, Corporate Finance, Marketing, Auditing, Securities, Financial Risk, FINRA, Bloomberg, Equities
Education
NYU 2012 — 2014
Professional Certificate, Financial Risk Management
Loyola University 2009 — 2010
MBA, Management
Loyola University Maryland 2005 — 2009
BA, Finance
Daniel Toca Daniel Toca's FINRA Experience January 2012 - May 2012
Job Senior Compliance Officer at J.P. Morgan
Industry Investment Banking
Experience
J.P. Morgan July 2015 - Present
Goldman Sachs June 2014 - July 2015
J.P. Morgan August 2013 - June 2014
David Lerner Associates, Inc. January 2013 - August 2013
FINRA January 2012 - May 2012
Hofstra Law Securities Arbitration Clinic August 2011 - May 2012
Anthony LoPresti Esq. May 2010 - September 2011
Merrill Lynch August 2008 - August 2009
Merrill Lynch 2007 - August 2008
Skills
Securities Regulation, Securities, Legal Writing, Legal Research, Westlaw, Corporate Law, FINRA, Due Diligence, Dodd-Frank, Series 7, Litigation, Civil Litigation, Commercial Litigation, Securities Litigation, Lexis, Corporate Governance, Courts, Series 24, Series 4, AML, Insider Trading, Market Manipulation, Section 5, Penny Stocks, SAR, SEC
Education
Hofstra University School of Law 2009 — 2012
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
St. Francis College 2003 — 2007
Bachelor of Arts (B.A.), Business/Managerial Economics
J.P. Morgan July 2015 - Present
Goldman Sachs June 2014 - July 2015
J.P. Morgan August 2013 - June 2014
David Lerner Associates, Inc. January 2013 - August 2013
FINRA January 2012 - May 2012
Hofstra Law Securities Arbitration Clinic August 2011 - May 2012
Anthony LoPresti Esq. May 2010 - September 2011
Merrill Lynch August 2008 - August 2009
Merrill Lynch 2007 - August 2008
Skills
Securities Regulation, Securities, Legal Writing, Legal Research, Westlaw, Corporate Law, FINRA, Due Diligence, Dodd-Frank, Series 7, Litigation, Civil Litigation, Commercial Litigation, Securities Litigation, Lexis, Corporate Governance, Courts, Series 24, Series 4, AML, Insider Trading, Market Manipulation, Section 5, Penny Stocks, SAR, SEC
Education
Hofstra University School of Law 2009 — 2012
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
St. Francis College 2003 — 2007
Bachelor of Arts (B.A.), Business/Managerial Economics
Denise Parejko Denise Parejko's FINRA Experience June 2011 - October 2012
Job Chicago Compliance Coordinator at PTR Incorporated
Industry Financial Services
Experience
PTR Incorporated December 2013 - Present
Cognitive Capital LLC August 2012 - November 2013
FINRA June 2011 - October 2012
Hybrid Trading & Resources, LLC July 2010 - June 2011
Hybrid Trading & Resources, LLC January 2007 - June 2011
Hybrid Trading & Resources, LLC January 2007 - July 2010
Jacqueline L. Sloan, Inc. August 2006 - January 2007
Skills
Securities, Financial Reporting, Options, Series 7, Analysis, FINRA, AML, Finance, Financial Operations, Compliance, Series 24
Education
Northwestern University 2002 — 2006
B.A., Economics
PTR Incorporated December 2013 - Present
Cognitive Capital LLC August 2012 - November 2013
FINRA June 2011 - October 2012
Hybrid Trading & Resources, LLC July 2010 - June 2011
Hybrid Trading & Resources, LLC January 2007 - June 2011
Hybrid Trading & Resources, LLC January 2007 - July 2010
Jacqueline L. Sloan, Inc. August 2006 - January 2007
Skills
Securities, Financial Reporting, Options, Series 7, Analysis, FINRA, AML, Finance, Financial Operations, Compliance, Series 24
Education
Northwestern University 2002 — 2006
B.A., Economics
Leslie Harmel Leslie Harmel's FINRA Experience May 2004 - May 2005
Job Director, Sr. Compliance Manager at Bank of America Merrill Lynch
Industry Financial Services
Experience
Bank of America Merrill Lynch July 2015 - Present
Bank of America August 2012 - July 2015
Citi December 2010 - June 2012
Ernst & Young May 2010 - October 2010
Bank of America February 2006 - November 2009
FINRA May 2004 - May 2005
Peregrine Financial Group, Inc. April 2003 - May 2004
Prudential Securities December 1996 - June 2001
Skills
Securities, Finance, Equities, Fixed Income, Financial Services, Risk Management, Investments, Capital Markets, Alternative Investments, Risk Assessment
Education
Loyola University Chicago School of Law 2002 — 2005
J.D., Law
North Dakota State University 1987 — 1992
B.A., Chemistry
Bank of America Merrill Lynch July 2015 - Present
Bank of America August 2012 - July 2015
Citi December 2010 - June 2012
Ernst & Young May 2010 - October 2010
Bank of America February 2006 - November 2009
FINRA May 2004 - May 2005
Peregrine Financial Group, Inc. April 2003 - May 2004
Prudential Securities December 1996 - June 2001
Skills
Securities, Finance, Equities, Fixed Income, Financial Services, Risk Management, Investments, Capital Markets, Alternative Investments, Risk Assessment
Education
Loyola University Chicago School of Law 2002 — 2005
J.D., Law
North Dakota State University 1987 — 1992
B.A., Chemistry
Michael Shmulenson Michael Shmulenson's FINRA Experience August 2007 - Present
Job Information Technology Architect & CEO
Industry Information Technology and Services
Experience
EliteWorks Corporation May 2009 - Present
FINRA August 2007 - Present
Skills
User Experience, E-commerce, Information Architecture, Software Design, Web Applications, SEO, JavaScript, Enterprise Architecture, Web Crawling, Logistics Engineering, Enterprise Software, Business Process..., Logistics Management, Web Development, B2B, Software Project..., Digital Marketing, REST, Agile Methodologies, Entrepreneurship, Usability, Data Visualization, Web Standards, Scrum, Software Development, Web Services, .NET, Mobile Applications, User Interface Design, SDLC, Web 2.0, XML, Accessibility, SOA, Design Patterns, Business Intelligence, Strategy, Analytics, JSON, JSP, Project Management, CSS, HTML 5, Interaction Design...
Education
Polytechnic University 1999 — 2003
BS
EliteWorks Corporation May 2009 - Present
FINRA August 2007 - Present
Skills
User Experience, E-commerce, Information Architecture, Software Design, Web Applications, SEO, JavaScript, Enterprise Architecture, Web Crawling, Logistics Engineering, Enterprise Software, Business Process..., Logistics Management, Web Development, B2B, Software Project..., Digital Marketing, REST, Agile Methodologies, Entrepreneurship, Usability, Data Visualization, Web Standards, Scrum, Software Development, Web Services, .NET, Mobile Applications, User Interface Design, SDLC, Web 2.0, XML, Accessibility, SOA, Design Patterns, Business Intelligence, Strategy, Analytics, JSON, JSP, Project Management, CSS, HTML 5, Interaction Design...
Education
Polytechnic University 1999 — 2003
BS
Dawit Beru Dawit Beru's FINRA Experience October 2012 - July 2014
Job Accounting Associate at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
FINRA October 2012 - July 2014
International Center for Transitional Justice (ICTJ) June 2011 - August 2011
Skills
Finance, Financial Regulation, Microsoft Excel, Microsoft Word, PowerPoint, Microsoft Office, Research, Customer Service
Education
Morehouse College 2008 — 2012
Business of Administration, Finance
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
FINRA October 2012 - July 2014
International Center for Transitional Justice (ICTJ) June 2011 - August 2011
Skills
Finance, Financial Regulation, Microsoft Excel, Microsoft Word, PowerPoint, Microsoft Office, Research, Customer Service
Education
Morehouse College 2008 — 2012
Business of Administration, Finance
Phil Buckberg Phil Buckberg's FINRA Experience February 2008 - August 2008
Job Implementation−Conversion Manager at FIS
Industry Computer Software
Experience
FIS January 2015 - Present
Advantage Industries August 2008 - January 2015
FINRA February 2008 - August 2008
FINRA (Financial Industry Regulatory Authority) January 2007 - February 2008
National Association of Securities Dealers (NASD) February 2005 - December 2007
USDA December 2001 - February 2005
Xerox June 1999 - December 2001
United States Postal Service July 1995 - June 1999
Xerox February 1990 - July 1995
Skills
Microsoft Office, Business Analysis, Project Management, Technical Writing, Software Development, Software Project..., PMO, Disaster Recovery, SDLC, Business Development, Strategic Planning, Quality Assurance, Proposal Writing, Risk Management, Management Consulting, Performance Management, Change Management, Business Process, Contract Management, Agile Project Management, IT Strategy, Team Leadership, IT Management, Team Building, Business Strategy, Process Improvement, PMP
Education
Virginia Polytechnic Institute and State University 1978 — 1982
BA, Economics
Montgomery College 2013 — 2013
Project Management, PMP Certification
FIS January 2015 - Present
Advantage Industries August 2008 - January 2015
FINRA February 2008 - August 2008
FINRA (Financial Industry Regulatory Authority) January 2007 - February 2008
National Association of Securities Dealers (NASD) February 2005 - December 2007
USDA December 2001 - February 2005
Xerox June 1999 - December 2001
United States Postal Service July 1995 - June 1999
Xerox February 1990 - July 1995
Skills
Microsoft Office, Business Analysis, Project Management, Technical Writing, Software Development, Software Project..., PMO, Disaster Recovery, SDLC, Business Development, Strategic Planning, Quality Assurance, Proposal Writing, Risk Management, Management Consulting, Performance Management, Change Management, Business Process, Contract Management, Agile Project Management, IT Strategy, Team Leadership, IT Management, Team Building, Business Strategy, Process Improvement, PMP
Education
Virginia Polytechnic Institute and State University 1978 — 1982
BA, Economics
Montgomery College 2013 — 2013
Project Management, PMP Certification
Sarah Putt's FINRA Experience July 2006 - November 2012
Job Experienced Securities and Compliance Professional
Industry Financial Services
Experience
Civitas Capital Group August 2015 - Present
Civitas Capital Group September 2014 - August 2015
US Securities and Exchange Commission November 2012 - November 2013
FINRA July 2006 - November 2012
Stephens Inc. January 2005 - July 2006
Louisiana State University September 2001 - May 2004
Skills
Securities Regulation, FINRA, Compliance, SEC filings, Risk Assessment, Financial Audits, External Audit, Microsoft Excel, PowerPoint, Microsoft Word, Project Planning, Public Speaking, Public Relations, Management, Anti Money Laundering
Education
Louisiana State University 2000 — 2004
Bachelor of Science (B.S.), Psychology
Civitas Capital Group August 2015 - Present
Civitas Capital Group September 2014 - August 2015
US Securities and Exchange Commission November 2012 - November 2013
FINRA July 2006 - November 2012
Stephens Inc. January 2005 - July 2006
Louisiana State University September 2001 - May 2004
Skills
Securities Regulation, FINRA, Compliance, SEC filings, Risk Assessment, Financial Audits, External Audit, Microsoft Excel, PowerPoint, Microsoft Word, Project Planning, Public Speaking, Public Relations, Management, Anti Money Laundering
Education
Louisiana State University 2000 — 2004
Bachelor of Science (B.S.), Psychology
Dave Buchholz Dave Buchholz's FINRA Experience March 2004 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA March 2004 - Present
self employed September 2002 - March 2004
National Futures Association October 1997 - August 2000
National Futures Association June 1995 - October 1997
Skills
Compliance, AML, Accounting, Finance, Financial Analysis, Securities, Auditing, Due Diligence
Education
Loyola University Chicago School of Law 2000 — 2002
Loyola University Chicago School of Law
J.D
Marquette University 1991 — 1995
B.S., Accounting
Marquette University
B.S, Accounting
Wisconsin Lutheran High School 1988 — 1991
FINRA March 2004 - Present
self employed September 2002 - March 2004
National Futures Association October 1997 - August 2000
National Futures Association June 1995 - October 1997
Skills
Compliance, AML, Accounting, Finance, Financial Analysis, Securities, Auditing, Due Diligence
Education
Loyola University Chicago School of Law 2000 — 2002
Loyola University Chicago School of Law
J.D
Marquette University 1991 — 1995
B.S., Accounting
Marquette University
B.S, Accounting
Wisconsin Lutheran High School 1988 — 1991
Nick Maslavets's FINRA Experience June 2010 - Present
Job Vice President, Data Science at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
FINRA June 2010 - Present
NYSE Euronext February 2006 - June 2010
NYSE Euronext May 2004 - February 2006
Skills
Equities, Trading Systems, Electronic Trading, Market Data, Business Analysis, Business Intelligence, Securities Regulation, Management, FINRA, Hedge Funds, Financial Risk, SDLC, Requirements Analysis, Data Warehousing, Capital Markets, Stock Exchange, IT Strategy, Agile Methodologies, Data Governance, Information Architecture, Predictive Analytics, Data Modeling, Machine Learning, Data Analysis, Data Mining, Options, Fixed Income
Education
Northcentral University
PhD candidate - ABD, business quantitative methods
University of Pennsylvania - The Wharton School
FINRA Leadership Program
Belarus State Economic University
International Economics
Military Academy of the Republic of Belarus (F/N/A MVIZRU PVO)
BS & MS, Systems Engineering
FINRA June 2010 - Present
NYSE Euronext February 2006 - June 2010
NYSE Euronext May 2004 - February 2006
Skills
Equities, Trading Systems, Electronic Trading, Market Data, Business Analysis, Business Intelligence, Securities Regulation, Management, FINRA, Hedge Funds, Financial Risk, SDLC, Requirements Analysis, Data Warehousing, Capital Markets, Stock Exchange, IT Strategy, Agile Methodologies, Data Governance, Information Architecture, Predictive Analytics, Data Modeling, Machine Learning, Data Analysis, Data Mining, Options, Fixed Income
Education
Northcentral University
PhD candidate - ABD, business quantitative methods
University of Pennsylvania - The Wharton School
FINRA Leadership Program
Belarus State Economic University
International Economics
Military Academy of the Republic of Belarus (F/N/A MVIZRU PVO)
BS & MS, Systems Engineering
Paul Fagone Paul Fagone's FINRA Experience March 2011 - April 2014
Job Managing Director at KPMG US
Industry Financial Services
Experience
KPMG April 2014 - Present
FINRA March 2011 - April 2014
KPMG Advisory June 2009 - March 2011
BearingPoint November 2004 - June 2009
IBM Business Consulting January 2000 - June 2004
Associates January 1998 - January 2000
LSG Sky Chefs June 1995 - January 1998
Skills
Sell Side, Buy-side, Financial Modeling, Financial Services, Capital Markets, Risk Management, Enterprise Risk..., Management Consulting, Financial Analysis, Operational Risk..., Financial Risk, Analytics, Banking, Basel II, Business Process..., Credit Risk, Due Diligence, Finance, Governance, Management, Market Risk, Portfolio Management, Securities, Strategy
Education
University of North Texas 1999 — 2000
MBA, Finance
Northeastern University 1991 — 1995
Bachelor's of Science, International Finance
KPMG April 2014 - Present
FINRA March 2011 - April 2014
KPMG Advisory June 2009 - March 2011
BearingPoint November 2004 - June 2009
IBM Business Consulting January 2000 - June 2004
Associates January 1998 - January 2000
LSG Sky Chefs June 1995 - January 1998
Skills
Sell Side, Buy-side, Financial Modeling, Financial Services, Capital Markets, Risk Management, Enterprise Risk..., Management Consulting, Financial Analysis, Operational Risk..., Financial Risk, Analytics, Banking, Basel II, Business Process..., Credit Risk, Due Diligence, Finance, Governance, Management, Market Risk, Portfolio Management, Securities, Strategy
Education
University of North Texas 1999 — 2000
MBA, Finance
Northeastern University 1991 — 1995
Bachelor's of Science, International Finance
Joe Schwarz Joe Schwarz's FINRA Experience 2004 - 2005
Job Systems Analyst Lead at Intersil
Industry Defense & Space
Experience
Intersil December 2013 - Present
Harris Corporation November 2009 - November 2013
ExecuSys, Inc. - Space Coast Launch Services (SCLS) Contract October 2005 - October 2009
FINRA 2004 - 2005
Goldbelt Raven 2002 - 2005
EFTechnologies, Inc 1999 - 2002
America's Funding Group 1995 - 1999
Skills
Cisco Switches, Cisco Security, CiscoWorks, Microsoft Exchange, Cisco Routers, Microsoft Servers, Cisco Firewalls, Bluecoat, Blackberry Enterprise..., Zenprise, Mobile Device Management, Good Technology, C#, SQL Server, IIS, Active Directory, Cisco ACS, Cisco VPN, Visual Basic, Powershell, System Administration, Network Security, Computer Security, Windows Server, Cisco IOS, Network Administration, Firewalls, DNS, IPS, Enterprise Architecture, Microsoft Certified..., Good Mobile, Networking, Cisco Technologies, SAN, Network Engineering, WAN, Virtualization, Information Assurance, Security+, VMware, Operating Systems, PIX, Information Security, Cisco Nexus, VMware ESX, VPN, Lync Server 2010, Microsoft Lync 2013, Strategic Thinking
Education
Montgomery College
Computer Science
University of Maryland University College
Computer and Information Science
Intersil December 2013 - Present
Harris Corporation November 2009 - November 2013
ExecuSys, Inc. - Space Coast Launch Services (SCLS) Contract October 2005 - October 2009
FINRA 2004 - 2005
Goldbelt Raven 2002 - 2005
EFTechnologies, Inc 1999 - 2002
America's Funding Group 1995 - 1999
Skills
Cisco Switches, Cisco Security, CiscoWorks, Microsoft Exchange, Cisco Routers, Microsoft Servers, Cisco Firewalls, Bluecoat, Blackberry Enterprise..., Zenprise, Mobile Device Management, Good Technology, C#, SQL Server, IIS, Active Directory, Cisco ACS, Cisco VPN, Visual Basic, Powershell, System Administration, Network Security, Computer Security, Windows Server, Cisco IOS, Network Administration, Firewalls, DNS, IPS, Enterprise Architecture, Microsoft Certified..., Good Mobile, Networking, Cisco Technologies, SAN, Network Engineering, WAN, Virtualization, Information Assurance, Security+, VMware, Operating Systems, PIX, Information Security, Cisco Nexus, VMware ESX, VPN, Lync Server 2010, Microsoft Lync 2013, Strategic Thinking
Education
Montgomery College
Computer Science
University of Maryland University College
Computer and Information Science
Caitlin Hardgrove Caitlin Hardgrove's FINRA Experience November 2010 - November 2011
Job Para Educator at Montgomery County Public Schools
Industry Consumer Services
Experience
Montgomery County Public Schools December 2011 - Present
LivingSocial August 2011 - Present
Carmody House 2002 - 2013
Washington Capitals July 2011 - April 2012
FINRA November 2010 - November 2011
Skills
Marketing, Social Media, Event Planning, Facebook, Microsoft Office, Public Speaking, Editing, PowerPoint, Social Networking, Social Media Marketing, Microsoft Word, Microsoft Excel, Customer Service, Event Management, Public Relations
Education
James Madison University 2006 — 2010
BS, Media Arts and Design, Music Industry
Montgomery County Public Schools December 2011 - Present
LivingSocial August 2011 - Present
Carmody House 2002 - 2013
Washington Capitals July 2011 - April 2012
FINRA November 2010 - November 2011
Skills
Marketing, Social Media, Event Planning, Facebook, Microsoft Office, Public Speaking, Editing, PowerPoint, Social Networking, Social Media Marketing, Microsoft Word, Microsoft Excel, Customer Service, Event Management, Public Relations
Education
James Madison University 2006 — 2010
BS, Media Arts and Design, Music Industry
Amanda Lenok Amanda Lenok's FINRA Experience June 2007 - November 2010
Job Manager at Deloitte & Touche, LLP
Industry Financial Services
Experience
Deloitte & Touche November 2010 - Present
FINRA June 2007 - November 2010
Merrill Lynch March 2007 - June 2007
Morgan Stanley Smith Barney September 2006 - December 2006
Skills
Financial Risk, Banking, Financial Modeling, Microsoft Office, Corporate Finance, Valuation, Management, Securities
Education
New York University 2003 — 2007
BA, Economics
Deloitte & Touche November 2010 - Present
FINRA June 2007 - November 2010
Merrill Lynch March 2007 - June 2007
Morgan Stanley Smith Barney September 2006 - December 2006
Skills
Financial Risk, Banking, Financial Modeling, Microsoft Office, Corporate Finance, Valuation, Management, Securities
Education
New York University 2003 — 2007
BA, Economics
Jennifer Duin Jennifer Duin's FINRA Experience May 1998 - Present
Job Analyst at FINRA
Industry Financial Services
Experience
FINRA May 1998 - Present
Education
The Catholic University of America, Columbus School of Law 1993 — 1996
JD
Muhlenberg College 1988 — 1992
BA, History, Political Science
FINRA May 1998 - Present
Education
The Catholic University of America, Columbus School of Law 1993 — 1996
JD
Muhlenberg College 1988 — 1992
BA, History, Political Science
Sammy Qassis Sammy Qassis's FINRA Experience February 2009 - October 2009
Job System Administrator at Wyndham Worldwide
Industry Information Technology and Services
Experience
Wyndham Worldwide June 2015 - Present
York Risk Services Group July 2011 - June 2015
MDX Medical November 2010 - June 2011
Finra February 2009 - October 2009
Skills
Technical Support, Networking, Customer Service, Team Leadership, Analysis, Marketing Strategy, Project Management, Business Intelligence, Process Improvement, Data Analysis, Business Analysis, Troubleshooting, Salesforce.com, E-commerce, Disaster Recovery, Vendor Management, System Administration, Windows Server, VMware, Servers, Data Center, Microsoft Office
Education
Montclair State University 2004 — 2008
Bacherlors, Management Information Systems
Wyndham Worldwide June 2015 - Present
York Risk Services Group July 2011 - June 2015
MDX Medical November 2010 - June 2011
Finra February 2009 - October 2009
Skills
Technical Support, Networking, Customer Service, Team Leadership, Analysis, Marketing Strategy, Project Management, Business Intelligence, Process Improvement, Data Analysis, Business Analysis, Troubleshooting, Salesforce.com, E-commerce, Disaster Recovery, Vendor Management, System Administration, Windows Server, VMware, Servers, Data Center, Microsoft Office
Education
Montclair State University 2004 — 2008
Bacherlors, Management Information Systems
Kapinder Diwan Kapinder Diwan's FINRA Experience 2008 - 2008
Job Associate IT Security
Industry Investment Banking
Experience
Morgan Stanley January 2015 - Present
United Online April 2010 - December 2014
Financial Industry Regulatory Authority (FINRA) February 2009 - March 2010
FINRA 2008 - 2008
Skills
Application and Network..., Vulnerability Management, Firewall Review, Risk Assessment, Penetration Testing, Security, Information Security, PCI DSS, Firewalls, Nessus, Vulnerability Assessment, Application Security, DLP, Vulnerability Scanning, Metasploit, Backtrack, Nmap, Computer Security, Solaris, Web Application Security, Wireshark, Linux, Servers, Security Architecture..., Intrusion Detection, Internet Security, Incident Response, Computer Forensics, Network Security, Information Security..., Network Engineering, ISO 27001, Cisco Technologies, Juniper, Networking, Red Hat Linux, Linux System..., Bash, TCP/IP, Security Audits, Apache, Shell Scripting, Disaster Recovery, Unix, Perl, Unix Shell Scripting, Virtualization, Identity Management, Load Balancing, Juniper Technologies
Education
New Jersey Institute of Technology 2007 — 2008
Master's degree, Information systems
Kurukshetra University 2003 — 2007
Bachelor of Technology (BTech), Information Technology
GBSSS No.1 Shakti Nagar
Morgan Stanley January 2015 - Present
United Online April 2010 - December 2014
Financial Industry Regulatory Authority (FINRA) February 2009 - March 2010
FINRA 2008 - 2008
Skills
Application and Network..., Vulnerability Management, Firewall Review, Risk Assessment, Penetration Testing, Security, Information Security, PCI DSS, Firewalls, Nessus, Vulnerability Assessment, Application Security, DLP, Vulnerability Scanning, Metasploit, Backtrack, Nmap, Computer Security, Solaris, Web Application Security, Wireshark, Linux, Servers, Security Architecture..., Intrusion Detection, Internet Security, Incident Response, Computer Forensics, Network Security, Information Security..., Network Engineering, ISO 27001, Cisco Technologies, Juniper, Networking, Red Hat Linux, Linux System..., Bash, TCP/IP, Security Audits, Apache, Shell Scripting, Disaster Recovery, Unix, Perl, Unix Shell Scripting, Virtualization, Identity Management, Load Balancing, Juniper Technologies
Education
New Jersey Institute of Technology 2007 — 2008
Master's degree, Information systems
Kurukshetra University 2003 — 2007
Bachelor of Technology (BTech), Information Technology
GBSSS No.1 Shakti Nagar
Ashita (Ashita Shah) Diwan Ashita (Ashita Shah) Diwan's FINRA Experience May 2008 - August 2008
Job Fund Services Analytics, AVP
Industry Banking
Experience
Deutsche Bank February 2015 - Present
Deutsche Bank May 2012 - January 2015
Deutsche Bank March 2009 - May 2012
finra May 2008 - August 2008
Calsoft March 2006 - June 2007
Skills
Business Analysis, Functional..., Project Coordination, Software Project..., Requirements Analysis, Visio, UML, SDLC, Application Development, MS Project, Requirements Gathering, User Acceptance Testing, Software Documentation, Testing, Java, Business Requirements, Project Management, PL/SQL, SQL, XML, Test Cases, Vendor Management, Agile Methodologies, UAT coordination, Use Case, Oracle, Business Process, SOA, SharePoint, Integration, .NET
Education
New Jersey Institute of Technology 2007 — 2008
MS, IS
Karnatak University 1999 — 2001
Bachelors, Computer Application
R.L.S Institute of Technology 1999 — 2001
Bachelors, Computer Application
Deutsche Bank February 2015 - Present
Deutsche Bank May 2012 - January 2015
Deutsche Bank March 2009 - May 2012
finra May 2008 - August 2008
Calsoft March 2006 - June 2007
Skills
Business Analysis, Functional..., Project Coordination, Software Project..., Requirements Analysis, Visio, UML, SDLC, Application Development, MS Project, Requirements Gathering, User Acceptance Testing, Software Documentation, Testing, Java, Business Requirements, Project Management, PL/SQL, SQL, XML, Test Cases, Vendor Management, Agile Methodologies, UAT coordination, Use Case, Oracle, Business Process, SOA, SharePoint, Integration, .NET
Education
New Jersey Institute of Technology 2007 — 2008
MS, IS
Karnatak University 1999 — 2001
Bachelors, Computer Application
R.L.S Institute of Technology 1999 — 2001
Bachelors, Computer Application
Paul C Angelino Paul C Angelino's FINRA Experience October 2006 - December 2013
Job LAN Administrator at FINRA
Industry Information Technology and Services
Experience
Pctechnologist LLC August 2015 - Present
FINRA October 2006 - December 2013
Pctechnologist LLC 2004 - 2011
California Institute of Technology September 1987 - April 2004
Action Computer Enterprise May 1983 - August 1987
Four Phase Systems 1980 - 1983
US Air Force October 1974 - October 1980
Skills
Embedded Systems, Troubleshooting, Testing, Software Development, Hardware, Electronics, Windows, Hardware Architecture, TCP/IP, Network Security, System Administration, Technical Writing, Integration, Security, Software Installation, Management, Enterprise Software, Operating Systems, Computer Hardware
Education
Los Angeles City College 1982 — 1984
AS, Computer science
John Marshall, 1974 1971 — 1974
Pctechnologist LLC August 2015 - Present
FINRA October 2006 - December 2013
Pctechnologist LLC 2004 - 2011
California Institute of Technology September 1987 - April 2004
Action Computer Enterprise May 1983 - August 1987
Four Phase Systems 1980 - 1983
US Air Force October 1974 - October 1980
Skills
Embedded Systems, Troubleshooting, Testing, Software Development, Hardware, Electronics, Windows, Hardware Architecture, TCP/IP, Network Security, System Administration, Technical Writing, Integration, Security, Software Installation, Management, Enterprise Software, Operating Systems, Computer Hardware
Education
Los Angeles City College 1982 — 1984
AS, Computer science
John Marshall, 1974 1971 — 1974
Dolores M. Coutts, CFA Dolores M. Coutts, CFA's FINRA Experience 2007 - Present
Job CFO
Industry Hospital & Health Care
Experience
Institute for Patient- and Family-Centered Care 2008 - Present
FINRA 2007 - Present
Caterpillar Dealer Finance Co-op (CATD) 1985 - 2007
Fannie Mae September 1983 - November 1985
Skills
Leadership, Budgets, Strategic Planning, Management, Investments, Program Management, Internal Controls, Portfolio Management, Management Consulting, GAAP, Research, Business Strategy, Healthcare, Project Management, Contract Negotiation, Non-profits
Education
The George Washington University - School of Business 1980 — 1982
MBA, Finance and Investments
La Salle University
BA
Institute for Patient- and Family-Centered Care 2008 - Present
FINRA 2007 - Present
Caterpillar Dealer Finance Co-op (CATD) 1985 - 2007
Fannie Mae September 1983 - November 1985
Skills
Leadership, Budgets, Strategic Planning, Management, Investments, Program Management, Internal Controls, Portfolio Management, Management Consulting, GAAP, Research, Business Strategy, Healthcare, Project Management, Contract Negotiation, Non-profits
Education
The George Washington University - School of Business 1980 — 1982
MBA, Finance and Investments
La Salle University
BA
William Hayden William Hayden's FINRA Experience October 2008 - March 2013
Job Chief Compliance Officer, KeyBanc Capital Markets
Industry Financial Services
Experience
KeyBanc Capital Markets March 2013 - Present
FINRA October 2008 - March 2013
Wachovia 2002 - 2008
US Securities and Exchange Commission 1999 - 2002
Office of the States Attorney for Baltimore County 1994 - 1999
US Navy 1985 - 1992
Skills
FINRA, AML, Securities, Enterprise Risk..., Financial Regulation, Alternative Investments, Compliance, Capital Markets, OFAC, Anti Money Laundering, Regulatory Affairs, Securities Regulation, Equities, Structured Products, Project Management, Due Diligence, Operational Risk, SEC, USA PATRIOT Act, Examination Management, New Product Oversight, Exchange Traded Products, Investment Banking..., Regulatory Examinations, Equity Trading, Supervisory Controls, Bank-Broker Dealer..., Conflicts Management
Education
University of Baltimore 1992 — 1995
Doctor of Law (J.D.)
Miami University 1980 — 1984
Bachelor's degree, International/Global Studies
KeyBanc Capital Markets March 2013 - Present
FINRA October 2008 - March 2013
Wachovia 2002 - 2008
US Securities and Exchange Commission 1999 - 2002
Office of the States Attorney for Baltimore County 1994 - 1999
US Navy 1985 - 1992
Skills
FINRA, AML, Securities, Enterprise Risk..., Financial Regulation, Alternative Investments, Compliance, Capital Markets, OFAC, Anti Money Laundering, Regulatory Affairs, Securities Regulation, Equities, Structured Products, Project Management, Due Diligence, Operational Risk, SEC, USA PATRIOT Act, Examination Management, New Product Oversight, Exchange Traded Products, Investment Banking..., Regulatory Examinations, Equity Trading, Supervisory Controls, Bank-Broker Dealer..., Conflicts Management
Education
University of Baltimore 1992 — 1995
Doctor of Law (J.D.)
Miami University 1980 — 1984
Bachelor's degree, International/Global Studies
Anthony Sacco's FINRA Experience March 2009 - Present
Job Examination / Surveillance Director at Finra
Industry Financial Services
Experience
Finra March 2009 - Present
UBS Investment Bank January 2007 - March 2009
NYSE Regulation March 1999 - December 2006
Skills
Compliance and..., Finance, Fraud, Insurance, Management, Risk Management, Analysis, Securities, Financial Risk, Banking, FINRA
Education
Mount Saint Mary College 1993 — 1995
Bachelor's degree, Business Administration and Management, General
Finra March 2009 - Present
UBS Investment Bank January 2007 - March 2009
NYSE Regulation March 1999 - December 2006
Skills
Compliance and..., Finance, Fraud, Insurance, Management, Risk Management, Analysis, Securities, Financial Risk, Banking, FINRA
Education
Mount Saint Mary College 1993 — 1995
Bachelor's degree, Business Administration and Management, General
Nicole Antar Nicole Antar's FINRA Experience May 2010 - April 2011
Job Communications Specialist at National Lutheran Communities & Services
Industry Hospital & Health Care
Experience
National Lutheran Communities & Services February 2014 - Present
The Village at Rockville--A National Lutheran Community April 2012 - February 2014
Travelex June 2011 - March 2012
FINRA May 2010 - April 2011
FedMatch Strategies February 2010 - April 2010
Skills
Salesforce.com, Microsoft Office, Sales, Leadership, Marketing, Research, Customer Satisfaction, System Administration, User Interface, Directing, Access, Team Leadership, Reps, Interior Design, Admissions, Event Planning, Trade Shows, Senior Services, Customer Service, Microsoft Excel, Microsoft Word, Marketing Communications, Event Management, Client Relations Skills, Sales Presentations, Lead Generation, PowerPoint, Online Marketing, Social Media Marketing, Social Networking, Marketing Strategy, Outlook, Social Media, Community Outreach, Editing, Team Building, Market Research, Spanish
Education
University of Maryland University College 2008 — 2010
Bachelor of Science, Marketing
Montgomery College 2006 — 2008
Associate of Arts, Business
National Lutheran Communities & Services February 2014 - Present
The Village at Rockville--A National Lutheran Community April 2012 - February 2014
Travelex June 2011 - March 2012
FINRA May 2010 - April 2011
FedMatch Strategies February 2010 - April 2010
Skills
Salesforce.com, Microsoft Office, Sales, Leadership, Marketing, Research, Customer Satisfaction, System Administration, User Interface, Directing, Access, Team Leadership, Reps, Interior Design, Admissions, Event Planning, Trade Shows, Senior Services, Customer Service, Microsoft Excel, Microsoft Word, Marketing Communications, Event Management, Client Relations Skills, Sales Presentations, Lead Generation, PowerPoint, Online Marketing, Social Media Marketing, Social Networking, Marketing Strategy, Outlook, Social Media, Community Outreach, Editing, Team Building, Market Research, Spanish
Education
University of Maryland University College 2008 — 2010
Bachelor of Science, Marketing
Montgomery College 2006 — 2008
Associate of Arts, Business
Vairamani P Vairamani P's FINRA Experience 2007 - 2010
Job Sr. Consultant at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority May 2013 - Present
AIT Resource Group, Inc. January 2013 - Present
American IT Resource Group December 2011 - Present
NTTDATA 2013 - 2013
CONSIM INFO PVT LTD February 2011 - November 2011
3i Infotech May 2010 - February 2011
FINRA 2007 - 2010
AIT Resource Group, Inc. 2007 - 2010
Fannie Mae 2006 - 2007
GCE 2004 - 2006
Skills
Data Warehousing, Web Services
Education
Manonmaniam Sundaranar University 1991 — 1995
BE, Computer science & Engineering
Financial Industry Regulatory Authority May 2013 - Present
AIT Resource Group, Inc. January 2013 - Present
American IT Resource Group December 2011 - Present
NTTDATA 2013 - 2013
CONSIM INFO PVT LTD February 2011 - November 2011
3i Infotech May 2010 - February 2011
FINRA 2007 - 2010
AIT Resource Group, Inc. 2007 - 2010
Fannie Mae 2006 - 2007
GCE 2004 - 2006
Skills
Data Warehousing, Web Services
Education
Manonmaniam Sundaranar University 1991 — 1995
BE, Computer science & Engineering
Kira A. Reynolds, MPA, MS Kira A. Reynolds, MPA, MS's FINRA Experience December 2013 - Present
Job Experienced Program & Project Manager
Industry Program Development
Experience
FINRA December 2013 - Present
NYC Department of Education 2010 - December 2013
PROmedica Communications, Inc. August 2007 - February 2008
McMahon Group February 2006 - August 2007
Center for Continuing Education in Nursing & Healthcare November 2002 - February 2006
Skills
Program Management, Creative Writing, Adult Education, Editing, Organizational..., Getting The Job Done, Program Development, Compliance, Event Management, Computer Proficiency, Communication Skills, Employee Training, Healthcare Management, Organization, Highly detail oriented, Customer Service, Project Management, Teaching, Team Building, Healthcare
Education
Pace University
Masters of Public Administration, Health Care Administration
Mercy College
Masters of Science, Childhood Education
Pace University-Pleasantville/Briarcliff Campus
Bachelor of Business Administration (BBA), Marketing
FINRA December 2013 - Present
NYC Department of Education 2010 - December 2013
PROmedica Communications, Inc. August 2007 - February 2008
McMahon Group February 2006 - August 2007
Center for Continuing Education in Nursing & Healthcare November 2002 - February 2006
Skills
Program Management, Creative Writing, Adult Education, Editing, Organizational..., Getting The Job Done, Program Development, Compliance, Event Management, Computer Proficiency, Communication Skills, Employee Training, Healthcare Management, Organization, Highly detail oriented, Customer Service, Project Management, Teaching, Team Building, Healthcare
Education
Pace University
Masters of Public Administration, Health Care Administration
Mercy College
Masters of Science, Childhood Education
Pace University-Pleasantville/Briarcliff Campus
Bachelor of Business Administration (BBA), Marketing
Maureen Cajoux, Esq. Maureen Cajoux, Esq.'s FINRA Experience 2001 - 2002
Job Counsel at Ameriprise Financial Services, Inc.
Industry Legal Services
Experience
Ameriprise Financial Services, Inc. 2011 - Present
Blue Sky MLS 2010 - 2011
Maureen G. Cajoux Esq. 2001 - 2010
Raymond James Financial 2004 - 2006
Hooper and Weiss LLC 2002 - 2004
FINRA 2001 - 2002
Academic Clerkships 1998 - 2001
Morgan Stanley Dean Witter 1997 - 1998
Skills
Securities Litigation, FINRA, Securities Regulation, Mediation, Class Actions, Arbitration, SEC, Litigation, Investment Advisory, Negotiation, Public Speaking, Corporate Governance, Civil Litigation, AML, Commercial Litigation, Corporate Law, Securities Offerings, Securities, Legal Research, Broker-Dealer, Securities Arbitration, Securities Law, Investment Company Act, Litigation Management, Mergers, Wealth Management, Hedge Funds, Legal Writing, Strategic Financial..., Investments
Education
New York Law School
JD
New York University
BA
Ameriprise Financial Services, Inc. 2011 - Present
Blue Sky MLS 2010 - 2011
Maureen G. Cajoux Esq. 2001 - 2010
Raymond James Financial 2004 - 2006
Hooper and Weiss LLC 2002 - 2004
FINRA 2001 - 2002
Academic Clerkships 1998 - 2001
Morgan Stanley Dean Witter 1997 - 1998
Skills
Securities Litigation, FINRA, Securities Regulation, Mediation, Class Actions, Arbitration, SEC, Litigation, Investment Advisory, Negotiation, Public Speaking, Corporate Governance, Civil Litigation, AML, Commercial Litigation, Corporate Law, Securities Offerings, Securities, Legal Research, Broker-Dealer, Securities Arbitration, Securities Law, Investment Company Act, Litigation Management, Mergers, Wealth Management, Hedge Funds, Legal Writing, Strategic Financial..., Investments
Education
New York Law School
JD
New York University
BA
Jeremy Andersen, CFE Jeremy Andersen, CFE's FINRA Experience January 2000 - August 2010
Job U.S. Securities and Exchange Commission
Industry Capital Markets
Experience
U.S. Securities and Exchange Commssion August 2010 - Present
FINRA January 2000 - August 2010
Golf Vista December 1998 - January 2000
Skills
FINRA, Securities, Series 24, Securities Regulation, AML
Education
Millikin University 1994 — 1999
Millikin University
U.S. Securities and Exchange Commssion August 2010 - Present
FINRA January 2000 - August 2010
Golf Vista December 1998 - January 2000
Skills
FINRA, Securities, Series 24, Securities Regulation, AML
Education
Millikin University 1994 — 1999
Millikin University
Samuel Lyons Samuel Lyons's FINRA Experience June 2004 - July 2010
Job Senior at Ernst & Young
Industry Financial Services
Experience
Ernst & Young July 2010 - Present
FINRA June 2004 - July 2010
Education
Morehouse College 2000 — 2004
Bachelors, Accounting
Ernst & Young July 2010 - Present
FINRA June 2004 - July 2010
Education
Morehouse College 2000 — 2004
Bachelors, Accounting
David Hirsch's FINRA Experience April 2007 - Present
Job Director, Credit Suisse Private Banking USA
Industry Investment Management
Experience
21st Century Dads Foundation March 2015 - Present
Credit Suisse Private Banking USA February 2008 - Present
FINRA April 2007 - Present
Union League Club of Chicago 2004 - Present
Illinois Fatherhood Initiative 1997 - Present
Smith Barney, Inc January 1985 - February 2008
W.K. Kellogg Foundation National Fellows Program 1993 - 1996
Price Waterhouse July 1982 - January 1985
Skills
Foundations, Endowments, Non-profits, Investments, Wealth Management, Fundraising, Strategic Planning, Investment Advisory, Strategic Financial..., Leadership, Nonprofits, High Net Worth..., Financial Analysis, Financial Advisory, Philanthropy, Wealth Management..., Entrepreneurship, Budgets, Mergers & Acquisitions, Asset Management, Portfolio Management, Start-ups, Executive Management, Estate Planning, Securities, Business Planning, Strategy, Finance, Business Strategy, Private Equity, Small Business, Marketing, Business Development, Risk Management, Due Diligence, Management Consulting, Financial Modeling, Financial Services, Venture Capital, Investment Management, Consulting, Alternative Investments, Corporate Finance, Strategic Partnerships, Valuation, Competitive Analysis, Equities, Corporate Development, Banking, Investment Banking
Education
Northwestern University - Kellogg School of Management 1995 — 2001
MBA, Marketing
University of Illinois at Urbana-Champaign - College of Business 1978 — 1982
Bachelor of Science, Accounting
The University of Chicago 2008 — 2008
CPWA, IMCA - Certified Private Wealth Advisor
University of Pennsylvania - The Wharton School 2001 — 2001
CIMA, IMCA - Certified Investment Management Associate
21st Century Dads Foundation March 2015 - Present
Credit Suisse Private Banking USA February 2008 - Present
FINRA April 2007 - Present
Union League Club of Chicago 2004 - Present
Illinois Fatherhood Initiative 1997 - Present
Smith Barney, Inc January 1985 - February 2008
W.K. Kellogg Foundation National Fellows Program 1993 - 1996
Price Waterhouse July 1982 - January 1985
Skills
Foundations, Endowments, Non-profits, Investments, Wealth Management, Fundraising, Strategic Planning, Investment Advisory, Strategic Financial..., Leadership, Nonprofits, High Net Worth..., Financial Analysis, Financial Advisory, Philanthropy, Wealth Management..., Entrepreneurship, Budgets, Mergers & Acquisitions, Asset Management, Portfolio Management, Start-ups, Executive Management, Estate Planning, Securities, Business Planning, Strategy, Finance, Business Strategy, Private Equity, Small Business, Marketing, Business Development, Risk Management, Due Diligence, Management Consulting, Financial Modeling, Financial Services, Venture Capital, Investment Management, Consulting, Alternative Investments, Corporate Finance, Strategic Partnerships, Valuation, Competitive Analysis, Equities, Corporate Development, Banking, Investment Banking
Education
Northwestern University - Kellogg School of Management 1995 — 2001
MBA, Marketing
University of Illinois at Urbana-Champaign - College of Business 1978 — 1982
Bachelor of Science, Accounting
The University of Chicago 2008 — 2008
CPWA, IMCA - Certified Private Wealth Advisor
University of Pennsylvania - The Wharton School 2001 — 2001
CIMA, IMCA - Certified Investment Management Associate
Scott McDaniel Scott McDaniel's FINRA Experience June 2014 - Present
Job UI/UX Designer at Kelly & Associates Insurance Group
Industry Information Technology and Services
Experience
FINRA June 2014 - Present
Kelly & Associates Insurance Group September 2013 - June 2014
Design for Context February 2012 - August 2013
Genetic Alliance January 2011 - March 2012
Network Designs, Inc. June 2010 - December 2010
Management Systems Designers/Lockheed Martin, Inc. November 2004 - May 2010
Cognetics Corporation April 2000 - November 2004
Science Applications International Corporation November 1998 - April 2000
OPNET Technologies 1996 - 1998
Garcia Consulting, Inc. 1994 - 1996
Skills
User Interface Design, Technical Writing, Project Management, Usability Testing, User-centered Design, Information Architecture, User Experience, Heuristic Evaluation, Interaction Design, Human Computer..., Usability, Usability Engineering, User Interface, User Research, XSLT, Wireframes, Wire Framing, Web Applications, User Experience Design, User Scenarios, Task Analysis, Requirements Gathering, CSS, CMS, JavaScript, Persona
Education
University of Rochester 1992 — 1994
MA
James Madison University 1988 — 1992
BS
FINRA June 2014 - Present
Kelly & Associates Insurance Group September 2013 - June 2014
Design for Context February 2012 - August 2013
Genetic Alliance January 2011 - March 2012
Network Designs, Inc. June 2010 - December 2010
Management Systems Designers/Lockheed Martin, Inc. November 2004 - May 2010
Cognetics Corporation April 2000 - November 2004
Science Applications International Corporation November 1998 - April 2000
OPNET Technologies 1996 - 1998
Garcia Consulting, Inc. 1994 - 1996
Skills
User Interface Design, Technical Writing, Project Management, Usability Testing, User-centered Design, Information Architecture, User Experience, Heuristic Evaluation, Interaction Design, Human Computer..., Usability, Usability Engineering, User Interface, User Research, XSLT, Wireframes, Wire Framing, Web Applications, User Experience Design, User Scenarios, Task Analysis, Requirements Gathering, CSS, CMS, JavaScript, Persona
Education
University of Rochester 1992 — 1994
MA
James Madison University 1988 — 1992
BS
Mekail Ahmad's FINRA Experience March 2011 - December 2013
Job Lead Consultant
Industry Information Technology and Services
Experience
FINRA March 2011 - December 2013
Skills
Business Analysis, Visio, Rational Rose, SQL, Agile, UML, Full SDLC, Business Architecture, User Acceptance Testing, Business Requirements, SharePoint, Integration, Insurance, SDLC, Analysis, Software Documentation, Agile Methodologies, Data Analysis, Software Development, Business Process Design, Requirements Analysis, Data Modeling
Education
Northwestern University
B.S., Statistics
State College Area High School
FINRA March 2011 - December 2013
Skills
Business Analysis, Visio, Rational Rose, SQL, Agile, UML, Full SDLC, Business Architecture, User Acceptance Testing, Business Requirements, SharePoint, Integration, Insurance, SDLC, Analysis, Software Documentation, Agile Methodologies, Data Analysis, Software Development, Business Process Design, Requirements Analysis, Data Modeling
Education
Northwestern University
B.S., Statistics
State College Area High School
Vimala Kanagaraj Vimala Kanagaraj's FINRA Experience November 2008 - September 2010
Job Sr IT Applications Specialist at Symantec
Industry Computer & Network Security
Experience
Symantec February 2014 - Present
Symantec March 2012 - January 2014
Wells Fargo May 2011 - March 2012
Symantec Corporation September 2010 - May 2011
FINRA November 2008 - September 2010
Lear Corporation April 2008 - October 2008
Oracle Financial Services Software Ltd October 2005 - January 2008
Skills
Oracle, PL/SQL, SQL, Unix, Web Services, Agile Methodologies, JSP, Java, SDLC, Data Warehousing, XML, Unix Shell Scripting, Microsoft SQL Server, Requirements Analysis, Oracle Applications, Shell Scripting
Education
National Engineering College 2001 — 2003
Master, Computer Science Engineering
Noorul Islam College of Engineering 1998 — 2001
BE, Electrical Engineering
Manonmaniam Sundaranar University
Master of Engineering (M.Eng.), Computer Science
Symantec February 2014 - Present
Symantec March 2012 - January 2014
Wells Fargo May 2011 - March 2012
Symantec Corporation September 2010 - May 2011
FINRA November 2008 - September 2010
Lear Corporation April 2008 - October 2008
Oracle Financial Services Software Ltd October 2005 - January 2008
Skills
Oracle, PL/SQL, SQL, Unix, Web Services, Agile Methodologies, JSP, Java, SDLC, Data Warehousing, XML, Unix Shell Scripting, Microsoft SQL Server, Requirements Analysis, Oracle Applications, Shell Scripting
Education
National Engineering College 2001 — 2003
Master, Computer Science Engineering
Noorul Islam College of Engineering 1998 — 2001
BE, Electrical Engineering
Manonmaniam Sundaranar University
Master of Engineering (M.Eng.), Computer Science
James Langan James Langan's FINRA Experience October 2009 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA October 2009 - Present
JP Morgan Chase August 2009 - October 2009
Credit Suisse January 2002 - January 2009
Credit-Suisse November 2000 - December 2001
Donaldson, Lufkin & Jenrette Inc. January 1989 - October 2000
Education
Le Moyne College 1978 — 1982
BS, Accounting
FINRA October 2009 - Present
JP Morgan Chase August 2009 - October 2009
Credit Suisse January 2002 - January 2009
Credit-Suisse November 2000 - December 2001
Donaldson, Lufkin & Jenrette Inc. January 1989 - October 2000
Education
Le Moyne College 1978 — 1982
BS, Accounting
Olga Kochergina Olga Kochergina's FINRA Experience May 2010 - December 2010
Job Owner at Wild Naiada Designs
Industry Luxury Goods & Jewelry
Experience
Wild Naiada Designs May 2013 - Present
Financial Industry Regulatory Authority August 2011 - January 2013
CreamTec LLC December 2010 - August 2011
FINRA May 2010 - December 2010
Montgomery County Literacy Council April 2010 - May 2010
Robert H. Smith School of Business January 2009 - June 2009
SeaWeb July 2007 - October 2007
Education
Creative Metalworks Studio 2014 — 2014
Continuing Education, Jewelry Fabrication
Montgomery College 2010 — 2013
Continuing Education, Computer Science
University of Maryland College Park 2006 — 2009
Undergraduate, Finance, Information Systems
Richard Montgomery HS 2002 — 2006
Wild Naiada Designs May 2013 - Present
Financial Industry Regulatory Authority August 2011 - January 2013
CreamTec LLC December 2010 - August 2011
FINRA May 2010 - December 2010
Montgomery County Literacy Council April 2010 - May 2010
Robert H. Smith School of Business January 2009 - June 2009
SeaWeb July 2007 - October 2007
Education
Creative Metalworks Studio 2014 — 2014
Continuing Education, Jewelry Fabrication
Montgomery College 2010 — 2013
Continuing Education, Computer Science
University of Maryland College Park 2006 — 2009
Undergraduate, Finance, Information Systems
Richard Montgomery HS 2002 — 2006
Lydia Bishop, RA's FINRA Experience 1989 - 1991
Job Realtor Extraordinaire
Industry Real Estate
Experience
Elite Pacific Properties December 2014 - Present
Keller Williams Honolulu October 2013 - Present
RE/MAX Honolulu November 2011 - Present
Village Square Referrals January 2011 - July 2012
RE/MAX Village Square in Upper Montclair, NJ January 2005 - January 2011
Schweppe Burgdorff ERA January 1999 - February 2004
FINRA 1989 - 1991
National Association of Securities Dealers (NASD, nka FINRA) December 1984 - January 1989
Skills
Sellers, Condos, Short Sales, First Time Home Buyers, Luxury, Townhomes, Buyer Representation, Investment Properties, Real Estate Transactions, Listings, Relocation, Referrals, Single Family Homes, Residential Homes, Home Staging, New Home Sales, REO, Investors, e-PRO, Relocation Buyers, ABR, Foreclosures, Buyers, Real Property, New Homes, Seniors, SFR, Negotiation, Real Estate, Move Up Buyers, Vacation Homes, Resellers, Sales, Income Properties
Education
The George Washington University 1979 — 1981
BBA, Finance
Montgomery College 1975 — 1977
AA, Nursing
Elite Pacific Properties December 2014 - Present
Keller Williams Honolulu October 2013 - Present
RE/MAX Honolulu November 2011 - Present
Village Square Referrals January 2011 - July 2012
RE/MAX Village Square in Upper Montclair, NJ January 2005 - January 2011
Schweppe Burgdorff ERA January 1999 - February 2004
FINRA 1989 - 1991
National Association of Securities Dealers (NASD, nka FINRA) December 1984 - January 1989
Skills
Sellers, Condos, Short Sales, First Time Home Buyers, Luxury, Townhomes, Buyer Representation, Investment Properties, Real Estate Transactions, Listings, Relocation, Referrals, Single Family Homes, Residential Homes, Home Staging, New Home Sales, REO, Investors, e-PRO, Relocation Buyers, ABR, Foreclosures, Buyers, Real Property, New Homes, Seniors, SFR, Negotiation, Real Estate, Move Up Buyers, Vacation Homes, Resellers, Sales, Income Properties
Education
The George Washington University 1979 — 1981
BBA, Finance
Montgomery College 1975 — 1977
AA, Nursing
John Serron's FINRA Experience April 2008 - September 2009
Job Solutions Development Intern at AES Energy Storage
Industry Renewables & Environment
Experience
The AES Corporation May 2015 - Present
University of Michigan Social Venture Fund September 2014 - May 2015
Tesla Motors May 2014 - August 2014
SoCore Energy October 2013 - April 2014
Fisher Investments July 2011 - August 2013
Fisher Investments May 2010 - July 2011
FINRA April 2008 - September 2009
Manning & Napier Advisors, Inc. June 2005 - March 2008
Skills
Equities, Financial Modeling, Investments, Marketing, Finance, Competitive Analysis, Portfolio Management, Analysis, Due Diligence, Leadership, Management, Start-ups, Analytics, Training, Entrepreneurship
Education
University of Michigan - Stephen M. Ross School of Business 2013 — 2016
Master of Business Administration (MBA)
University of Michigan - School of Natural Resources and Environment 2013 — 2016
Master of Science (M.S.), Sustainable Systems
Nazareth College 2001 — 2005
B.S. Cum Laude, Business & Spanish
The AES Corporation May 2015 - Present
University of Michigan Social Venture Fund September 2014 - May 2015
Tesla Motors May 2014 - August 2014
SoCore Energy October 2013 - April 2014
Fisher Investments July 2011 - August 2013
Fisher Investments May 2010 - July 2011
FINRA April 2008 - September 2009
Manning & Napier Advisors, Inc. June 2005 - March 2008
Skills
Equities, Financial Modeling, Investments, Marketing, Finance, Competitive Analysis, Portfolio Management, Analysis, Due Diligence, Leadership, Management, Start-ups, Analytics, Training, Entrepreneurship
Education
University of Michigan - Stephen M. Ross School of Business 2013 — 2016
Master of Business Administration (MBA)
University of Michigan - School of Natural Resources and Environment 2013 — 2016
Master of Science (M.S.), Sustainable Systems
Nazareth College 2001 — 2005
B.S. Cum Laude, Business & Spanish
Wendy Bryce Wendy Bryce's FINRA Experience November 2006 - September 2015
Job SVP Senior Audit Manager, ICG Compliance
Industry Financial Services
Experience
Citi September 2015 - Present
FINRA November 2006 - September 2015
TD Waterhouse Investor Services September 2000 - May 2006
Skills
Investments, AML, FINRA, Securities Regulation, Capital Markets, OFAC, Series 63, Options, Mutual Funds, Series 7, Series 24, Financial Regulation, Equities, Hedge Funds, Investment Advisory, Due Diligence, Risk Management, Asset Management, Banking, Financial Risk, Trading, Fixed Income, Bank Secrecy Act, Financial Services, Securities, KYC
Education
University of Phoenix 1997 — 1999
Master of Business Administration (MBA)
Merrimack College 1988 — 1992
Bachelor of Science, Marketing
Citi September 2015 - Present
FINRA November 2006 - September 2015
TD Waterhouse Investor Services September 2000 - May 2006
Skills
Investments, AML, FINRA, Securities Regulation, Capital Markets, OFAC, Series 63, Options, Mutual Funds, Series 7, Series 24, Financial Regulation, Equities, Hedge Funds, Investment Advisory, Due Diligence, Risk Management, Asset Management, Banking, Financial Risk, Trading, Fixed Income, Bank Secrecy Act, Financial Services, Securities, KYC
Education
University of Phoenix 1997 — 1999
Master of Business Administration (MBA)
Merrimack College 1988 — 1992
Bachelor of Science, Marketing
Krista (Haertle) Gray Krista (Haertle) Gray's FINRA Experience June 2009 - August 2009
Job Managing Consultant at Navigant
Industry Legal Services
Experience
Navigant March 2014 - Present
Navigant March 2012 - February 2014
Navigant September 2010 - March 2012
Louisiana State University August 2008 - June 2010
FINRA June 2009 - August 2009
California Department of Food and Agriculture July 2007 - July 2008
Skills
Nonprofits, Finance, Program Management, Budgets, Editing, Fundraising, Consulting, Leadership, Proposal Writing, Project Planning, Advertising, Data Analysis, Management, Social Media, Analysis, Microsoft Excel
Education
Louisiana State University 2008 — 2010
MBA, Finance, Chinese Business and Culture
University of California, Los Angeles 2003 — 2007
BA, Political Science, Public Affairs
Navigant March 2014 - Present
Navigant March 2012 - February 2014
Navigant September 2010 - March 2012
Louisiana State University August 2008 - June 2010
FINRA June 2009 - August 2009
California Department of Food and Agriculture July 2007 - July 2008
Skills
Nonprofits, Finance, Program Management, Budgets, Editing, Fundraising, Consulting, Leadership, Proposal Writing, Project Planning, Advertising, Data Analysis, Management, Social Media, Analysis, Microsoft Excel
Education
Louisiana State University 2008 — 2010
MBA, Finance, Chinese Business and Culture
University of California, Los Angeles 2003 — 2007
BA, Political Science, Public Affairs
Carolyn Leffler Berenato's FINRA Experience June 2007 - July 2008
Job Customer Relations Specialist at Interactive Commerce Group
Industry Marketing and Advertising
Experience
Interactive Commerce Group June 2014 - Present
La Salle University July 2013 - December 2014
Connection Chemical, LP May 2010 - June 2013
Coach July 2008 - May 2010
FINRA June 2007 - July 2008
Skills
Securities, Financial Analysis, Financial Reporting, Accounting, Sarbanes-Oxley Act, Microsoft Excel, Internal Controls, Financial Modeling, Outlook, Microsoft Word, Financial Accounting, Budgets, Auditing, Finance
Education
La Salle University 2013 — 2014
Master of Business Administration (MBA), Marketing
Wagner College 2003 — 2007
B.S., Finance
Interactive Commerce Group June 2014 - Present
La Salle University July 2013 - December 2014
Connection Chemical, LP May 2010 - June 2013
Coach July 2008 - May 2010
FINRA June 2007 - July 2008
Skills
Securities, Financial Analysis, Financial Reporting, Accounting, Sarbanes-Oxley Act, Microsoft Excel, Internal Controls, Financial Modeling, Outlook, Microsoft Word, Financial Accounting, Budgets, Auditing, Finance
Education
La Salle University 2013 — 2014
Master of Business Administration (MBA), Marketing
Wagner College 2003 — 2007
B.S., Finance
Ron Ben-Bassat's FINRA Experience 2008 - 2008
Job Associate Attorney at Ruskin Moscou Faltischek, PC
Industry Law Practice
Experience
Ruskin Moscou Faltischek, PC 2012 - Present
LISTnet - LI Tech COMETS Program 2014 - 2014
Anslow & Jaclin, LLP 2010 - 2012
Miranda Sambursky Slone Sklarin Verveniotis 2008 - 2010
FINRA 2008 - 2008
Hofstra University Securities Arbitration Clinic 2007 - 2008
Skills
Securities, Mergers, Securities Regulation, Litigation, Corporate Law, Public Companies, Mergers & Acquisitions, Intellectual Property, Private Equity, Corporate Governance, Bankruptcy, IPO, Joint Ventures, Securities Offerings, Venture Capital, Commercial Litigation, Reverse Mergers, Due Diligence, Private Placements, Legal Writing, Legal Research, Licensing, Civil Litigation
Education
Hofstra University School of Law 2005 — 2008
Juris Doctor, Corporate and Securities Law
The University of Texas at Austin 2001 — 2004
BA, Government, Middle Eastern Studies
Ruskin Moscou Faltischek, PC 2012 - Present
LISTnet - LI Tech COMETS Program 2014 - 2014
Anslow & Jaclin, LLP 2010 - 2012
Miranda Sambursky Slone Sklarin Verveniotis 2008 - 2010
FINRA 2008 - 2008
Hofstra University Securities Arbitration Clinic 2007 - 2008
Skills
Securities, Mergers, Securities Regulation, Litigation, Corporate Law, Public Companies, Mergers & Acquisitions, Intellectual Property, Private Equity, Corporate Governance, Bankruptcy, IPO, Joint Ventures, Securities Offerings, Venture Capital, Commercial Litigation, Reverse Mergers, Due Diligence, Private Placements, Legal Writing, Legal Research, Licensing, Civil Litigation
Education
Hofstra University School of Law 2005 — 2008
Juris Doctor, Corporate and Securities Law
The University of Texas at Austin 2001 — 2004
BA, Government, Middle Eastern Studies
Slava Lazebnikov Slava Lazebnikov's FINRA Experience May 2005 - July 2012
Job
Industry Computer Software
Experience
EPAM Systems June 2013 - Present
Semiretired July 2012 - June 2013
FINRA May 2005 - July 2012
Financial Industry Regulatory Authority June 2009 - June 2012
FINRA - Financial Industry Regulatory Authority 2004 - June 2012
Microstrategy 2000 - 2002
Geico 1997 - 2000
NetBalance 1997 - 1998
PB Farradyne 1996 - 1997
Cable and Wireless 1995 - 1996
Skills
Software Development, Enterprise Architecture, SOA, Data Warehousing, Agile Methodologies, Cloud Computing, SDLC, XML, SQL, Business Intelligence, Java Enterprise Edition, Databases, Software Design, ETL, Web Services, Java, Linux, Oracle, Tomcat, Hibernate, Database Design, Unix, Software Project..., Solution Architecture, Big Data, Requirements Analysis, Enterprise Software, Perl, System Architecture, Ant, Architecture, Integration, Data Modeling, IT Strategy, Weblogic, Agile Project Management, UML, Unix Shell Scripting, Distributed Systems, PL/SQL, Scrum, Web Applications, Architectures, Data Integration, Solaris, Object Oriented Design, JMS, Spring, DB2, Application Architecture
Education
Lomonosov Moscow State University (MSU) 1982 — 1984
PhD, Computer Science
National University of Science and Technology "MISIS" (Moscow Institute of Steel and Alloys) 1970 — 1976
Master, Physics
EPAM Systems June 2013 - Present
Semiretired July 2012 - June 2013
FINRA May 2005 - July 2012
Financial Industry Regulatory Authority June 2009 - June 2012
FINRA - Financial Industry Regulatory Authority 2004 - June 2012
Microstrategy 2000 - 2002
Geico 1997 - 2000
NetBalance 1997 - 1998
PB Farradyne 1996 - 1997
Cable and Wireless 1995 - 1996
Skills
Software Development, Enterprise Architecture, SOA, Data Warehousing, Agile Methodologies, Cloud Computing, SDLC, XML, SQL, Business Intelligence, Java Enterprise Edition, Databases, Software Design, ETL, Web Services, Java, Linux, Oracle, Tomcat, Hibernate, Database Design, Unix, Software Project..., Solution Architecture, Big Data, Requirements Analysis, Enterprise Software, Perl, System Architecture, Ant, Architecture, Integration, Data Modeling, IT Strategy, Weblogic, Agile Project Management, UML, Unix Shell Scripting, Distributed Systems, PL/SQL, Scrum, Web Applications, Architectures, Data Integration, Solaris, Object Oriented Design, JMS, Spring, DB2, Application Architecture
Education
Lomonosov Moscow State University (MSU) 1982 — 1984
PhD, Computer Science
National University of Science and Technology "MISIS" (Moscow Institute of Steel and Alloys) 1970 — 1976
Master, Physics
Joe Atanasio's FINRA Experience October 2009 - March 2014
Job Republican Candidate for Town Council at Monroe Township NJ
Industry Financial Services
Experience
Home Republican Candidate for Town CouncilMonroe Township NJFebruary 2015 - Present
FINRA October 2009 - March 2014
Pershing November 2006 - June 2007
NYSE 1970 - 2007
BNY ConvergEx October 1997 - November 2006
Mitchel Schreiber Watts 1970 - 1982
Skills
Equity Trading, Series 63, Trading Systems, Securities, Series 7, Equities, Trading, Electronic Trading, FINRA, Investments, Hedge Funds, Mutual Funds, Equity Derivatives, Financial Markets, Options, Leadership, Bloomberg, Asset Allocation, Series 24, Financial Services, Capital Markets, Stocks, Alternative Investments, Derivatives, Fixed Income, Bonds, Trading Strategies, Bloomberg Terminal, Management
Education
Kingsborough Community College 1970 — 1972
Business
Bishop Ford High School 1969 — 1970
Academic
Saint Agustine High School 1966 — 1969
Our Lady of Peace 1960 — 1966
Home Republican Candidate for Town CouncilMonroe Township NJFebruary 2015 - Present
FINRA October 2009 - March 2014
Pershing November 2006 - June 2007
NYSE 1970 - 2007
BNY ConvergEx October 1997 - November 2006
Mitchel Schreiber Watts 1970 - 1982
Skills
Equity Trading, Series 63, Trading Systems, Securities, Series 7, Equities, Trading, Electronic Trading, FINRA, Investments, Hedge Funds, Mutual Funds, Equity Derivatives, Financial Markets, Options, Leadership, Bloomberg, Asset Allocation, Series 24, Financial Services, Capital Markets, Stocks, Alternative Investments, Derivatives, Fixed Income, Bonds, Trading Strategies, Bloomberg Terminal, Management
Education
Kingsborough Community College 1970 — 1972
Business
Bishop Ford High School 1969 — 1970
Academic
Saint Agustine High School 1966 — 1969
Our Lady of Peace 1960 — 1966
Matthew Luzi's FINRA Experience February 2008 - March 2015
Job
Industry Legal Services
Experience
FINRA February 2008 - March 2015
FINRA 2005 - March 2015
Teng & Associates February 2002 - October 2005
Public Building Commission of Chicago November 2000 - February 2002
City of Chicago October 1998 - November 2000
American Arbitration Association July 1989 - October 1998
Skills
Arbitration, Alternative Dispute..., Mediation, Dispute Resolution, Legal Writing, Legal Research, Westlaw, Commercial Litigation, Civil Litigation, Litigation, Contract Negotiation, Securities, Legal Issues, Corporate Law, Securities Regulation, Intellectual Property, Courts, Due Diligence, Litigation Support, Appeals, Employment Law, Lexis, Writing, Family Law, Securities Litigation, Personal Injury, Legal Assistance, Document Review, Bankruptcy, Hearings, Real Estate, Published Author
Education
Roosevelt University
Received a Post Baccalaureate Certificate, Paralegal Certificate, Honors
Loyola University of Chicago
Mini MBA Certificate, Business/Commerce, General
Saint Xavier University 1987 — 1989
Bachelor's degree, Criminal Justice
Prairie State College 1985 — 1987
Associate of Arts (AA), Political Science and Government
FINRA February 2008 - March 2015
FINRA 2005 - March 2015
Teng & Associates February 2002 - October 2005
Public Building Commission of Chicago November 2000 - February 2002
City of Chicago October 1998 - November 2000
American Arbitration Association July 1989 - October 1998
Skills
Arbitration, Alternative Dispute..., Mediation, Dispute Resolution, Legal Writing, Legal Research, Westlaw, Commercial Litigation, Civil Litigation, Litigation, Contract Negotiation, Securities, Legal Issues, Corporate Law, Securities Regulation, Intellectual Property, Courts, Due Diligence, Litigation Support, Appeals, Employment Law, Lexis, Writing, Family Law, Securities Litigation, Personal Injury, Legal Assistance, Document Review, Bankruptcy, Hearings, Real Estate, Published Author
Education
Roosevelt University
Received a Post Baccalaureate Certificate, Paralegal Certificate, Honors
Loyola University of Chicago
Mini MBA Certificate, Business/Commerce, General
Saint Xavier University 1987 — 1989
Bachelor's degree, Criminal Justice
Prairie State College 1985 — 1987
Associate of Arts (AA), Political Science and Government
Lucy Zhao's FINRA Experience September 2007 - April 2008
Job Corporate Counsel at GAF
Industry Law Practice
Experience
GAF November 2014 - Present
Kramer Levin Naftalis & Frankel LLP January 2011 - October 2014
O'Melveny & Myers LLP September 2008 - December 2010
FINRA September 2007 - April 2008
NASD - Dept. of Enforcement February 2007 - April 2007
O'Melveny & Myers May 2007 - 2007
National Telecommunications and Information Administration May 2006 - August 2006
Fannie Mae July 2003 - February 2006
Education
The George Washington University Law School 2005 — 2008
Doctor of Law (JD)
Massachusetts Institute of Technology 1999 — 2003
S.B., Economics, Mathematics
GAF November 2014 - Present
Kramer Levin Naftalis & Frankel LLP January 2011 - October 2014
O'Melveny & Myers LLP September 2008 - December 2010
FINRA September 2007 - April 2008
NASD - Dept. of Enforcement February 2007 - April 2007
O'Melveny & Myers May 2007 - 2007
National Telecommunications and Information Administration May 2006 - August 2006
Fannie Mae July 2003 - February 2006
Education
The George Washington University Law School 2005 — 2008
Doctor of Law (JD)
Massachusetts Institute of Technology 1999 — 2003
S.B., Economics, Mathematics
Todd Griffiths's FINRA Experience 2008 - Present
Job Principal at Stride Technology and Telecommunications Consultant
Industry Telecommunications
Experience
Financial Industry Regulatory Authority (FINRA) January 2013 - Present
FINRA 2008 - Present
Washington Gas 2005 - 2007
Washington Gas Light Company 2005 - 2007
BAE Systems Information Technology 1998 - 2007
Sprint/Nextel 2003 - 2004
Intelix, Inc. 1999 - 2000
Verizon 1998 - 1999
Ernst & Young LLP 1994 - 1997
NASD 1995 - 1995
Education
Old Dominion University 1984 — 1986
BS, Computer Science
James Madison University 1981 — 1983
Pre-engineering
Financial Industry Regulatory Authority (FINRA) January 2013 - Present
FINRA 2008 - Present
Washington Gas 2005 - 2007
Washington Gas Light Company 2005 - 2007
BAE Systems Information Technology 1998 - 2007
Sprint/Nextel 2003 - 2004
Intelix, Inc. 1999 - 2000
Verizon 1998 - 1999
Ernst & Young LLP 1994 - 1997
NASD 1995 - 1995
Education
Old Dominion University 1984 — 1986
BS, Computer Science
James Madison University 1981 — 1983
Pre-engineering
Alexey Sarychev's FINRA Experience February 2010 - September 2013
Job Senior Software Architect at EPAM Systems
Industry Computer Software
Experience
EPAM Systems September 2013 - Present
FINRA February 2010 - September 2013
NASD August 2007 - February 2010
Experian-Scorex February 2004 - August 2007
Marketswitch Corp. May 2000 - February 2004
WebSci May 1999 - January 2000
CFT 1996 - 1999
Skills
C, C++, UNIX, Python, Netezza, Greenplum, Data Warehousing, Web Services, Unix, Database Design, Linux, Hibernate, Perl, Scalability, Software Development, Java, Visual Studio, Agile Methodologies, Ant, Multithreading, Distributed Systems, Hadoop, XML, SOAP, Java Enterprise Edition, SQL, SOA, Big Data, Oracle, Software Design, Tomcat, Spring, OOP, Software Engineering, System Architecture, Unix Shell Scripting
Education
Novosibirsk State University 1982 — 1989
MS, Physics
Novosibirsk State University (NSU) 1982 — 1989
MS, Physics
EPAM Systems September 2013 - Present
FINRA February 2010 - September 2013
NASD August 2007 - February 2010
Experian-Scorex February 2004 - August 2007
Marketswitch Corp. May 2000 - February 2004
WebSci May 1999 - January 2000
CFT 1996 - 1999
Skills
C, C++, UNIX, Python, Netezza, Greenplum, Data Warehousing, Web Services, Unix, Database Design, Linux, Hibernate, Perl, Scalability, Software Development, Java, Visual Studio, Agile Methodologies, Ant, Multithreading, Distributed Systems, Hadoop, XML, SOAP, Java Enterprise Edition, SQL, SOA, Big Data, Oracle, Software Design, Tomcat, Spring, OOP, Software Engineering, System Architecture, Unix Shell Scripting
Education
Novosibirsk State University 1982 — 1989
MS, Physics
Novosibirsk State University (NSU) 1982 — 1989
MS, Physics
Pavel Ganelin's FINRA Experience November 2007 - May 2008
Job VP Dulles Research
Industry Financial Services
Experience
Dulles Research April 2008 - Present
FINRA November 2007 - May 2008
Experian March 2004 - November 2007
Marketswitch June 1996 - February 2004
Skills
Hadoop, Perl, SDLC, Linux, Software Development, SQL, Agile Methodologies, Business Intelligence, Enterprise Software, SOA, Unix, Data Mining, Cloud Computing, Data Warehousing, Integration, C++, SaaS, Enterprise Architecture, Java Enterprise Edition, Software Project..., Java, Distributed Systems, Analytics, Big Data, Ant, Scrum, Predictive Analytics, Web Services, Software Design, XML, Product Management, SOAP, Requirements Analysis
Education
Lomonosov Moscow State University (MSU) 1981 — 1986
Master's degree, Physical Chemistry
Dulles Research April 2008 - Present
FINRA November 2007 - May 2008
Experian March 2004 - November 2007
Marketswitch June 1996 - February 2004
Skills
Hadoop, Perl, SDLC, Linux, Software Development, SQL, Agile Methodologies, Business Intelligence, Enterprise Software, SOA, Unix, Data Mining, Cloud Computing, Data Warehousing, Integration, C++, SaaS, Enterprise Architecture, Java Enterprise Edition, Software Project..., Java, Distributed Systems, Analytics, Big Data, Ant, Scrum, Predictive Analytics, Web Services, Software Design, XML, Product Management, SOAP, Requirements Analysis
Education
Lomonosov Moscow State University (MSU) 1981 — 1986
Master's degree, Physical Chemistry
Elena Romanova's FINRA Experience April 2005 - Present
Job Data Architect at FINRA
Industry Information Technology and Services
Experience
FINRA April 2005 - Present
FINRA (via ZYGA & EDS) April 1999 - April 2005
PBGC January 1996 - April 1999
Wildlife International January 1993 - January 1996
Lomonosov Moscow State University 1986 - 1992
Skills
Data Warehousing, Enterprise Architecture, Business Intelligence, Database Design, ETL, SOA, Oracle, Databases, Agile Methodologies, Integration, SDLC, Requirements Analysis, Microsoft SQL Server, Solution Architecture, PL/SQL, Big Data, Tableau, Data Science, Statistics, Data Analysis, Data Mining, Data Modeling, Data Management
Education
Lomonosov Moscow State University (MSU)
Doctor of Philosophy (PhD), Science, School of Geography
Lomonosov Moscow State University (MSU)
Master's degree, School of Mechanics and Mathematics
FINRA April 2005 - Present
FINRA (via ZYGA & EDS) April 1999 - April 2005
PBGC January 1996 - April 1999
Wildlife International January 1993 - January 1996
Lomonosov Moscow State University 1986 - 1992
Skills
Data Warehousing, Enterprise Architecture, Business Intelligence, Database Design, ETL, SOA, Oracle, Databases, Agile Methodologies, Integration, SDLC, Requirements Analysis, Microsoft SQL Server, Solution Architecture, PL/SQL, Big Data, Tableau, Data Science, Statistics, Data Analysis, Data Mining, Data Modeling, Data Management
Education
Lomonosov Moscow State University (MSU)
Doctor of Philosophy (PhD), Science, School of Geography
Lomonosov Moscow State University (MSU)
Master's degree, School of Mechanics and Mathematics
Mayur Narasimhan's FINRA Experience May 2006 - August 2006
Job Software Architect / Infrastructure Lead
Industry Computer Software
Experience
BMK Solutions LLC September 2014 - Present
BMK Solutions LLC May 2011 - September 2014
BMK Solutions LLC June 2010 - September 2014
Meterpodu December 2011 - January 2013
BMK Solutions LLC June 2009 - June 2010
BMK Solutions LLC June 2007 - June 2009
FINRA May 2006 - August 2006
Google April 2005 - August 2005
Skills
XML, JavaScript, PostgreSQL, REST, Java, Agile Methodologies, PHP, Tableau, Python, Spring, Hibernate, Node.js, Oracle, MongoDB, SQLite, MySQL, Vaadin, RIA, Transportation..., Logistics Management, Adobe Flex, Subversion, ActionScript, Tomcat, Jasper Reports, Architecture, SAML, J2EE Application..., J2EE Web Services, E-commerce, ETL, Apache, Linux, Eclipse, Git, Java Enterprise Edition, C, C++, Perl, SOA, JUnit, EDI ANSI X12, C#
Education
University of Missouri-Kansas City 2005 — 2007
Master of Science
Jawaharlal Nehru Technological University 2001 — 2005
Bachelor of Technology
BMK Solutions LLC September 2014 - Present
BMK Solutions LLC May 2011 - September 2014
BMK Solutions LLC June 2010 - September 2014
Meterpodu December 2011 - January 2013
BMK Solutions LLC June 2009 - June 2010
BMK Solutions LLC June 2007 - June 2009
FINRA May 2006 - August 2006
Google April 2005 - August 2005
Skills
XML, JavaScript, PostgreSQL, REST, Java, Agile Methodologies, PHP, Tableau, Python, Spring, Hibernate, Node.js, Oracle, MongoDB, SQLite, MySQL, Vaadin, RIA, Transportation..., Logistics Management, Adobe Flex, Subversion, ActionScript, Tomcat, Jasper Reports, Architecture, SAML, J2EE Application..., J2EE Web Services, E-commerce, ETL, Apache, Linux, Eclipse, Git, Java Enterprise Edition, C, C++, Perl, SOA, JUnit, EDI ANSI X12, C#
Education
University of Missouri-Kansas City 2005 — 2007
Master of Science
Jawaharlal Nehru Technological University 2001 — 2005
Bachelor of Technology
Jeff Pariser's FINRA Experience April 2013 - Present
Job Chief Litigation Counsel, Department of Enforcement at FINRA
Industry Law Practice
Experience
FINRA April 2013 - Present
Financial Industry Regulatory Authority November 2011 - Present
Financial Industry Regulatory Authority February 2010 - November 2011
Hogan & Hartson LLP October 2004 - February 2010
Common Good November 2003 - September 2004
Hogan & Hartson May 1998 - October 2003
Simpson Thacher & Bartlett September 1994 - May 1998
Skills
Securities, Civil Litigation, FINRA, Securities Regulation, Corporate Governance, Arbitration, Securities Litigation, Litigation, Licensing, Commercial Litigation, Enforcement, Legal Writing, Legal Research, Intellectual Property, Due Diligence, Mediation, Privacy Law, Insurance
Education
New York University School of Law 1990 — 1993
JD, magna cum laude
University of Virginia 1983 — 1987
BA, English
FINRA April 2013 - Present
Financial Industry Regulatory Authority November 2011 - Present
Financial Industry Regulatory Authority February 2010 - November 2011
Hogan & Hartson LLP October 2004 - February 2010
Common Good November 2003 - September 2004
Hogan & Hartson May 1998 - October 2003
Simpson Thacher & Bartlett September 1994 - May 1998
Skills
Securities, Civil Litigation, FINRA, Securities Regulation, Corporate Governance, Arbitration, Securities Litigation, Litigation, Licensing, Commercial Litigation, Enforcement, Legal Writing, Legal Research, Intellectual Property, Due Diligence, Mediation, Privacy Law, Insurance
Education
New York University School of Law 1990 — 1993
JD, magna cum laude
University of Virginia 1983 — 1987
BA, English
Jeremious Henderson's FINRA Experience May 2010 - Present
Job VP Compensation & Benefits
Industry Financial Services
Experience
FINRA May 2010 - Present
FINRA December 2007 - May 2010
Capital One October 2005 - December 2007
IBM March 1999 - October 2005
Hewlett-Packard June 1996 - March 1999
Skills
Employee Relations, Human Resources, Recruiting, Employee Benefits, Deferred Compensation, Leadership, Management, HRIS, Succession Planning, Talent Management, Workforce Planning, Performance Management, Onboarding, Talent Acquisition, Employee Engagement
Education
Purdue University - Krannert School of Management 1995 — 1997
M.S., Human Resources
Morehouse College 1991 — 1995
B.A., Business Administration
FINRA May 2010 - Present
FINRA December 2007 - May 2010
Capital One October 2005 - December 2007
IBM March 1999 - October 2005
Hewlett-Packard June 1996 - March 1999
Skills
Employee Relations, Human Resources, Recruiting, Employee Benefits, Deferred Compensation, Leadership, Management, HRIS, Succession Planning, Talent Management, Workforce Planning, Performance Management, Onboarding, Talent Acquisition, Employee Engagement
Education
Purdue University - Krannert School of Management 1995 — 1997
M.S., Human Resources
Morehouse College 1991 — 1995
B.A., Business Administration
Yvette Bradle's FINRA Experience January 2007 - Present
Job Compliance Trainer at FINRA
Industry Financial Services
Experience
FINRA January 2007 - Present
FINRA (Financial Industry Regulatory Authority), formerly NASD 2007 - Present
NASD November 2001 - January 2007
NASD July 1999 - November 2001
NASD Regulation November 1995 - July 1999
NASD Regulation March 1993 - November 1995
Salomon Brothers Inc. July 1992 - February 1993
Education
Montgomery College 1995 — 1999
Associate of Applied Science in Paralegal Studies, Paralegal Studies
University of Maryland University College
FINRA January 2007 - Present
FINRA (Financial Industry Regulatory Authority), formerly NASD 2007 - Present
NASD November 2001 - January 2007
NASD July 1999 - November 2001
NASD Regulation November 1995 - July 1999
NASD Regulation March 1993 - November 1995
Salomon Brothers Inc. July 1992 - February 1993
Education
Montgomery College 1995 — 1999
Associate of Applied Science in Paralegal Studies, Paralegal Studies
University of Maryland University College
Roy Francois's FINRA Experience 1986 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority December 1986 - Present
FINRA 1986 - Present
NASD/FINRA-Dist #10 NY 1986 - Present
Skills
Securities, Broker-Dealer, Securities Regulation, FINRA, Equities, Financial Regulation, Financial Services, Mutual Funds, SEC, Series 24, Series 7
Education
Long Island University 2000 — 2001
MLS, Library and Information Science
Pace University - Lubin School of Business 1979 — 1986
Financial Industry Regulatory Authority December 1986 - Present
FINRA 1986 - Present
NASD/FINRA-Dist #10 NY 1986 - Present
Skills
Securities, Broker-Dealer, Securities Regulation, FINRA, Equities, Financial Regulation, Financial Services, Mutual Funds, SEC, Series 24, Series 7
Education
Long Island University 2000 — 2001
MLS, Library and Information Science
Pace University - Lubin School of Business 1979 — 1986
Supriya Mamidi's FINRA Experience November 2007 - Present
Job Senior Test Engineer at FINRA
Industry Information Technology and Services
Experience
FINRA November 2007 - Present
Computer Associates, Inc August 2006 - January 2007
Wipro Technologies January 2004 - July 2006
Education
Jawaharlal Nehru Technological University 1998 — 2002
FINRA November 2007 - Present
Computer Associates, Inc August 2006 - January 2007
Wipro Technologies January 2004 - July 2006
Education
Jawaharlal Nehru Technological University 1998 — 2002
Alexey Egorov's FINRA Experience October 2007 - Present
Job Sr Software Architect
Industry Financial Services
Experience
FINRA October 2007 - Present
NCBI September 2002 - October 2007
NCBI January 1998 - September 2002
OSS Nokalva, Inc. May 1995 - November 1997
Elegant Mathematics Inc. January 1993 - March 1994
Skills
Big Data, Backend Development, Project Management, Requirements Management, Data Analysis, Budget Process, Enterprise Architecture, Software Development, Data Warehousing, Agile Methodologies, Data Mining, Oracle, SDLC, FINRA, Unix, SQL, Software Engineering, Software Project..., XML, Databases, Securities, Python, Perl, Linux, Web Services, Database Design, Software Design, ETL, Requirements Analysis, Data Modeling, Business Analysis, C, Unix Shell Scripting, Hadoop, Netezza, SOA
Education
University of Maryland - Robert H. Smith School of Business 2005 — 2008
Master of Business Administration (MBA)
Lomonosov Moscow State University (MSU) 1992 — 1995
Ph.D. Physics and Mathematics, Applied Mathematics and Computer Science
Lomonosov Moscow State University (MSU) 1987 — 1992
Master of Science (M.Sc.), Applied Mathematics
FINRA October 2007 - Present
NCBI September 2002 - October 2007
NCBI January 1998 - September 2002
OSS Nokalva, Inc. May 1995 - November 1997
Elegant Mathematics Inc. January 1993 - March 1994
Skills
Big Data, Backend Development, Project Management, Requirements Management, Data Analysis, Budget Process, Enterprise Architecture, Software Development, Data Warehousing, Agile Methodologies, Data Mining, Oracle, SDLC, FINRA, Unix, SQL, Software Engineering, Software Project..., XML, Databases, Securities, Python, Perl, Linux, Web Services, Database Design, Software Design, ETL, Requirements Analysis, Data Modeling, Business Analysis, C, Unix Shell Scripting, Hadoop, Netezza, SOA
Education
University of Maryland - Robert H. Smith School of Business 2005 — 2008
Master of Business Administration (MBA)
Lomonosov Moscow State University (MSU) 1992 — 1995
Ph.D. Physics and Mathematics, Applied Mathematics and Computer Science
Lomonosov Moscow State University (MSU) 1987 — 1992
Master of Science (M.Sc.), Applied Mathematics
Jack Hanlon's FINRA Experience Special Investigator/Case ManagerNASD/FINRAJuly 1999 - Present
Job Case Manager at FINRA
Industry Security and Investigations
Experience
FINRA Special Investigator/Case ManagerNASD/FINRAJuly 1999 - Present
Dean Witter/First Maryland Brokerage 1995 - 1999
Skills
FINRA, Securities Regulation, Fraud, AML
Education
Loyola University Maryland 1983 — 1987
FINRA Special Investigator/Case ManagerNASD/FINRAJuly 1999 - Present
Dean Witter/First Maryland Brokerage 1995 - 1999
Skills
FINRA, Securities Regulation, Fraud, AML
Education
Loyola University Maryland 1983 — 1987
Anim Addo Sampong MPA/MGA, MBA, Cert Pub Finance's FINRA Experience June 2009 - March 2014
Job Adjunct Professor at Webster University
Industry Financial Services
Experience
Webster University March 2014 - Present
OptimumCare Home Care Services September 2013 - Present
FINRA June 2009 - March 2014
Financial Industry Regulatory Authority (FINRA) September 2007 - May 2011
Office of Council Woman, Jannie Blackwell May 2005 - May 2007
Skills
Risk Management, Analysis, AML, Financial Analysis, Due Diligence, Research, Policy, Data Analysis, Banking, Investments, KYC, Financial Risk, Securities, Risk Assessment, Process Improvement
Education
Virginia Tech 2012 — 2014
Ph.D Public Adminstration and Policy, Doctorate
The Johns Hopkins University - Carey Business School 2008 — 2010
MBA, Finance
University of Pennsylvania 2005 — 2007
MGA, Governmental Administration & Public Finance
Kwame Nkrumah' University of Science and Technology, Kumasi 1997 — 2001
B.A, Publishing Studies
Webster University March 2014 - Present
OptimumCare Home Care Services September 2013 - Present
FINRA June 2009 - March 2014
Financial Industry Regulatory Authority (FINRA) September 2007 - May 2011
Office of Council Woman, Jannie Blackwell May 2005 - May 2007
Skills
Risk Management, Analysis, AML, Financial Analysis, Due Diligence, Research, Policy, Data Analysis, Banking, Investments, KYC, Financial Risk, Securities, Risk Assessment, Process Improvement
Education
Virginia Tech 2012 — 2014
Ph.D Public Adminstration and Policy, Doctorate
The Johns Hopkins University - Carey Business School 2008 — 2010
MBA, Finance
University of Pennsylvania 2005 — 2007
MGA, Governmental Administration & Public Finance
Kwame Nkrumah' University of Science and Technology, Kumasi 1997 — 2001
B.A, Publishing Studies
Eileen Morris's FINRA Experience 2010 - Present
Job Securities Regulatory Industry
Industry Financial Services
Experience
FINRA 2010 - Present
Skills
Compliance, FINRA, Investments, Capital Markets, Equities, Securities Regulation, Mutual Funds, Fixed Income, Licensing, Investigations, Series 24, Series 7, Securities Filings, Securities, Hedge Funds, Variable Products, Supervision, Broker-Dealer, SEC, Corporate Governance, Due Diligence, Finance, Financial Services
Education
University of Rochester - Simon Business School 1995 — 1999
MBA, Finance
Nazareth College 1987 — 1991
BA, Spanish
University of Valencia, Spain 1990 — 1990
Study Abroad, Language, Arts, Music History
Bachillerato de Blanes, Spain 1986 — 1987
Spanish, Study Abroad Senior Year
Canandaigua High School
Canandaigua High School
FINRA 2010 - Present
Skills
Compliance, FINRA, Investments, Capital Markets, Equities, Securities Regulation, Mutual Funds, Fixed Income, Licensing, Investigations, Series 24, Series 7, Securities Filings, Securities, Hedge Funds, Variable Products, Supervision, Broker-Dealer, SEC, Corporate Governance, Due Diligence, Finance, Financial Services
Education
University of Rochester - Simon Business School 1995 — 1999
MBA, Finance
Nazareth College 1987 — 1991
BA, Spanish
University of Valencia, Spain 1990 — 1990
Study Abroad, Language, Arts, Music History
Bachillerato de Blanes, Spain 1986 — 1987
Spanish, Study Abroad Senior Year
Canandaigua High School
Canandaigua High School
Chris Dickison's FINRA Experience 2007 - 2009
Job President of Unify Works LLC (Business and Systems Requirements Analysis)
Industry Computer Software
Experience
Unify Works LLC April 2007 - Present
FINRA 2007 - 2009
RDA October 1996 - April 2007
AMS January 1991 - October 1996
Robbins Gioia September 1989 - January 1991
Education
The George Washington University - School of Business 1991 — 1993
MBA, Information Technology
James Madison University 1985 — 1989
BBA, Finance
Unify Works LLC April 2007 - Present
FINRA 2007 - 2009
RDA October 1996 - April 2007
AMS January 1991 - October 1996
Robbins Gioia September 1989 - January 1991
Education
The George Washington University - School of Business 1991 — 1993
MBA, Information Technology
James Madison University 1985 — 1989
BBA, Finance
Sarah Niemann's FINRA Experience 2010 - 2011
Job Assistant Vice President Finance Manager at U.S. Bank
Industry Financial Services
Experience
U.S. Bank December 2014 - Present
Federal Reserve Bank of Dallas April 2013 - November 2014
Federal Reserve Bank of Kansas City April 2011 - April 2013
FINRA 2010 - 2011
State of Colorado September 2007 - August 2010
FirstBank August 2006 - August 2007
Education
University of Colorado Denver 2005 — 2006
MBA
North Dakota State University 2002 — 2005
North Dakota State University 2001 — 2005
Bachelors, Sociology and Political Science
U.S. Bank December 2014 - Present
Federal Reserve Bank of Dallas April 2013 - November 2014
Federal Reserve Bank of Kansas City April 2011 - April 2013
FINRA 2010 - 2011
State of Colorado September 2007 - August 2010
FirstBank August 2006 - August 2007
Education
University of Colorado Denver 2005 — 2006
MBA
North Dakota State University 2002 — 2005
North Dakota State University 2001 — 2005
Bachelors, Sociology and Political Science
Varanont Oat Ruchira's FINRA Experience September 2004 - July 2010
Job Senior Compliance Manager at Janus Capital Group
Industry Financial Services
Experience
Janus Capital Group September 2014 - Present
Unified Financial Securities July 2010 - September 2014
FINRA September 2004 - July 2010
T.Rowe Price 2001 - 2005
Skills
Securities, Team Building
Education
University of Oregon School of Law 1996 — 1999
JD
New York University 1992 — 1996
McDonogh School 1988 — 1992
Janus Capital Group September 2014 - Present
Unified Financial Securities July 2010 - September 2014
FINRA September 2004 - July 2010
T.Rowe Price 2001 - 2005
Skills
Securities, Team Building
Education
University of Oregon School of Law 1996 — 1999
JD
New York University 1992 — 1996
McDonogh School 1988 — 1992
Edward Fagan's FINRA Experience January 2010 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA January 2010 - Present
UBS Wealth Management October 2007 - January 2010
UBS Wealth Management April 2004 - October 2007
Merrill Lynch 1999 - 2002
Vail Resorts 1997 - 1999
Johns Hopkins Hospital 1997 - 1997
Skills
Risk Management, Internal Audit, Fraud Investigations
Education
Montclair State University 2005 — 2008
MBA, Accounting
University of Delaware 1993 — 1997
BS
FINRA January 2010 - Present
UBS Wealth Management October 2007 - January 2010
UBS Wealth Management April 2004 - October 2007
Merrill Lynch 1999 - 2002
Vail Resorts 1997 - 1999
Johns Hopkins Hospital 1997 - 1997
Skills
Risk Management, Internal Audit, Fraud Investigations
Education
Montclair State University 2005 — 2008
MBA, Accounting
University of Delaware 1993 — 1997
BS
Jay LaRusso's FINRA Experience April 2010 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA April 2010 - Present
Chase Investment Services Corporation September 2009 - April 2010
Charles Schwab July 2007 - October 2009
American Stock Exchange May 2004 - May 2007
Bank of America June 1996 - May 2004
Skills
Investments, Securities, Equities, Fixed Income, Capital Markets, Hedge Funds, Asset Management, Financial Services, Risk Management
Education
Lehigh University 1992 — 1996
B.S., Finance
Lehigh University - College of Business and Economics 1992 — 1996
Bachelor of Science, Finance
FINRA April 2010 - Present
Chase Investment Services Corporation September 2009 - April 2010
Charles Schwab July 2007 - October 2009
American Stock Exchange May 2004 - May 2007
Bank of America June 1996 - May 2004
Skills
Investments, Securities, Equities, Fixed Income, Capital Markets, Hedge Funds, Asset Management, Financial Services, Risk Management
Education
Lehigh University 1992 — 1996
B.S., Finance
Lehigh University - College of Business and Economics 1992 — 1996
Bachelor of Science, Finance
Timothy Burnett's FINRA Experience August 2008 - June 2009
Job Financial Analyst Consultant at Royal Bank of Scotland
Industry Financial Services
Experience
ING January 2015 - Present
Royal Bank of Scotland April 2011 - November 2014
National Financial Services July 2010 - April 2011
FINRA August 2008 - June 2009
J.P. Morgan Securities February 1997 - August 2008
Smith Barney August 1993 - February 1997
Skills
Equities, Fixed Income, Repo/Reverse repo..., ALDOP Reconciliation, Derivatives, Finance, Analysis
Education
Hunter College
BA, Economics
Mercy College
MS, Financial Securities
ING January 2015 - Present
Royal Bank of Scotland April 2011 - November 2014
National Financial Services July 2010 - April 2011
FINRA August 2008 - June 2009
J.P. Morgan Securities February 1997 - August 2008
Smith Barney August 1993 - February 1997
Skills
Equities, Fixed Income, Repo/Reverse repo..., ALDOP Reconciliation, Derivatives, Finance, Analysis
Education
Hunter College
BA, Economics
Mercy College
MS, Financial Securities
Andrew Kampel's FINRA Experience 2004 - Present
Job Senior Counsel at FINRA
Industry Law Practice
Experience
FINRA 2004 - Present
Bronx County District Attorney January 1991 - May 2004
Bronx County District Attorney's Office 1991 - 2004
Office of the District Attorney, Bronx County 1991 - 2004
Skills
Securities Regulation, Securities Litigation, Securities Fraud, Criminal Law, Compliance, Arbitration, Litigation, Trial Practice, Appeals, Fraud, Personal Injury, Trials, Hearings, Courts, Legal Research, Employment Law, Forfeiture, Civil Litigation, Criminal Defense, Corporate Law, Legal Writing, White Collar Criminal..., FCPA, Internal Investigations, Trademark Infringement, Corporate Governance, OFAC, Private Investigations, Elder Law, Consumer Law, Legal Compliance, Insurance Law
Education
Maurice A. Deane School of Law at Hofstra University 1987 — 1990
JD, Law
State University of New York at Albany 1983 — 1987
Bachelor of Science (BS), Public Affairs - Urban Planning
FINRA 2004 - Present
Bronx County District Attorney January 1991 - May 2004
Bronx County District Attorney's Office 1991 - 2004
Office of the District Attorney, Bronx County 1991 - 2004
Skills
Securities Regulation, Securities Litigation, Securities Fraud, Criminal Law, Compliance, Arbitration, Litigation, Trial Practice, Appeals, Fraud, Personal Injury, Trials, Hearings, Courts, Legal Research, Employment Law, Forfeiture, Civil Litigation, Criminal Defense, Corporate Law, Legal Writing, White Collar Criminal..., FCPA, Internal Investigations, Trademark Infringement, Corporate Governance, OFAC, Private Investigations, Elder Law, Consumer Law, Legal Compliance, Insurance Law
Education
Maurice A. Deane School of Law at Hofstra University 1987 — 1990
JD, Law
State University of New York at Albany 1983 — 1987
Bachelor of Science (BS), Public Affairs - Urban Planning
David Duodu, CAMS's FINRA Experience November 2005 - Present
Job Senior Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA November 2005 - Present
Legg Mason May 2004 - November 2005
Skills
Financial Modeling, Trading, FINRA, Management, Financial Analysis, Securities Regulation, Securities, Analysis, Compliance, Account Reconciliation, Banking, Investments, Series 7, Equities, AML, Finance
Education
North Carolina Central University 1997 — 2001
BA, Finance
Achimota Secondary School
Labone Secondary School
FINRA November 2005 - Present
Legg Mason May 2004 - November 2005
Skills
Financial Modeling, Trading, FINRA, Management, Financial Analysis, Securities Regulation, Securities, Analysis, Compliance, Account Reconciliation, Banking, Investments, Series 7, Equities, AML, Finance
Education
North Carolina Central University 1997 — 2001
BA, Finance
Achimota Secondary School
Labone Secondary School
Paul Cookinham's FINRA Experience June 2007 - December 2010
Job at Carnegie, Inc.
Industry Financial Services
Experience
Carnegie, Inc. July 2010 - Present
FINRA June 2007 - December 2010
Bear Stearns May 2006 - May 2007
Interactive Brokers July 2004 - May 2006
Enterprise Rent-A-Car January 2003 - July 2004
Skills
Securities, Hedge Funds, Equities, Series 7, Capital Markets, Investments, Mutual Funds, Fixed Income, Investment Advisory, FINRA, AML, Due Diligence, Asset Managment, Risk Management, Financial Analysis, Investment Banking, Asset Management, SEC, Securities Regulation, Alternative Investments, Broker-Dealer, Series 24, Financial Markets, Private Placements, Corporate Governance, Trading, Options, Equity Trading, Financial Regulation
Education
Western Connecticut State University 2003 — 2005
MBA, Finance, Accounting
Marist College 1999 — 2003
Bachelor of Science (BS), Business Administration and Management (Finance, Accounting)
Carnegie, Inc. July 2010 - Present
FINRA June 2007 - December 2010
Bear Stearns May 2006 - May 2007
Interactive Brokers July 2004 - May 2006
Enterprise Rent-A-Car January 2003 - July 2004
Skills
Securities, Hedge Funds, Equities, Series 7, Capital Markets, Investments, Mutual Funds, Fixed Income, Investment Advisory, FINRA, AML, Due Diligence, Asset Managment, Risk Management, Financial Analysis, Investment Banking, Asset Management, SEC, Securities Regulation, Alternative Investments, Broker-Dealer, Series 24, Financial Markets, Private Placements, Corporate Governance, Trading, Options, Equity Trading, Financial Regulation
Education
Western Connecticut State University 2003 — 2005
MBA, Finance, Accounting
Marist College 1999 — 2003
Bachelor of Science (BS), Business Administration and Management (Finance, Accounting)
Lakeisha Prather's FINRA Experience July 2008 - January 2013
Job FINRA Exam Waivers Coordinator at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority January 2013 - Present
FINRA July 2008 - January 2013
MILO/The Golfe February 2006 - February 2008
The Ark Grooming & Pet Supply Store May 2007 - October 2007
Express Clothes Store August 2004 - February 2006
Freidkin, Matrone, & Horn CPA February 2004 - August 2004
Skills
Access, Training, Management, Outlook, Microsoft Excel, PowerPoint, Customer Service, Microsoft Office, Microsoft Word, Sales, Competitive Analysis, Editing, Finance, Databases, Securities, Financial Risk, Securities Regulation
Education
University of Maryland College Park 2006 — 2008
Bachelor of Science, International Business
Montgomery College 2004 — 2006
Associate's degree, Business/Commerce, General
Winston Churchill High School
Financial Industry Regulatory Authority January 2013 - Present
FINRA July 2008 - January 2013
MILO/The Golfe February 2006 - February 2008
The Ark Grooming & Pet Supply Store May 2007 - October 2007
Express Clothes Store August 2004 - February 2006
Freidkin, Matrone, & Horn CPA February 2004 - August 2004
Skills
Access, Training, Management, Outlook, Microsoft Excel, PowerPoint, Customer Service, Microsoft Office, Microsoft Word, Sales, Competitive Analysis, Editing, Finance, Databases, Securities, Financial Risk, Securities Regulation
Education
University of Maryland College Park 2006 — 2008
Bachelor of Science, International Business
Montgomery College 2004 — 2006
Associate's degree, Business/Commerce, General
Winston Churchill High School
Tracy Calixte's FINRA Experience May 2009 - August 2009
Job at United States Census Bureau
Industry Financial Services
Experience
United States Census Bureau July 2010 - Present
FINRA May 2009 - August 2009
Bank of America. June 2008 - August 2008
Education
North Carolina Agricultural and Technical State University 2006 — 2010
Accounting
United States Census Bureau July 2010 - Present
FINRA May 2009 - August 2009
Bank of America. June 2008 - August 2008
Education
North Carolina Agricultural and Technical State University 2006 — 2010
Accounting
Lovesha Graham's FINRA Experience September 2002 - December 2009
Job Executive Assistant II at DC Water
Industry Utilities
Experience
DC Water November 2010 - Present
AAAS March 2010 - September 2010
FINRA September 2002 - December 2009
Skills
Outlook, Microsoft Excel, PowerPoint, Administrative..., Microsoft Office, Event Planning, Visio, Microsoft Word, Research, SharePoint, Policy, Travel Arrangements, Project Planning, Fundraising, Leadership, Spreadsheets, Analysis, Management, Office Management, Budgets, Process Scheduler, Editing, Recruiting, Access, Human Resources, Software Documentation, Invoicing, Procurement, Training, Administrative...
Education
Prince George's Community College 2011 — 2013
Associate of Arts and Sciences (AAS), Paralegal Studies
Morgan State University 2000 — 2002
DC Water November 2010 - Present
AAAS March 2010 - September 2010
FINRA September 2002 - December 2009
Skills
Outlook, Microsoft Excel, PowerPoint, Administrative..., Microsoft Office, Event Planning, Visio, Microsoft Word, Research, SharePoint, Policy, Travel Arrangements, Project Planning, Fundraising, Leadership, Spreadsheets, Analysis, Management, Office Management, Budgets, Process Scheduler, Editing, Recruiting, Access, Human Resources, Software Documentation, Invoicing, Procurement, Training, Administrative...
Education
Prince George's Community College 2011 — 2013
Associate of Arts and Sciences (AAS), Paralegal Studies
Morgan State University 2000 — 2002
Deborah Masucci's FINRA Experience 1981 - 1998
Job Chairman of the Board at International Mediation Institute
Industry Insurance
Experience
International Mediation Institute December 2013 - Present
Benjamin N. Cardozo School of Law July 2015 - Present
Claims and Litigation Management Alliance April 2015 - Present
Fordham Law School 2015 - 2015
American International Group December 2003 - December 2013
ABA August 2011 - August 2012
Brooklyn Law School 1998 - 2007
JAMS April 1999 - November 2003
FINRA 1981 - 1998
NASD nka FINRA 1981 - 1998
Skills
Arbitration, Dispute Resolution, Litigation Management, Mediation, Claim, Insurance Law, Alternative Dispute..., Insurance, Liability, Litigation, Professional Liability, Product Liability, Claims Management, Brokers, Commercial Litigation, Securities, Workers Compensation, Reinsurance, Civil Litigation, Contract Negotiation, Securities Regulation, Conflict Resolution, FINRA, Corporate Governance, Legal Liability, Employment Practices..., Courts, Subrogation, Legal Research, Employment Law, Casualty, D&O, Litigation Support, Legal Writing, Commercial Lines, Accident, Licensing, General Insurance, Legal Compliance, Intellectual Property, Personal Injury, Fraud, Corporate Law, Commercial Insurance, Liability Analysis, Underwriting, Property & Casualty..., Excess, Appeals, Privacy Law
Education
New York Law School 1976 — 1980
JD, Law
Manhattanville College 1969 — 1973
Bachelor's degree, Economics
International Mediation Institute December 2013 - Present
Benjamin N. Cardozo School of Law July 2015 - Present
Claims and Litigation Management Alliance April 2015 - Present
Fordham Law School 2015 - 2015
American International Group December 2003 - December 2013
ABA August 2011 - August 2012
Brooklyn Law School 1998 - 2007
JAMS April 1999 - November 2003
FINRA 1981 - 1998
NASD nka FINRA 1981 - 1998
Skills
Arbitration, Dispute Resolution, Litigation Management, Mediation, Claim, Insurance Law, Alternative Dispute..., Insurance, Liability, Litigation, Professional Liability, Product Liability, Claims Management, Brokers, Commercial Litigation, Securities, Workers Compensation, Reinsurance, Civil Litigation, Contract Negotiation, Securities Regulation, Conflict Resolution, FINRA, Corporate Governance, Legal Liability, Employment Practices..., Courts, Subrogation, Legal Research, Employment Law, Casualty, D&O, Litigation Support, Legal Writing, Commercial Lines, Accident, Licensing, General Insurance, Legal Compliance, Intellectual Property, Personal Injury, Fraud, Corporate Law, Commercial Insurance, Liability Analysis, Underwriting, Property & Casualty..., Excess, Appeals, Privacy Law
Education
New York Law School 1976 — 1980
JD, Law
Manhattanville College 1969 — 1973
Bachelor's degree, Economics
Robert Saint-Aubin's FINRA Experience 1999 - 2015
Job Independent Alternative Dispute Resolution Professional
Industry Alternative Dispute Resolution
Experience
Saint-Aubin Mediation February 2002 - Present
FINRA 1999 - 2015
FINRA 1999 - 2015
Yerington Paiute Tribe 2001 - 2013
Saint-Aubin Mediation 1999 - 2000
Skills
Alternative Dispute..., Dispute Resolution, Mediation, Arbitration, Conflict Resolution, Negotiation, Contract Negotiation, Conflict Management, Public Speaking, Family Law, Litigation, Civil Litigation, Real Estate, Commercial Litigation, Coaching, Employment Law, Insurance, Conflict, Intellectual Property, Disputes, Strategic Planning, Writing, Construction, Mergers, Environmental, Corporate Law, Negotiating Contracts, Employee Relations, Public Policy, Management Consulting, Courts, Securities, Business Strategy, Entertainment, Appeals, Legal Services, Unfair Competition, Trade Secrets, Employment Litigation, International..., Dispute, Legal Assistance, Construction Law, Discrimination, Breach Of Contract, Mergers & Acquisitions, Domestic Relations, Prenuptial Agreements, Conflict Prevention, Paternity
Education
The Law School, University of Pennsylvania 1964 — 1967
LLB/JD
Massachusetts Institute of Technology - Sloan School of Management
SB, Management, Chemical Engineering
Saint-Aubin Mediation February 2002 - Present
FINRA 1999 - 2015
FINRA 1999 - 2015
Yerington Paiute Tribe 2001 - 2013
Saint-Aubin Mediation 1999 - 2000
Skills
Alternative Dispute..., Dispute Resolution, Mediation, Arbitration, Conflict Resolution, Negotiation, Contract Negotiation, Conflict Management, Public Speaking, Family Law, Litigation, Civil Litigation, Real Estate, Commercial Litigation, Coaching, Employment Law, Insurance, Conflict, Intellectual Property, Disputes, Strategic Planning, Writing, Construction, Mergers, Environmental, Corporate Law, Negotiating Contracts, Employee Relations, Public Policy, Management Consulting, Courts, Securities, Business Strategy, Entertainment, Appeals, Legal Services, Unfair Competition, Trade Secrets, Employment Litigation, International..., Dispute, Legal Assistance, Construction Law, Discrimination, Breach Of Contract, Mergers & Acquisitions, Domestic Relations, Prenuptial Agreements, Conflict Prevention, Paternity
Education
The Law School, University of Pennsylvania 1964 — 1967
LLB/JD
Massachusetts Institute of Technology - Sloan School of Management
SB, Management, Chemical Engineering
Russ Gordon's FINRA Experience August 2001 - Present
Job Technology Infrastructure Engineering Team (TIE)
Industry Investment Management
Experience
Finra August 2001 - Present
Verrex Corporation April 2003 - January 2011
RTS Unified Communications 2003 - 2006
Innovative Media Works, Inc. April 1998 - September 2005
On-Line Design April 1998 - April 1999
Verizon April 1989 - April 1998
New York Telephone / NYNEX 1979 - 1998
Kipany Productions,Aniforms, Caribiner, Film Five Associates and Other Professional Companies 1977 - 1979
Skills
Video Conferencing, Telecommunications, AV, Telepresence, Unified Communications, Managed Services, Cisco Technologies, Project Management, Troubleshooting, Integration, Tandberg, Video, Team Building, Customer Service, Team Leadership, Presentaions -..., Photoshop Designer, Management, Network Engineering, VoIP, Data Center, WAN, Cloud Computing, Vendor Management, Networking, IP, Security, Call Centers, Wireless, Switches
Education
New York Institute of Technology 1969 — 1973
BFA, Communications
New York Institute of Technology 1969 — 1973
BFA in Communications, Flim, TV & Graphics
Finra August 2001 - Present
Verrex Corporation April 2003 - January 2011
RTS Unified Communications 2003 - 2006
Innovative Media Works, Inc. April 1998 - September 2005
On-Line Design April 1998 - April 1999
Verizon April 1989 - April 1998
New York Telephone / NYNEX 1979 - 1998
Kipany Productions,Aniforms, Caribiner, Film Five Associates and Other Professional Companies 1977 - 1979
Skills
Video Conferencing, Telecommunications, AV, Telepresence, Unified Communications, Managed Services, Cisco Technologies, Project Management, Troubleshooting, Integration, Tandberg, Video, Team Building, Customer Service, Team Leadership, Presentaions -..., Photoshop Designer, Management, Network Engineering, VoIP, Data Center, WAN, Cloud Computing, Vendor Management, Networking, IP, Security, Call Centers, Wireless, Switches
Education
New York Institute of Technology 1969 — 1973
BFA, Communications
New York Institute of Technology 1969 — 1973
BFA in Communications, Flim, TV & Graphics
Elena Domasica's FINRA Experience February 2006 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA February 2006 - Present
FINRA (f/k/a NASD) 2006 - Present
MetLife June 1999 - February 2006
Education
Kean University 1999 — 2002
Accounting
Kean University
Bachelors, Accounting
Union County College
Associates Degree, Information Systems with Business Application
FINRA February 2006 - Present
FINRA (f/k/a NASD) 2006 - Present
MetLife June 1999 - February 2006
Education
Kean University 1999 — 2002
Accounting
Kean University
Bachelors, Accounting
Union County College
Associates Degree, Information Systems with Business Application
Jennifer Tom's FINRA Experience June 2010 - Present
Job Business Analyst/UAT Tester
Industry Financial Services
Experience
FINRA June 2010 - Present
Merrill Lynch January 2002 - July 2008
Merrill Lynch September 1985 - December 2001
Education
New York University 1979 — 1983
BA, Computer Science
FINRA June 2010 - Present
Merrill Lynch January 2002 - July 2008
Merrill Lynch September 1985 - December 2001
Education
New York University 1979 — 1983
BA, Computer Science
Carol Martz's FINRA Experience 1983 - 2007
Job Office Manager at mPortal.com
Industry Computer Software
Experience
mPortal.com January 2008 - Present
FINRA 1983 - 2007
NASDAQ 1985 - 2000
Skills
Office Management, Excel, Microsoft Office, Telecommunications, Word, Quickbooks, Microsoft Word, QuickBooks, Cloud Computing, Microsoft Excel, Salesforce.com, Management, Project Management, Program Management, Sales, Leadership, Business Development
Education
Northern Virginia Community College 1988 — 1989
Associates, Business Administration
mPortal.com January 2008 - Present
FINRA 1983 - 2007
NASDAQ 1985 - 2000
Skills
Office Management, Excel, Microsoft Office, Telecommunications, Word, Quickbooks, Microsoft Word, QuickBooks, Cloud Computing, Microsoft Excel, Salesforce.com, Management, Project Management, Program Management, Sales, Leadership, Business Development
Education
Northern Virginia Community College 1988 — 1989
Associates, Business Administration
Dara Owens's FINRA Experience August 2005 - March 2011
Job Independent Consultant
Industry Financial Services
Experience
Colorado SolarVolts, Inc. January 2011 - Present
Charles Schwab Investment Advisory, Inc. April 2013 - Present
BBW Capital Markets, LLC March 2011 - November 2012
FINRA August 2005 - March 2011
Charles Schwab & Co., Inc. September 1997 - July 2004
Skills
Securities consulting, AMLCP independent..., Firm element training, Series 7, Mutual Funds, AML, Risk Management, Financial Services, Series 24, Investments, Regulations, Equities, Fixed Income, Investment Management, Fraud, Risk Assessment, Process Improvement, Compliance, Operations Management, Coaching, Problem Solving, Mentoring, Due Diligence, Alternative Investments
Education
University of Phoenix 1995 — 1998
MA, Organizational Management
Metropolitan State University of Denver 1988 — 1992
BA, Community Service Administration
Colorado SolarVolts, Inc. January 2011 - Present
Charles Schwab Investment Advisory, Inc. April 2013 - Present
BBW Capital Markets, LLC March 2011 - November 2012
FINRA August 2005 - March 2011
Charles Schwab & Co., Inc. September 1997 - July 2004
Skills
Securities consulting, AMLCP independent..., Firm element training, Series 7, Mutual Funds, AML, Risk Management, Financial Services, Series 24, Investments, Regulations, Equities, Fixed Income, Investment Management, Fraud, Risk Assessment, Process Improvement, Compliance, Operations Management, Coaching, Problem Solving, Mentoring, Due Diligence, Alternative Investments
Education
University of Phoenix 1995 — 1998
MA, Organizational Management
Metropolitan State University of Denver 1988 — 1992
BA, Community Service Administration
Carolyn O'Leary's FINRA Experience November 2014 - Present
Job Enforcement Counsel at FINRA
Industry Law Practice
Experience
FINRA November 2014 - Present
Alston & Bird LLP September 2007 - October 2014
U.S. Attorney's Office, Eastern District of New York May 2005 - August 2005
Community Preservation Corporation June 2003 - July 2004
Interep May 2001 - August 2001
Education
New York University School of Law 2004 — 2007
J.D., Law
University of Pennsylvania 1999 — 2003
B.A., History
FINRA November 2014 - Present
Alston & Bird LLP September 2007 - October 2014
U.S. Attorney's Office, Eastern District of New York May 2005 - August 2005
Community Preservation Corporation June 2003 - July 2004
Interep May 2001 - August 2001
Education
New York University School of Law 2004 — 2007
J.D., Law
University of Pennsylvania 1999 — 2003
B.A., History
Sabrina Biancaniello's FINRA Experience January 2004 - Present
Job Office Manager at FINRA
Industry Security and Investigations
Experience
FINRA January 2004 - Present
BNY Mellon August 2001 - January 2004
Skills
Software Proficiency, Organizational..., Securities, Series 7, Options, Equities, Series 63, Financial Regulation, Mutual Funds, FINRA, Hedge Funds, Trading, Bloomberg, Employee Benefits, Derivatives, Financial Services, Capital Markets, Fixed Income, Securities Regulation, Asset Management, Risk Management, Financial Markets, Financial Risk, Business Process...
Education
Mercy College 2002 — 2007
Bachelors, Finance
FINRA January 2004 - Present
BNY Mellon August 2001 - January 2004
Skills
Software Proficiency, Organizational..., Securities, Series 7, Options, Equities, Series 63, Financial Regulation, Mutual Funds, FINRA, Hedge Funds, Trading, Bloomberg, Employee Benefits, Derivatives, Financial Services, Capital Markets, Fixed Income, Securities Regulation, Asset Management, Risk Management, Financial Markets, Financial Risk, Business Process...
Education
Mercy College 2002 — 2007
Bachelors, Finance
Siddhartha Lahiri's FINRA Experience 2005 - 2006
Job Sr. Operation research Analyst at HUD
Industry Computer Software
Experience
HUD March 2013 - Present
SRA International April 2008 - March 2013
DHS 2010 - 2011
PREMATICS October 2007 - April 2008
ACS Govt. Services 2006 - 2007
FINRA 2005 - 2006
Sun Microsystems 2002 - 2003
Celera Genomics 2000 - 2002
FASEB 1998 - 2000
NOAA 1996 - 1998
Skills
Perl, PHP, SAS, XLMiner, R, C/C++ STL, JavaScript Databases, XML, XML Schema, XML Databases, XML Software, XML Tools, DHTML, Matlab, Mathematical Modeling, Mathematical Programming, ANSYS, Abaqus, Sun Certified Java..., Java software..., Core Java, Predictive Analytics, Predictive Modeling, Risk Analysis, Data Mining, Algorithms, Statistics, Databases, SQL, Unix, Eclipse, MySQL, Linux, HTML, C, Java, Integration, Testing, TCP/IP, Architectures, Software Development, Analysis, Data Analysis, Python, Programming, Oracle
Education
University of London 2002 — 2004
Master of Computer Applications (MCA), Computer Science
University of Florida 1987 — 1995
M.S., M.E., Ph.D., (1) Structural Engineering (2) Engineering Mechanics (3) Aerospace Engineering
Jadavpur University 1979 — 1983
Bachelor of Civil Engineering, Civil/Structural Engineering
HUD March 2013 - Present
SRA International April 2008 - March 2013
DHS 2010 - 2011
PREMATICS October 2007 - April 2008
ACS Govt. Services 2006 - 2007
FINRA 2005 - 2006
Sun Microsystems 2002 - 2003
Celera Genomics 2000 - 2002
FASEB 1998 - 2000
NOAA 1996 - 1998
Skills
Perl, PHP, SAS, XLMiner, R, C/C++ STL, JavaScript Databases, XML, XML Schema, XML Databases, XML Software, XML Tools, DHTML, Matlab, Mathematical Modeling, Mathematical Programming, ANSYS, Abaqus, Sun Certified Java..., Java software..., Core Java, Predictive Analytics, Predictive Modeling, Risk Analysis, Data Mining, Algorithms, Statistics, Databases, SQL, Unix, Eclipse, MySQL, Linux, HTML, C, Java, Integration, Testing, TCP/IP, Architectures, Software Development, Analysis, Data Analysis, Python, Programming, Oracle
Education
University of London 2002 — 2004
Master of Computer Applications (MCA), Computer Science
University of Florida 1987 — 1995
M.S., M.E., Ph.D., (1) Structural Engineering (2) Engineering Mechanics (3) Aerospace Engineering
Jadavpur University 1979 — 1983
Bachelor of Civil Engineering, Civil/Structural Engineering
Richard Farenci's FINRA Experience April 2008 - December 2011
Job Software Engineer at ICAP
Industry Computer Software
Experience
ICAP February 2012 - Present
Finra April 2008 - December 2011
Goldman Sachs April 2005 - March 2008
Morgan Stanley August 2002 - April 2005
UBS September 1996 - July 2001
Lehman Brothers February 1996 - September 1996
Deutsche Bank March 1995 - February 1996
Lehman Brothers March 1994 - February 1995
AT&T March 1993 - March 1994
Bell Communications Research (BellCore) 1981 - 1992
Skills
Perl, Sybase, Unix, Data Warehousing, C++, Software Development, ETL, Java Enterprise Edition, SQL, Java, XML, SDLC, Agile Methodologies, Reference Data, OOP, SOA, Distributed Systems, Messaging, Shell Scripting, Google Protocol Buffers, RabbitMQ
Education
New York University 1988 — 1994
MS, Computer Science
New York University - Leonard N. Stern School of Business 1977 — 1981
BS, Information Systems / Economics
ICAP February 2012 - Present
Finra April 2008 - December 2011
Goldman Sachs April 2005 - March 2008
Morgan Stanley August 2002 - April 2005
UBS September 1996 - July 2001
Lehman Brothers February 1996 - September 1996
Deutsche Bank March 1995 - February 1996
Lehman Brothers March 1994 - February 1995
AT&T March 1993 - March 1994
Bell Communications Research (BellCore) 1981 - 1992
Skills
Perl, Sybase, Unix, Data Warehousing, C++, Software Development, ETL, Java Enterprise Edition, SQL, Java, XML, SDLC, Agile Methodologies, Reference Data, OOP, SOA, Distributed Systems, Messaging, Shell Scripting, Google Protocol Buffers, RabbitMQ
Education
New York University 1988 — 1994
MS, Computer Science
New York University - Leonard N. Stern School of Business 1977 — 1981
BS, Information Systems / Economics
Dale Berman's FINRA Experience 1986 - Present
Job Industry Arbitrator at FINRA
Industry Financial Services
Experience
FINRA 1986 - Present
The Q-Group 1966 - Present
Skills
Equities, Economics, Hedge Funds, Asset Management, Quantitative Analytics, Securities, Mutual Funds, Portfolio Management, Investments, Financial Analysis, Quantitative Finance, Asset Allocation, Fixed Income, Investment Strategies, Derivatives, Investment Management, Bloomberg, Alternative Investments
Education
New York University 1951 — 1956
FINRA 1986 - Present
The Q-Group 1966 - Present
Skills
Equities, Economics, Hedge Funds, Asset Management, Quantitative Analytics, Securities, Mutual Funds, Portfolio Management, Investments, Financial Analysis, Quantitative Finance, Asset Allocation, Fixed Income, Investment Strategies, Derivatives, Investment Management, Bloomberg, Alternative Investments
Education
New York University 1951 — 1956
Jennifer Holliday Mohr's FINRA Experience 2008 - 2009
Job Independent Business Owner at ACN
Industry Health, Wellness and Fitness
Experience
ACN June 2013 - Present
Seneca Physical Therapy and Wellness Center February 2009 - Present
MC Elite Club Lacrosse September 2012 - Present
Quince Orchard HS January 2012 - Present
FINRA 2008 - 2009
SGAH 2007 - 2008
Skills
Sports Nutrition, Healthcare, Functional Training, Strength Training, Exercise Physiology, Customer Service, Fitness Training, Personal Training, Cpr Certified, Wellness, Fitness, Athletics, Wellness Coaching
Education
Longwood University 2004 — 2008
Bachelor of Science, Kinesiology, Exercise Science
Quince Orchard High School 2000 — 2004
ACN June 2013 - Present
Seneca Physical Therapy and Wellness Center February 2009 - Present
MC Elite Club Lacrosse September 2012 - Present
Quince Orchard HS January 2012 - Present
FINRA 2008 - 2009
SGAH 2007 - 2008
Skills
Sports Nutrition, Healthcare, Functional Training, Strength Training, Exercise Physiology, Customer Service, Fitness Training, Personal Training, Cpr Certified, Wellness, Fitness, Athletics, Wellness Coaching
Education
Longwood University 2004 — 2008
Bachelor of Science, Kinesiology, Exercise Science
Quince Orchard High School 2000 — 2004
Brian C. Sullivan's FINRA Experience July 2001 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA July 2001 - Present
Skills
AML, FINRA, Equities, Financial Services, Series 24, Securities
Education
Manhattan College
BS, Finance
FINRA July 2001 - Present
Skills
AML, FINRA, Equities, Financial Services, Series 24, Securities
Education
Manhattan College
BS, Finance
Rick Gisler's FINRA Experience July 2003 - May 2005
Job Advisory Compliance at Deutsche Bank Securities
Industry Financial Services
Experience
Deutsche Bank Securities Prime BrokerageUBSMarch 2006 - March 2007
FINRA July 2003 - May 2005
Education
Manhattan College 1999 — 2003
Finance
Deutsche Bank Securities Prime BrokerageUBSMarch 2006 - March 2007
FINRA July 2003 - May 2005
Education
Manhattan College 1999 — 2003
Finance
Jennifer McCallion's FINRA Experience October 2010 - August 2012
Job Counsel at Intercontinental Exchange
Industry Financial Services
Experience
Intercontinental Exchange November 2013 - Present
NYSE Euronext May 2013 - November 2013
Financial Industry Regulatory Authority August 2012 - May 2013
FINRA October 2010 - August 2012
CME Group January 2010 - May 2010
FINRA May 2009 - August 2009
New York Mercantile Exchange October 2005 - July 2007
NYMEX February 2004 - 2005
Skills
Securities Regulation, Securities, FINRA, Legal Research, Legal Writing, Equities, Derivatives, Lexis, Legal Compliance, Analysis, Corporate Governance, Financial Regulation
Education
New York Law School 2007 — 2010
JD
SUNY New Paltz
Intercontinental Exchange November 2013 - Present
NYSE Euronext May 2013 - November 2013
Financial Industry Regulatory Authority August 2012 - May 2013
FINRA October 2010 - August 2012
CME Group January 2010 - May 2010
FINRA May 2009 - August 2009
New York Mercantile Exchange October 2005 - July 2007
NYMEX February 2004 - 2005
Skills
Securities Regulation, Securities, FINRA, Legal Research, Legal Writing, Equities, Derivatives, Lexis, Legal Compliance, Analysis, Corporate Governance, Financial Regulation
Education
New York Law School 2007 — 2010
JD
SUNY New Paltz
Tracie Rathsack's FINRA Experience March 2005 - August 2006
Job Owner at Baltimore Cloth Diapers
Industry Apparel & Fashion
Experience
Baltimore Cloth Diapers July 2014 - July 2015
IRS November 2012 - April 2013
Mid-Atlantic Jack Rescue, Incorporated April 2012 - March 2013
IRS April 2011 - November 2012
RTC Relationship Marketing October 2008 - April 2011
LifeBridge Health August 2006 - October 2008
FINRA March 2005 - August 2006
Comcast Cable November 2003 - March 2005
NRI Staffing November 2003 - May 2004
Ober Kaler Grimes & Shriver July 2000 - September 2000
Skills
Administrative..., Event Planning, Outlook, PowerPoint, Microsoft Office, Office Management, Travel Arrangements, Social Media, Microsoft Excel, Microsoft Word, Time Management, File Management, Research, Event Management, Budgets, Calendaring, Non-profits, Human Resources, Marketing, Editing, Advertising, Spreadsheets, Onboarding, Process Scheduler, Nonprofits, Social Networking, Management, Leadership, Facebook, Teamwork, Project Planning, Filing, Customer Service, Public Speaking, Integrated Marketing, Digital Marketing, Email Marketing, Direct Marketing, Online Advertising, Marketing Communications, Administrative...
Education
Montgomery College 2000 — 2002
General Ed
University of Maryland University College (UMUC) 2004-2005 Carroll Community College
Baltimore Cloth Diapers July 2014 - July 2015
IRS November 2012 - April 2013
Mid-Atlantic Jack Rescue, Incorporated April 2012 - March 2013
IRS April 2011 - November 2012
RTC Relationship Marketing October 2008 - April 2011
LifeBridge Health August 2006 - October 2008
FINRA March 2005 - August 2006
Comcast Cable November 2003 - March 2005
NRI Staffing November 2003 - May 2004
Ober Kaler Grimes & Shriver July 2000 - September 2000
Skills
Administrative..., Event Planning, Outlook, PowerPoint, Microsoft Office, Office Management, Travel Arrangements, Social Media, Microsoft Excel, Microsoft Word, Time Management, File Management, Research, Event Management, Budgets, Calendaring, Non-profits, Human Resources, Marketing, Editing, Advertising, Spreadsheets, Onboarding, Process Scheduler, Nonprofits, Social Networking, Management, Leadership, Facebook, Teamwork, Project Planning, Filing, Customer Service, Public Speaking, Integrated Marketing, Digital Marketing, Email Marketing, Direct Marketing, Online Advertising, Marketing Communications, Administrative...
Education
Montgomery College 2000 — 2002
General Ed
University of Maryland University College (UMUC) 2004-2005 Carroll Community College
Elizabeth Kraenbring's FINRA Experience 1998 - 2010
Job Business Analyst at FINRA
Industry Financial Services
Experience
NASD September 2007 - Present
FINRA 1998 - 2010
Skills
Enterprise Architecture, Product Management, SDLC, Business Process, IT Strategy, Leadership, Requirements Analysis, Business Analysis, Agile Methodologies, Testing, Management, Strategic Planning, Process Improvement, Vendor Management, Business Intelligence, Program Management, Project Management, Training, Requirements Gathering, Business Requirements, Integration, Software Project..., PMP, Business Process...
Education
Boston University 2012 — 2014
Project Management
Montgomery College 2001 — 2004
Business Administration
NASD September 2007 - Present
FINRA 1998 - 2010
Skills
Enterprise Architecture, Product Management, SDLC, Business Process, IT Strategy, Leadership, Requirements Analysis, Business Analysis, Agile Methodologies, Testing, Management, Strategic Planning, Process Improvement, Vendor Management, Business Intelligence, Program Management, Project Management, Training, Requirements Gathering, Business Requirements, Integration, Software Project..., PMP, Business Process...
Education
Boston University 2012 — 2014
Project Management
Montgomery College 2001 — 2004
Business Administration
Meenakshi Chawla's FINRA Experience 2001 - 2008
Job CM Engineer at ViaSat
Industry Defense & Space
Experience
ViaSat March 2008 - Present
EDS, An HP company 2003 - 2008
FINRA 2001 - 2008
EDS 2001 - 2008
Skills
Configuration Management, CMMI, Software Configuration..., Change Management, Quality Assurance, Release Management, Agile, Process Improvement, Documentation, Process Engineering
Education
Kutztown University of Pennsylvania
University of Maryland
BS, Computer Science
ViaSat March 2008 - Present
EDS, An HP company 2003 - 2008
FINRA 2001 - 2008
EDS 2001 - 2008
Skills
Configuration Management, CMMI, Software Configuration..., Change Management, Quality Assurance, Release Management, Agile, Process Improvement, Documentation, Process Engineering
Education
Kutztown University of Pennsylvania
University of Maryland
BS, Computer Science
HARSHAD BHAVSAR's FINRA Experience June 2010 - Present
Job Oracle Apps DBA at FINRA
Industry Information Technology and Services
Raymond James's FINRA Experience 1996 - 1999
Job OATS Consultant at EQyance Consultants,LLC
Industry Financial Services
Experience
EQyance Consultants,LLC 2007 - Present
Financial Industry Regulatory Authority 1999 - 2007
FINRA 1996 - 1999
CNA Insurance 1989 - 1995
Skills
FINRA, Trading, Securities, OATS, Trading Systems, Electronic Trading, Equities, Capital Markets, Equity Trading, Market Data, Financial Markets, Back Office, Mutual Funds, Equity Derivatives, Securities Regulation, Middle Office, Hedge Funds
Education
Montgomery College
A.A.S
Winston-Salem State University
grade school/high school
EQyance Consultants,LLC 2007 - Present
Financial Industry Regulatory Authority 1999 - 2007
FINRA 1996 - 1999
CNA Insurance 1989 - 1995
Skills
FINRA, Trading, Securities, OATS, Trading Systems, Electronic Trading, Equities, Capital Markets, Equity Trading, Market Data, Financial Markets, Back Office, Mutual Funds, Equity Derivatives, Securities Regulation, Middle Office, Hedge Funds
Education
Montgomery College
A.A.S
Winston-Salem State University
grade school/high school
Justin Bohan's FINRA Experience September 2010 - Present
Job Senior Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA September 2010 - Present
Barclays Capital March 2009 - Present
J.P.Morgan Chase & Co. March 2008 - March 2009
Bear, Stearns & Co. 2002 - 2008
Bear Wagner Specialists May 2000 - 2002
Skills
FINRA, ETFs, Risk Management, Series 7, Equities, Bloomberg, Trading, Options, Market Making, Series 24, Compliance, Series 63
Education
New York University 2009 — 2011
Certificates in Financial Risk Management
Stony Brook University 1995 — 1999
Economics
FINRA September 2010 - Present
Barclays Capital March 2009 - Present
J.P.Morgan Chase & Co. March 2008 - March 2009
Bear, Stearns & Co. 2002 - 2008
Bear Wagner Specialists May 2000 - 2002
Skills
FINRA, ETFs, Risk Management, Series 7, Equities, Bloomberg, Trading, Options, Market Making, Series 24, Compliance, Series 63
Education
New York University 2009 — 2011
Certificates in Financial Risk Management
Stony Brook University 1995 — 1999
Economics
Kathryn Hauser's FINRA Experience September 1991 - April 1997
Job Compliance Principal at H. Beck, Inc.
Industry Financial Services
Experience
H. Beck, Inc. November 2013 - Present
MassMutual Financial Group October 2006 - September 2011
Salt Creek Securities, LLC March 2002 - October 2006
FINRA September 1991 - April 1997
Skills
FINRA, Series 7, Securities, Compliance, Series 24, AML, Mutual Funds, Investment Advisory, Compliance Audits, Investments, Annuities, Series 63, Brokerage, Equities, Securities Regulation, Series 27, Series 53, Finance, Trading, Financial Services, Investment Strategies, Fixed Annuities, Anti Money Laundering
Education
National University
Bachelor of Arts (B.A.), Business Administration and Management, General
H. Beck, Inc. November 2013 - Present
MassMutual Financial Group October 2006 - September 2011
Salt Creek Securities, LLC March 2002 - October 2006
FINRA September 1991 - April 1997
Skills
FINRA, Series 7, Securities, Compliance, Series 24, AML, Mutual Funds, Investment Advisory, Compliance Audits, Investments, Annuities, Series 63, Brokerage, Equities, Securities Regulation, Series 27, Series 53, Finance, Trading, Financial Services, Investment Strategies, Fixed Annuities, Anti Money Laundering
Education
National University
Bachelor of Arts (B.A.), Business Administration and Management, General
Vinnie Farley's FINRA Experience January 2008 - August 2009
Job Regulatory Consultant
Industry Financial Services
Experience
Fidelity Investments December 2014 - Present
RGP September 2014 - November 2014
The Depository Trust & Clearing Corporation May 2014 - August 2014
Deutsche Bank Securities August 2013 - February 2014
E*TRADE Financial Corporation February 2013 - June 2013
Bank of America Merrill Lynch December 2011 - September 2012
SANTANDER INVESTMENT SECURITIES March 2011 - January 2012
iCIMS.COM, Inc. September 2009 - December 2010
FINRA January 2008 - August 2009
RIDGE CLEARING AND OUTSOURCING SOLUTIONS, INC. April 2007 - September 2007
Skills
Equities, Securities, Finance, General Ledger, Internal Controls, Auditing, Project Planning, Accounting, Fixed Income, Financial Risk, Managerial Finance, Cash Management, Budgets, Analysis, Variance Analysis, Forecasting, Financial Services
Education
Monmouth University
Bachelor of Science, Accounting
mater dei high school
Fidelity Investments December 2014 - Present
RGP September 2014 - November 2014
The Depository Trust & Clearing Corporation May 2014 - August 2014
Deutsche Bank Securities August 2013 - February 2014
E*TRADE Financial Corporation February 2013 - June 2013
Bank of America Merrill Lynch December 2011 - September 2012
SANTANDER INVESTMENT SECURITIES March 2011 - January 2012
iCIMS.COM, Inc. September 2009 - December 2010
FINRA January 2008 - August 2009
RIDGE CLEARING AND OUTSOURCING SOLUTIONS, INC. April 2007 - September 2007
Skills
Equities, Securities, Finance, General Ledger, Internal Controls, Auditing, Project Planning, Accounting, Fixed Income, Financial Risk, Managerial Finance, Cash Management, Budgets, Analysis, Variance Analysis, Forecasting, Financial Services
Education
Monmouth University
Bachelor of Science, Accounting
mater dei high school
Michael Wajda's FINRA Experience August 2012 - Present
Job Senior Counsel at FINRA
Industry Financial Services
Experience
FINRA August 2012 - Present
JPMorgan May 2011 - August 2012
Morgan Stanley June 2006 - May 2011
Fried Frank September 2004 - May 2006
US Securities and Exchange Commission 2002 - 2002
Education
New York University School of Law 2001 — 2004
JD, Law
University of Wisconsin-Madison 1997 — 2001
Bachelor of Arts, Sociology (Concentration in Analysis and Research), Certificate in Business
James Madison Memorial High School 1993 — 1997
9-12
FINRA August 2012 - Present
JPMorgan May 2011 - August 2012
Morgan Stanley June 2006 - May 2011
Fried Frank September 2004 - May 2006
US Securities and Exchange Commission 2002 - 2002
Education
New York University School of Law 2001 — 2004
JD, Law
University of Wisconsin-Madison 1997 — 2001
Bachelor of Arts, Sociology (Concentration in Analysis and Research), Certificate in Business
James Madison Memorial High School 1993 — 1997
9-12
Ruth Garrow's FINRA Experience 2006 - Present
Job Administrator, Arbitrator
Industry Executive Office
Experience
FINRA 2006 - Present
Touro College of Pharmacy June 2006 - December 2013
A. G. Edwards 2003 - 2006
Morgan Stanley June 1997 - February 2003
Paine Webber 1992 - 1997
Skills
Financial Modeling, Research, Public Speaking, Investments, Strategic Planning, Microsoft Excel, Data Analysis, Budgets, Microsoft Office, PowerPoint, Staff Development, Nonprofits, Higher Education, Teaching
Education
New York University
FINRA 2006 - Present
Touro College of Pharmacy June 2006 - December 2013
A. G. Edwards 2003 - 2006
Morgan Stanley June 1997 - February 2003
Paine Webber 1992 - 1997
Skills
Financial Modeling, Research, Public Speaking, Investments, Strategic Planning, Microsoft Excel, Data Analysis, Budgets, Microsoft Office, PowerPoint, Staff Development, Nonprofits, Higher Education, Teaching
Education
New York University
Diosmedis Jara's FINRA Experience 2007 - 2010
Job Federal Reserve Bank of New York Funding & Liquidity Risk
Industry Financial Services
Experience
Federal Reserve Bank of New York 2010 - Present
FINRA 2007 - 2010
New York Stock Exchange Regulation 2002 - 2007
Skills
Securities, Fixed Income, Risk Management, Financial Risk, Financial Analysis, Capital Markets, Financial Modeling, Equities
Education
New York University
Master of Business Administration (MBA), Finance
Rutgers, The State University of New Jersey-New Brunswick 1998 — 2002
Bachelor of Science (BS), Accounting
Federal Reserve Bank of New York 2010 - Present
FINRA 2007 - 2010
New York Stock Exchange Regulation 2002 - 2007
Skills
Securities, Fixed Income, Risk Management, Financial Risk, Financial Analysis, Capital Markets, Financial Modeling, Equities
Education
New York University
Master of Business Administration (MBA), Finance
Rutgers, The State University of New Jersey-New Brunswick 1998 — 2002
Bachelor of Science (BS), Accounting
Joanne Pelletteri's FINRA Experience January 2007 - Present
Job Administrative Assistant at FINRA
Industry Legal Services
Experience
Financial Industry Regulatory Authority (FINRA) July 2007 - Present
Joanne's Personal Assistant Service January 2007 - Present
FINRA January 2007 - Present
NYSE April 2004 - December 2006
Skills
Spreadsheets, Time Management, Litigation, Event Management, Filing, Outlook, Microsoft Word, PowerPoint, Marketing, Administrative..., Telephone Skills, Microsoft Office
Education
Kingsborough Community College 1988 — 1991
Associate's Degree, Business Administration and Management, General, 3.0
Financial Industry Regulatory Authority (FINRA) July 2007 - Present
Joanne's Personal Assistant Service January 2007 - Present
FINRA January 2007 - Present
NYSE April 2004 - December 2006
Skills
Spreadsheets, Time Management, Litigation, Event Management, Filing, Outlook, Microsoft Word, PowerPoint, Marketing, Administrative..., Telephone Skills, Microsoft Office
Education
Kingsborough Community College 1988 — 1991
Associate's Degree, Business Administration and Management, General, 3.0
Michael Troha's FINRA Experience July 2007 - May 2013
Job Vice President, Legal at Barclays
Industry Financial Services
Brad Schoff's FINRA Experience July 2014 - Present
Job Examination Manager at FINRA
Industry Financial Services
Experience
FINRA July 2014 - Present
FINRA January 2010 - Present
Ameriprise Financial Services, Inc January 2008 - January 2010
Precise Investment Management, LLC October 2006 - January 2008
Horwitz & Associates, Inc January 2003 - October 2006
Horwitz & Associates, Inc January 2001 - January 2006
Horwitz & Associates, Inc January 1995 - January 2001
Skills
Investments, FINRA, Mutual Funds, Financial Risk, Trading
Education
Northern Illinois University
B.S, Finance
FINRA July 2014 - Present
FINRA January 2010 - Present
Ameriprise Financial Services, Inc January 2008 - January 2010
Precise Investment Management, LLC October 2006 - January 2008
Horwitz & Associates, Inc January 2003 - October 2006
Horwitz & Associates, Inc January 2001 - January 2006
Horwitz & Associates, Inc January 1995 - January 2001
Skills
Investments, FINRA, Mutual Funds, Financial Risk, Trading
Education
Northern Illinois University
B.S, Finance
RaviShankar Madduri's FINRA Experience November 2010 - June 2013
Job IT Professional from Celerity currently working as Lead Business Systems Analyst (Consultant) at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority July 2013 - Present
Celerity January 2008 - Present
FINRA November 2010 - June 2013
FINRA January 2008 - October 2010
CareFirst BlueCross BlueShield January 2007 - December 2007
BNP Paribas August 2006 - December 2006
TicketsNow.com October 2005 - July 2006
Odyssey Technologies July 2001 - June 2002
Skills
QTP, SDLC, Quality Center, Requirements Analysis, Agile, SQL, Rational Tools, Test Automation, Test Management, Test Planning, WinRunner, LoadRunner, Team Leadership, Testing, Web Services, Manual Testing, Test Strategy, Test Cases, System Testing, Quality Assurance, Regression Testing, Databases, Software Development, VSS, User Acceptance Testing, Requirements Gathering, Performance Testing, Business Analysis
Education
Louisiana State University 2002 — 2005
MS, Electrical Engineering
University of Madras 1997 — 2001
B.E, Electrical & Electronics Engineering
Financial Industry Regulatory Authority July 2013 - Present
Celerity January 2008 - Present
FINRA November 2010 - June 2013
FINRA January 2008 - October 2010
CareFirst BlueCross BlueShield January 2007 - December 2007
BNP Paribas August 2006 - December 2006
TicketsNow.com October 2005 - July 2006
Odyssey Technologies July 2001 - June 2002
Skills
QTP, SDLC, Quality Center, Requirements Analysis, Agile, SQL, Rational Tools, Test Automation, Test Management, Test Planning, WinRunner, LoadRunner, Team Leadership, Testing, Web Services, Manual Testing, Test Strategy, Test Cases, System Testing, Quality Assurance, Regression Testing, Databases, Software Development, VSS, User Acceptance Testing, Requirements Gathering, Performance Testing, Business Analysis
Education
Louisiana State University 2002 — 2005
MS, Electrical Engineering
University of Madras 1997 — 2001
B.E, Electrical & Electronics Engineering
Brian Lach's FINRA Experience October 1983 - February 2004
Job Vice President KeyBank Affiliated Company
Industry Banking
Experience
KeyBanc Capital Markets Inc. March 2004 - Present
FINRA October 1983 - February 2004
Education
Marietta College 1979 — 1983
BA, Accounting
Mentor High School
High School
KeyBanc Capital Markets Inc. March 2004 - Present
FINRA October 1983 - February 2004
Education
Marietta College 1979 — 1983
BA, Accounting
Mentor High School
High School
Leslie Leutwiler's FINRA Experience August 2008 - Present
Job Associate Director at FINRA
Industry Financial Services
Experience
FINRA August 2008 - Present
NASD/FINRA Dispute Resolution, Inc. August 2005 - August 2008
NASD Dispute Resolution, Inc. September 2004 - August 2005
NASD Dispute Resolution, Inc. September 2003 - September 2004
NASD Dispute Resolution, Inc. July 2002 - September 2003
NASD Dispute Resolution, Inc. October 2000 - July 2002
Various Theatre Companies August 1996 - May 2000
Skills
Securities Regulation, FINRA, Oracle SQL, Microsoft Office, Business Analysis, Innovative Thinking, Arbitration, Legal Writing, Mediation, Research, Corporate Law, Westlaw, LexisNexis
Education
New York Law School 2012 — 2016
Juris Doctorate (J.D.)
Knox College 1992 — 1996
BA, Liberal Arts, Theatre
Hazelwood East 1988 — 1992
FINRA August 2008 - Present
NASD/FINRA Dispute Resolution, Inc. August 2005 - August 2008
NASD Dispute Resolution, Inc. September 2004 - August 2005
NASD Dispute Resolution, Inc. September 2003 - September 2004
NASD Dispute Resolution, Inc. July 2002 - September 2003
NASD Dispute Resolution, Inc. October 2000 - July 2002
Various Theatre Companies August 1996 - May 2000
Skills
Securities Regulation, FINRA, Oracle SQL, Microsoft Office, Business Analysis, Innovative Thinking, Arbitration, Legal Writing, Mediation, Research, Corporate Law, Westlaw, LexisNexis
Education
New York Law School 2012 — 2016
Juris Doctorate (J.D.)
Knox College 1992 — 1996
BA, Liberal Arts, Theatre
Hazelwood East 1988 — 1992
Sue Friedlander's FINRA Experience December 2000 - March 2009
Job Financial Regulation
Industry Financial Services
Experience
FINRA December 2000 - March 2009
NASD - Market Regulation Department September 1996 - December 2000
NASD - Market Regulation Department March 1995 - September 1996
NASD - Market Regulation Department 1990 - 1995
NASD - Member Regulation Department 1988 - 1990
Education
New York Institute of Finance 2002 — 2002
Certificate, Securities Law and Compliance
Montgomery College 1999 — 2002
Certificate, Paralegal Studies
University of Maryland University College 1996 — 1996
Desktop Publishing
University of Maryland College Park 1964 — 1965
Home Economics
FINRA December 2000 - March 2009
NASD - Market Regulation Department September 1996 - December 2000
NASD - Market Regulation Department March 1995 - September 1996
NASD - Market Regulation Department 1990 - 1995
NASD - Member Regulation Department 1988 - 1990
Education
New York Institute of Finance 2002 — 2002
Certificate, Securities Law and Compliance
Montgomery College 1999 — 2002
Certificate, Paralegal Studies
University of Maryland University College 1996 — 1996
Desktop Publishing
University of Maryland College Park 1964 — 1965
Home Economics
Matthew Rosenblatt's FINRA Experience June 2010 - July 2012
Job Sales & Trading Compliance at Berenberg Capital Markets, LLC
Industry Financial Services
Experience
Berenberg Capital Markets August 2015 - Present
ConvergEx Group January 2014 - Present
Convergex Group August 2012 - January 2014
FINRA June 2010 - July 2012
NYSE Euronext May 2008 - June 2010
Deutsche Bank Securities March 2007 - May 2008
Maxim Group November 2004 - March 2007
Skills
Project Management, Regulatory Request /..., Communicative Ability, Staff Supervision &..., Data Research & Analysis, Surveillance Monitoring..., Regulatory Reforms, Policies and Procedures, Trading Advisory, Coordination, Inquiries, Surveillance, Policy, Training, Trading, Analysis, Communication, Request, FINRA, Options, Equities, Series 24, Securities Regulation, Due Diligence, Corporate Governance, Equity Trading, Capital Markets, Hedge Funds, Securities, Asset Management, Financial Services, Fixed Income, Series 7, Derivatives
Education
Loyola College in Maryland 1997 — 2001
BA, Communications
Regis High School 1994 — 1997
Berenberg Capital Markets August 2015 - Present
ConvergEx Group January 2014 - Present
Convergex Group August 2012 - January 2014
FINRA June 2010 - July 2012
NYSE Euronext May 2008 - June 2010
Deutsche Bank Securities March 2007 - May 2008
Maxim Group November 2004 - March 2007
Skills
Project Management, Regulatory Request /..., Communicative Ability, Staff Supervision &..., Data Research & Analysis, Surveillance Monitoring..., Regulatory Reforms, Policies and Procedures, Trading Advisory, Coordination, Inquiries, Surveillance, Policy, Training, Trading, Analysis, Communication, Request, FINRA, Options, Equities, Series 24, Securities Regulation, Due Diligence, Corporate Governance, Equity Trading, Capital Markets, Hedge Funds, Securities, Asset Management, Financial Services, Fixed Income, Series 7, Derivatives
Education
Loyola College in Maryland 1997 — 2001
BA, Communications
Regis High School 1994 — 1997
Eric Ralph's FINRA Experience June 2010 - Present
Job Assistant Director at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
NYSE Euronext 2005 - September 2010
Skills
Securities, Equities, Electronic Trading, FINRA, Series 7, Derivatives, Series 63, Fixed Income, Bloomberg, Equity Trading, AML, Options, Trading, Trading Systems, Hedge Funds, Swaps, Financial Markets, Capital Markets, Financial Analysis, Banking, Investment Management, Market Data, Risk Management, Financial Services, Investment Banking, ETFs, Mutual Funds, Series 24, Asset Management
Education
Monmouth University 2000 — 2004
Bachelor's, Finance
FINRA June 2010 - Present
NYSE Euronext 2005 - September 2010
Skills
Securities, Equities, Electronic Trading, FINRA, Series 7, Derivatives, Series 63, Fixed Income, Bloomberg, Equity Trading, AML, Options, Trading, Trading Systems, Hedge Funds, Swaps, Financial Markets, Capital Markets, Financial Analysis, Banking, Investment Management, Market Data, Risk Management, Financial Services, Investment Banking, ETFs, Mutual Funds, Series 24, Asset Management
Education
Monmouth University 2000 — 2004
Bachelor's, Finance
David Erickson's FINRA Experience January 2010 - May 2010
Job Assistant General Counsel at JPMorgan Chase
Industry Legal Services
Experience
JPMorgan Chase August 2014 - Present
JPMorgan Chase July 2013 - Present
Citi August 2012 - June 2013
Citi August 2010 - August 2012
FINRA January 2010 - May 2010
NASDAQ OMX/Boston Options Exchange Regulation September 2009 - December 2009
MA Attorney General's Office January 2009 - August 2009
Swartz & Swartz August 2008 - November 2008
Davis, White & Sullivan, LLC May 2006 - June 2007
John F. Kerry Presidential Campaign June 2002 - November 2004
Skills
AML, Equities, Corporate Law, Microsoft Office, Legal Research, Securities, Litigation, Management, Legal Writing, Mediation, Corporate Governance, Westlaw
Education
New England Law Boston 2007 — 2010
JD
Suffolk University 2005 — 2007
Bachelor of Science, Gov't: Political Science, Asian History, Public Relations
University of Massachusetts, Amherst 2003 — 2005
Transfer Out, Political Science, Asian History, Public Relations
JPMorgan Chase August 2014 - Present
JPMorgan Chase July 2013 - Present
Citi August 2012 - June 2013
Citi August 2010 - August 2012
FINRA January 2010 - May 2010
NASDAQ OMX/Boston Options Exchange Regulation September 2009 - December 2009
MA Attorney General's Office January 2009 - August 2009
Swartz & Swartz August 2008 - November 2008
Davis, White & Sullivan, LLC May 2006 - June 2007
John F. Kerry Presidential Campaign June 2002 - November 2004
Skills
AML, Equities, Corporate Law, Microsoft Office, Legal Research, Securities, Litigation, Management, Legal Writing, Mediation, Corporate Governance, Westlaw
Education
New England Law Boston 2007 — 2010
JD
Suffolk University 2005 — 2007
Bachelor of Science, Gov't: Political Science, Asian History, Public Relations
University of Massachusetts, Amherst 2003 — 2005
Transfer Out, Political Science, Asian History, Public Relations
Daniel Nathan's FINRA Experience November 2006 - December 2011
Job Securities and Derivatives Enforcement Defense Partner at Morvillo LLP
Industry Financial Services
Experience
Morvillo LLP September 2015 - Present
Morrison & Foerster LLP May 2012 - August 2015
FINRA November 2006 - December 2011
U.S. Commodity Futures Trading Commission 2002 - 2006
U.S. Securities and Exchange Commission 2003 - 2005
U.S Commodity Futures Trading Commission 1997 - 2002
US Securities and Exchange Commission 1985 - 1997
Kaye Scholer LLP September 1983 - September 1985
Skills
Securities Regulation, Fraud, FINRA, Securities, Litigation, Private Investigations, Financial Regulation, Enforcement, Internal Investigations, SEC, Civil Litigation, Investigation, Securities Litigation, Dodd-Frank, Capital Markets, Due Diligence, Derivatives, Equities, Financial Services, Government, AML, Litigation Support, CFTC, Arbitration, Series 7, Courts, Legal Compliance, Banking Law, Securities Law, Investigations, Commercial Litigation, Law Enforcement, Anti Money Laundering
Education
New York University School of Law 1980 — 1983
J.D.
Massachusetts Institute of Technology 1975 — 1979
B.Sc., Economics
Morvillo LLP September 2015 - Present
Morrison & Foerster LLP May 2012 - August 2015
FINRA November 2006 - December 2011
U.S. Commodity Futures Trading Commission 2002 - 2006
U.S. Securities and Exchange Commission 2003 - 2005
U.S Commodity Futures Trading Commission 1997 - 2002
US Securities and Exchange Commission 1985 - 1997
Kaye Scholer LLP September 1983 - September 1985
Skills
Securities Regulation, Fraud, FINRA, Securities, Litigation, Private Investigations, Financial Regulation, Enforcement, Internal Investigations, SEC, Civil Litigation, Investigation, Securities Litigation, Dodd-Frank, Capital Markets, Due Diligence, Derivatives, Equities, Financial Services, Government, AML, Litigation Support, CFTC, Arbitration, Series 7, Courts, Legal Compliance, Banking Law, Securities Law, Investigations, Commercial Litigation, Law Enforcement, Anti Money Laundering
Education
New York University School of Law 1980 — 1983
J.D.
Massachusetts Institute of Technology 1975 — 1979
B.Sc., Economics
Drusilla Abdulah's FINRA Experience November 1999 - Present
Job LAN Admin at FINRA
Industry Financial Services
Experience
FINRA November 1999 - Present
Education
Polytechnic University
MS, Information Technology
FINRA November 1999 - Present
Education
Polytechnic University
MS, Information Technology
Suzanne Duddy's FINRA Experience May 2008 - Present
Job Assistant General Counsel at FINRA, Office of General Counsel
Industry Financial Services
Experience
FINRA May 2008 - Present
Howrey LLP March 2006 - May 2008
Ulmer & Berne LLP August 2000 - February 2006
Skills
Securities Regulation, Legal Writing, Arbitration, Litigation, Securities Litigation
Education
The Ohio State University Moritz College of Law 1997 — 2000
JD, Law
Miami University 1993 — 1997
Bachelor of Arts (B.A.), Political Science, Journalism
FINRA May 2008 - Present
Howrey LLP March 2006 - May 2008
Ulmer & Berne LLP August 2000 - February 2006
Skills
Securities Regulation, Legal Writing, Arbitration, Litigation, Securities Litigation
Education
The Ohio State University Moritz College of Law 1997 — 2000
JD, Law
Miami University 1993 — 1997
Bachelor of Arts (B.A.), Political Science, Journalism
Katherine Malfa's FINRA Experience 1993 - 2010
Job Vice President at Fidelity Investments
Industry Financial Services
Nadja Searchwell's FINRA Experience 2003 - 2007
Job Lean Facilitator at NuHealth/Nassau University Medical Center
Industry Hospital & Health Care
Experience
NuHealth/Nassau University Medical Center May 2015 - Present
NuHealth/Nassau University Medical Center October 2014 - May 2015
KPMG 2007 - 2012
FINRA 2003 - 2007
The Bank of New York Mellon 2000 - 2002
Skills
Microsoft Excel, PowerPoint, Outlook, Visio, Microsoft Word, Volunteering, Financial Analysis, Investor Relations, MS Project, Hoovers, Mentoring, Healthcare, Analysis, Process Improvement, Public Speaking
Education
LIU Post 2012 — 2014
Master's Degree, Health/Health Care Administration/Management
LIU Brooklyn 2008 — 2011
Master of Business Administration (M.B.A.), Finance
St. John's University 1986 — 1991
Bachelor of Science, Finance
NuHealth/Nassau University Medical Center May 2015 - Present
NuHealth/Nassau University Medical Center October 2014 - May 2015
KPMG 2007 - 2012
FINRA 2003 - 2007
The Bank of New York Mellon 2000 - 2002
Skills
Microsoft Excel, PowerPoint, Outlook, Visio, Microsoft Word, Volunteering, Financial Analysis, Investor Relations, MS Project, Hoovers, Mentoring, Healthcare, Analysis, Process Improvement, Public Speaking
Education
LIU Post 2012 — 2014
Master's Degree, Health/Health Care Administration/Management
LIU Brooklyn 2008 — 2011
Master of Business Administration (M.B.A.), Finance
St. John's University 1986 — 1991
Bachelor of Science, Finance
Nandini Selvadurai's FINRA Experience 2010 - 2012
Job
Industry
Experience
FINRA 2010 - 2012
Education
Madurai Kamaraj University
FINRA 2010 - 2012
Education
Madurai Kamaraj University
Janet Logan's FINRA Experience 2002 - Present
Job Attorney
Industry Legal Services
Experience
FINRA 2002 - Present
MSHS and ABCS 2001 - Present
Sole Practitioner 1999 - Present
Logistics Training Systems 2004 - 2008
CafeLaw 1997 - 2008
Heinrich, Gordon, Hargrove, Weihe & James, P.A. 1998 - 1999
Education
Nova Southeastern University Shepard Broad College of Law
JD, law
FINRA 2002 - Present
MSHS and ABCS 2001 - Present
Sole Practitioner 1999 - Present
Logistics Training Systems 2004 - 2008
CafeLaw 1997 - 2008
Heinrich, Gordon, Hargrove, Weihe & James, P.A. 1998 - 1999
Education
Nova Southeastern University Shepard Broad College of Law
JD, law
Sumalatha Bachu's FINRA Experience June 2001 - Present
Job Senior Technology Manager at FINRA
Industry Computer & Network Security
Experience
FINRA June 2001 - Present
Skills
Solaris, Disaster Recovery, Penetration Testing, Dell PowerEdge Servers, VMware, Enterprise Architecture, Active Directory, EMC Storage, Vulnerability Assessment, Netbackup, Blackberry Enterprise..., TCP/IP, Software Development, Data Center, System Deployment, Unix, Databases, ITIL, Web Applications, Servers, Troubleshooting, Windows Server, IIS, Testing, Shell Scripting, Virtualization, Red Hat Linux, Integration, Microsoft SQL Server, DNS, Network Security
Education
University of Maryland University College 2004 — 2008
Masters, Information Technology
Jawaharlal Nehru Technological University
B Tech, Electronics and Communication Enginering
Kamala Nehru Polytechnic
Diploma, Electronics and Communications Engineering
FINRA June 2001 - Present
Skills
Solaris, Disaster Recovery, Penetration Testing, Dell PowerEdge Servers, VMware, Enterprise Architecture, Active Directory, EMC Storage, Vulnerability Assessment, Netbackup, Blackberry Enterprise..., TCP/IP, Software Development, Data Center, System Deployment, Unix, Databases, ITIL, Web Applications, Servers, Troubleshooting, Windows Server, IIS, Testing, Shell Scripting, Virtualization, Red Hat Linux, Integration, Microsoft SQL Server, DNS, Network Security
Education
University of Maryland University College 2004 — 2008
Masters, Information Technology
Jawaharlal Nehru Technological University
B Tech, Electronics and Communication Enginering
Kamala Nehru Polytechnic
Diploma, Electronics and Communications Engineering
Nelson Brown's FINRA Experience April 1999 - April 2000
Job Lead Associate at Booz Allen Hamilton, CCIE#15236
Industry Computer Networking
Experience
Booz Allen Hamilton March 2013 - Present
Elevate Technology Solutions October 2012 - February 2013
Cisco Systems March 2006 - August 2012
NASDAQ May 2000 - February 2006
FINRA April 1999 - April 2000
FINRA June 1997 - April 1999
Logicon April 1995 - June 1997
Skills
CCIE, Network Architecture, Cisco IOS, Multicast, Cisco Technologies, CCDP, QoS, BGP, Nexus, OSPF, CCIP, CCNP, CCSP, EIGRP, MPLS VPN, IOS-XR, Data Center, IPv6, Routing Protocols, Routers
Education
The Johns Hopkins University 1997 — 2001
M.S., Electrical Engineering
Loyola University Maryland 1989 — 1992
B.S., Mathematics, Philosophy (dual majors)
Booz Allen Hamilton March 2013 - Present
Elevate Technology Solutions October 2012 - February 2013
Cisco Systems March 2006 - August 2012
NASDAQ May 2000 - February 2006
FINRA April 1999 - April 2000
FINRA June 1997 - April 1999
Logicon April 1995 - June 1997
Skills
CCIE, Network Architecture, Cisco IOS, Multicast, Cisco Technologies, CCDP, QoS, BGP, Nexus, OSPF, CCIP, CCNP, CCSP, EIGRP, MPLS VPN, IOS-XR, Data Center, IPv6, Routing Protocols, Routers
Education
The Johns Hopkins University 1997 — 2001
M.S., Electrical Engineering
Loyola University Maryland 1989 — 1992
B.S., Mathematics, Philosophy (dual majors)
Nikita Kuzmin's FINRA Experience March 2010 - August 2012
Job Java Architect on a RACDW project at QSSI
Industry Financial Services
Experience
Reed Elsevier August 2012 - Present
Elsevier Inc 2012 - Present
QSSI 2009 - Present
FINRA March 2010 - August 2012
Northrop Grumman 2007 - 2008
Wells Fargo 2005 - 2006
Fannie Mae eBusiness 2003 - 2004
Foundry, Inc. 1996 - 2001
Conextions 1995 - 1996
Skills
Java, Ant, SOA, Software Development, Java Enterprise Edition, Tomcat, Agile Methodologies, Unix, Hibernate, Web Services, Enterprise Architecture, Spring, SDLC, C#, SQL, C++, XML, Eclipse, Integration, Maven
Education
The Johns Hopkins University 2003 — 2008
Master of Science (MS), Molecular Biology
Московский Физико-Технический Институт (Государственный Университет) (МФТИ) 1985 — 1991
Master of Science (MS), Applied Mathematics
Reed Elsevier August 2012 - Present
Elsevier Inc 2012 - Present
QSSI 2009 - Present
FINRA March 2010 - August 2012
Northrop Grumman 2007 - 2008
Wells Fargo 2005 - 2006
Fannie Mae eBusiness 2003 - 2004
Foundry, Inc. 1996 - 2001
Conextions 1995 - 1996
Skills
Java, Ant, SOA, Software Development, Java Enterprise Edition, Tomcat, Agile Methodologies, Unix, Hibernate, Web Services, Enterprise Architecture, Spring, SDLC, C#, SQL, C++, XML, Eclipse, Integration, Maven
Education
The Johns Hopkins University 2003 — 2008
Master of Science (MS), Molecular Biology
Московский Физико-Технический Институт (Государственный Университет) (МФТИ) 1985 — 1991
Master of Science (MS), Applied Mathematics
Dan Moakley's FINRA Experience February 1991 - November 2000
Job Vice President & Group Counsel at Ameriprise Financial, Inc.
Industry Financial Services
Experience
Ameriprise Financial July 2009 - Present
Ameriprise Financial, Inc. July 2006 - July 2009
Northwestern Mutual Life December 2000 - June 2006
FINRA February 1991 - November 2000
US Securities and Exchange Commission April 1988 - February 1991
Skills
Broker-Dealer..., Clearing/Back Office..., Finacial/Operational..., FINRA, Securities, Securities Regulation, Mutual Funds, AML, Investment Advisory, Investments, Equities, Financial Services, Alternative Investments, Fixed Income, Private Equity, Wealth Management
Education
The John Marshall Law School 1985 — 1988
J D
Marquette University 1979 — 1981
B.S., Business Administration
Ameriprise Financial July 2009 - Present
Ameriprise Financial, Inc. July 2006 - July 2009
Northwestern Mutual Life December 2000 - June 2006
FINRA February 1991 - November 2000
US Securities and Exchange Commission April 1988 - February 1991
Skills
Broker-Dealer..., Clearing/Back Office..., Finacial/Operational..., FINRA, Securities, Securities Regulation, Mutual Funds, AML, Investment Advisory, Investments, Equities, Financial Services, Alternative Investments, Fixed Income, Private Equity, Wealth Management
Education
The John Marshall Law School 1985 — 1988
J D
Marquette University 1979 — 1981
B.S., Business Administration
Shamese Campbell's FINRA Experience May 2010 - August 2010
Job Senior Accountant at SnagFilms, Inc.
Industry Accounting
Experience
SnagFilms, Inc. January 2013 - Present
SnagFilms August 2011 - December 2012
Serenity Players, INC August 2010 - August 2011
FINRA May 2010 - August 2010
Bank of America June 2009 - August 2009
Dixon Hughes, PLLC January 2009 - March 2009
Skills
GAAP, Auditing, Finance, Accounting, Internal Audit, Analysis
Education
North Carolina Agricultural and Technical State University 2005 — 2010
B.S., Accounting
SnagFilms, Inc. January 2013 - Present
SnagFilms August 2011 - December 2012
Serenity Players, INC August 2010 - August 2011
FINRA May 2010 - August 2010
Bank of America June 2009 - August 2009
Dixon Hughes, PLLC January 2009 - March 2009
Skills
GAAP, Auditing, Finance, Accounting, Internal Audit, Analysis
Education
North Carolina Agricultural and Technical State University 2005 — 2010
B.S., Accounting
byron (jerry) hannah's FINRA Experience February 2004 - Present
Job Arbitration Panel member at Finra
Industry Insurance
Experience
Finra February 2004 - Present
B. G. Hannah C.L.U.,ChFC Life and Health Ins. February 1963 - Present
B.G. Jerry Hannah,C.L.U.,ChFC. February 1963 - March 1996
prudential February 1963 - March 1983
Skills
Insurance, Health Insurance, Fixed Annuities, Disability Insurance, Long-term Care, Life Insurance, Term Life Insurance, Universal Life, Health Savings Accounts, Whole Life, IRAs, Long Term Care Insurance, Employee Benefits, Umbrella Insurance, Renters, Accident, Homeowners, Chartered Financial...
Education
University of Mississippi 1958 — 1963
BBA, Finance
Northwest Mississippi Community College 1956 — 1958
music, music
Finra February 2004 - Present
B. G. Hannah C.L.U.,ChFC Life and Health Ins. February 1963 - Present
B.G. Jerry Hannah,C.L.U.,ChFC. February 1963 - March 1996
prudential February 1963 - March 1983
Skills
Insurance, Health Insurance, Fixed Annuities, Disability Insurance, Long-term Care, Life Insurance, Term Life Insurance, Universal Life, Health Savings Accounts, Whole Life, IRAs, Long Term Care Insurance, Employee Benefits, Umbrella Insurance, Renters, Accident, Homeowners, Chartered Financial...
Education
University of Mississippi 1958 — 1963
BBA, Finance
Northwest Mississippi Community College 1956 — 1958
music, music
Andrew Beirne's FINRA Experience February 2011 - Present
Job Senior Regional Counsel
Industry Law Practice
Experience
FINRA February 2011 - Present
Milbank, Tweed, Hadley & McCloy LLP September 2007 - February 2011
O'Melveny & Myers LLP September 2002 - July 2007
Cravath, Swaine & Moore LLP October 1995 - July 2002
United States Court of Appeals for the Tenth Circuit, The Honorable Michael R. Murphy September 1995 - September 1996
Education
Northwestern University School of Law 1992 — 1995
J.D.
Princeton University 1986 — 1990
A.B., History
FINRA February 2011 - Present
Milbank, Tweed, Hadley & McCloy LLP September 2007 - February 2011
O'Melveny & Myers LLP September 2002 - July 2007
Cravath, Swaine & Moore LLP October 1995 - July 2002
United States Court of Appeals for the Tenth Circuit, The Honorable Michael R. Murphy September 1995 - September 1996
Education
Northwestern University School of Law 1992 — 1995
J.D.
Princeton University 1986 — 1990
A.B., History
Kavitha Ayyappan Nair's FINRA Experience 2004 - 2005
Job Software Engineer
Industry Computer Software
Experience
HP Exstream November 2014 - Present
(Freelance Software Developer) January 2006 - November 2014
International Software Systems Inc. April 2004 - November 2005
FINRA 2004 - 2005
NeST November 1997 - April 2004
Skills
Software Project..., Requirements Analysis, Agile Methodologies, Software Development, Software Design, SDLC, .NET, Software Engineering, Microsoft SQL Server, C#, ASP.NET, XML, C++, SOA
Education
Manonmaniam Sundaranar University 1993 — 1997
Bachelor of Engineering, Computer Science
HP Exstream November 2014 - Present
(Freelance Software Developer) January 2006 - November 2014
International Software Systems Inc. April 2004 - November 2005
FINRA 2004 - 2005
NeST November 1997 - April 2004
Skills
Software Project..., Requirements Analysis, Agile Methodologies, Software Development, Software Design, SDLC, .NET, Software Engineering, Microsoft SQL Server, C#, ASP.NET, XML, C++, SOA
Education
Manonmaniam Sundaranar University 1993 — 1997
Bachelor of Engineering, Computer Science
Karin Marshall's FINRA Experience January 2007 - Present
Job Assistant Director, Regulatory Review & Disclosure at FINRA
Industry Financial Services
Experience
FINRA January 2007 - Present
Financial Industry Regulatory Authority October 2002 - December 2006
Financial Industry Regulatory Authority March 2000 - October 2002
Skills
Financial Services, Securities, FINRA, Analysis, Series 7, SEC, Investments, AML, Due Diligence, Equities, Financial Risk, Fixed Income, Investment Advisory, Mutual Funds, Series 63
Education
University of North Carolina at Chapel Hill 1996 — 1999
Juris Doctor
Lynchburg College 1988 — 1992
B.A., Communications
Four Corners
FINRA January 2007 - Present
Financial Industry Regulatory Authority October 2002 - December 2006
Financial Industry Regulatory Authority March 2000 - October 2002
Skills
Financial Services, Securities, FINRA, Analysis, Series 7, SEC, Investments, AML, Due Diligence, Equities, Financial Risk, Fixed Income, Investment Advisory, Mutual Funds, Series 63
Education
University of North Carolina at Chapel Hill 1996 — 1999
Juris Doctor
Lynchburg College 1988 — 1992
B.A., Communications
Four Corners
Frances Marti's FINRA Experience June 2010 - March 2012
Job Assistant Property Manager at Terranova Corporation
Industry Security and Investigations
Experience
Terranova Corporation December 2012 - Present
Terranova Corporation August 2012 - Present
FINRA June 2010 - March 2012
Stiles Corporation May 2008 - May 2010
Skills
Microsoft Excel, Outlook, Microsoft Office, Microsoft Word, Administrative..., Research, Data Entry, Customer Service, Access, Teamwork, Marketing, Retail, Office Management, Budgets, Real Estate, Contract Negotiation, Management, Administrative..., Sales, Property Management
Education
Monroe College 2002 — 2005
Associate of Arts and Sciences (A.A.S.), Business Administration and Management, General
Monroe College 2002 — 2005
Associate of Arts and Sciences (A.A.S.), Business Administration and Management, General
Terranova Corporation December 2012 - Present
Terranova Corporation August 2012 - Present
FINRA June 2010 - March 2012
Stiles Corporation May 2008 - May 2010
Skills
Microsoft Excel, Outlook, Microsoft Office, Microsoft Word, Administrative..., Research, Data Entry, Customer Service, Access, Teamwork, Marketing, Retail, Office Management, Budgets, Real Estate, Contract Negotiation, Management, Administrative..., Sales, Property Management
Education
Monroe College 2002 — 2005
Associate of Arts and Sciences (A.A.S.), Business Administration and Management, General
Monroe College 2002 — 2005
Associate of Arts and Sciences (A.A.S.), Business Administration and Management, General
Daina Tums's FINRA Experience November 1999 - Present
Job
Industry
Experience
FINRA November 1999 - Present
Skills
Securities Regulation
Education
FINRA Institute at Wharton
CRCP Graduate, 2005
Northeastern University
FINRA November 1999 - Present
Skills
Securities Regulation
Education
FINRA Institute at Wharton
CRCP Graduate, 2005
Northeastern University
Christopher Moraitis's FINRA Experience February 2004 - Present
Job Senior Regulatory Specialist at FINRA
Industry Financial Services
Experience
FINRA February 2004 - Present
First Investors Corporation January 2001 - February 2004
Education
Muhlenberg College 1996 — 2000
Bachelor of Science (B.S.), Business Administration and Management, General
FINRA February 2004 - Present
First Investors Corporation January 2001 - February 2004
Education
Muhlenberg College 1996 — 2000
Bachelor of Science (B.S.), Business Administration and Management, General
Daniel Yu's FINRA Experience March 2014 - Present
Job Principal, Technology at FINRA
Industry Financial Services
Experience
FINRA March 2014 - Present
Comcast October 2013 - March 2014
Comcast October 2013 - January 2014
The Humane Society of the United States May 2013 - October 2013
LogiXML June 2012 - April 2013
RBC Capital Markets August 2010 - February 2012
Piper Jaffray June 2005 - February 2009
Lawrence Livermore National Laboratory June 2004 - May 2005
Skills
q/kdb+ programming, Data Analysis, Statistical Data..., Exploratory Data..., Large-scale Data..., Cryogenics, Vacuum Chambers, Microwave Engineering, Mathematical Modeling, Numerical Analysis, Monte Carlo Simulation, Particle Physics, Quantitative Analytics, Trading, Trading Systems, Electronic Trading, Equities, Options, Equity Trading, Financial Markets, Statistical Arbitrage
Education
Massachusetts Institute of Technology 1998 — 2004
Ph.D, Physics
Massachusetts Institute of Technology 1994 — 1998
S.B, Physics
Massachusetts Institute of Technology 1994 — 1998
S.B, Mathematics
FINRA March 2014 - Present
Comcast October 2013 - March 2014
Comcast October 2013 - January 2014
The Humane Society of the United States May 2013 - October 2013
LogiXML June 2012 - April 2013
RBC Capital Markets August 2010 - February 2012
Piper Jaffray June 2005 - February 2009
Lawrence Livermore National Laboratory June 2004 - May 2005
Skills
q/kdb+ programming, Data Analysis, Statistical Data..., Exploratory Data..., Large-scale Data..., Cryogenics, Vacuum Chambers, Microwave Engineering, Mathematical Modeling, Numerical Analysis, Monte Carlo Simulation, Particle Physics, Quantitative Analytics, Trading, Trading Systems, Electronic Trading, Equities, Options, Equity Trading, Financial Markets, Statistical Arbitrage
Education
Massachusetts Institute of Technology 1998 — 2004
Ph.D, Physics
Massachusetts Institute of Technology 1994 — 1998
S.B, Physics
Massachusetts Institute of Technology 1994 — 1998
S.B, Mathematics
Andrey Kochergin's FINRA Experience April 2011 - April 2013
Job Software Designer and Architect
Industry Financial Services
Experience
IT Consultant April 2013 - Present
FINRA April 2011 - April 2013
ATGC Labs April 2008 - April 2011
NCBI April 2002 - April 2008
American Balalaika Symphony 2001 - 2006
InforMax Inc February 2000 - January 2002
Skills
Data Analysis, Database Design, Data Warehousing, Software Development, SQL, Python, Perl, Web Development, MapReduce, Hadoop, ETL, C/C++, Netezza, Greenplum, Microsoft SQL Server, Unix, Linux, Sybase Adaptive Server, Tomcat, Ant, Unix Shell Scripting, Distributed Systems, SOA, Databases, XML, Enterprise Architecture, Object Oriented Design, Web Services, Shell Scripting, Agile Methodologies, Design Patterns, OOP, Spring, Software Design, Subversion, Software Engineering, C++
Education
National Research Nuclear University (former Moscow Engineering Physics Institute) 1982 — 1988
Master's degree, Physics
IT Consultant April 2013 - Present
FINRA April 2011 - April 2013
ATGC Labs April 2008 - April 2011
NCBI April 2002 - April 2008
American Balalaika Symphony 2001 - 2006
InforMax Inc February 2000 - January 2002
Skills
Data Analysis, Database Design, Data Warehousing, Software Development, SQL, Python, Perl, Web Development, MapReduce, Hadoop, ETL, C/C++, Netezza, Greenplum, Microsoft SQL Server, Unix, Linux, Sybase Adaptive Server, Tomcat, Ant, Unix Shell Scripting, Distributed Systems, SOA, Databases, XML, Enterprise Architecture, Object Oriented Design, Web Services, Shell Scripting, Agile Methodologies, Design Patterns, OOP, Spring, Software Design, Subversion, Software Engineering, C++
Education
National Research Nuclear University (former Moscow Engineering Physics Institute) 1982 — 1988
Master's degree, Physics
Justin Jang's FINRA Experience March 2014 - Present
Job Financial Regulation Analyst at FINRA
Industry Financial Services
Experience
FINRA March 2014 - Present
Skills
Financial Statements
Education
University of Maryland College Park 2008 — 2013
Bachelor of Science (B.S.), Kinesiology and Exercise Science
Korea University
Summer Intensive Program
FINRA March 2014 - Present
Skills
Financial Statements
Education
University of Maryland College Park 2008 — 2013
Bachelor of Science (B.S.), Kinesiology and Exercise Science
Korea University
Summer Intensive Program
Christopher Sealey's FINRA Experience May 2012 - Present
Job Examination Manager at FINRA
Industry Financial Services
Experience
FINRA May 2012 - Present
Finra September 2005 - Present
Skills
Equities, Series 7, Investments, FINRA, Mutual Funds, Fixed Income, Capital Markets, Financial Analysis, Risk Management, Financial Services, Hedge Funds, Derivatives, AML
Education
New York Law School 1998 — 2001
Doctor of Law (JD), Business/Commerce, General
Fairleigh Dickinson University-Metropolitan Campus 1992 — 1997
Bachelor of Science (BS), Marketing
FINRA May 2012 - Present
Finra September 2005 - Present
Skills
Equities, Series 7, Investments, FINRA, Mutual Funds, Fixed Income, Capital Markets, Financial Analysis, Risk Management, Financial Services, Hedge Funds, Derivatives, AML
Education
New York Law School 1998 — 2001
Doctor of Law (JD), Business/Commerce, General
Fairleigh Dickinson University-Metropolitan Campus 1992 — 1997
Bachelor of Science (BS), Marketing
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
Amnesty International