FINRA Company
Industry: Non-governmental organization
DescriptionIn the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. Agency executive: Robert W. Cook, president and chief executive officer Headquarters: Washington, D.C., United States Founded: 30 July 2007 CEO: Robert W. Cook (Aug 2016–) Number of employees: 3,400 Subsidiary: NASD Regulation, Inc.
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FINRA Employees
Employee
Years
Job
Industry
Aaron Gerding Aaron Gerding's FINRA Experience June 2010 - Present
Job Examination Manager
Industry Financial Services
Experience
FINRA June 2010 - Present
FINRA December 2004 - June 2010
Arizona Federal Credit Union 2003 - 2004
Edward Jones 2001 - 2003
Skills
Securities, FINRA, Financial Regulation, Securities Regulation, Financial Services, Investments, Due Diligence, Bank Secrecy Act, Risk Management, Trading Systems, Broker-Dealer, Investment Management, Investment Banking, OFAC, ETFs, KYC, Regulations, Regulatory Requirements, Regulatory Analysis, SEC, Regulatory Examinations
Education
Southern Illinois University, Carbondale 1998 — 2001
Bachelor of Science (B.S.), Finance, General
FINRA June 2010 - Present
FINRA December 2004 - June 2010
Arizona Federal Credit Union 2003 - 2004
Edward Jones 2001 - 2003
Skills
Securities, FINRA, Financial Regulation, Securities Regulation, Financial Services, Investments, Due Diligence, Bank Secrecy Act, Risk Management, Trading Systems, Broker-Dealer, Investment Management, Investment Banking, OFAC, ETFs, KYC, Regulations, Regulatory Requirements, Regulatory Analysis, SEC, Regulatory Examinations
Education
Southern Illinois University, Carbondale 1998 — 2001
Bachelor of Science (B.S.), Finance, General
John Hitchingham John Hitchingham's FINRA Experience 2010 - Present
Job Director, Data and Analytic Services
Industry Information Technology and Services
Experience
FINRA 2010 - Present
Financial Industry Regulatory Authority 2008 - 2010
Financial Industry Regulatory Authority 2005 - 2008
National Association of Securities Dealers 2003 - 2005
The Adrenaline Group, Inc. 2000 - 2003
Winstar Communications June 1999 - July 2000
SRA International, Inc. July 1994 - May 1999
Education
Rutgers University 1990 — 1994
Bachelors of Science in Electrical Engineering
FINRA 2010 - Present
Financial Industry Regulatory Authority 2008 - 2010
Financial Industry Regulatory Authority 2005 - 2008
National Association of Securities Dealers 2003 - 2005
The Adrenaline Group, Inc. 2000 - 2003
Winstar Communications June 1999 - July 2000
SRA International, Inc. July 1994 - May 1999
Education
Rutgers University 1990 — 1994
Bachelors of Science in Electrical Engineering
Frank Demattia Frank Demattia's FINRA Experience April 2008 - October 2010
Job Budget Blinds of Manhattan
Industry Design
Experience
Budget Blinds of Manhattan January 2014 - Present
One Up Event Design February 2011 - May 2014
Barclays Capital October 2010 - December 2012
FINRA April 2008 - October 2010
Fidelity Investments June 2007 - August 2007
Skills
Microsoft Excel, Flowers, Floral Design, Event Planning, Event Management, Events, Sales, Management, Financial Analysis, Entrepreneurship, Finance, Financial Regulation, Marketing, Investments, Budgets, Securities, Vases, Flower Arrangements, Flower Delivery, Investment Banking, Private Equity, Equities
Education
St. John's University 2003 — 2007
B.S, Finance
Budget Blinds of Manhattan January 2014 - Present
One Up Event Design February 2011 - May 2014
Barclays Capital October 2010 - December 2012
FINRA April 2008 - October 2010
Fidelity Investments June 2007 - August 2007
Skills
Microsoft Excel, Flowers, Floral Design, Event Planning, Event Management, Events, Sales, Management, Financial Analysis, Entrepreneurship, Finance, Financial Regulation, Marketing, Investments, Budgets, Securities, Vases, Flower Arrangements, Flower Delivery, Investment Banking, Private Equity, Equities
Education
St. John's University 2003 — 2007
B.S, Finance
Diana Valdez's FINRA Experience July 2010 - July 2011
Job Legal Assistant/ Paralegal
Industry Legal Services
Experience
Sarajian Law Group August 2013 - Present
Law Office of Kenneth L. Snyder APC November 2012 - July 2013
Law Offices of Peyman & Rahnama September 2011 - April 2012
FINRA July 2010 - July 2011
Ellis Law Corporation June 2009 - June 2010
Bazire Ledwitz & Associates June 2008 - August 2008
David H. Ricks & Associates 2007 - 2008
Skills
Wordperfect, Time Matters, Document Review, Legal Research, Microsoft Office, Windows 7, Outlook, Westlaw, Legal Solutions, Tritek, ACT, Time & Chaos, Accurint, ProDoc, Abacus, Needles
Education
Platt College-Ontario 2006 — 2007
Associate of Arts (A.A.), Paralegal
Sarajian Law Group August 2013 - Present
Law Office of Kenneth L. Snyder APC November 2012 - July 2013
Law Offices of Peyman & Rahnama September 2011 - April 2012
FINRA July 2010 - July 2011
Ellis Law Corporation June 2009 - June 2010
Bazire Ledwitz & Associates June 2008 - August 2008
David H. Ricks & Associates 2007 - 2008
Skills
Wordperfect, Time Matters, Document Review, Legal Research, Microsoft Office, Windows 7, Outlook, Westlaw, Legal Solutions, Tritek, ACT, Time & Chaos, Accurint, ProDoc, Abacus, Needles
Education
Platt College-Ontario 2006 — 2007
Associate of Arts (A.A.), Paralegal
Cody Alvarez's FINRA Experience May 2007 - October 2008
Job Chief Compliance Officer, Nodal Clear at Nodal Exchange
Industry Legal Services
Experience
Nodal Exchange February 2015 - Present
Commodity Futures Trading Commission October 2008 - January 2015
FINRA May 2007 - October 2008
Skills
Securities Regulation, Legal Writing, Legal Research, Financial Regulation, Corporate Governance, Securities, Administrative Law, Derivatives, Legal Compliance, Dodd-Frank, Tax Law, Commodity
Education
Penn State University
BS
The University of Connecticut School of Law
Doctor of Law (JD)
Nodal Exchange February 2015 - Present
Commodity Futures Trading Commission October 2008 - January 2015
FINRA May 2007 - October 2008
Skills
Securities Regulation, Legal Writing, Legal Research, Financial Regulation, Corporate Governance, Securities, Administrative Law, Derivatives, Legal Compliance, Dodd-Frank, Tax Law, Commodity
Education
Penn State University
BS
The University of Connecticut School of Law
Doctor of Law (JD)
Allen Chilson SPHR Allen Chilson SPHR's FINRA Experience 2007 - 2010
Job US Recruitment Service Delivery Lead at AstraZeneca
Industry Staffing and Recruiting
Experience
AstraZeneca July 2014 - Present
MedImmune 2010 - July 2014
FINRA 2007 - 2010
Schering-Plough 2006 - 2007
Fairleigh Dickinson University 2001 - 2007
Sarnoff Corporation 2004 - 2006
Schering Plough 2002 - 2004
Print Tech 1999 - 2001
Skills
Talent Acquisition, Vendor Management, Talent Identification, Talent Selection, Job Descriptions, Job Fairs, College Recruiting, Recruitment Advertising, Employer Branding, Relocation, Applicant Tracking...
Education
Rutgers University 1986 — 1990
BS
Linden High School 1983 — 1986
High School Diploma
AstraZeneca July 2014 - Present
MedImmune 2010 - July 2014
FINRA 2007 - 2010
Schering-Plough 2006 - 2007
Fairleigh Dickinson University 2001 - 2007
Sarnoff Corporation 2004 - 2006
Schering Plough 2002 - 2004
Print Tech 1999 - 2001
Skills
Talent Acquisition, Vendor Management, Talent Identification, Talent Selection, Job Descriptions, Job Fairs, College Recruiting, Recruitment Advertising, Employer Branding, Relocation, Applicant Tracking...
Education
Rutgers University 1986 — 1990
BS
Linden High School 1983 — 1986
High School Diploma
Anna Zavorotny Anna Zavorotny's FINRA Experience December 2013 - Present
Job Financial Examiner Risk Oversight & Operational Regulation with FINRA
Industry Financial Services
Experience
FINRA December 2013 - Present
The Bank of New York Mellon Trust Company February 2012 - November 2013
The Bank Of New York Mellon Trust Company June 2009 - February 2012
LaSalle Bank / Bank of America December 2003 - July 2008
Skills
Loans, Account Reconciliation, Portfolio Management, Mutual Funds, Auditing, Cash Flow, Financial Analysis, Valuation, Banking, Management, Financial Reporting, Accounting, Investments, Cash Management
Education
Roosevelt University 2011 — 2012
Masters of Science, Accounting; Fraud
Loyola University 2003 — 2008
Bachelor of Science, Finance and International Business
FINRA December 2013 - Present
The Bank of New York Mellon Trust Company February 2012 - November 2013
The Bank Of New York Mellon Trust Company June 2009 - February 2012
LaSalle Bank / Bank of America December 2003 - July 2008
Skills
Loans, Account Reconciliation, Portfolio Management, Mutual Funds, Auditing, Cash Flow, Financial Analysis, Valuation, Banking, Management, Financial Reporting, Accounting, Investments, Cash Management
Education
Roosevelt University 2011 — 2012
Masters of Science, Accounting; Fraud
Loyola University 2003 — 2008
Bachelor of Science, Finance and International Business
Cieri, Jason Cieri, Jason's FINRA Experience August 2007 - December 2007
Job Associate at Merlin Law Group, P.A.
Industry Law Practice
Experience
Merlin Law Group, P.A. March 2015 - Present
Alvarez, Carbonell, Feltman & Da Silva, PL September 2013 - February 2015
Hudson County Prosecutor's Office August 2010 - August 2013
Hudson County Prosecutor's Office July 2009 - August 2010
FINRA August 2007 - December 2007
FINRA May 2007 - August 2007
Hudson County Prosecutor's Office May 2006 - August 2006
Skills
Litigation, Litigation Preparation, Legal Research, Criminal Law, Trial Practice, Jury Trials, Motions, Courts, Prosecution, Property Damage, Estate Planning, Real Estate Transactions, Arbitration, Civil Litigation, Commercial Litigation, Dispute Resolution, Legal Writing, Mediation, Personal Injury
Education
Seton Hall University School of Law 2005 — 2008
The Johns Hopkins University 1999 — 2003
BA, International Relations
Merlin Law Group, P.A. March 2015 - Present
Alvarez, Carbonell, Feltman & Da Silva, PL September 2013 - February 2015
Hudson County Prosecutor's Office August 2010 - August 2013
Hudson County Prosecutor's Office July 2009 - August 2010
FINRA August 2007 - December 2007
FINRA May 2007 - August 2007
Hudson County Prosecutor's Office May 2006 - August 2006
Skills
Litigation, Litigation Preparation, Legal Research, Criminal Law, Trial Practice, Jury Trials, Motions, Courts, Prosecution, Property Damage, Estate Planning, Real Estate Transactions, Arbitration, Civil Litigation, Commercial Litigation, Dispute Resolution, Legal Writing, Mediation, Personal Injury
Education
Seton Hall University School of Law 2005 — 2008
The Johns Hopkins University 1999 — 2003
BA, International Relations
Chrystal Loyer's FINRA Experience May 2014 - Present
Job Case Administrator II at FINRA
Industry Law Practice
Experience
FINRA May 2014 - Present
Agostino & Associates October 2012 - April 2014
Seton Hall Center for Policy & Research January 2010 - May 2012
Rufolo & Stein, LLC January 2011 - October 2011
Courtroom Advocacy Project August 2009 - December 2009
Skills
Microsoft Word, Research, Tax Law, Litigation, Income Tax, Estate Tax Planning, Public Speaking, Teamwork, Lexis, Westlaw, Legal Research, Legal Writing, Article Submission, English, Persian, French, PowerPoint, Microsoft Excel, Social Media, Java, HTML, Data Analysis, Windows, Microsoft Office, Photoshop, Illustrator, Appeals, Criminal Law, Constitutional Law, Legal Issues, Civil Litigation, Alternative Dispute...
Education
Seton Hall University School of Law 2009 — 2012
Juris Doctor, Law
Seton Hall University School of Law 2009 — 2012
Juris Doctor
Rutgers University 2003 — 2006
Bachelor of Arts, Middle Eastern Studies
FINRA May 2014 - Present
Agostino & Associates October 2012 - April 2014
Seton Hall Center for Policy & Research January 2010 - May 2012
Rufolo & Stein, LLC January 2011 - October 2011
Courtroom Advocacy Project August 2009 - December 2009
Skills
Microsoft Word, Research, Tax Law, Litigation, Income Tax, Estate Tax Planning, Public Speaking, Teamwork, Lexis, Westlaw, Legal Research, Legal Writing, Article Submission, English, Persian, French, PowerPoint, Microsoft Excel, Social Media, Java, HTML, Data Analysis, Windows, Microsoft Office, Photoshop, Illustrator, Appeals, Criminal Law, Constitutional Law, Legal Issues, Civil Litigation, Alternative Dispute...
Education
Seton Hall University School of Law 2009 — 2012
Juris Doctor, Law
Seton Hall University School of Law 2009 — 2012
Juris Doctor
Rutgers University 2003 — 2006
Bachelor of Arts, Middle Eastern Studies
Joshua Schultz's FINRA Experience January 2009 - May 2009
Job Assistant Vice President Volcker Compliance at Bank of America
Industry Law Practice
Experience
Bank of America August 2015 - Present
Barclays Investment Bank February 2011 - August 2015
FINRA January 2009 - May 2009
Skills
Vontu Data Loss..., Operational Risk..., Securities Law, Alternative Dispute..., Policy Writing, Microsoft SharePoint, Microsoft Office 2007, Excel, Westlaw, LexisNexis, Legal Research, Legal Writing, Legal Compliance, Document Review, Securities Litigation, Corporate Law, Securities Regulation, Arbitration, Mediation, Data Loss Prevention, Contract Negotiation, Employment Contracts, ERISA, Dodd-Frank, Regulation D, Negotiation, Loan Modifications, Public Relations, Securities Fraud, European Union, Consumer Law, Case Managment, FINRA, Commercial Litigation, Due Diligence, Corporate Governance
Education
Seton Hall University School of Law 2007 — 2010
J.D., Banking, Corporate, Finance, and Securities Law
University of Maryland College Park 2003 — 2007
Bachelor of Arts, Communication
Bank of America August 2015 - Present
Barclays Investment Bank February 2011 - August 2015
FINRA January 2009 - May 2009
Skills
Vontu Data Loss..., Operational Risk..., Securities Law, Alternative Dispute..., Policy Writing, Microsoft SharePoint, Microsoft Office 2007, Excel, Westlaw, LexisNexis, Legal Research, Legal Writing, Legal Compliance, Document Review, Securities Litigation, Corporate Law, Securities Regulation, Arbitration, Mediation, Data Loss Prevention, Contract Negotiation, Employment Contracts, ERISA, Dodd-Frank, Regulation D, Negotiation, Loan Modifications, Public Relations, Securities Fraud, European Union, Consumer Law, Case Managment, FINRA, Commercial Litigation, Due Diligence, Corporate Governance
Education
Seton Hall University School of Law 2007 — 2010
J.D., Banking, Corporate, Finance, and Securities Law
University of Maryland College Park 2003 — 2007
Bachelor of Arts, Communication
Nicholas Birck Nicholas Birck's FINRA Experience May 2007 - August 2007
Job Policy & Community Affairs Manager at Housing Authority of the City of San Buenaventura
Industry Public Policy
Experience
Housing Authority of the City of San Buenaventura December 2012 - Present
Hawaii Public Housing Authority April 2011 - December 2012
Hawaii Public Housing Authority December 2010 - April 2011
University of Cincinnati College of Design, Architecture, Art, & Planning January 2009 - September 2010
University of Cincinnati School of Planning September 2009 - March 2010
City of Cincinnati June 2009 - September 2009
Syracuse University College of Law August 2007 - May 2008
FINRA May 2007 - August 2007
Securities Arbitration & Consumer Law Clinic January 2007 - May 2007
Melvin & Melvin, PLLC December 2006 - May 2007
Skills
ArcGIS, Microsoft Office, Adobe Creative Suite, Policy, GIS, Grants, Zoning, Land Use, Public Speaking, Research, Writing, Public Policy, Community Outreach, Strategic Planning, Word, PowerPoint, Legal Research, Excel, Government, Community Development, Photoshop, Statistics, Public Relations, Budgeting, Teaching, Editing, Policy Analysis, Administration, InDesign, Legal Writing, Analysis, Microsoft Excel, Program Management, Data Analysis, Nonprofits, Grant Writing, Leadership, Fundraising, Management
Education
University of Cincinnati 2008 — 2010
Master of Community Planning, Physical Planning, 3.7 GPA
Syracuse University College of Law 2005 — 2008
Juris Doctor, Advanced Property Studies, Corporate Counsel, 3.2 GPA
University of North Carolina at Chapel Hill 2001 — 2005
Bachelor of Arts, History, Greek: Classics, 3.5 GPA
Anderson High School 1997 — 2001
Diploma, Honors; AP, 4.2 GPA
Housing Authority of the City of San Buenaventura December 2012 - Present
Hawaii Public Housing Authority April 2011 - December 2012
Hawaii Public Housing Authority December 2010 - April 2011
University of Cincinnati College of Design, Architecture, Art, & Planning January 2009 - September 2010
University of Cincinnati School of Planning September 2009 - March 2010
City of Cincinnati June 2009 - September 2009
Syracuse University College of Law August 2007 - May 2008
FINRA May 2007 - August 2007
Securities Arbitration & Consumer Law Clinic January 2007 - May 2007
Melvin & Melvin, PLLC December 2006 - May 2007
Skills
ArcGIS, Microsoft Office, Adobe Creative Suite, Policy, GIS, Grants, Zoning, Land Use, Public Speaking, Research, Writing, Public Policy, Community Outreach, Strategic Planning, Word, PowerPoint, Legal Research, Excel, Government, Community Development, Photoshop, Statistics, Public Relations, Budgeting, Teaching, Editing, Policy Analysis, Administration, InDesign, Legal Writing, Analysis, Microsoft Excel, Program Management, Data Analysis, Nonprofits, Grant Writing, Leadership, Fundraising, Management
Education
University of Cincinnati 2008 — 2010
Master of Community Planning, Physical Planning, 3.7 GPA
Syracuse University College of Law 2005 — 2008
Juris Doctor, Advanced Property Studies, Corporate Counsel, 3.2 GPA
University of North Carolina at Chapel Hill 2001 — 2005
Bachelor of Arts, History, Greek: Classics, 3.5 GPA
Anderson High School 1997 — 2001
Diploma, Honors; AP, 4.2 GPA
Christine Sakach Christine Sakach's FINRA Experience September 2010 - Present
Job Senior Advisor at FINRA
Industry Financial Services
Experience
FINRA September 2010 - Present
Merrill Lynch October 1993 - February 2009
U.S. Securities and Exchange Commission October 1985 - October 1993
U.S. Securities and Exchange Commission October 1985 - October 1993
Education
The George Washington University Law School 1981 — 1985
J.D.
Penn State University 1976 — 1981
B.A., Political Science
FINRA September 2010 - Present
Merrill Lynch October 1993 - February 2009
U.S. Securities and Exchange Commission October 1985 - October 1993
U.S. Securities and Exchange Commission October 1985 - October 1993
Education
The George Washington University Law School 1981 — 1985
J.D.
Penn State University 1976 — 1981
B.A., Political Science
Krystal Prout Krystal Prout's FINRA Experience December 2002 - January 2013
Job Qualifications Coordinator III at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority May 2013 - Present
Legal & General January 2013 - May 2013
FINRA December 2002 - January 2013
Skills
FINRA, Securities, Microsoft Word, Research, Customer Service, Financial Services, Outlook, SharePoint, Microsoft Office, PowerPoint, Leadership, Process Improvement, Caseload Management, Customer Driven, Risk Management, Access, Training, Insurance, Public Relations, Public Speaking, Risk Assessment, Social Media Marketing, Fitness Industry, Weight Loss Coaching, Singing, Creative Writing, Meeting Planning, Billing Process, Baking, Microsoft Project, MS Project, Analysis, Management, Strategic Planning, Microsoft Excel
Education
Southern NH University 2012 — 2013
Bachelor's degree, Creative Writing, 3.0
University of Phoenix 2009 — 2011
Associate of Arts (AA), Communication, General
Financial Industry Regulatory Authority May 2013 - Present
Legal & General January 2013 - May 2013
FINRA December 2002 - January 2013
Skills
FINRA, Securities, Microsoft Word, Research, Customer Service, Financial Services, Outlook, SharePoint, Microsoft Office, PowerPoint, Leadership, Process Improvement, Caseload Management, Customer Driven, Risk Management, Access, Training, Insurance, Public Relations, Public Speaking, Risk Assessment, Social Media Marketing, Fitness Industry, Weight Loss Coaching, Singing, Creative Writing, Meeting Planning, Billing Process, Baking, Microsoft Project, MS Project, Analysis, Management, Strategic Planning, Microsoft Excel
Education
Southern NH University 2012 — 2013
Bachelor's degree, Creative Writing, 3.0
University of Phoenix 2009 — 2011
Associate of Arts (AA), Communication, General
Paula Tutein Paula Tutein's FINRA Experience 1997 - 2009
Job Life Coach / Business Consultant
Industry Professional Training & Coaching
Experience
Opening Insights LLC 2009 - Present
FINRA 1997 - 2009
U.S. Coast Guard 1984 - 2001
Skills
Coaching, Process Improvement, Leadership Development, Training, Business Analysis, Leadership, Team Building, Human Resources, Executive Management, Financial Analysis, Executive Coaching, Creative Problem Solving, Time Management, Project Planning, Consulting, Organizational..., Organizational..., Data Analysis, Crisis Management, Employee Training, Operations Management, Intellectually Curious, Listening Skills, Quality Assurance, Program Management, Emotional Intelligence, Workshop Facilitation, Conflict Resolution, MBTI, Performance Management, Training & Development, Communication, Risk Management, Management Consulting, Strategy, Budgets, Policy, Military Operations, General Administration, Personnel Supervision, Project Implementation, Cross-functional..., Building Relationships, Problem Solving, Planning, Stress Management
Education
Pace University - Lubin School of Business 1989 — 1992
MBA, Management Science
US Coast Guard Academy 1980 — 1984
BS, Ocean engineering
EFT Universe
EFT Level 1 and 2
Integral Coaching Canada
Opening Insights LLC 2009 - Present
FINRA 1997 - 2009
U.S. Coast Guard 1984 - 2001
Skills
Coaching, Process Improvement, Leadership Development, Training, Business Analysis, Leadership, Team Building, Human Resources, Executive Management, Financial Analysis, Executive Coaching, Creative Problem Solving, Time Management, Project Planning, Consulting, Organizational..., Organizational..., Data Analysis, Crisis Management, Employee Training, Operations Management, Intellectually Curious, Listening Skills, Quality Assurance, Program Management, Emotional Intelligence, Workshop Facilitation, Conflict Resolution, MBTI, Performance Management, Training & Development, Communication, Risk Management, Management Consulting, Strategy, Budgets, Policy, Military Operations, General Administration, Personnel Supervision, Project Implementation, Cross-functional..., Building Relationships, Problem Solving, Planning, Stress Management
Education
Pace University - Lubin School of Business 1989 — 1992
MBA, Management Science
US Coast Guard Academy 1980 — 1984
BS, Ocean engineering
EFT Universe
EFT Level 1 and 2
Integral Coaching Canada
John Roussel, CRCP John Roussel, CRCP's FINRA Experience June 2010 - June 2011
Job Senior Investigator NYSE Regulation
Industry Financial Services
Experience
NYSE Regulation April 2015 - Present
Financial Industry Regulatory Authority May 2011 - April 2015
FINRA June 2010 - June 2011
NYSE Regulation Inc. January 2008 - June 2010
NYSE Regulation Inc. May 2006 - January 2008
NYSE Regulation Inc. May 2005 - May 2006
NYSE Regulation Inc. June 2004 - May 2005
NYSE Regulation Inc. June 2003 - June 2004
NYSE Regulation Inc. November 2001 - June 2003
Gruntal & Co. LLC September 2000 - November 2001
Skills
Securities, Equities, Excel, Surveillance, Series 7, Financial Services, Securities Regulation, Trading Systems, Leadership, Series 63, Equity Trading, Asset Management, Analysis, Financial Risk, Options
Education
Pace University - Lubin School of Business 1989 — 1998
BBA, Finance
NYSE Regulation April 2015 - Present
Financial Industry Regulatory Authority May 2011 - April 2015
FINRA June 2010 - June 2011
NYSE Regulation Inc. January 2008 - June 2010
NYSE Regulation Inc. May 2006 - January 2008
NYSE Regulation Inc. May 2005 - May 2006
NYSE Regulation Inc. June 2004 - May 2005
NYSE Regulation Inc. June 2003 - June 2004
NYSE Regulation Inc. November 2001 - June 2003
Gruntal & Co. LLC September 2000 - November 2001
Skills
Securities, Equities, Excel, Surveillance, Series 7, Financial Services, Securities Regulation, Trading Systems, Leadership, Series 63, Equity Trading, Asset Management, Analysis, Financial Risk, Options
Education
Pace University - Lubin School of Business 1989 — 1998
BBA, Finance
Joshua Weikers, CFA Joshua Weikers, CFA's FINRA Experience May 2009 - July 2013
Job Associate, Capital Markets at Fannie Mae
Industry Financial Services
Experience
Fannie Mae December 2014 - Present
Fannie Mae July 2013 - December 2014
FINRA May 2009 - July 2013
Skills
Microsoft Office, Microsoft Excel, Economics, Investments, Research, PowerPoint, Financial Analysis, Bloomberg, Data Analysis, Access, Valuation, Public Speaking, Program Management, Leadership
Education
Salisbury University - Perdue School of Business 2005 — 2009
Bachelor of Science, Finance & Investments
Fannie Mae December 2014 - Present
Fannie Mae July 2013 - December 2014
FINRA May 2009 - July 2013
Skills
Microsoft Office, Microsoft Excel, Economics, Investments, Research, PowerPoint, Financial Analysis, Bloomberg, Data Analysis, Access, Valuation, Public Speaking, Program Management, Leadership
Education
Salisbury University - Perdue School of Business 2005 — 2009
Bachelor of Science, Finance & Investments
Craig Korbel Craig Korbel's FINRA Experience 2010 - Present
Job Freelance Video Editor at Link9
Industry Broadcast Media
Experience
Osprey Communications October 2012 - Present
I4D February 2011 - Present
Link9 January 2011 - Present
FINRA 2010 - Present
WebMD 2010 - Present
Digiworks Media 2010 - Present
Headline Productions October 2009 - Present
Pfizer Pharmaceuticals June 2009 - Present
Aquila Productions February 2008 - Present
Agency RX January 2008 - Present
Skills
After Effects, Motion,..., Digital Media, Final Cut Pro, Avid, Editing, Video Production, Television, Film, Multimedia, Video, Post Production, Motion Graphics, After Effects, Film Production
Education
School of Visual Arts 1974 — 1978
Film
Osprey Communications October 2012 - Present
I4D February 2011 - Present
Link9 January 2011 - Present
FINRA 2010 - Present
WebMD 2010 - Present
Digiworks Media 2010 - Present
Headline Productions October 2009 - Present
Pfizer Pharmaceuticals June 2009 - Present
Aquila Productions February 2008 - Present
Agency RX January 2008 - Present
Skills
After Effects, Motion,..., Digital Media, Final Cut Pro, Avid, Editing, Video Production, Television, Film, Multimedia, Video, Post Production, Motion Graphics, After Effects, Film Production
Education
School of Visual Arts 1974 — 1978
Film
Dan Dan Liu's FINRA Experience August 2010 - January 2011
Job OTC Derivatives Associate Director at National Futures Association
Industry Financial Services
Experience
National Futures Association September 2014 - Present
National Futures Association October 2011 - September 2014
National Futures Association January 2011 - September 2011
FINRA August 2010 - January 2011
National Futures Association January 2006 - August 2010
The Bank of New York Mellon June 2005 - January 2006
Skills
FINRA, Derivatives, Auditing, Securities, Financial Analysis, Risk Management, Financial Reporting, Due Diligence, Financial Risk, AML, GAAP, Insurance, Strategic Planning, Finance, Trading, Internal Controls, Financial Services, Financial Regulation, Capital Markets, Fixed Income, Mutual Funds, Hedge Funds, Equities, Swaps, Options, Commodity, Operational Risk, Bloomberg, Financial Markets, Alternative Investments, FX Options, Foreign Exchange, Investments, SEC, Asset Management, Commodity Markets, Credit Derivatives, Interest Rate..., Series 7, Valuation
Education
Pace University - Lubin School of Business 2001 — 2005
Finance
National Futures Association September 2014 - Present
National Futures Association October 2011 - September 2014
National Futures Association January 2011 - September 2011
FINRA August 2010 - January 2011
National Futures Association January 2006 - August 2010
The Bank of New York Mellon June 2005 - January 2006
Skills
FINRA, Derivatives, Auditing, Securities, Financial Analysis, Risk Management, Financial Reporting, Due Diligence, Financial Risk, AML, GAAP, Insurance, Strategic Planning, Finance, Trading, Internal Controls, Financial Services, Financial Regulation, Capital Markets, Fixed Income, Mutual Funds, Hedge Funds, Equities, Swaps, Options, Commodity, Operational Risk, Bloomberg, Financial Markets, Alternative Investments, FX Options, Foreign Exchange, Investments, SEC, Asset Management, Commodity Markets, Credit Derivatives, Interest Rate..., Series 7, Valuation
Education
Pace University - Lubin School of Business 2001 — 2005
Finance
Jim Rhodes Jim Rhodes's FINRA Experience September 2004 - Present
Job Attorney at law Consulting and Advising
Industry Alternative Dispute Resolution
Experience
Association of Conflict Resolution, Greater New York Capter April 2012 - Present
International Arbitration Club of New York 2010 - Present
The Kay Bailey Hutchison Center for Energy, Law and Business, The University of Texas at Austin. April 2009 - Present
PCG Equity April 2006 - Present
American Arbitration Association 2006 - Present
Self-Employed January 2005 - Present
NYSBA Dispute Resolution Section January 2005 - Present
FINRA September 2004 - Present
S. Gumpert Co. of Canada, Ltd. October 1995 - Present
Consulting and Advising September 1965 - Present
Skills
Mergers, Intellectual Property, Antitrust, Bankruptcy, Securities, Real Estate, Contract Disputes, International Trade, Liquidation, Arbitration, Corporate Law, International..., Mediation, Dispute Resolution, International Law, Corporate Governance, Licensing, Alternative Dispute..., Construction, Mergers & Acquisitions, Insurance Law, Dispute, Commercial Litigation, Legal Writing, Litigation, Appeals, Competition Law, Courts, Civil Litigation, Trials, Litigation Management, Litigation Support, Trade Secrets, Hearings, Class Actions, Securities Regulation, Employment Law, Legal Research, Joint Ventures, Legal Issues, Trademarks, Legal Assistance, Construction Law, Administrative Law, Copyright Law, Privacy Law, Legal Advice, Securities Litigation, Torts
Education
The University of Texas School of Law 1962 — 1965
J.D., Law
Rice University 1958 — 1962
B.A., History
Association of Conflict Resolution, Greater New York Capter April 2012 - Present
International Arbitration Club of New York 2010 - Present
The Kay Bailey Hutchison Center for Energy, Law and Business, The University of Texas at Austin. April 2009 - Present
PCG Equity April 2006 - Present
American Arbitration Association 2006 - Present
Self-Employed January 2005 - Present
NYSBA Dispute Resolution Section January 2005 - Present
FINRA September 2004 - Present
S. Gumpert Co. of Canada, Ltd. October 1995 - Present
Consulting and Advising September 1965 - Present
Skills
Mergers, Intellectual Property, Antitrust, Bankruptcy, Securities, Real Estate, Contract Disputes, International Trade, Liquidation, Arbitration, Corporate Law, International..., Mediation, Dispute Resolution, International Law, Corporate Governance, Licensing, Alternative Dispute..., Construction, Mergers & Acquisitions, Insurance Law, Dispute, Commercial Litigation, Legal Writing, Litigation, Appeals, Competition Law, Courts, Civil Litigation, Trials, Litigation Management, Litigation Support, Trade Secrets, Hearings, Class Actions, Securities Regulation, Employment Law, Legal Research, Joint Ventures, Legal Issues, Trademarks, Legal Assistance, Construction Law, Administrative Law, Copyright Law, Privacy Law, Legal Advice, Securities Litigation, Torts
Education
The University of Texas School of Law 1962 — 1965
J.D., Law
Rice University 1958 — 1962
B.A., History
Antony Marceles Antony Marceles's FINRA Experience November 2009 - Present
Job Independent Informations System Consultant / Web Developer / Sr. Systems Analyst
Industry Computer Software
Experience
FINRA November 2009 - Present
Lockheed Martin Information Technology January 2008 - November 2009
Humana February 2007 - January 2008
Liberty Mutual Insurance April 2006 - February 2007
Skills
Business Analysis, Business Strategy, Business Process..., Visio, Microsoft Project, Agile Methodologies, JIRA, Quality Center, Test Automation, Java, Selenium, QTP, LoadRunner, JavaScript, jQuery, PHP4/5, SQL, XML, SoapUI, WordPress, WordPress Design, Android Development, SDLC
Education
The Johns Hopkins University - Carey Business School
Master of Science (MS), Management Information Systems, General
State University of New York at New Paltz 2002 — 2005
B.S, Electrical Engineering
FINRA November 2009 - Present
Lockheed Martin Information Technology January 2008 - November 2009
Humana February 2007 - January 2008
Liberty Mutual Insurance April 2006 - February 2007
Skills
Business Analysis, Business Strategy, Business Process..., Visio, Microsoft Project, Agile Methodologies, JIRA, Quality Center, Test Automation, Java, Selenium, QTP, LoadRunner, JavaScript, jQuery, PHP4/5, SQL, XML, SoapUI, WordPress, WordPress Design, Android Development, SDLC
Education
The Johns Hopkins University - Carey Business School
Master of Science (MS), Management Information Systems, General
State University of New York at New Paltz 2002 — 2005
B.S, Electrical Engineering
Bob Falkenberg's FINRA Experience October 2003 - October 2008
Job VP Risk Management,at PTX Securities, LLC
Industry Management Consulting
Experience
PTX Securities, LLC April 2013 - Present
Solid Rock Consulting October 2008 - Present
Tri-Star Financial September 2010 - April 2013
Parallax Investments January 2010 - September 2011
FINRA October 2003 - October 2008
State of California - Department of Corporations September 1990 - October 2003
Skills
FINRA, SEC, Litigation Support, AML, Securities, Compliance, Auditing, Financial Services, Private Placements, Risk Management, Fixed Income, Investment Advisory, Due Diligence, Corporate Governance, Investments, Mutual Funds
Education
San Diego State University-California State University 1988 — 1990
BS, Business
PTX Securities, LLC April 2013 - Present
Solid Rock Consulting October 2008 - Present
Tri-Star Financial September 2010 - April 2013
Parallax Investments January 2010 - September 2011
FINRA October 2003 - October 2008
State of California - Department of Corporations September 1990 - October 2003
Skills
FINRA, SEC, Litigation Support, AML, Securities, Compliance, Auditing, Financial Services, Private Placements, Risk Management, Fixed Income, Investment Advisory, Due Diligence, Corporate Governance, Investments, Mutual Funds
Education
San Diego State University-California State University 1988 — 1990
BS, Business
Vasily Ruzha Vasily Ruzha's FINRA Experience January 2009 - October 2010
Job Senior Consultant at Essextec
Industry Information Technology and Services
Experience
Essextec October 2014 - Present
Financial Industry Regulatory Authority March 2013 - Present
Gemini Systems October 2005 - October 2014
FINRA January 2009 - October 2010
NYSE Euronext April 2008 - March 2009
NYSE Euronext 2005 - April 2008
Skills
Java, User Experience, JavaScript, Agile Methodologies, Information Architecture, Software Design, Mobile Applications, User Interface Design, REST, GWT, Usability and..., Accessibility, Cloud Applications, MeteorJS, Handlebars.js, Node.js, MongoDB, Apache Cordova, HTML 5, CSS3, Enterprise Software, JSP, Spring, Business Analysis, Software Development, Scrum, Subversion, User Interface, Cloud Computing, CSS, AJAX, SOA, XML, Apache, SOAP, Mobile Devices, Maven, Spring Framework
Education
Санкт-Петербургский Государственный Политехнический Университет / Saint Petersburg State Polytechnical University 1998 — 2004
Engineer - System Analyst, Computer Science, Master of Science in Engineering
Санкт-Петербургский Государственный Политехнический Университет / Saint Petersburg State Polytechnical University 1998 — 2002
Bachelor, Computer Science, Bachelor of Science in Information Technology
Essextec October 2014 - Present
Financial Industry Regulatory Authority March 2013 - Present
Gemini Systems October 2005 - October 2014
FINRA January 2009 - October 2010
NYSE Euronext April 2008 - March 2009
NYSE Euronext 2005 - April 2008
Skills
Java, User Experience, JavaScript, Agile Methodologies, Information Architecture, Software Design, Mobile Applications, User Interface Design, REST, GWT, Usability and..., Accessibility, Cloud Applications, MeteorJS, Handlebars.js, Node.js, MongoDB, Apache Cordova, HTML 5, CSS3, Enterprise Software, JSP, Spring, Business Analysis, Software Development, Scrum, Subversion, User Interface, Cloud Computing, CSS, AJAX, SOA, XML, Apache, SOAP, Mobile Devices, Maven, Spring Framework
Education
Санкт-Петербургский Государственный Политехнический Университет / Saint Petersburg State Polytechnical University 1998 — 2004
Engineer - System Analyst, Computer Science, Master of Science in Engineering
Санкт-Петербургский Государственный Политехнический Университет / Saint Petersburg State Polytechnical University 1998 — 2002
Bachelor, Computer Science, Bachelor of Science in Information Technology
Nanci Schimizzi Nanci Schimizzi's FINRA Experience February 1994 - January 2014
Job Senior Management Consultant, Technology Strategy, Business Resiliency
Industry Financial Services
Experience
Society for Information Management November 2014 - Present
Fair Oaks Strategies, LLC October 2014 - Present
Arc Partners September 2014 - Present
Executive Women's Golf Association - Metro DC Chapter September 2014 - Present
Federal Hill Consulting July 2014 - Present
Women in Technology June 2014 - Present
Society for Information Management 2013 - Present
New Hope Housing June 2014 - January 2015
FINRA February 1994 - January 2014
Logica North America February 1992 - February 1994
Skills
Strategy, Program Management, Leadership, Vendor Management, Management, Outsourcing, Strategic Communications, Consulting, Financial Services, Banking, Information Technology, IT Strategy, SDLC, Business Analysis, Requirements Analysis, Business Intelligence, Integration, Agile Methodologies, Management Consulting, PMO, Project Portfolio..., Governance, Business Process..., Change Management, Project Management, Business Process, Process Improvement, Software Project..., IT Management, Software Development
Education
Strayer University (VA)
BS, Information Technology
University of South Florida
Business, Technology Management
Society for Information Management November 2014 - Present
Fair Oaks Strategies, LLC October 2014 - Present
Arc Partners September 2014 - Present
Executive Women's Golf Association - Metro DC Chapter September 2014 - Present
Federal Hill Consulting July 2014 - Present
Women in Technology June 2014 - Present
Society for Information Management 2013 - Present
New Hope Housing June 2014 - January 2015
FINRA February 1994 - January 2014
Logica North America February 1992 - February 1994
Skills
Strategy, Program Management, Leadership, Vendor Management, Management, Outsourcing, Strategic Communications, Consulting, Financial Services, Banking, Information Technology, IT Strategy, SDLC, Business Analysis, Requirements Analysis, Business Intelligence, Integration, Agile Methodologies, Management Consulting, PMO, Project Portfolio..., Governance, Business Process..., Change Management, Project Management, Business Process, Process Improvement, Software Project..., IT Management, Software Development
Education
Strayer University (VA)
BS, Information Technology
University of South Florida
Business, Technology Management
William Haesche William Haesche's FINRA Experience January 2012 - October 2014
Job Provide project management solutions for Passport's customer base.
Industry Financial Services
Experience
Passport Corporation August 2015 - Present
Verizon Wireless December 2014 - July 2015
FINRA January 2012 - October 2014
FINRA June 2010 - January 2012
New York Stock Exchange February 2004 - June 2010
Vitech February 2003 - December 2003
Instinet Incorporated January 1997 - December 2002
Citi January 1996 - January 1997
Skills
Quality Assurance, Requirements Analysis, Budgeting, Documentation, Business Analysis, Software Documentation, Requirements Gathering, Management, Budgets, Coaching, Training, Organizational..., Program Management, Vendor Management, Leadership, Process Improvement, Risk Management, Equities, Databases, Analysis, Business Process..., SDLC, Project Management, Business Intelligence, Visio, Strategy
Education
University of New Haven 1992 — 1994
MBA, Business Management
Roger Williams University 1988 — 1992
BS, Business Administration
Passport Corporation August 2015 - Present
Verizon Wireless December 2014 - July 2015
FINRA January 2012 - October 2014
FINRA June 2010 - January 2012
New York Stock Exchange February 2004 - June 2010
Vitech February 2003 - December 2003
Instinet Incorporated January 1997 - December 2002
Citi January 1996 - January 1997
Skills
Quality Assurance, Requirements Analysis, Budgeting, Documentation, Business Analysis, Software Documentation, Requirements Gathering, Management, Budgets, Coaching, Training, Organizational..., Program Management, Vendor Management, Leadership, Process Improvement, Risk Management, Equities, Databases, Analysis, Business Process..., SDLC, Project Management, Business Intelligence, Visio, Strategy
Education
University of New Haven 1992 — 1994
MBA, Business Management
Roger Williams University 1988 — 1992
BS, Business Administration
Vernon Jacques Vernon Jacques's FINRA Experience April 2008 - November 2008
Job CSSFinance & Risk Reporting Operations (FRO) at Citi
Industry Banking
Experience
Citi February 2014 - Present
Morgan Stanley January 2013 - July 2013
Barclays March 2012 - January 2013
BNY Mellon April 2011 - October 2011
Citigroup Global Markets Inc. January 2011 - May 2011
FINRA April 2008 - November 2008
MF Global May 2007 - January 2008
Man Financial April 2003 - May 2007
Refco Capital LLC March 2002 - April 2004
NYMEX May 2001 - January 2002
Skills
FX Options, Settlement, Capital Markets, Portfolio Management
Education
St. Francis College 1995 — 2000
B.S, Business Management
Citi February 2014 - Present
Morgan Stanley January 2013 - July 2013
Barclays March 2012 - January 2013
BNY Mellon April 2011 - October 2011
Citigroup Global Markets Inc. January 2011 - May 2011
FINRA April 2008 - November 2008
MF Global May 2007 - January 2008
Man Financial April 2003 - May 2007
Refco Capital LLC March 2002 - April 2004
NYMEX May 2001 - January 2002
Skills
FX Options, Settlement, Capital Markets, Portfolio Management
Education
St. Francis College 1995 — 2000
B.S, Business Management
Jordan Abisror Jordan Abisror's FINRA Experience March 2008 - Present
Job Principal Regulatory Coordinator at FINRA
Industry Financial Services
Experience
FINRA March 2008 - Present
HSBC Securities 2002 - 2008
Skills
FINRA, Securities, Mutual Funds, Equities, Fixed Income, Investments, Financial Analysis
Education
State University of New York College at Plattsburgh 1987 — 1991
BS, Accounting
State University of New York College at Plattsburgh 1987 — 1991
BS, Accounting
FINRA March 2008 - Present
HSBC Securities 2002 - 2008
Skills
FINRA, Securities, Mutual Funds, Equities, Fixed Income, Investments, Financial Analysis
Education
State University of New York College at Plattsburgh 1987 — 1991
BS, Accounting
State University of New York College at Plattsburgh 1987 — 1991
BS, Accounting
Daniel Knox Daniel Knox's FINRA Experience June 2009 - August 2009
Job Principal at Knox Law Group, PC
Industry Law Practice
Experience
Knox Law Group, PC January 2015 - Present
Mavrides, Moyal, Packman, Sadkin, LLP March 2012 - September 2014
Kishner & Miller September 2014 - 2014
McCormack & Mattei August 2011 - February 2012
Bee, Ready, Fishbein, Hatter & Donovan, LLP November 2010 - May 2011
FINRA June 2009 - August 2009
Ward Greenberg Heller & Reidy LLP May 2008 - August 2008
Skills
Litigation, Real Estate Transactions, Commercial Litigation, Legal Writing, Legal Research, Real Estate, Corporate Law, Contract Law, Commercial Real Estate, Alternative Dispute..., Mergers & Acquisitions, Securities, Arbitration, Corporate Finance, Courts, Civil Litigation, Investment Properties, Business Transactions, Real Property, Appeals, Mediation
Education
State University of New York at Buffalo - Law School 2007 — 2010
JD, Law
Saint John's University 2005 — 2007
Bachelor's degree, Philosophy
Knox Law Group, PC January 2015 - Present
Mavrides, Moyal, Packman, Sadkin, LLP March 2012 - September 2014
Kishner & Miller September 2014 - 2014
McCormack & Mattei August 2011 - February 2012
Bee, Ready, Fishbein, Hatter & Donovan, LLP November 2010 - May 2011
FINRA June 2009 - August 2009
Ward Greenberg Heller & Reidy LLP May 2008 - August 2008
Skills
Litigation, Real Estate Transactions, Commercial Litigation, Legal Writing, Legal Research, Real Estate, Corporate Law, Contract Law, Commercial Real Estate, Alternative Dispute..., Mergers & Acquisitions, Securities, Arbitration, Corporate Finance, Courts, Civil Litigation, Investment Properties, Business Transactions, Real Property, Appeals, Mediation
Education
State University of New York at Buffalo - Law School 2007 — 2010
JD, Law
Saint John's University 2005 — 2007
Bachelor's degree, Philosophy
Corey Costa, CIA, CISA, CFE, CRMA Corey Costa, CIA, CISA, CFE, CRMA's FINRA Experience Staff AuditorSafeco2001 - 2004
Job Associate Audit Director at FINRA
Industry Financial Services
Experience
FINRA Staff AuditorSafeco2001 - 2004
Beers + Cutler July 1996 - June 1998
Skills
Internal Controls, Certified Fraud Examiner, Sarbanes-Oxley Act, Auditing, Internal Audit, Accounting, Forensic Accounting, Fraud, Risk Assessment, Risk Management, Financial Risk
Education
Stevenson University 2011 — 2013
Master's of Science in Forensic Studies
The George Washington University - School of Business 1992 — 1996
Bachelor's of Accountancy, Accounting
FINRA Staff AuditorSafeco2001 - 2004
Beers + Cutler July 1996 - June 1998
Skills
Internal Controls, Certified Fraud Examiner, Sarbanes-Oxley Act, Auditing, Internal Audit, Accounting, Forensic Accounting, Fraud, Risk Assessment, Risk Management, Financial Risk
Education
Stevenson University 2011 — 2013
Master's of Science in Forensic Studies
The George Washington University - School of Business 1992 — 1996
Bachelor's of Accountancy, Accounting
J. Barron Knight's FINRA Experience 2005 - 2007
Job Attorney & Mediator at Court of Special Appeals for the State of Maryland
Industry Judiciary
Experience
Court of Special Appeals for the State of Maryland July 2012 - Present
Knight Consulting Services February 1997 - Present
Certified Financial Planner Board of Standards, Inc. September 2009 - February 2011
Certified Financial Planner Board of Standards, Inc. October 2007 - September 2009
FINRA 2005 - 2007
Department of Insurance, Securities & Banking for DC May 2002 - September 2005
NASAA 1999 - 2005
Securities Division for Maryland OAG April 1999 - May 2002
Skills
Securities Regulation, Conflict Resolution, Litigation, Mediation, Securities, Estate Planning, Legal Writing, Alternative Dispute..., Appeals, Investments, Licensing, Legal Research, Financial Services, Policy, Civil Litigation, FINRA, Courts, Corporate Governance, Dispute Resolution, Commercial Litigation, Corporate Law, Government, Intellectual Property, Torts, Bankruptcy, Litigation Support, Legal Issues, Westlaw, Trusts, Trials, International Law, Legal Compliance, Employment Law, Administrative Law, Legislation
Education
University of Maryland School of Law 1993 — 1996
Juris Doctorate
State University of New York College at Fredonia 1986 — 1992
BA, English
Brentwood High School 1982 — 1986
Court of Special Appeals for the State of Maryland July 2012 - Present
Knight Consulting Services February 1997 - Present
Certified Financial Planner Board of Standards, Inc. September 2009 - February 2011
Certified Financial Planner Board of Standards, Inc. October 2007 - September 2009
FINRA 2005 - 2007
Department of Insurance, Securities & Banking for DC May 2002 - September 2005
NASAA 1999 - 2005
Securities Division for Maryland OAG April 1999 - May 2002
Skills
Securities Regulation, Conflict Resolution, Litigation, Mediation, Securities, Estate Planning, Legal Writing, Alternative Dispute..., Appeals, Investments, Licensing, Legal Research, Financial Services, Policy, Civil Litigation, FINRA, Courts, Corporate Governance, Dispute Resolution, Commercial Litigation, Corporate Law, Government, Intellectual Property, Torts, Bankruptcy, Litigation Support, Legal Issues, Westlaw, Trusts, Trials, International Law, Legal Compliance, Employment Law, Administrative Law, Legislation
Education
University of Maryland School of Law 1993 — 1996
Juris Doctorate
State University of New York College at Fredonia 1986 — 1992
BA, English
Brentwood High School 1982 — 1986
Ed Sepulveda, PMP, ITIL Ed Sepulveda, PMP, ITIL's FINRA Experience November 2006 - May 2008
Job Program Manager at Horizon Industries, Limited
Industry Information Technology and Services
Experience
Horizon Industries, Limited December 2013 - Present
CareFirst BlueCross BlueShield January 2012 - December 2013
Horizon Industries, Limited October 2010 - January 2012
SRA June 2008 - February 2011
PCAOB 2008 - 2010
FINRA November 2006 - May 2008
InSAP February 2005 - November 2006
AOL November 2003 - February 2005
CTGi February 2001 - November 2003
TRW June 1996 - February 2001
Skills
International Project..., ITIL v3, BPR, Business Process..., Process Improvement, PMO, ITIL, Program Management, SDLC, Change Management, Leadership, Business Process..., Governance, Integration, Cross-functional Team..., IT Management, Operations Management, Project Management, Analysis, SharePoint, Vendor Management, Quality Assurance, Strategy, Risk Management, Management, CRM, Enterprise Software, Testing, Software Development, PMP, Project Planning, CMMI, Release Management
Education
Troy State University 1994 — 1996
MPA, Health Administration, Public Administration
Strayer University 1991 — 1994
BSBA, Business Administration
Horizon Industries, Limited December 2013 - Present
CareFirst BlueCross BlueShield January 2012 - December 2013
Horizon Industries, Limited October 2010 - January 2012
SRA June 2008 - February 2011
PCAOB 2008 - 2010
FINRA November 2006 - May 2008
InSAP February 2005 - November 2006
AOL November 2003 - February 2005
CTGi February 2001 - November 2003
TRW June 1996 - February 2001
Skills
International Project..., ITIL v3, BPR, Business Process..., Process Improvement, PMO, ITIL, Program Management, SDLC, Change Management, Leadership, Business Process..., Governance, Integration, Cross-functional Team..., IT Management, Operations Management, Project Management, Analysis, SharePoint, Vendor Management, Quality Assurance, Strategy, Risk Management, Management, CRM, Enterprise Software, Testing, Software Development, PMP, Project Planning, CMMI, Release Management
Education
Troy State University 1994 — 1996
MPA, Health Administration, Public Administration
Strayer University 1991 — 1994
BSBA, Business Administration
Clement Osimetha Clement Osimetha's FINRA Experience July 2012 - Present
Job
Industry Information Technology and Services
Experience
Ciber April 2015 - Present
FINRA July 2012 - Present
SMU - Dedman School Of Law August 2004 - Present
Axiom August 2012 - April 2015
Axiom February 2013 - November 2014
MARY KAY INC November 2000 - January 2012
Accor, NA March 1999 - November 2000
DALLAS CITY ATTORNEY'S OFFICE November 1995 - March 1999
MARSAW & ASSOCIATES August 1995 - November 1995
Skills
Real Estate, Litigation, Intellectual Property, Regulatory and..., Contract Negotiation, International Business..., Customs Regulations, Contracts Review and..., General Administration..., FCPA/Anti-Bribery..., Training, Legal Writing, Corporate Governance, Corporate Law, Legal Advice, Dispute Resolution, Joint Ventures, Trademarks, Legal Assistance, Due Diligence, Commercial Litigation, Legal Research
Education
Southern Methodist University Dedman School of Law 1992 — 1995
JD, with honors, Law
The University of Texas at Arlington 1988 — 1992
BBA, Finance
Ciber April 2015 - Present
FINRA July 2012 - Present
SMU - Dedman School Of Law August 2004 - Present
Axiom August 2012 - April 2015
Axiom February 2013 - November 2014
MARY KAY INC November 2000 - January 2012
Accor, NA March 1999 - November 2000
DALLAS CITY ATTORNEY'S OFFICE November 1995 - March 1999
MARSAW & ASSOCIATES August 1995 - November 1995
Skills
Real Estate, Litigation, Intellectual Property, Regulatory and..., Contract Negotiation, International Business..., Customs Regulations, Contracts Review and..., General Administration..., FCPA/Anti-Bribery..., Training, Legal Writing, Corporate Governance, Corporate Law, Legal Advice, Dispute Resolution, Joint Ventures, Trademarks, Legal Assistance, Due Diligence, Commercial Litigation, Legal Research
Education
Southern Methodist University Dedman School of Law 1992 — 1995
JD, with honors, Law
The University of Texas at Arlington 1988 — 1992
BBA, Finance
Selwyn Andrews Selwyn Andrews's FINRA Experience 2014 - 2014
Job Information Technology and Services Professional
Industry Information Technology and Services
Experience
Staples August 2013 - May 2014
FINRA 2014 - 2014
Education
Year Up New York 2013 — 2014
Information Technology
Rochester Institute of Technology 2007 — 2010
Civil Engineering Technology/Technician
Staples August 2013 - May 2014
FINRA 2014 - 2014
Education
Year Up New York 2013 — 2014
Information Technology
Rochester Institute of Technology 2007 — 2010
Civil Engineering Technology/Technician
Victoria Bach-Fink Victoria Bach-Fink's FINRA Experience May 2008 - Present
Job President/CEO & Owner of Wall Street Financial Group, Inc.
Industry Financial Services
Experience
Wall Street Financial Group November 2013 - Present
FINRA May 2008 - Present
Wall Street Financial Group April 2005 - November 2013
Rising Talents Dance Studio September 2005 - June 2010
Mrs New York America 1998 - 2008
Wall Street Financial Group November 1997 - April 2005
Wall Street Financial Group November 1994 - November 1997
Wall Street Financial Group May 1994 - November 1994
Skills
FINRA, Securities, Financial Services, Mutual Funds, Alternative Investments, Marketing Communications, Management, Series 7, Series 63, Trading, Asset Management, Variable Annuities, Sales Commissions, Licensing, Compliance, Operations Management, Sales Operations, Registered Investment..., Series 65, series 27, series 99, Series 24, Regulatory Audits, Financial Audits, Arbitration, Legal Compliance, Financial Accounting, Finance, Broker-Dealer, Investment Advisory, series 4, series 53
Education
St. John Fisher College 1990 — 1994
BS, Finance
Penfield High School
Wall Street Financial Group November 2013 - Present
FINRA May 2008 - Present
Wall Street Financial Group April 2005 - November 2013
Rising Talents Dance Studio September 2005 - June 2010
Mrs New York America 1998 - 2008
Wall Street Financial Group November 1997 - April 2005
Wall Street Financial Group November 1994 - November 1997
Wall Street Financial Group May 1994 - November 1994
Skills
FINRA, Securities, Financial Services, Mutual Funds, Alternative Investments, Marketing Communications, Management, Series 7, Series 63, Trading, Asset Management, Variable Annuities, Sales Commissions, Licensing, Compliance, Operations Management, Sales Operations, Registered Investment..., Series 65, series 27, series 99, Series 24, Regulatory Audits, Financial Audits, Arbitration, Legal Compliance, Financial Accounting, Finance, Broker-Dealer, Investment Advisory, series 4, series 53
Education
St. John Fisher College 1990 — 1994
BS, Finance
Penfield High School
Adam Peter Adam Peter's FINRA Experience April 2004 - December 2004
Job Sr. Manager of Finance, Strategy and Analytics at TMobile
Industry Telecommunications
Experience
T-Mobile September 2013 - Present
Cricket Communications February 2011 - September 2013
Sanmina-SCI December 2009 - February 2011
Dever Capital Management (Private Equity) February 2009 - December 2010
Yorkville Advisors, LLC July 2007 - October 2008
Xnergy LLC September 2006 - April 2007
US Securities and Exchange Commission January 2005 - May 2005
FINRA April 2004 - December 2004
Greeley Country Club 1996 - 2003
U.S. Senator Wayne Allard 2002 - 2002
Skills
Financial Modeling, Financial Analysis, Strategy, Corporate Finance, Investment Banking, Telecommunications, Private Equity, Wireless, Financial Forecasting, Strategy Development, Mergers & Acquisitions, Sales Operations, Start-ups, Treasury Management, Financial Markets, Investments, Finance
Education
Pepperdine University School of Law 2003 — 2007
JD, Corporate Law (JD, MBA program)
Pepperdine University, The George L. Graziadio School of Business and Management 2003 — 2007
MBA, Finance (JD, MBA program)
University of Northern Colorado 1998 — 2003
BS and BA, Business Finance and Political Science
Greeley Central High School 1995 — 1998
Diploma
Pepperdine University
Waverly Elementary School
T-Mobile September 2013 - Present
Cricket Communications February 2011 - September 2013
Sanmina-SCI December 2009 - February 2011
Dever Capital Management (Private Equity) February 2009 - December 2010
Yorkville Advisors, LLC July 2007 - October 2008
Xnergy LLC September 2006 - April 2007
US Securities and Exchange Commission January 2005 - May 2005
FINRA April 2004 - December 2004
Greeley Country Club 1996 - 2003
U.S. Senator Wayne Allard 2002 - 2002
Skills
Financial Modeling, Financial Analysis, Strategy, Corporate Finance, Investment Banking, Telecommunications, Private Equity, Wireless, Financial Forecasting, Strategy Development, Mergers & Acquisitions, Sales Operations, Start-ups, Treasury Management, Financial Markets, Investments, Finance
Education
Pepperdine University School of Law 2003 — 2007
JD, Corporate Law (JD, MBA program)
Pepperdine University, The George L. Graziadio School of Business and Management 2003 — 2007
MBA, Finance (JD, MBA program)
University of Northern Colorado 1998 — 2003
BS and BA, Business Finance and Political Science
Greeley Central High School 1995 — 1998
Diploma
Pepperdine University
Waverly Elementary School
Juan A Martinez Juan A Martinez's FINRA Experience March 2012 - Present
Job Administrative Principal/Controls Officer for Citi Personal Wealth Management Assistant Vice President
Industry Financial Services
Experience
Citi Personal Wealth Management January 2013 - Present
FINRA March 2012 - Present
Morgan Stanley Smith Barney December 2001 - December 2012
Citigroup Smith Barney June 2000 - December 2001
Global Stock Plan Services June 1999 - June 2000
Waterhouse Securities Corp, Inc June 1991 - March 1997
Smith Barney Harris Upham, Inc January 1986 - March 1989
U.S. Naval Service – USS Boulder LST January 1981 - January 1985
Skills
Credit Risk, Credit Analysis, Model Portfolios, Brokerage, Microsoft Office, Corporate Equity Stock..., Securities Regulation, Margin, Employee Stock Options, Index Options
Education
San Antonio College 2000 — 2006
Undergraduate Certificates, Finance and Financial Management Services, 3.533
Citi Personal Wealth Management January 2013 - Present
FINRA March 2012 - Present
Morgan Stanley Smith Barney December 2001 - December 2012
Citigroup Smith Barney June 2000 - December 2001
Global Stock Plan Services June 1999 - June 2000
Waterhouse Securities Corp, Inc June 1991 - March 1997
Smith Barney Harris Upham, Inc January 1986 - March 1989
U.S. Naval Service – USS Boulder LST January 1981 - January 1985
Skills
Credit Risk, Credit Analysis, Model Portfolios, Brokerage, Microsoft Office, Corporate Equity Stock..., Securities Regulation, Margin, Employee Stock Options, Index Options
Education
San Antonio College 2000 — 2006
Undergraduate Certificates, Finance and Financial Management Services, 3.533
Kedarnath Nanda Kedarnath Nanda's FINRA Experience 2006 - January 2012
Job Programmer Analyst at EDS, an HP company
Industry Computer Software
Experience
EDS, an HP company March 2010 - Present
FINRA 2006 - January 2012
Education
Sri Venkateswara University 1994 — 1997
Master of Computer Applications (MCA)
EDS, an HP company March 2010 - Present
FINRA 2006 - January 2012
Education
Sri Venkateswara University 1994 — 1997
Master of Computer Applications (MCA)
thomas cerna thomas cerna's FINRA Experience June 1989 - January 1994
Job Financial Services Professional (Series 4, 7, 24, 63)
Industry Financial Services
Experience
Global Arena Capital Corp. July 2011 - Present
Black Book Capital LLC April 2010 - October 2010
FINRA June 1989 - January 1994
Education
University of Massachusetts Boston 1980 — 1983
Bachelor of Science, Economics
State University of New York College at Oneonta 1978 — 1980
Economics
Global Arena Capital Corp. July 2011 - Present
Black Book Capital LLC April 2010 - October 2010
FINRA June 1989 - January 1994
Education
University of Massachusetts Boston 1980 — 1983
Bachelor of Science, Economics
State University of New York College at Oneonta 1978 — 1980
Economics
Shahid Farouk, MBA Shahid Farouk, MBA's FINRA Experience May 2005 - April 2010
Job Test Manager at IBM / Full MBI/Treasury
Industry Information Technology and Services
Experience
IBM July 2013 - Present
ACS, a Xerox Company May 2011 - May 2013
Department of Energy April 2010 - May 2011
FINRA May 2005 - April 2010
Freddie Mac January 2004 - May 2005
GE Information Systems 2000 - 2003
Skills
SDLC, CMMI, Quality Assurance, Agile, Testing, Agile Methodologies, Project Management, Integration, Business Analysis, Process Improvement, Leadership, Business Process, Oracle, ERP, Change Management, Software Development, Requirements Analysis, Vendor Management, Resource Management, Management, Program Management, Consulting
Education
Purdue University
Bachelor of Science, Computer Science
University of Phoenix
Master of Business Administration, Global Management
IBM July 2013 - Present
ACS, a Xerox Company May 2011 - May 2013
Department of Energy April 2010 - May 2011
FINRA May 2005 - April 2010
Freddie Mac January 2004 - May 2005
GE Information Systems 2000 - 2003
Skills
SDLC, CMMI, Quality Assurance, Agile, Testing, Agile Methodologies, Project Management, Integration, Business Analysis, Process Improvement, Leadership, Business Process, Oracle, ERP, Change Management, Software Development, Requirements Analysis, Vendor Management, Resource Management, Management, Program Management, Consulting
Education
Purdue University
Bachelor of Science, Computer Science
University of Phoenix
Master of Business Administration, Global Management
Dorothy Leas, MBA / CPA Dorothy Leas, MBA / CPA's FINRA Experience October 2010 - Present
Job Principal Regulatory Coordinator at FINRA
Industry Financial Services
Experience
FINRA October 2010 - Present
Norman Technologies August 2010 - October 2010
The King's College September 2009 - May 2010
Bernstein Research 2004 - 2010
Sole Proprietorship 2003 - 2006
Culpepper & Associates 2001 - 2002
Dreyfus 1994 - 1999
Cowen and Company 1993 - 1994
Merrill Lynch 1989 - 1991
Paine Webber 1985 - 1989
Skills
Corporate Finance, Finance, Capital Markets, Banking, Mutual Funds, Forecasting, Treasury Management, Accounting, Due Diligence, Analysis, Risk Management, Capital Structure, Financial Institutions, Liquidity Management, Cash Management, Research, Auditing, Financial Accounting, Asset Management, Leadership, Loans, Budgets, Financial Systems, Management, Investment Banking, Financial Reporting, Strategic Planning, Public Speaking, Treasury, Project Management, Product Marketing, Process Improvement, Integration, Business Planning, Financial Analysis, Corporate Governance
Education
Penn State University
BS, Honors Accounting
University of Pennsylvania - The Wharton School
MBA, Corporate Finance
Westminster Theological Seminary
MAR, Urban Missions
FINRA October 2010 - Present
Norman Technologies August 2010 - October 2010
The King's College September 2009 - May 2010
Bernstein Research 2004 - 2010
Sole Proprietorship 2003 - 2006
Culpepper & Associates 2001 - 2002
Dreyfus 1994 - 1999
Cowen and Company 1993 - 1994
Merrill Lynch 1989 - 1991
Paine Webber 1985 - 1989
Skills
Corporate Finance, Finance, Capital Markets, Banking, Mutual Funds, Forecasting, Treasury Management, Accounting, Due Diligence, Analysis, Risk Management, Capital Structure, Financial Institutions, Liquidity Management, Cash Management, Research, Auditing, Financial Accounting, Asset Management, Leadership, Loans, Budgets, Financial Systems, Management, Investment Banking, Financial Reporting, Strategic Planning, Public Speaking, Treasury, Project Management, Product Marketing, Process Improvement, Integration, Business Planning, Financial Analysis, Corporate Governance
Education
Penn State University
BS, Honors Accounting
University of Pennsylvania - The Wharton School
MBA, Corporate Finance
Westminster Theological Seminary
MAR, Urban Missions
Erin Jett, CFE Erin Jett, CFE's FINRA Experience November 2005 - Present
Job Principal Regulatory Coordinator at FINRA
Industry Financial Services
Experience
FINRA November 2005 - Present
Merrill Lynch 1998 - 2005
Merrill Corporation 1996 - 1998
Endress+Hauser Group 1994 - 1994
Skills
FINRA, Securities, AML, Series 7, Securities Regulation, USA PATRIOT Act, Financial Regulation, Mutual Funds, Equities, Capital Markets, Private Placements, Due Diligence, Fraud, SEC, Financial Analysis
Education
Texas A&M University-Commerce 2011 — 2013
Masters of Science, Accounting (Forensics)
Texas A&M University-Commerce
Bachelor of Science (B.S.), Business Administration
Texas A&M University 1991 — 1995
Nuclear Engineering
FINRA November 2005 - Present
Merrill Lynch 1998 - 2005
Merrill Corporation 1996 - 1998
Endress+Hauser Group 1994 - 1994
Skills
FINRA, Securities, AML, Series 7, Securities Regulation, USA PATRIOT Act, Financial Regulation, Mutual Funds, Equities, Capital Markets, Private Placements, Due Diligence, Fraud, SEC, Financial Analysis
Education
Texas A&M University-Commerce 2011 — 2013
Masters of Science, Accounting (Forensics)
Texas A&M University-Commerce
Bachelor of Science (B.S.), Business Administration
Texas A&M University 1991 — 1995
Nuclear Engineering
Jessica Townsend's FINRA Experience July 2006 - September 2011
Job Director, Supervisory Processes at Conference of State Bank Supervisors (CSBS)
Industry Banking
Experience
Conference of State Bank Supervisors (CSBS) August 2015 - Present
Federal Housing Finance Agency September 2014 - July 2015
FINRA (Financial Industry Regulatory Authority) September 2011 - September 2014
FINRA July 2006 - September 2011
Deutsche Bank Berkshire Mortgage September 2003 - March 2006
The Northwestern Mutual Financial Network January 2002 - May 2003
Fidelity Investments December 2000 - November 2001
Skills
Trading Systems, Investment Banking, Securities, Investments, Portfolio Management, Risk Management, AML, Analysis, Employee Training, Equities, FINRA, Finance, Financial Risk, Insurance, Mutual Funds, Policy, Training, Training Delivery, Public Speaking, Microsoft Office, Management, Leadership, Customer Service
Education
Keller Graduate School of Management 2004 — 2007
M.B.A., Business Administration and Management, General
Huston-Tillotson University 1997 — 1999
Bachelor of Arts (B.A.), Business Administration and Management, General
Texas A&M University-Commerce 1995 — 1997
Pflugerville 1991 — 1995
Diploma
Conference of State Bank Supervisors (CSBS) August 2015 - Present
Federal Housing Finance Agency September 2014 - July 2015
FINRA (Financial Industry Regulatory Authority) September 2011 - September 2014
FINRA July 2006 - September 2011
Deutsche Bank Berkshire Mortgage September 2003 - March 2006
The Northwestern Mutual Financial Network January 2002 - May 2003
Fidelity Investments December 2000 - November 2001
Skills
Trading Systems, Investment Banking, Securities, Investments, Portfolio Management, Risk Management, AML, Analysis, Employee Training, Equities, FINRA, Finance, Financial Risk, Insurance, Mutual Funds, Policy, Training, Training Delivery, Public Speaking, Microsoft Office, Management, Leadership, Customer Service
Education
Keller Graduate School of Management 2004 — 2007
M.B.A., Business Administration and Management, General
Huston-Tillotson University 1997 — 1999
Bachelor of Arts (B.A.), Business Administration and Management, General
Texas A&M University-Commerce 1995 — 1997
Pflugerville 1991 — 1995
Diploma
Alan Wolper Alan Wolper's FINRA Experience 1999 - 2003
Job Partner at Ulmer & Berne LLP
Industry Law Practice
Experience
Ulmer & Berne LLP March 2012 - Present
Locke Lord LLP October 2007 - March 2012
Sutherland Asbill & Brennan LLP April 2004 - October 2007
FINRA 1999 - 2003
NASD 1993 - 2003
NASD 1993 - 2000
Hunton & Williams LLP 1989 - 1993
Vaughan Murphy 1984 - 1988
Skills
Securities, Arbitration, Securities Regulation, Enforcement, Securities Litigation, FINRA, Internal Investigations, Class Actions, Commercial Litigation, Litigation, Appeals, Broker-Dealer, SEC, Corporate Governance, Civil Litigation, Legal Research, Trade Secrets, Corporate Law, Legal Writing, White Collar Criminal..., Business Litigation, Alternative Dispute..., Mediation, Trial Practice, FCPA, Financial Regulation, Licensing, Trials, Dispute Resolution, Insurance Law, Product Liability, Privacy Law, Non-compete Agreements
Education
University of North Carolina School of Law 1980 — 1983
JD
Rutgers University-New Brunswick 1976 — 1980
BA, English
Ulmer & Berne LLP March 2012 - Present
Locke Lord LLP October 2007 - March 2012
Sutherland Asbill & Brennan LLP April 2004 - October 2007
FINRA 1999 - 2003
NASD 1993 - 2003
NASD 1993 - 2000
Hunton & Williams LLP 1989 - 1993
Vaughan Murphy 1984 - 1988
Skills
Securities, Arbitration, Securities Regulation, Enforcement, Securities Litigation, FINRA, Internal Investigations, Class Actions, Commercial Litigation, Litigation, Appeals, Broker-Dealer, SEC, Corporate Governance, Civil Litigation, Legal Research, Trade Secrets, Corporate Law, Legal Writing, White Collar Criminal..., Business Litigation, Alternative Dispute..., Mediation, Trial Practice, FCPA, Financial Regulation, Licensing, Trials, Dispute Resolution, Insurance Law, Product Liability, Privacy Law, Non-compete Agreements
Education
University of North Carolina School of Law 1980 — 1983
JD
Rutgers University-New Brunswick 1976 — 1980
BA, English
Carrie Grace Zalewski, Esq.'s FINRA Experience May 2009 - August 2009
Job Associate Attorney at M&W
Industry Law Practice
Experience
M&W September 2014 - Present
New Jersey State Judiciary August 2013 - August 2014
Bloomberg January 2012 - June 2013
Seton Hall Law January 2010 - July 2010
Seton Hall Law January 2009 - November 2009
FINRA May 2009 - August 2009
The Honorable Bonnie J. Mizdol June 2008 - August 2008
Skills
Commercial Litigation, Construction Law, Property & Casualty..., Securities, Commercial Insurance, Contract Law, Civil Litigation, Legal Research, Legal Writing, Courts, Litigation, Criminal Law, Constitutional Law, Environmental Compliance, Construction Drawings
Education
Seton Hall University School of Law 2007 — 2010
Juris Doctorate, Securities Law; Commercial Law; First Amendment Law; Environmental Law
RUTGERS, THE STATE UNIVERSITY OF NEW JERSEY, RUTGERS COLLEGE 2003 — 2007
Bachelor of Arts, Political Science / English / Art History
Wallington High School 1999 — 2003
High School diploma
M&W September 2014 - Present
New Jersey State Judiciary August 2013 - August 2014
Bloomberg January 2012 - June 2013
Seton Hall Law January 2010 - July 2010
Seton Hall Law January 2009 - November 2009
FINRA May 2009 - August 2009
The Honorable Bonnie J. Mizdol June 2008 - August 2008
Skills
Commercial Litigation, Construction Law, Property & Casualty..., Securities, Commercial Insurance, Contract Law, Civil Litigation, Legal Research, Legal Writing, Courts, Litigation, Criminal Law, Constitutional Law, Environmental Compliance, Construction Drawings
Education
Seton Hall University School of Law 2007 — 2010
Juris Doctorate, Securities Law; Commercial Law; First Amendment Law; Environmental Law
RUTGERS, THE STATE UNIVERSITY OF NEW JERSEY, RUTGERS COLLEGE 2003 — 2007
Bachelor of Arts, Political Science / English / Art History
Wallington High School 1999 — 2003
High School diploma
Jason Braun's FINRA Experience April 2010 - December 2011
Job Taking a Break!
Industry Health, Wellness and Fitness
Experience
Taking a Break May 2015 - Present
TD Ameritrade June 2012 - May 2015
Edaptive Systems, Inc January 2012 - May 2012
FINRA April 2010 - December 2011
Thomson Reuters September 1998 - April 2010
BTG, Inc January 1989 - August 1998
Skills
SDLC, Requirements Analysis, Agile Methodologies, Business Analysis, Requirements Gathering, Business Requirements, Financial Services, Equities, Product Management, Analysis, IT Strategy, User Acceptance Testing, Software Project..., Program Management, Vendor Management, Business Intelligence, Enterprise Architecture
Education
Syracuse University 1977 — 1979
M.S., Applied Mathematics
University at Albany, SUNY 1973 — 1977
B.S., Mathematics/Computer Science
Taking a Break May 2015 - Present
TD Ameritrade June 2012 - May 2015
Edaptive Systems, Inc January 2012 - May 2012
FINRA April 2010 - December 2011
Thomson Reuters September 1998 - April 2010
BTG, Inc January 1989 - August 1998
Skills
SDLC, Requirements Analysis, Agile Methodologies, Business Analysis, Requirements Gathering, Business Requirements, Financial Services, Equities, Product Management, Analysis, IT Strategy, User Acceptance Testing, Software Project..., Program Management, Vendor Management, Business Intelligence, Enterprise Architecture
Education
Syracuse University 1977 — 1979
M.S., Applied Mathematics
University at Albany, SUNY 1973 — 1977
B.S., Mathematics/Computer Science
Dawn K. Morse Dawn K. Morse's FINRA Experience February 2007 - Present
Job District Office Manager at FINRA
Industry Financial Services
Experience
FINRA February 2007 - Present
IDT August 2004 - January 2006
Corcept Therapeutics March 2002 - August 2004
Candescent Technologies September 1996 - January 2002
Borland Software Corporation January 1996 - September 1996
Conner Peripherals February 1989 - February 1996
Maxtor August 1983 - January 1989
Skills
Start-ups, Management, Program Management, Marketing, Contract Negotiation, Vendor Management, Finance, Due Diligence, Policy, Event Planning, Executive Management, Investor Relations, Banking, Investment Banking, Strategic Planning, Leadership, Software Documentation, Analysis, Budgets, Public Relations, Corporate Governance, Process Improvement
Education
San Jose State University
FINRA February 2007 - Present
IDT August 2004 - January 2006
Corcept Therapeutics March 2002 - August 2004
Candescent Technologies September 1996 - January 2002
Borland Software Corporation January 1996 - September 1996
Conner Peripherals February 1989 - February 1996
Maxtor August 1983 - January 1989
Skills
Start-ups, Management, Program Management, Marketing, Contract Negotiation, Vendor Management, Finance, Due Diligence, Policy, Event Planning, Executive Management, Investor Relations, Banking, Investment Banking, Strategic Planning, Leadership, Software Documentation, Analysis, Budgets, Public Relations, Corporate Governance, Process Improvement
Education
San Jose State University
Amber Turner Amber Turner's FINRA Experience March 2013 - Present
Job Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA March 2013 - Present
EagleStone Wealth Advisors, Inc. February 2007 - February 2013
Prudential Financial September 2006 - February 2007
IFC - International Finance Corporation September 2003 - September 2006
Skills
Data Analysis, Asset Managment, Financial Accounting, Asset Allocation, Alternative Investments, Financial Analysis, Bookkeeping, Employee Benefits, Business, Customer Service, Cash Flow, Cash Management, Customer Satisfaction, Customer Engagement, Insurance, Tax, Problem Solving, Risk Management, Risk Assessment, Financial Risk..., Microsoft Office, Mutual Funds, Finance, Budget, Compliance, Budgets, Program Management, Emerging Markets, Proposal Writing, Financial Reporting, Valuation, Financial Modeling
Education
The American College 2012 — 2012
CFP
Stetson University 1999 — 2003
Bachelor of Business Administration (B.B.A.), International Business, 3.762
University of Avignon 2000 — 2001
French Language Studies, Second Degree, 17/20
FINRA March 2013 - Present
EagleStone Wealth Advisors, Inc. February 2007 - February 2013
Prudential Financial September 2006 - February 2007
IFC - International Finance Corporation September 2003 - September 2006
Skills
Data Analysis, Asset Managment, Financial Accounting, Asset Allocation, Alternative Investments, Financial Analysis, Bookkeeping, Employee Benefits, Business, Customer Service, Cash Flow, Cash Management, Customer Satisfaction, Customer Engagement, Insurance, Tax, Problem Solving, Risk Management, Risk Assessment, Financial Risk..., Microsoft Office, Mutual Funds, Finance, Budget, Compliance, Budgets, Program Management, Emerging Markets, Proposal Writing, Financial Reporting, Valuation, Financial Modeling
Education
The American College 2012 — 2012
CFP
Stetson University 1999 — 2003
Bachelor of Business Administration (B.B.A.), International Business, 3.762
University of Avignon 2000 — 2001
French Language Studies, Second Degree, 17/20
Kristin Ikola Kristin Ikola's FINRA Experience September 2006 - May 2015
Job TFCE Equities Exam Manager at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
FINRA September 2006 - May 2015
Merrill Lynch April 2005 - September 2006
Merrill Lynch August 2001 - April 2005
Skills
Series 7, Uniform Combined State..., FINRA, Financial Risk, Investments, Trading, Securities, Equities, Financial Advisory
Education
Rutgers, The State University of New Jersey - Rutgers Business School 1998 — 2001
Bachelor's degree, Finance
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
FINRA September 2006 - May 2015
Merrill Lynch April 2005 - September 2006
Merrill Lynch August 2001 - April 2005
Skills
Series 7, Uniform Combined State..., FINRA, Financial Risk, Investments, Trading, Securities, Equities, Financial Advisory
Education
Rutgers, The State University of New Jersey - Rutgers Business School 1998 — 2001
Bachelor's degree, Finance
Shaun Corry Shaun Corry's FINRA Experience November 1987 - May 2006
Job Chief Compliance Officer at Lesa Sroufe & Co.
Industry Financial Services
Experience
Lesa Sroufe & Company May 2006 - Present
Seattle Chamber Music Society 2008 - 2014
FINRA November 1987 - May 2006
Safeco Insurance 1987 - 1989
Skills
FINRA, Series 65, Securities, SEC reporting, Portfolio Management, Asset Management, Investments, Equities, Wealth Management, Series 63, Investment Advisory, Fixed Income, Compliance, SEC filings, Securities Regulation, Series 7, Series 24, AML, Asset Managment, Financial Services, Hedge Funds, Alternative Investments, Investment Strategies, Asset Allocation, Investment Management, Mutual Funds, Strategic Planning, Due Diligence, Risk Management, Finance, Marketing, Financial Analysis, Private Equity
Education
Seattle University 1984 — 1989
Master of Business Administration (MBA), Accounting and Finance
University of Notre Dame 1977 — 1981
BBA Accountancy
Bethlehem catholic high school
Lesa Sroufe & Company May 2006 - Present
Seattle Chamber Music Society 2008 - 2014
FINRA November 1987 - May 2006
Safeco Insurance 1987 - 1989
Skills
FINRA, Series 65, Securities, SEC reporting, Portfolio Management, Asset Management, Investments, Equities, Wealth Management, Series 63, Investment Advisory, Fixed Income, Compliance, SEC filings, Securities Regulation, Series 7, Series 24, AML, Asset Managment, Financial Services, Hedge Funds, Alternative Investments, Investment Strategies, Asset Allocation, Investment Management, Mutual Funds, Strategic Planning, Due Diligence, Risk Management, Finance, Marketing, Financial Analysis, Private Equity
Education
Seattle University 1984 — 1989
Master of Business Administration (MBA), Accounting and Finance
University of Notre Dame 1977 — 1981
BBA Accountancy
Bethlehem catholic high school
Maya Neyman Maya Neyman's FINRA Experience February 2011 - Present
Job DBA at FINRA
Industry Financial Services
Experience
FINRA February 2011 - Present
USTAS Technologies, Inc 2011 - 2013
Gene Logic (an Ocimum BioSolutions Company) 2001 - December 2010
Hitachi Innovative Solutions Corp. May 1999 - August 2001
Aspen Systems Corporation 1989 - 1999
Skills
Data Warehousing, Clinical Data Management, PL/SQL, Big Data, Databases, Performance Tuning, Netezza, Perl, Data Modeling, Greenplum, Database Admin, Unix, Unix Shell Scripting, Oracle SQL, PostgreSQL, ETL, Agile Methodologies, XML, SQL, Oracle database..., Oracle, Requirements Analysis, Integration, Data Integration, SQL Tuning, Data Migration, Erwin, Database Administration, Solaris, Shell Scripting, RMAN, Enterprise Architecture, Data Warehouse..., Web Applications, Enterprise Software, Data Architecture, AIX, SOA, Hadoop, Grid Computing, SDLC, Data Guard, Toad, Linux, Scalability, Data Mining, Software Development, Web Services, System Architecture
Education
Odessa National 'I.I. Mecnikov' University 1977 — 1982
Master of Science (MS), mathematics
FINRA February 2011 - Present
USTAS Technologies, Inc 2011 - 2013
Gene Logic (an Ocimum BioSolutions Company) 2001 - December 2010
Hitachi Innovative Solutions Corp. May 1999 - August 2001
Aspen Systems Corporation 1989 - 1999
Skills
Data Warehousing, Clinical Data Management, PL/SQL, Big Data, Databases, Performance Tuning, Netezza, Perl, Data Modeling, Greenplum, Database Admin, Unix, Unix Shell Scripting, Oracle SQL, PostgreSQL, ETL, Agile Methodologies, XML, SQL, Oracle database..., Oracle, Requirements Analysis, Integration, Data Integration, SQL Tuning, Data Migration, Erwin, Database Administration, Solaris, Shell Scripting, RMAN, Enterprise Architecture, Data Warehouse..., Web Applications, Enterprise Software, Data Architecture, AIX, SOA, Hadoop, Grid Computing, SDLC, Data Guard, Toad, Linux, Scalability, Data Mining, Software Development, Web Services, System Architecture
Education
Odessa National 'I.I. Mecnikov' University 1977 — 1982
Master of Science (MS), mathematics
Victoria Esposito Victoria Esposito's FINRA Experience March 2010 - November 2012
Job Global Strategy and Governance at PayPal
Industry Financial Services
Experience
PayPal July 2013 - Present
FINRA March 2010 - November 2012
The Potomac School September 2008 - May 2009
ICMA Retirement Corporation October 1997 - March 2002
BDM International April 1996 - October 1997
Financial Industry Regulatory Authority December 1991 - April 1996
BB&T April 1990 - December 1991
Skills
Compliance, Analysis, Corporate Finance, Underwriting, Investor Relations, Customer Service, Technical Writing, Legal Research, Legal Writing, Team Leadership, Team-oriented, Mentoring, Training, Organization, Microsoft Excel, Microsoft Office, Internet, Requirement..., User Acceptance Testing, Securities Regulation, Management, Investments, Mergers & Acquisitions, Capital Markets, Due Diligence, Risk Management
Education
Radford University 1986 — 1990
BS, Economics
Langley High School 1982 — 1986
diploma
PayPal July 2013 - Present
FINRA March 2010 - November 2012
The Potomac School September 2008 - May 2009
ICMA Retirement Corporation October 1997 - March 2002
BDM International April 1996 - October 1997
Financial Industry Regulatory Authority December 1991 - April 1996
BB&T April 1990 - December 1991
Skills
Compliance, Analysis, Corporate Finance, Underwriting, Investor Relations, Customer Service, Technical Writing, Legal Research, Legal Writing, Team Leadership, Team-oriented, Mentoring, Training, Organization, Microsoft Excel, Microsoft Office, Internet, Requirement..., User Acceptance Testing, Securities Regulation, Management, Investments, Mergers & Acquisitions, Capital Markets, Due Diligence, Risk Management
Education
Radford University 1986 — 1990
BS, Economics
Langley High School 1982 — 1986
diploma
John Livreri John Livreri's FINRA Experience January 2011 - Present
Job Principal Regulatory Coordinator at FINRA
Industry Financial Services
Experience
FINRA January 2011 - Present
ALaS Consulting Corp. August 2010 - October 2010
LaBranche Structured Products LLC 2006 - 2010
Commerzbank AG 2002 - 2006
Oscar Gruss 2000 - 2002
Capital Markets / Newbold Consulting Groups 1996 - 2000
MR Beal & Company 1993 - 1996
Drexel Burnham Lambert 1986 - 1993
Skills
Compliance, Financial Reporting, Accounting, FINRA, Financial Analysis, Analysis, Financial Services, Finance, General Ledger, Account Reconciliation, Internal Controls, Financial Audits, Financial Accounting, Securities, Mergers & Acquisitions, Risk Management, Due Diligence, Capital Markets, Equities, Fixed Income
Education
Queens College 1976 — 1980
B.A., Accounting
FINRA January 2011 - Present
ALaS Consulting Corp. August 2010 - October 2010
LaBranche Structured Products LLC 2006 - 2010
Commerzbank AG 2002 - 2006
Oscar Gruss 2000 - 2002
Capital Markets / Newbold Consulting Groups 1996 - 2000
MR Beal & Company 1993 - 1996
Drexel Burnham Lambert 1986 - 1993
Skills
Compliance, Financial Reporting, Accounting, FINRA, Financial Analysis, Analysis, Financial Services, Finance, General Ledger, Account Reconciliation, Internal Controls, Financial Audits, Financial Accounting, Securities, Mergers & Acquisitions, Risk Management, Due Diligence, Capital Markets, Equities, Fixed Income
Education
Queens College 1976 — 1980
B.A., Accounting
Allison Hayward Allison Hayward's FINRA Experience June 2010 - Present
Job Attorney and arbitrator
Industry Alternative Dispute Resolution
Experience
Camp Ocean Pines 2011 - Present
FINRA June 2010 - Present
Office of Congressional Ethics 2008 - Present
Center for Competitive Politics June 2010 - May 2012
Valley of the Moon 2010 - 2012
St Raphael AOC 2008 - 2011
GMU Law School 2006 - 2010
Federal Election Commission 2003 - 2005
Bell, McAndrews & Hiltachk 1999 - 2002
Wiley Rein & Fielding 1995 - 1999
Skills
Campaign finance, Government Ethics, Legal Analysis, Singing, Fiddle, Cello, Picking things up off..., Campaign Finance, Legislation, Constitutional Law, Elections, Election Law, Legal Writing, Legislative Relations, Public Policy, Civil Litigation, Policy, Litigation, Administrative Law, Legal Research, Policy Analysis, Politics, Courts, Political Campaigns, Appellate Practice, Westlaw, Mediation, Legal Issues
Education
University of California, Davis - School of Law 1991 — 1994
J.D., Law
Stanford University 1981 — 1985
B.A., Political Science, Economics
Camp Ocean Pines 2011 - Present
FINRA June 2010 - Present
Office of Congressional Ethics 2008 - Present
Center for Competitive Politics June 2010 - May 2012
Valley of the Moon 2010 - 2012
St Raphael AOC 2008 - 2011
GMU Law School 2006 - 2010
Federal Election Commission 2003 - 2005
Bell, McAndrews & Hiltachk 1999 - 2002
Wiley Rein & Fielding 1995 - 1999
Skills
Campaign finance, Government Ethics, Legal Analysis, Singing, Fiddle, Cello, Picking things up off..., Campaign Finance, Legislation, Constitutional Law, Elections, Election Law, Legal Writing, Legislative Relations, Public Policy, Civil Litigation, Policy, Litigation, Administrative Law, Legal Research, Policy Analysis, Politics, Courts, Political Campaigns, Appellate Practice, Westlaw, Mediation, Legal Issues
Education
University of California, Davis - School of Law 1991 — 1994
J.D., Law
Stanford University 1981 — 1985
B.A., Political Science, Economics
Victor Calizone Victor Calizone's FINRA Experience September 1994 - June 1998
Job VP Securities and Compliance at CME Group
Industry Financial Services
Experience
CME Group March 2002 - Present
RBC Investor Services August 1998 - February 2002
FINRA September 1994 - June 1998
Education
Pepperdine University
Bachelor of Science (BS), Accounting and Finance
CME Group March 2002 - Present
RBC Investor Services August 1998 - February 2002
FINRA September 1994 - June 1998
Education
Pepperdine University
Bachelor of Science (BS), Accounting and Finance
Nicholas Moor Nicholas Moor's FINRA Experience January 1995 - Present
Job Senior Forensic Investigator and Litigation Support Specialist at FINRA
Industry Financial Services
Experience
FINRA January 1995 - Present
CCH - Commerce Clearing House 1992 - 1994
US Army 1985 - 1988
Education
The Johns Hopkins University - Carey Business School 2000 — 2002
Master of Science, Information and Telecommunication Systems
Old Dominion University 1988 — 1991
Bachelor of Science in Business Administration, Accounting
FINRA January 1995 - Present
CCH - Commerce Clearing House 1992 - 1994
US Army 1985 - 1988
Education
The Johns Hopkins University - Carey Business School 2000 — 2002
Master of Science, Information and Telecommunication Systems
Old Dominion University 1988 — 1991
Bachelor of Science in Business Administration, Accounting
Tim Morton Tim Morton's FINRA Experience August 2010 - December 2012
Job Financial Services Professional
Industry Financial Services
Experience
Westland Financial Services January 2007 - Present
NABD 2003 - Present
TCFG Wealth Management June 2013 - October 2014
FINRA Small Firm Advisory Board January 2013 - October 2014
WBB Securities, LLC April 2007 - April 2013
FINRA August 2010 - December 2012
James Mitchell & Co. 1994 - 2006
Education
San Diego State University-California State University 1975 — 1978
Westland Financial Services January 2007 - Present
NABD 2003 - Present
TCFG Wealth Management June 2013 - October 2014
FINRA Small Firm Advisory Board January 2013 - October 2014
WBB Securities, LLC April 2007 - April 2013
FINRA August 2010 - December 2012
James Mitchell & Co. 1994 - 2006
Education
San Diego State University-California State University 1975 — 1978
Del Sabri's FINRA Experience June 2010 - Present
Job
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
FINRA June 2010 - Present
Skills
Equities, Trading, Market Regulation, Market Surveillance, Hedge Funds, Capital Markets, Securities, Fixed Income, Trading Systems, Surveillance, Options, Electronic Trading, Risk Management, Derivatives, FINRA, Financial Markets, Equity Trading
Education
San Jose State University 2008 — 2010
MA, Linguistics/Computational Linguistics
San Jose State University
Master's degree, Linguistics/Computational Linguistics
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
FINRA June 2010 - Present
Skills
Equities, Trading, Market Regulation, Market Surveillance, Hedge Funds, Capital Markets, Securities, Fixed Income, Trading Systems, Surveillance, Options, Electronic Trading, Risk Management, Derivatives, FINRA, Financial Markets, Equity Trading
Education
San Jose State University 2008 — 2010
MA, Linguistics/Computational Linguistics
San Jose State University
Master's degree, Linguistics/Computational Linguistics
George Batchvarov's FINRA Experience January 2008 - November 2012
Job Enterprise Architect at Computech, Inc.
Industry Information Technology and Services
Experience
Computech, Inc. December 2012 - Present
Zenith Technologies LLC November 2003 - Present
FINRA January 2008 - November 2012
Fannie Mae April 2007 - December 2007
AOL April 2005 - March 2007
AOL 2002 - 2005
Worldcom July 1997 - April 2003
Intransco Inc July 1996 - June 1997
Siemens January 1994 - June 1996
Skills
Netezza, Sybase, ETL, Abinitio, Shell Scripting, Cognos, Datastage, MySQL, C++, Data Warehousing, Unix Shell Scripting, Data Modeling, Erwin, PL/SQL, Unix, Database Design, Business Intelligence, Data Integration, Solaris, SQL, Master Data Management, Enterprise Architecture, Databases, Agile, XML, SDLC, OLAP, Data Warehouse..., Application Development, Java, Solution Architecture, Data Quality, SOA, Oracle SQL, Performance Tuning, Big Data, Hadoop, Ab Initio, Agile Methodologies, Software Development, Web Services, Tomcat, Oracle, Hibernate, Informatica, Architecture, Web Applications, JavaScript, Business Objects, AJAX
Education
Sofia University St. Kliment Ohridski 1987 — 1992
Master, Computer Science
Computech, Inc. December 2012 - Present
Zenith Technologies LLC November 2003 - Present
FINRA January 2008 - November 2012
Fannie Mae April 2007 - December 2007
AOL April 2005 - March 2007
AOL 2002 - 2005
Worldcom July 1997 - April 2003
Intransco Inc July 1996 - June 1997
Siemens January 1994 - June 1996
Skills
Netezza, Sybase, ETL, Abinitio, Shell Scripting, Cognos, Datastage, MySQL, C++, Data Warehousing, Unix Shell Scripting, Data Modeling, Erwin, PL/SQL, Unix, Database Design, Business Intelligence, Data Integration, Solaris, SQL, Master Data Management, Enterprise Architecture, Databases, Agile, XML, SDLC, OLAP, Data Warehouse..., Application Development, Java, Solution Architecture, Data Quality, SOA, Oracle SQL, Performance Tuning, Big Data, Hadoop, Ab Initio, Agile Methodologies, Software Development, Web Services, Tomcat, Oracle, Hibernate, Informatica, Architecture, Web Applications, JavaScript, Business Objects, AJAX
Education
Sofia University St. Kliment Ohridski 1987 — 1992
Master, Computer Science
Gillian Rosenstein's FINRA Experience January 2010 - Present
Job Project Manager at FINRA
Industry Education Management
Experience
FINRA January 2010 - Present
FINRA - Financial Industry Regulatory Authority February 2007 - December 2009
National Association of Securities Dealers, Inc. (NASD) April 2006 - February 2007
Thomson / NETg October 2003 - December 2004
FinancialCampus November 2001 - October 2003
Kitt Peak, National Optical Astronomy Observatories October 1995 - December 2000
Skills
Social Media, Data Analysis, Program Management, Content Development, Project Management, Training, E-Learning, Microsoft Office, Analysis, Nonprofits, HTML, Software Development, Content Management, Requirements Analysis, Project Planning, Research, Software Project..., Software Documentation, Public Relations, Editing, Vendor Management, Human Resources, Leadership, Management, Change Management, Business Analysis, Management Consulting, Process Improvement, Team Leadership, Strategy
Education
Smith College 1991 — 1995
B.A.
Smith College 1991 — 1995
A.B.
FINRA January 2010 - Present
FINRA - Financial Industry Regulatory Authority February 2007 - December 2009
National Association of Securities Dealers, Inc. (NASD) April 2006 - February 2007
Thomson / NETg October 2003 - December 2004
FinancialCampus November 2001 - October 2003
Kitt Peak, National Optical Astronomy Observatories October 1995 - December 2000
Skills
Social Media, Data Analysis, Program Management, Content Development, Project Management, Training, E-Learning, Microsoft Office, Analysis, Nonprofits, HTML, Software Development, Content Management, Requirements Analysis, Project Planning, Research, Software Project..., Software Documentation, Public Relations, Editing, Vendor Management, Human Resources, Leadership, Management, Change Management, Business Analysis, Management Consulting, Process Improvement, Team Leadership, Strategy
Education
Smith College 1991 — 1995
B.A.
Smith College 1991 — 1995
A.B.
Howard Glassman's FINRA Experience January 2000 - April 2015
Job CPA, CIA, CISA, CITP, GCMA
Industry Financial Services
Experience
FINRA January 2000 - April 2015
Skills
Governance, Enterprise Risk..., Compliance, Auditing, Leadership, Securities, Sarbanes-Oxley Act, Risk Management, Strategic Planning, Financial Risk, Project Management, Financial Services, Corporate Governance
Education
Pace University - Lubin School of Business 1981 — 1986
Master of Business Administration (MBA), Accounting and Information Systems, 3.9 / 4.0
State University of New York at Binghamton 1973 — 1977
Bachelor's degree, Accounting (CPA), 3.9/4.0
FINRA January 2000 - April 2015
Skills
Governance, Enterprise Risk..., Compliance, Auditing, Leadership, Securities, Sarbanes-Oxley Act, Risk Management, Strategic Planning, Financial Risk, Project Management, Financial Services, Corporate Governance
Education
Pace University - Lubin School of Business 1981 — 1986
Master of Business Administration (MBA), Accounting and Information Systems, 3.9 / 4.0
State University of New York at Binghamton 1973 — 1977
Bachelor's degree, Accounting (CPA), 3.9/4.0
Ghada Shabana's FINRA Experience 2005 - Present
Job Senior Examiner at FINRA
Industry Financial Services
Experience
FINRA 2005 - Present
Education
Southern Utah University 1999 — 2003
The University of Texas at Dallas
FINRA 2005 - Present
Education
Southern Utah University 1999 — 2003
The University of Texas at Dallas
Frank Sarrapochiello's FINRA Experience July 2014 - August 2015
Job Internal Audit Manager
Industry Financial Services
Experience
Citi August 2015 - Present
FINRA July 2014 - August 2015
IntercontinentalExchange, Group, Inc. October 2012 - July 2014
National Futures Association January 2009 - September 2012
Park Venture Advisors September 2004 - October 2008
Dodd Consulting, LLC 1999 - 2004
Skills
Financial Analysis, Project Management, Insurance, Risk Management, Microsoft Excel, Microsoft Office, Auditing, Financial Reporting, PowerPoint, Strategic Planning, Due Diligence, Business Strategy, Access, GAAP, Derivatives, Financial Risk, Analysis, Finance, Process Improvement, Management, Portfolio Management, Securities
Education
Pace University 2001 — 2005
Bachelor of Business Administration (BBA), Finance, General
Citi August 2015 - Present
FINRA July 2014 - August 2015
IntercontinentalExchange, Group, Inc. October 2012 - July 2014
National Futures Association January 2009 - September 2012
Park Venture Advisors September 2004 - October 2008
Dodd Consulting, LLC 1999 - 2004
Skills
Financial Analysis, Project Management, Insurance, Risk Management, Microsoft Excel, Microsoft Office, Auditing, Financial Reporting, PowerPoint, Strategic Planning, Due Diligence, Business Strategy, Access, GAAP, Derivatives, Financial Risk, Analysis, Finance, Process Improvement, Management, Portfolio Management, Securities
Education
Pace University 2001 — 2005
Bachelor of Business Administration (BBA), Finance, General
Steven Genegaban's FINRA Experience September 2004 - Present
Job Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA September 2004 - Present
Skills
Financial Regulation
Education
Penn State University 2000 — 2004
Gonzaga College High School
FINRA September 2004 - Present
Skills
Financial Regulation
Education
Penn State University 2000 — 2004
Gonzaga College High School
Joe Okabe, CFP(r)'s FINRA Experience October 2006 - April 2010
Job Branch Manager at Fidelity Investments
Industry Financial Services
Experience
Fidelity Investments September 2014 - Present
Fidelity Investments December 2012 - September 2014
Fidelity Investments January 2010 - December 2012
FINRA October 2006 - April 2010
Education
Rutgers University-New Brunswick 1994 — 1999
Fidelity Investments September 2014 - Present
Fidelity Investments December 2012 - September 2014
Fidelity Investments January 2010 - December 2012
FINRA October 2006 - April 2010
Education
Rutgers University-New Brunswick 1994 — 1999
Pete Welle's FINRA Experience May 1998 - March 2001
Job Principal at E*TRADE
Industry Financial Services
Experience
E*TRADE April 2006 - Present
E*TRADE Financial 2006 - Present
ETRADE FINANCIAL 2006 - Present
Morgan Stanley August 2002 - March 2006
Citigroup Asset Management March 2001 - August 2002
FINRA May 1998 - March 2001
Education
Saint John's University 1980 — 1984
E*TRADE April 2006 - Present
E*TRADE Financial 2006 - Present
ETRADE FINANCIAL 2006 - Present
Morgan Stanley August 2002 - March 2006
Citigroup Asset Management March 2001 - August 2002
FINRA May 1998 - March 2001
Education
Saint John's University 1980 — 1984
Madhu Mulukutla's FINRA Experience April 2008 - January 2009
Job Senior Production Support Analyst ITIL Certified.
Industry Information Technology and Services
Experience
Fannie Mae January 2013 - Present
JDA Solutions January 2012 - December 2012
Fannie Mae January 2009 - January 2012
FINRA April 2008 - January 2009
Montgomery county- Public safety- MD May 2007 - April 2008
Thomson January 2007 - May 2007
Fannie Mae May 2005 - December 2006
Capital One 2002 - 2005
IBM Global Services September 2000 - December 2002
Kernex Microsystems Inc 1998 - 2000
Skills
SDLC, Production Support, Shell Scripting, Unix, Documentation, Solaris, Remedy, Linux, PL/SQL, SQL, Incident Management, ITIL, Unix Shell Scripting, Data Warehousing, ETL, Software Documentation, Weblogic, Testing, Release Management, Process Improvement, CRM, Operations Management, WebLogic, Requirements Analysis, Business Analysis, Software Project..., Vendor Management, Integration, Enterprise Architecture
Education
Masters Degree in Computer science 1994 — 1997
Masters, Computers
Osmania University 1991 — 1994
BS, computers
Fannie Mae January 2013 - Present
JDA Solutions January 2012 - December 2012
Fannie Mae January 2009 - January 2012
FINRA April 2008 - January 2009
Montgomery county- Public safety- MD May 2007 - April 2008
Thomson January 2007 - May 2007
Fannie Mae May 2005 - December 2006
Capital One 2002 - 2005
IBM Global Services September 2000 - December 2002
Kernex Microsystems Inc 1998 - 2000
Skills
SDLC, Production Support, Shell Scripting, Unix, Documentation, Solaris, Remedy, Linux, PL/SQL, SQL, Incident Management, ITIL, Unix Shell Scripting, Data Warehousing, ETL, Software Documentation, Weblogic, Testing, Release Management, Process Improvement, CRM, Operations Management, WebLogic, Requirements Analysis, Business Analysis, Software Project..., Vendor Management, Integration, Enterprise Architecture
Education
Masters Degree in Computer science 1994 — 1997
Masters, Computers
Osmania University 1991 — 1994
BS, computers
J. M. (Marty) McDonough's FINRA Experience 1984 - April 2014
Job Photographer at Clynmalira Studios
Industry Entertainment
Experience
Clynmalira Studios 2014 - Present
J.M. McDonough 1981 - Present
AEA / SAG-AFTRA 1994 - Present
Metropolitan Playhouse 2006 - Present
East Lynne Theater Co. 1998 - Present
FINRA 1984 - April 2014
Dubaigne Fine Art January 2010 - 2014
Self - employed 2008 - 2010
I Don't Care, Inc. October 2008 - October 2008
Montserrat Gallery May 2008 - May 2008
Skills
Acting, Stage, Theatre, Voice Over, Film, Arbitration, Photography, Drama, Performing Arts, Art, Feature Films, Improvisation, Voice Acting, Short Films, Comedy, Singing, Television, Entertainment, Directing, Commercials, Musical Theatre, Music, Dance, Film Production, Video, Screenwriting, Creative Writing, Plays, Adobe Creative Suite, Radio, Festivals, Video Production, Editing, Blogging, Documentaries, Producing, Storytelling, Playwriting, Arts Administration, Theatrical Production, Reality, Books, Dialects, Live Events, Sports Coaching, Presenter, Actors, Post Production, Production Managment, Casting
Education
University of Baltimore School of Law 1971 — 1974
JD, Law
Sewanee-The University of the South
Clynmalira Studios 2014 - Present
J.M. McDonough 1981 - Present
AEA / SAG-AFTRA 1994 - Present
Metropolitan Playhouse 2006 - Present
East Lynne Theater Co. 1998 - Present
FINRA 1984 - April 2014
Dubaigne Fine Art January 2010 - 2014
Self - employed 2008 - 2010
I Don't Care, Inc. October 2008 - October 2008
Montserrat Gallery May 2008 - May 2008
Skills
Acting, Stage, Theatre, Voice Over, Film, Arbitration, Photography, Drama, Performing Arts, Art, Feature Films, Improvisation, Voice Acting, Short Films, Comedy, Singing, Television, Entertainment, Directing, Commercials, Musical Theatre, Music, Dance, Film Production, Video, Screenwriting, Creative Writing, Plays, Adobe Creative Suite, Radio, Festivals, Video Production, Editing, Blogging, Documentaries, Producing, Storytelling, Playwriting, Arts Administration, Theatrical Production, Reality, Books, Dialects, Live Events, Sports Coaching, Presenter, Actors, Post Production, Production Managment, Casting
Education
University of Baltimore School of Law 1971 — 1974
JD, Law
Sewanee-The University of the South
Marvin Ellis-El's FINRA Experience
Job Investigator at FINRA
Industry Capital Markets
Experience
FINRA
Skills
Securities Regulation, Securities, FINRA, Equities, Capital Markets, Due Diligence
Education
Salisbury University 1989 — 1993
FINRA
Skills
Securities Regulation, Securities, FINRA, Equities, Capital Markets, Due Diligence
Education
Salisbury University 1989 — 1993
Corky Christoff's FINRA Experience 2007 - Present
Job Program Manager at FINRA
Industry Financial Services
Experience
FINRA 2007 - Present
NASD 2004 - 2007
Skills
SDLC
Education
Purdue University 1980 — 1985
BS - CEE, Electrical Engineering
FINRA 2007 - Present
NASD 2004 - 2007
Skills
SDLC
Education
Purdue University 1980 — 1985
BS - CEE, Electrical Engineering
Ted Work's FINRA Experience 1993 - Present
Job Assoc Supervisor at FINRA
Industry Financial Services
Experience
FINRA 1993 - Present
Education
Strome College of Business
FINRA 1993 - Present
Education
Strome College of Business
Gene Lopez's FINRA Experience August 2007 - January 2014
Job Counsel at FINRA
Industry Financial Services
Experience
FINRA August 2007 - January 2014
Fenwick Consulting LLC June 2006 - August 2007
The NASDAQ Stock Market, Inc. May 1994 - June 2006
SEC 1988 - 1994
Skills
Securities Regulation, Securities, FINRA, AML, Broker-Dealer, Capital Markets, Corporate Governance, Equities, Financial Regulation, Financial Services, Hedge Funds, Mutual Funds, Options, SEC, Securities Litigation, Series 24, Series 7, Trading
Education
Saint John's University School of Law 1974 — 1977
JD
Cathedral College 1968 — 1972
BA, English
FINRA August 2007 - January 2014
Fenwick Consulting LLC June 2006 - August 2007
The NASDAQ Stock Market, Inc. May 1994 - June 2006
SEC 1988 - 1994
Skills
Securities Regulation, Securities, FINRA, AML, Broker-Dealer, Capital Markets, Corporate Governance, Equities, Financial Regulation, Financial Services, Hedge Funds, Mutual Funds, Options, SEC, Securities Litigation, Series 24, Series 7, Trading
Education
Saint John's University School of Law 1974 — 1977
JD
Cathedral College 1968 — 1972
BA, English
Bryan Di Lella's FINRA Experience June 2006 - Present
Job Senior Vice President at INTERNATIONAL CONSULTING, INC.
Industry Computer & Network Security
Experience
ICI Consulting September 2009 - Present
FINRA June 2006 - Present
Unisys 1986 - 2009
Skills
Business Development, CRM, Marketing Strategy, Sales, Disaster Recovery, Security, IT Strategy, PMP, Vendor Management, Government, Risk Management, Program Management, Enterprise Architecture, Enterprise Software, Strategy, Management, Cloud Computing, Strategic Partnerships
Education
The George Washington University - School of Business 1997 — 1999
MBA
Saint Bonaventure University 1982 — 1986
B.S., Computer Science/Business
ICI Consulting September 2009 - Present
FINRA June 2006 - Present
Unisys 1986 - 2009
Skills
Business Development, CRM, Marketing Strategy, Sales, Disaster Recovery, Security, IT Strategy, PMP, Vendor Management, Government, Risk Management, Program Management, Enterprise Architecture, Enterprise Software, Strategy, Management, Cloud Computing, Strategic Partnerships
Education
The George Washington University - School of Business 1997 — 1999
MBA
Saint Bonaventure University 1982 — 1986
B.S., Computer Science/Business
Viera, Lisa's FINRA Experience July 2004 - Present
Job Senior Regulatory Specialist at FINRA
Industry Financial Services
Experience
FINRA July 2004 - Present
NASDAQ April 2002 - June 2004
NASDAQ OMX August 1997 - April 2002
Nasdaq August 1993 - August 1997
Nasdaq February 1988 - August 1993
Skills
Risk Management, Portfolio Management, Customer Service, Legal Research, Fixed Income, SDLC, Vendor Management, Analysis, Financial Regulation, Securities, Securities Regulation, Regulatory Requirements, AML, FINRA, Corporate Governance, Regulations
Education
Pace University - Lubin School of Business 1982 — 1986
Bachelor of Business Administration (B.B.A.), Marketing
FINRA July 2004 - Present
NASDAQ April 2002 - June 2004
NASDAQ OMX August 1997 - April 2002
Nasdaq August 1993 - August 1997
Nasdaq February 1988 - August 1993
Skills
Risk Management, Portfolio Management, Customer Service, Legal Research, Fixed Income, SDLC, Vendor Management, Analysis, Financial Regulation, Securities, Securities Regulation, Regulatory Requirements, AML, FINRA, Corporate Governance, Regulations
Education
Pace University - Lubin School of Business 1982 — 1986
Bachelor of Business Administration (B.B.A.), Marketing
Labeebah Mutakabbir's FINRA Experience December 1997 - Present
Job Senior Case Assistant and Team Leader at Finra
Industry Financial Services
Experience
Finra December 1997 - Present
Education
Rutgers University 2011 — 2013
Master of Business Administration (M.B.A.)
Finra December 1997 - Present
Education
Rutgers University 2011 — 2013
Master of Business Administration (M.B.A.)
Marcia Asquith's FINRA Experience November 2006 - December 2007
Job SVP/ Corporate Secretary FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) (formerly NASD) January 2008 - Present
FINRA November 2006 - December 2007
NASD July 2004 - October 2007
NASD February 2003 - July 2004
NASD March 2001 - February 2003
U.S. Senate Committee on Agriculture, Nutrition and Forestry March 1995 - March 2001
USDA August 1990 - October 1995
Skills
Government Relations, Public Policy, Strategic Planning, Financial Services, Strategic Communications, Policy Analysis, Government, Capital Markets, Securities Regulation
Education
The College of William and Mary - Marshall Wythe Law School 1987 — 1990
Doctor of Law (JD)
Oklahoma State University 1983 — 1987
B.A., Economics
Muskogee High School 1980 — 1983
Financial Industry Regulatory Authority (FINRA) (formerly NASD) January 2008 - Present
FINRA November 2006 - December 2007
NASD July 2004 - October 2007
NASD February 2003 - July 2004
NASD March 2001 - February 2003
U.S. Senate Committee on Agriculture, Nutrition and Forestry March 1995 - March 2001
USDA August 1990 - October 1995
Skills
Government Relations, Public Policy, Strategic Planning, Financial Services, Strategic Communications, Policy Analysis, Government, Capital Markets, Securities Regulation
Education
The College of William and Mary - Marshall Wythe Law School 1987 — 1990
Doctor of Law (JD)
Oklahoma State University 1983 — 1987
B.A., Economics
Muskogee High School 1980 — 1983
Shari Crawford's FINRA Experience January 2004 - Present
Job Creative Director at FINRA
Industry Financial Services
Experience
FINRA January 2004 - Present
Euro RSCG Magnet 2002 - 2004
Earle Palmer Brown Advertising 2000 - 2002
Henry J. Kaufman 1998 - 2000
The Jefferson Group 1994 - 1997
Skills
Corporate Communications, Social Media, Marketing Communications, Strategic Communications, Public Relations, Internal Communications, Editing, Adobe Creative Suite, Financial Services, Advertising, Social Media Marketing
Education
Oklahoma City University 1986 — 2000
Bachelor of Arts (B.A.), Public Relations, Advertising, and Applied Communication
Lindsay, Oklahoma 1972 — 1986
High School
FINRA January 2004 - Present
Euro RSCG Magnet 2002 - 2004
Earle Palmer Brown Advertising 2000 - 2002
Henry J. Kaufman 1998 - 2000
The Jefferson Group 1994 - 1997
Skills
Corporate Communications, Social Media, Marketing Communications, Strategic Communications, Public Relations, Internal Communications, Editing, Adobe Creative Suite, Financial Services, Advertising, Social Media Marketing
Education
Oklahoma City University 1986 — 2000
Bachelor of Arts (B.A.), Public Relations, Advertising, and Applied Communication
Lindsay, Oklahoma 1972 — 1986
High School
Natalia Gourova's FINRA Experience December 2007 - Present
Job MBA Candidate, Michael G. Foster School of Business, University of Washington
Industry Capital Markets
Experience
FINRA December 2007 - Present
Wheeler Interests 2005 - 2007
Global Visions, VA 2003 - 2007
Norfolk Sister Cities Association 2003 - 2007
Skills
Securities, Securities Regulation, Risk Management, Financial Analysis, Microsoft Excel, Research, Investments, Microsoft Office, Access, Equities, FINRA, Project Management, Outlook, Financial Regulation, PowerPoint, Economics, Asset Managment, Banking, Finance, Capital Markets, Certified Fraud Examiner, CFA Level II Candidate, DSHS Certified..., DSHS Certtified..., Analysis, Due Diligence, Internal Controls, Hedge Funds, Financial Services, Fixed Income, Leadership, Business Analysis, Mutual Funds, Management, Portfolio Management, Marketing, Trading, Financial Reporting, Financial Planning, Financial Modeling, Alternative Investments, Valuation, Auditing, Program Management
Education
UW Foster School of Business 2013 — 2016
Old Dominion University - College of Business and Public Administration 2003 — 2007
BS, International Business, Finance
Voronezh State University 1997 — 2001
BA, English, Interpreting, Multicultural Communications
FINRA December 2007 - Present
Wheeler Interests 2005 - 2007
Global Visions, VA 2003 - 2007
Norfolk Sister Cities Association 2003 - 2007
Skills
Securities, Securities Regulation, Risk Management, Financial Analysis, Microsoft Excel, Research, Investments, Microsoft Office, Access, Equities, FINRA, Project Management, Outlook, Financial Regulation, PowerPoint, Economics, Asset Managment, Banking, Finance, Capital Markets, Certified Fraud Examiner, CFA Level II Candidate, DSHS Certified..., DSHS Certtified..., Analysis, Due Diligence, Internal Controls, Hedge Funds, Financial Services, Fixed Income, Leadership, Business Analysis, Mutual Funds, Management, Portfolio Management, Marketing, Trading, Financial Reporting, Financial Planning, Financial Modeling, Alternative Investments, Valuation, Auditing, Program Management
Education
UW Foster School of Business 2013 — 2016
Old Dominion University - College of Business and Public Administration 2003 — 2007
BS, International Business, Finance
Voronezh State University 1997 — 2001
BA, English, Interpreting, Multicultural Communications
Benjamin Griego's FINRA Experience June 2011 - Present
Job Senior Director at FINRA
Industry Information Technology and Services
Experience
FINRA June 2011 - Present
The Advisory Board Company March 2008 - June 2011
Wyndham Vacation Ownership July 2004 - September 2007
Answerthink February 1999 - May 2004
Boeing September 1996 - October 1998
Skills
Enterprise Architecture, Requirements Analysis, Data Warehousing, SDLC, SOA, Agile Methodologies, Program Management, Business Intelligence
Education
Stanford University 1992 — 1996
BS
FINRA June 2011 - Present
The Advisory Board Company March 2008 - June 2011
Wyndham Vacation Ownership July 2004 - September 2007
Answerthink February 1999 - May 2004
Boeing September 1996 - October 1998
Skills
Enterprise Architecture, Requirements Analysis, Data Warehousing, SDLC, SOA, Agile Methodologies, Program Management, Business Intelligence
Education
Stanford University 1992 — 1996
BS
Igor Mylnarsky's FINRA Experience October 2003 - September 2010
Job Examiner at Federal Reserve Bank of New York
Industry Facilities Services
Experience
Federal Reserve Bank of New York September 2010 - Present
FINRA October 2003 - September 2010
Education
Pace University 2002 — 2005
Federal Reserve Bank of New York September 2010 - Present
FINRA October 2003 - September 2010
Education
Pace University 2002 — 2005
Nancy Condon's FINRA Experience October 1997 - Present
Job VP, Media Relations & Web Services
Industry Financial Services
Rosemarie Bradford's FINRA Experience May 2008 - February 2010
Job Independent Computer Software Professional
Industry Information Technology and Services
Experience
WebMD May 2015 - Present
National Football League January 2015 - May 2015
Time Warner Inc. April 2012 - January 2015
Freddie Mac February 2010 - November 2012
FINRA May 2008 - February 2010
Fannie Mae February 2002 - October 2007
AETEA Information Technology September 1998 - February 2002
Bell Atlantic December 1996 - September 1998
NASD July 1981 - November 1996
Skills
SDLC, Quality Assurance, Software Project..., Business Analysis, Release Management, Requirements Analysis, Data Warehousing, Business Intelligence, Agile Methodologies, Program Management, Vendor Management, PMO, IT Strategy, Requirements Gathering, Project Portfolio..., Agile Project Management
Education
Penn State University 1973 — 1976
Bachelor of Science (B.S.), Mathematics
WebMD May 2015 - Present
National Football League January 2015 - May 2015
Time Warner Inc. April 2012 - January 2015
Freddie Mac February 2010 - November 2012
FINRA May 2008 - February 2010
Fannie Mae February 2002 - October 2007
AETEA Information Technology September 1998 - February 2002
Bell Atlantic December 1996 - September 1998
NASD July 1981 - November 1996
Skills
SDLC, Quality Assurance, Software Project..., Business Analysis, Release Management, Requirements Analysis, Data Warehousing, Business Intelligence, Agile Methodologies, Program Management, Vendor Management, PMO, IT Strategy, Requirements Gathering, Project Portfolio..., Agile Project Management
Education
Penn State University 1973 — 1976
Bachelor of Science (B.S.), Mathematics
Rich Starsia's FINRA Experience January 2011 - Present
Job Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA January 2011 - Present
ADP Inc. July 2008 - September 2009
Bank of America Specialists February 1993 - October 2007
Surnamer and Weissman June 1990 - February 1993
Education
New York University - Leonard N. Stern School of Business 1982 — 1985
MBA, Finance
Princeton University 1974 — 1978
BA, History
FINRA January 2011 - Present
ADP Inc. July 2008 - September 2009
Bank of America Specialists February 1993 - October 2007
Surnamer and Weissman June 1990 - February 1993
Education
New York University - Leonard N. Stern School of Business 1982 — 1985
MBA, Finance
Princeton University 1974 — 1978
BA, History
John M. Malone, CRCP's FINRA Experience 1995 - 1997
Job Vice President and Chief Compliance Officer, Pioneer Funds Distributor, Inc.
Industry Financial Services
Experience
Pioneer Investments August 2004 - Present
MFS 1997 - 2004
FINRA 1995 - 1997
Skills
Series 6, FINRA, Program Management, Series 7, Mutual Funds, Series 63, Securities, Uniform Combined State..., AML, Investments, Asset Managment, Fixed Annuities, Separately Managed..., Equities, Fixed Income, Alternative Investments, Securities Regulation
Education
University of Pennsylvania - The Wharton School 2005 — 2008
Certified Regulatory Compliance Professional, Securities Regulation
Saint John Fisher College 1989 — 1993
Bachelor of Science, Business
Elmira Free Academy 1985 — 1989
Pioneer Investments August 2004 - Present
MFS 1997 - 2004
FINRA 1995 - 1997
Skills
Series 6, FINRA, Program Management, Series 7, Mutual Funds, Series 63, Securities, Uniform Combined State..., AML, Investments, Asset Managment, Fixed Annuities, Separately Managed..., Equities, Fixed Income, Alternative Investments, Securities Regulation
Education
University of Pennsylvania - The Wharton School 2005 — 2008
Certified Regulatory Compliance Professional, Securities Regulation
Saint John Fisher College 1989 — 1993
Bachelor of Science, Business
Elmira Free Academy 1985 — 1989
Julia Brogan's FINRA Experience July 2005 - October 2008
Job Compliance Manager at Macquarie
Industry Financial Services
Experience
Macquarie Bank October 2008 - Present
FINRA July 2005 - October 2008
Skills
Securities, AML
Education
Stony Brook University
Macquarie Bank October 2008 - Present
FINRA July 2005 - October 2008
Skills
Securities, AML
Education
Stony Brook University
Becky Jones, CMP's FINRA Experience November 2007 - January 2010
Job Services Manager for Sodexo at Juniata College
Industry Higher Education
Experience
Sodexo March 2015 - Present
The Ritz-Carlton Hotel Company L.L.C. February 2014 - Present
The Ritz-Carlton, Washington DC January 2010 - February 2014
The Ritz-Carlton Hotel Washington D.C. January 2010 - February 2014
FINRA November 2007 - January 2010
Lansdowne Resort January 2000 - November 2007
The Ritz-Carlton Hotel Company September 1993 - September 1999
Skills
Meeting Planning, Hospitality, Hotels, Hospitality Industry, Food & Beverage, Resorts, Event Management, Banquets, Catering, Customer Service, Convention Services, Sales, Delphi, Menu Development, Corporate Events, Fine Dining, Hotel Management, Budgets, Front Office, Event Planning, Rooms Division, Wine, Hotel Booking, Incentives, Private Events, Tourism, Trade Shows, Opening Hotels, Social Media Marketing, Weddings, Guest Service Management, Culinary Skills, Public Relations, Yield Management, Budget, Public Speaking, Food Service, Coordinating Events, Cuisine, Galas, Luxury, Conference Coordination, Hiring, Training, Revenue Analysis, Wedding Planning, Pre-opening, Hospitality Management, Restaurants, Micros
Education
Penn State University 1989 — 1991
Sodexo March 2015 - Present
The Ritz-Carlton Hotel Company L.L.C. February 2014 - Present
The Ritz-Carlton, Washington DC January 2010 - February 2014
The Ritz-Carlton Hotel Washington D.C. January 2010 - February 2014
FINRA November 2007 - January 2010
Lansdowne Resort January 2000 - November 2007
The Ritz-Carlton Hotel Company September 1993 - September 1999
Skills
Meeting Planning, Hospitality, Hotels, Hospitality Industry, Food & Beverage, Resorts, Event Management, Banquets, Catering, Customer Service, Convention Services, Sales, Delphi, Menu Development, Corporate Events, Fine Dining, Hotel Management, Budgets, Front Office, Event Planning, Rooms Division, Wine, Hotel Booking, Incentives, Private Events, Tourism, Trade Shows, Opening Hotels, Social Media Marketing, Weddings, Guest Service Management, Culinary Skills, Public Relations, Yield Management, Budget, Public Speaking, Food Service, Coordinating Events, Cuisine, Galas, Luxury, Conference Coordination, Hiring, Training, Revenue Analysis, Wedding Planning, Pre-opening, Hospitality Management, Restaurants, Micros
Education
Penn State University 1989 — 1991
David Ingevaldson's FINRA Experience 2005 - 2008
Job President, BDL Compliance Consulting
Industry Financial Services
Experience
BDL Compliance Consulting 2007 - Present
FINRA 2005 - 2008
Skills
FINRA, AML, Series 7, Securities Regulation, Compliance, Series 63, Securities, Alternative Investments, Investment Advisory, Hedge Funds, Series 24, Asset Management, Equities, ETFs, Due Diligence, Investments, Anti Money Laundering, Mutual Funds, Risk Management, Capital Markets, Financial Services, Fixed Income, Finance, Derivatives, Trading, Portfolio Management, Financial Analysis, Private Equity, Financial Markets
Education
Purdue University - Krannert School of Management 1994 — 1998
Bachelor of Science, Management
BDL Compliance Consulting 2007 - Present
FINRA 2005 - 2008
Skills
FINRA, AML, Series 7, Securities Regulation, Compliance, Series 63, Securities, Alternative Investments, Investment Advisory, Hedge Funds, Series 24, Asset Management, Equities, ETFs, Due Diligence, Investments, Anti Money Laundering, Mutual Funds, Risk Management, Capital Markets, Financial Services, Fixed Income, Finance, Derivatives, Trading, Portfolio Management, Financial Analysis, Private Equity, Financial Markets
Education
Purdue University - Krannert School of Management 1994 — 1998
Bachelor of Science, Management
Carl Bayer's FINRA Experience March 2003 - Present
Job Associate Director at FINRA
Industry Financial Services
Experience
FINRA March 2003 - Present
Education
State University of New York at Buffalo - School of Management 1988 — 1992
FINRA March 2003 - Present
Education
State University of New York at Buffalo - School of Management 1988 — 1992
Linda Shapiro's FINRA Experience 1994 - 1997
Job Compliance Officer specializing in Equity Trading
Industry Financial Services
Experience
H & R Block January 2009 - Present
AllianceBernstein May 2002 - June 2008
member of Midtown Regulatory Group 1997 - 2008
CIBC World Markets March 2000 - October 2001
Schroders June 1997 - March 2000
FINRA 1994 - 1997
Skills
Internal Controls, Securities, Equity Trading, Finance, Short Sales, Risk Management, Series 7, Financial Services, Investments, Hedge Funds, Financial Risk, Auditing, Due Diligence, Capital Markets, Trading, AML, Equities, Options, Banking, FINRA, Accounting, Mutual Funds, Tax, Asset Management, Fixed Income, Series 63
Education
State University of New York College at Oneonta
BS, Elementary Education
State University of New York College at Oswego
Accounting
W C Mepham High in Merrick
H & R Block January 2009 - Present
AllianceBernstein May 2002 - June 2008
member of Midtown Regulatory Group 1997 - 2008
CIBC World Markets March 2000 - October 2001
Schroders June 1997 - March 2000
FINRA 1994 - 1997
Skills
Internal Controls, Securities, Equity Trading, Finance, Short Sales, Risk Management, Series 7, Financial Services, Investments, Hedge Funds, Financial Risk, Auditing, Due Diligence, Capital Markets, Trading, AML, Equities, Options, Banking, FINRA, Accounting, Mutual Funds, Tax, Asset Management, Fixed Income, Series 63
Education
State University of New York College at Oneonta
BS, Elementary Education
State University of New York College at Oswego
Accounting
W C Mepham High in Merrick
Suzanne Pataki's FINRA Experience 1984 - 2004
Job Asst. Manager Compliance at Weeden & Co., L.P.
Industry Financial Services
Experience
Weeden & Co., L.P. December 2004 - Present
FINRA 1984 - 2004
Skills
Securities, Series 7, FINRA, Compliance, Mutual Funds, AML, Series 24, Equities, Capital Markets, Options, Trading
Education
Pace University - Lubin School of Business
MBA, Finance
Weeden & Co., L.P. December 2004 - Present
FINRA 1984 - 2004
Skills
Securities, Series 7, FINRA, Compliance, Mutual Funds, AML, Series 24, Equities, Capital Markets, Options, Trading
Education
Pace University - Lubin School of Business
MBA, Finance
Christine Kolber's FINRA Experience August 2010 - Present
Job Principal Regulatory Coordinator at FINRA
Industry Accounting
Experience
FINRA August 2010 - Present
Charming Shoppes Inc March 2007 - April 2010
JPMorgan Chase & Co. April 1999 - March 2007
First Colonial Securities Group Inc. December 1995 - April 1999
David I Silnutzer, CPA June 1990 - December 1995
Education
Rutgers University-New Brunswick 1986 — 1990
Rutgers College, Rutgers University, School of Business
B.S, Accounting
FINRA August 2010 - Present
Charming Shoppes Inc March 2007 - April 2010
JPMorgan Chase & Co. April 1999 - March 2007
First Colonial Securities Group Inc. December 1995 - April 1999
David I Silnutzer, CPA June 1990 - December 1995
Education
Rutgers University-New Brunswick 1986 — 1990
Rutgers College, Rutgers University, School of Business
B.S, Accounting
Nada Allie's FINRA Experience September 2000 - Present
Job Supervisor, Billing Services at Finra
Industry Financial Services
Experience
Finra September 2000 - Present
Legal & General America 1998 - 2000
Banner Life Insurance Company 1998 - 2000
Education
University of Phoenix 2007 — 2009
Business Management
Robert Morris University 1986 — 1989
Associates, Business Management
Finra September 2000 - Present
Legal & General America 1998 - 2000
Banner Life Insurance Company 1998 - 2000
Education
University of Phoenix 2007 — 2009
Business Management
Robert Morris University 1986 — 1989
Associates, Business Management
Kamla Ramlall's FINRA Experience 2000 - 2007
Job Director, Compliance at TD Securities (USA) LLC
Industry Financial Services
Experience
TD Securities (USA) LLC April 2012 - Present
Merrill Lynch August 2007 - April 2012
FINRA 2000 - 2007
Education
Queens College
TD Securities (USA) LLC April 2012 - Present
Merrill Lynch August 2007 - April 2012
FINRA 2000 - 2007
Education
Queens College
Marvin Hill's FINRA Experience September 2004 - Present
Job Examination Manager at FINRA
Industry Financial Services
Experience
FINRA September 2004 - Present
JP Morgan Chase October 1988 - February 2005
Education
Queensborough Community College
Business Management
FINRA September 2004 - Present
JP Morgan Chase October 1988 - February 2005
Education
Queensborough Community College
Business Management
Christopher Au's FINRA Experience August 2015 - Present
Job Associate Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA August 2015 - Present
Standard & Poor's June 2012 - May 2015
Morgan Stanley April 2005 - May 2012
Skills
Equities, Fixed Income, Bloomberg, Capital Markets, Securities, Derivatives, Financial Services, Risk Management, Financial Analysis, Series 7, Microsoft Excel, Hedge Funds, Financial Modeling, Market Data, Sales, Operations Management, Leadership, Team Leadership
Education
Syracuse University
Bachelor’s Degree, Finance, Economics, Supply Chain Management
Xavier High School
FINRA August 2015 - Present
Standard & Poor's June 2012 - May 2015
Morgan Stanley April 2005 - May 2012
Skills
Equities, Fixed Income, Bloomberg, Capital Markets, Securities, Derivatives, Financial Services, Risk Management, Financial Analysis, Series 7, Microsoft Excel, Hedge Funds, Financial Modeling, Market Data, Sales, Operations Management, Leadership, Team Leadership
Education
Syracuse University
Bachelor’s Degree, Finance, Economics, Supply Chain Management
Xavier High School
Deborah Lang's FINRA Experience June 2010 - Present
Job Director at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
NYSE Euronext August 2001 - June 2010
NYSE August 2001 - June 2010
Education
Stevens Institute of Technology 2000 — 2004
Masters, Information Management
FINRA June 2010 - Present
NYSE Euronext August 2001 - June 2010
NYSE August 2001 - June 2010
Education
Stevens Institute of Technology 2000 — 2004
Masters, Information Management
Anita (Wadelton) Ready's FINRA Experience October 2009 - Present
Job Senior Systems Analyst at FINRA
Industry Computer Software
Experience
FINRA October 2009 - Present
EDS January 1999 - October 2009
National Association of Securities Dealers (NASD) February 1994 - July 1999
AGS Information Services, Inc. February 1988 - January 1994
Chevy Chase Federal Savings Bank June 1986 - January 1988
Florida Federal Savings Bank August 1982 - June 1986
Skills
Requirements Analysis, SDLC, Business Analysis, Requirements Gathering, Process Improvement, Enterprise Architecture, Business Process..., SOA, Software Project..., Business Process, IT Strategy, Integration, Program Management, Data Analysis
Education
Purdue University - Krannert School of Management 1978 — 1982
B.S., Management
FINRA October 2009 - Present
EDS January 1999 - October 2009
National Association of Securities Dealers (NASD) February 1994 - July 1999
AGS Information Services, Inc. February 1988 - January 1994
Chevy Chase Federal Savings Bank June 1986 - January 1988
Florida Federal Savings Bank August 1982 - June 1986
Skills
Requirements Analysis, SDLC, Business Analysis, Requirements Gathering, Process Improvement, Enterprise Architecture, Business Process..., SOA, Software Project..., Business Process, IT Strategy, Integration, Program Management, Data Analysis
Education
Purdue University - Krannert School of Management 1978 — 1982
B.S., Management
Peter Herman's FINRA Experience 1999 - 2006
Job Assistant Vice President Lloyds Securities Inc.
Industry Financial Services
Experience
Lloyds Securities Inc. May 2012 - July 2014
Morgan Stanley April 2006 - January 2012
FINRA 1999 - 2006
Skills
Banking, Bloomberg Terminal, Capital Markets, FINRA, Financial Services, Fixed Income, Investment Banking, Investments, Risk Management, Securities, Series 7, Equities
Education
Rutgers, The State University of New Jersey-Newark 1994 — 1996
MBA, Finance
Rutgers University-New Brunswick 1987 — 1991
BA, Economics
Lloyds Securities Inc. May 2012 - July 2014
Morgan Stanley April 2006 - January 2012
FINRA 1999 - 2006
Skills
Banking, Bloomberg Terminal, Capital Markets, FINRA, Financial Services, Fixed Income, Investment Banking, Investments, Risk Management, Securities, Series 7, Equities
Education
Rutgers, The State University of New Jersey-Newark 1994 — 1996
MBA, Finance
Rutgers University-New Brunswick 1987 — 1991
BA, Economics
Brian Ardire's FINRA Experience May 2007 - April 2008
Job Legal Counsel at BlueLine Rental, LLC, f/k/a Volvo Construction Equipment Rents, LLC
Industry Law Practice
Experience
BlueLine Rental, LLC February 2014 - Present
Volvo Construction Equipment Rents, LLC October 2012 - February 2014
Pennsylvania Securities Commission August 2008 - September 2012
FINRA May 2007 - April 2008
Hofstein, Weiner & Levit, PC June 2006 - August 2006
Education
Temple University - James E. Beasley School of Law 2005 — 2008
JD, Law
Susquehanna University 1999 — 2003
Bachelor of Arts, Psychology
BlueLine Rental, LLC February 2014 - Present
Volvo Construction Equipment Rents, LLC October 2012 - February 2014
Pennsylvania Securities Commission August 2008 - September 2012
FINRA May 2007 - April 2008
Hofstein, Weiner & Levit, PC June 2006 - August 2006
Education
Temple University - James E. Beasley School of Law 2005 — 2008
JD, Law
Susquehanna University 1999 — 2003
Bachelor of Arts, Psychology
Balaka Mallik's FINRA Experience March 2010 - July 2010
Job Senior IT Professional
Industry Information Technology and Services
Experience
MultiPlan June 2015 - Present
CGI March 2015 - June 2015
HCL America April 2014 - September 2014
Capital One June 2013 - December 2013
Freddie Mac May 2012 - April 2013
Fannie Mae June 2011 - April 2012
Tata Consultancy Services November 2010 - June 2011
FINRA March 2010 - July 2010
Los Angeles Unified School District April 2007 - September 2009
Cognicase January 2002 - August 2002
Skills
MS Project, Visio, Risk Management, Business Analysis, Project Planning, Primavera P6, Requirements Analysis, Program Management, ERP, PMP, SDLC, Software Project..., PMO, Requirements Gathering, Integration, IT Strategy, Testing, Resource Management, Business Intelligence, Team Leadership, Project Portfolio..., Vendor Management
Education
Shreemati Nathibai Damodar Thackersey Women's University 1991 — 1994
MCA, Comp Sc.
Presidency College
MultiPlan June 2015 - Present
CGI March 2015 - June 2015
HCL America April 2014 - September 2014
Capital One June 2013 - December 2013
Freddie Mac May 2012 - April 2013
Fannie Mae June 2011 - April 2012
Tata Consultancy Services November 2010 - June 2011
FINRA March 2010 - July 2010
Los Angeles Unified School District April 2007 - September 2009
Cognicase January 2002 - August 2002
Skills
MS Project, Visio, Risk Management, Business Analysis, Project Planning, Primavera P6, Requirements Analysis, Program Management, ERP, PMP, SDLC, Software Project..., PMO, Requirements Gathering, Integration, IT Strategy, Testing, Resource Management, Business Intelligence, Team Leadership, Project Portfolio..., Vendor Management
Education
Shreemati Nathibai Damodar Thackersey Women's University 1991 — 1994
MCA, Comp Sc.
Presidency College
Dennis Mellott's FINRA Experience August 2009 - November 2013
Job Sales Technology Project Manager at Bank of America Merchant Services
Industry Financial Services
Experience
Bank of America Merchant Services December 2013 - Present
FINRA August 2009 - November 2013
First Data Corporation 2002 - 2008
Skills
Customer Service, Process Improvement, Recruiting, Team Building, Microsoft Office, Management, Employee Relations, Talent Acquisition, Microsoft Excel, Applicant Tracking..., Credit Cards, Strategic Planning, PowerPoint, Performance Management, Human Resources, Technical Recruiting
Education
Penn State University 1997 — 2001
BA
Bank of America Merchant Services December 2013 - Present
FINRA August 2009 - November 2013
First Data Corporation 2002 - 2008
Skills
Customer Service, Process Improvement, Recruiting, Team Building, Microsoft Office, Management, Employee Relations, Talent Acquisition, Microsoft Excel, Applicant Tracking..., Credit Cards, Strategic Planning, PowerPoint, Performance Management, Human Resources, Technical Recruiting
Education
Penn State University 1997 — 2001
BA
Otto Lambrianidis's FINRA Experience Managing Regulatory CoordinatorFINRAProduct Controller VPNomura Securities2007 - 2008
Job Financial Services Professional
Industry Financial Services
Experience
FINRA Managing Regulatory CoordinatorFINRAProduct Controller VPNomura Securities2007 - 2008
ABN AMRO 2004 - 2007
Credit Lyonnais 1999 - 2004
Lehman Brothers 1988 - 1999
Education
Queens College 1982 — 1987
Bachelor of Arts, Economics
FINRA Managing Regulatory CoordinatorFINRAProduct Controller VPNomura Securities2007 - 2008
ABN AMRO 2004 - 2007
Credit Lyonnais 1999 - 2004
Lehman Brothers 1988 - 1999
Education
Queens College 1982 — 1987
Bachelor of Arts, Economics
Brittany Van Dover's FINRA Experience August 2007 - July 2009
Job Registered Nurse
Industry Hospital & Health Care
Experience
North Shore-LIJ Health System July 2015 - Present
Reval October 2013 - May 2014
RBC Capital Markets April 2013 - July 2013
CIBC August 2010 - March 2013
E*TRADE Financial August 2009 - August 2010
FINRA August 2007 - July 2009
ABN AMRO Asset Management (Guernsey) Limited 2005 - 2005
ABN AMRO Asset Management 2005 - 2005
Skills
ICU, Nursing, Registered Nurses, Patient Safety, Patient Education, Patient Advocacy, Securities, Fixed Income, Capital Markets, Financial Services, Series 7, Securities Regulation, Interest Rate Swaps, Equities, Hedge Funds, Bonds, AML, Treasury Management, Options, Bloomberg, Derivatives, Risk Management
Education
Stony Brook University 2014 — 2015
Bachelor of Science (BS), Accelerated Nursing/Registered Nurse
Siena College 2003 — 2007
Bachelor of Business Administration (B.B.A.), Accounting
North Shore-LIJ Health System July 2015 - Present
Reval October 2013 - May 2014
RBC Capital Markets April 2013 - July 2013
CIBC August 2010 - March 2013
E*TRADE Financial August 2009 - August 2010
FINRA August 2007 - July 2009
ABN AMRO Asset Management (Guernsey) Limited 2005 - 2005
ABN AMRO Asset Management 2005 - 2005
Skills
ICU, Nursing, Registered Nurses, Patient Safety, Patient Education, Patient Advocacy, Securities, Fixed Income, Capital Markets, Financial Services, Series 7, Securities Regulation, Interest Rate Swaps, Equities, Hedge Funds, Bonds, AML, Treasury Management, Options, Bloomberg, Derivatives, Risk Management
Education
Stony Brook University 2014 — 2015
Bachelor of Science (BS), Accelerated Nursing/Registered Nurse
Siena College 2003 — 2007
Bachelor of Business Administration (B.B.A.), Accounting
Victoria Vandewater's FINRA Experience December 1999 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Elyse Giattino, CPA's FINRA Experience February 2011 - Present
Job Associate Principal at FINRA
Industry Financial Services
Experience
FINRA February 2011 - Present
Chartis February 2009 - February 2011
Sloane & Company February 2007 - January 2009
Ernst & Young September 2005 - February 2007
Skills
Due Diligence, Financial Modeling, Financial Analysis, Sarbanes-Oxley Act, Auditing, Strategic Communications, Internal Controls
Education
Pace University
Bachelor of Business Administration, Accounting
FINRA February 2011 - Present
Chartis February 2009 - February 2011
Sloane & Company February 2007 - January 2009
Ernst & Young September 2005 - February 2007
Skills
Due Diligence, Financial Modeling, Financial Analysis, Sarbanes-Oxley Act, Auditing, Strategic Communications, Internal Controls
Education
Pace University
Bachelor of Business Administration, Accounting
Jeff Bega's FINRA Experience January 1995 - Present
Job Business Development at COR Clearing
Industry Financial Services
Experience
COR Clearing May 2015 - Present
FINRA January 1995 - Present
ACA Compliance Group July 2014 - January 2015
ConvergEx Group, Sell-Side Services October 2012 - March 2014
STANY 2012 - 2014
Florida STA 2012 - 2014
Penson Financial Services June 2010 - July 2012
Broadridge May 2005 - June 2010
Pershing, a BNY Mellon company 2000 - 2005
HSBC October 1987 - May 2000
Skills
Series 7, Series 24, Series 63, Securities, Equities, Prime Brokerage, FINRA, Options, Fixed Income, Trading, Hedge Funds, Mutual Funds, Sales Management, Series 27, Institutional Sales, Salesforce.com, Sales Presentations, Investments, FX Options, Risk Management, Financial Markets, Equity Trading, Capital Markets, Trading Systems, Financial Services, Electronic Trading, ETFs, Derivatives, Bonds, Alternative Investments, Wealth Management, Bloomberg, Equity Derivatives, Middle Office, Market Data, Asset Management, Settlement, Corporate Actions, Investment Advisory, Back Office
Education
Pace University - Lubin School of Business
Master of Business Administration (M.B.A.), Finance, Management
Saint John's University - Peter J. Tobin College of Business
Bachelor of Science (BS), Finance
COR Clearing May 2015 - Present
FINRA January 1995 - Present
ACA Compliance Group July 2014 - January 2015
ConvergEx Group, Sell-Side Services October 2012 - March 2014
STANY 2012 - 2014
Florida STA 2012 - 2014
Penson Financial Services June 2010 - July 2012
Broadridge May 2005 - June 2010
Pershing, a BNY Mellon company 2000 - 2005
HSBC October 1987 - May 2000
Skills
Series 7, Series 24, Series 63, Securities, Equities, Prime Brokerage, FINRA, Options, Fixed Income, Trading, Hedge Funds, Mutual Funds, Sales Management, Series 27, Institutional Sales, Salesforce.com, Sales Presentations, Investments, FX Options, Risk Management, Financial Markets, Equity Trading, Capital Markets, Trading Systems, Financial Services, Electronic Trading, ETFs, Derivatives, Bonds, Alternative Investments, Wealth Management, Bloomberg, Equity Derivatives, Middle Office, Market Data, Asset Management, Settlement, Corporate Actions, Investment Advisory, Back Office
Education
Pace University - Lubin School of Business
Master of Business Administration (M.B.A.), Finance, Management
Saint John's University - Peter J. Tobin College of Business
Bachelor of Science (BS), Finance
Jim Nunciato's FINRA Experience January 1996 - Present
Job Owner, Wall St On Court St
Industry Investment Management
Experience
FINRA January 1996 - Present
Wall St On Court St 1987 - Present
Wall St On Court St September 1980 - Present
Tompkins Cortland Community College 2000 - 2011
A.G. Edwards & Sons, Inc. 1988 - 1990
Skills
Retirement Planning, Fixed Annuities, Securities, Investments, IRAs, 401k, Mutual Funds, Insurance, Life Insurance, Financial Services, Series 7, Variable Annuities, Customer Service, Fundraising, Public Speaking, Roth IRA, FINRA, Research, Investment Advisory, Portfolio Management, Finance, Budgets, Building Relationships, Financial Analysis, Social Media, Strategic Planning, Strategic Financial..., Client Relations
Education
State University of New York College at Buffalo 1979 — 1980
bs, Economics
State University of New York College at Brockport 1978 — 1979
n/a, Economics
FINRA January 1996 - Present
Wall St On Court St 1987 - Present
Wall St On Court St September 1980 - Present
Tompkins Cortland Community College 2000 - 2011
A.G. Edwards & Sons, Inc. 1988 - 1990
Skills
Retirement Planning, Fixed Annuities, Securities, Investments, IRAs, 401k, Mutual Funds, Insurance, Life Insurance, Financial Services, Series 7, Variable Annuities, Customer Service, Fundraising, Public Speaking, Roth IRA, FINRA, Research, Investment Advisory, Portfolio Management, Finance, Budgets, Building Relationships, Financial Analysis, Social Media, Strategic Planning, Strategic Financial..., Client Relations
Education
State University of New York College at Buffalo 1979 — 1980
bs, Economics
State University of New York College at Brockport 1978 — 1979
n/a, Economics
Brian Abrams, CFA's FINRA Experience March 2007 - April 2009
Job Director of Alternative Investments at AlcatelLucent
Industry Investment Management
Experience
Alcatel-Lucent February 2010 - Present
FINRA March 2007 - April 2009
Howard Hughes Medical Institute April 2001 - May 2006
DuPont Pension Fund Investment November 1989 - March 2001
Education
Syracuse University
BS, Management
The George Washington University
MBA, Finance
Alcatel-Lucent February 2010 - Present
FINRA March 2007 - April 2009
Howard Hughes Medical Institute April 2001 - May 2006
DuPont Pension Fund Investment November 1989 - March 2001
Education
Syracuse University
BS, Management
The George Washington University
MBA, Finance
Chenlan Guo's FINRA Experience August 2011 - July 2012
Job Senior SharePoint Consultant at Department of State
Industry Computer Software
Experience
Department of State August 2012 - Present
FINRA August 2011 - July 2012
VIASAT, INC August 2010 - August 2011
EMC June 2002 - 2010
emc 2002 - 2009
OTG 1998 - 2002
OTG Software 1997 - 2002
Skills
Software Development, Cloud Computing, Storage, Agile Methodologies, Virtualization, Software Engineering
Education
Shanghai University 1991 — 1995
Bachelor, Computer
Department of State August 2012 - Present
FINRA August 2011 - July 2012
VIASAT, INC August 2010 - August 2011
EMC June 2002 - 2010
emc 2002 - 2009
OTG 1998 - 2002
OTG Software 1997 - 2002
Skills
Software Development, Cloud Computing, Storage, Agile Methodologies, Virtualization, Software Engineering
Education
Shanghai University 1991 — 1995
Bachelor, Computer
Dianne DuSault's FINRA Experience 1984 - 2008
Job Certified Regulatory Compliance Specialist
Industry Financial Services
Experience
NASD September 1984 - December 2008
NASD 1984 - 2008
FINRA 1984 - 2008
FINRA (Financial Industry Regulatory Authority), formerly NASD 1984 - 2008
Skills
Internal Audit, Series 24, FINRA, Investment Advisory, Hedge Funds, Securities, Banking, Series 7, Equities, Policy, Mutual Funds
Education
Spokane Falls Community College 1976 — 1978
AA, Accounting & Federal Tax Practice
Wharton Business School
Certification, Regulatory Compliance Professional
NASD September 1984 - December 2008
NASD 1984 - 2008
FINRA 1984 - 2008
FINRA (Financial Industry Regulatory Authority), formerly NASD 1984 - 2008
Skills
Internal Audit, Series 24, FINRA, Investment Advisory, Hedge Funds, Securities, Banking, Series 7, Equities, Policy, Mutual Funds
Education
Spokane Falls Community College 1976 — 1978
AA, Accounting & Federal Tax Practice
Wharton Business School
Certification, Regulatory Compliance Professional
Ralph Heil's FINRA Experience September 1985 - October 2003
Job Branch Chief at SEC
Industry Government Administration
Experience
US Securities and Exchange Commission October 2003 - Present
FINRA September 1985 - October 2003
FINRA (Formerly NASD) 1985 - 2003
NASD 1985 - 2003
Education
Penn State University 1981 — 1985
BS, Finance
US Securities and Exchange Commission October 2003 - Present
FINRA September 1985 - October 2003
FINRA (Formerly NASD) 1985 - 2003
NASD 1985 - 2003
Education
Penn State University 1981 — 1985
BS, Finance
Ken Worm's FINRA Experience January 1982 - January 2014
Job Manager at FINRA
Industry Financial Services
Experience
FINRA January 1982 - January 2014
Cargill 1978 - 1981
Education
The George Washington University - School of Business 1982 — 1984
MBA, Finance
Saint John's University 1973 — 1977
BA, Business
FINRA January 1982 - January 2014
Cargill 1978 - 1981
Education
The George Washington University - School of Business 1982 — 1984
MBA, Finance
Saint John's University 1973 — 1977
BA, Business
Raymond O'Brien's FINRA Experience March 2004 - Present
Job Senior Examiner at FINRA
Industry Financial Services
Experience
FINRA March 2004 - Present
TD Waterhouse 1996 - 2003
Skills
Securities, Mutual Funds, Capital Markets, FINRA, Equities, Securities Regulation, AML, Broker-Dealer, Series 24, Fixed Income, Series 7, Financial Regulation, Investments, Hedge Funds, Series 63, SEC, KYC, USA PATRIOT Act, Investment Advisory, OFAC, Bank Secrecy Act, Financial Services, Electronic Trading, Options, Derivatives, Financial Markets, Trading, Alternative Investments, Financial Risk, Operational Risk
Education
State University of New York College at Oneonta 1982 — 1985
FINRA March 2004 - Present
TD Waterhouse 1996 - 2003
Skills
Securities, Mutual Funds, Capital Markets, FINRA, Equities, Securities Regulation, AML, Broker-Dealer, Series 24, Fixed Income, Series 7, Financial Regulation, Investments, Hedge Funds, Series 63, SEC, KYC, USA PATRIOT Act, Investment Advisory, OFAC, Bank Secrecy Act, Financial Services, Electronic Trading, Options, Derivatives, Financial Markets, Trading, Alternative Investments, Financial Risk, Operational Risk
Education
State University of New York College at Oneonta 1982 — 1985
Jodi Brower-Thompson's FINRA Experience June 2007 - Present
Job Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA June 2007 - Present
NASDAQ October 2000 - June 2007
Skills
Securities, FINRA, Corporate Governance, Securities Regulation, Financial Regulation
Education
Rochester Institute of Technology
FINRA June 2007 - Present
NASDAQ October 2000 - June 2007
Skills
Securities, FINRA, Corporate Governance, Securities Regulation, Financial Regulation
Education
Rochester Institute of Technology
Josh Zucker's FINRA Experience January 2006 - October 2010
Job Contract Specialist at Johnson & Johnson
Industry Legal Services
Experience
Johnson & Johnson May 2010 - Present
FINRA January 2006 - October 2010
Regent Book Co 2005 - 2009
PMRG March 2003 - September 2007
Schering-Plough Corporation 2000 - 2005
Skills
Contract Management, Leadership, Contract Negotiation, Corporate Law, Mergers & Acquisitions, Due Diligence, Negotiation, Strategic Planning, Cross-functional Team..., Risk Management, Project Management, Strategy, Process Improvement, Management, Program Management, Government, Analysis, Business Development, Procurement, Marketing, Vendor Management
Education
The John Marshall Law School 1990 — 1993
JD, Law
Rutgers, The State University of New Jersey-Newark 1985 — 1987
MBA, Accounting
University of Richmond 1978 — 1983
BA, History
Johnson & Johnson May 2010 - Present
FINRA January 2006 - October 2010
Regent Book Co 2005 - 2009
PMRG March 2003 - September 2007
Schering-Plough Corporation 2000 - 2005
Skills
Contract Management, Leadership, Contract Negotiation, Corporate Law, Mergers & Acquisitions, Due Diligence, Negotiation, Strategic Planning, Cross-functional Team..., Risk Management, Project Management, Strategy, Process Improvement, Management, Program Management, Government, Analysis, Business Development, Procurement, Marketing, Vendor Management
Education
The John Marshall Law School 1990 — 1993
JD, Law
Rutgers, The State University of New Jersey-Newark 1985 — 1987
MBA, Accounting
University of Richmond 1978 — 1983
BA, History
John Zeno's FINRA Experience January 1998 - April 2008
Job CCO/AMLCO at AdCap Securities, LLC
Industry Financial Services
Experience
AdCap Securities, LLC June 2014 - Present
Blueprint Regulatory Consulting June 2013 - June 2014
Intercam Securities, Inc January 2013 - June 2013
ITA Financial Services, LLC September 2011 - December 2012
Patagonia Securities, LLC. February 2011 - September 2011
Souza Barros Securities, Inc March 2008 - February 2011
FINRA January 1998 - April 2008
Salomon Smith Barney 1997 - 1998
American Stock Exchange 1985 - 1998
Skills
FINRA, AML, USA PATRIOT Act, OFAC, Securities Regulation, Securities, Broker-Dealer, Bank Secrecy Act, Series 24, Series 7, SEC, Fraud, KYC, Compliance Testing, Financial Services, Trading, Hedge Funds, Anti Money Laundering, Investments, Fixed Income
Education
Pace University 1995 — 2005
BA, Business Administration/International Management
Pace University - Lubin School of Business 1994 — 2005
AdCap Securities, LLC June 2014 - Present
Blueprint Regulatory Consulting June 2013 - June 2014
Intercam Securities, Inc January 2013 - June 2013
ITA Financial Services, LLC September 2011 - December 2012
Patagonia Securities, LLC. February 2011 - September 2011
Souza Barros Securities, Inc March 2008 - February 2011
FINRA January 1998 - April 2008
Salomon Smith Barney 1997 - 1998
American Stock Exchange 1985 - 1998
Skills
FINRA, AML, USA PATRIOT Act, OFAC, Securities Regulation, Securities, Broker-Dealer, Bank Secrecy Act, Series 24, Series 7, SEC, Fraud, KYC, Compliance Testing, Financial Services, Trading, Hedge Funds, Anti Money Laundering, Investments, Fixed Income
Education
Pace University 1995 — 2005
BA, Business Administration/International Management
Pace University - Lubin School of Business 1994 — 2005
Amanda Zwerlein's FINRA Experience May 2008 - August 2008
Job Senior Finance Administrator at BTPW
Industry Financial Services
Experience
BT Private Wires November 2010 - Present
Arbonne International April 2007 - 2012
LF USA/Cipriani Accessories May 2010 - November 2010
Mathies Capital Management, LLC September 2009 - May 2010
FINRA May 2008 - August 2008
Skills
Microsoft Office, Excel, Outlook, PowerPoint, Microsoft Excel
Education
Quinnipiac University 2005 — 2009
Bachelor of Science, Finance, General
Quinnipiac University - School of Business 2005 — 2009
Bachelor's, Finance, Economics
SCHOOL OF BUSINESS 2005 — 2009
BT Private Wires November 2010 - Present
Arbonne International April 2007 - 2012
LF USA/Cipriani Accessories May 2010 - November 2010
Mathies Capital Management, LLC September 2009 - May 2010
FINRA May 2008 - August 2008
Skills
Microsoft Office, Excel, Outlook, PowerPoint, Microsoft Excel
Education
Quinnipiac University 2005 — 2009
Bachelor of Science, Finance, General
Quinnipiac University - School of Business 2005 — 2009
Bachelor's, Finance, Economics
SCHOOL OF BUSINESS 2005 — 2009
Oleg Grushenkov's FINRA Experience 2014 - Present
Job IT Consultant at FINRA
Industry Information Technology and Services
Experience
FINRA 2014 - Present
Advanced Technology Experts LLC 2013 - 2014
ATPCO 2013 - 2013
ShareStream 2012 - 2013
FINRA 2007 - 2012
Target Labs, Inc 2004 - 2009
Skills
Spring, Tomcat, Hibernate, XML, XSLT, jQuery, SQL, JavaScript, Ant, SOAP, Subversion, SOA, Java, HTML, .NET, Scrum, Agile Methodologies, AJAX, Web Services, ASP.NET, ADO.NET, CSS, BPMN, ActiveMQ, C++, Clojure, Neo4j, C/C++, STL, MFC, JBPM, Activiti, Camunda
Education
Southern Federal University (former Rostov State University) 1992 — 1997
MS, Physics and Electronics
FINRA 2014 - Present
Advanced Technology Experts LLC 2013 - 2014
ATPCO 2013 - 2013
ShareStream 2012 - 2013
FINRA 2007 - 2012
Target Labs, Inc 2004 - 2009
Skills
Spring, Tomcat, Hibernate, XML, XSLT, jQuery, SQL, JavaScript, Ant, SOAP, Subversion, SOA, Java, HTML, .NET, Scrum, Agile Methodologies, AJAX, Web Services, ASP.NET, ADO.NET, CSS, BPMN, ActiveMQ, C++, Clojure, Neo4j, C/C++, STL, MFC, JBPM, Activiti, Camunda
Education
Southern Federal University (former Rostov State University) 1992 — 1997
MS, Physics and Electronics
Agnes Kisseih's FINRA Experience August 1998 - November 2006
Job Experienced Billing & Payroll Analyst
Industry Computer & Network Security
Experience
Pure Integration, LLC August 2007 - July 2014
FINRA August 1998 - November 2006
Skills
Accounts Payable, General Ledger, Accounts Receivable, Accounting, Sarbanes-Oxley, Account Reconciliation, Business Analysis, Bank Reconciliation, Financial Statements, Legal Support, Administration, Financial Reporting, QuickBooks, Concur, ADP ezLaborManager, Unanet, System Administration, Access, Sarbanes-Oxley Act, Internal Controls
Education
Strayer University (VA) 2012 — 2014
Master of Business Administration (M.B.A.), Business Administration and Management, Project Management, Ongoing
Strayer University (VA) 2005 — 2007
Bachelor of Business Administration (B.B.A.), Legal Studies (Undergraduate)
Strayer University (VA) 2003 — 2005
Associate of Arts (A.A.), Accounting
Pure Integration, LLC August 2007 - July 2014
FINRA August 1998 - November 2006
Skills
Accounts Payable, General Ledger, Accounts Receivable, Accounting, Sarbanes-Oxley, Account Reconciliation, Business Analysis, Bank Reconciliation, Financial Statements, Legal Support, Administration, Financial Reporting, QuickBooks, Concur, ADP ezLaborManager, Unanet, System Administration, Access, Sarbanes-Oxley Act, Internal Controls
Education
Strayer University (VA) 2012 — 2014
Master of Business Administration (M.B.A.), Business Administration and Management, Project Management, Ongoing
Strayer University (VA) 2005 — 2007
Bachelor of Business Administration (B.B.A.), Legal Studies (Undergraduate)
Strayer University (VA) 2003 — 2005
Associate of Arts (A.A.), Accounting
Tom Boal's FINRA Experience August 2010 - December 2010
Job Senior Test Engineer Big Data at Inovalon
Industry Biotechnology
Experience
Inovalon September 2015 - Present
Lockheed Martin April 2014 - Present
Lockheed Martin (TEKSystems contractor) April 2011 - April 2014
SemanticBits December 2010 - March 2011
FINRA August 2010 - December 2010
Bill Me Later, Inc.(TEK systems contractor) April 2010 - July 2010
Innovative Employee Solutions September 2009 - November 2009
NCI CBIIT 2007 - 2009
Information Manufacturing Corporation 2005 - 2007
Walter Reed AMC, Telemedicine Directorate 2001 - 2004
Education
The George Washington University
PhD, Genetics
University of Illinois at Chicago
MS, Chemistry
Reed College
BA, Economics
North Shore Country Day School
High School Diploma
Inovalon September 2015 - Present
Lockheed Martin April 2014 - Present
Lockheed Martin (TEKSystems contractor) April 2011 - April 2014
SemanticBits December 2010 - March 2011
FINRA August 2010 - December 2010
Bill Me Later, Inc.(TEK systems contractor) April 2010 - July 2010
Innovative Employee Solutions September 2009 - November 2009
NCI CBIIT 2007 - 2009
Information Manufacturing Corporation 2005 - 2007
Walter Reed AMC, Telemedicine Directorate 2001 - 2004
Education
The George Washington University
PhD, Genetics
University of Illinois at Chicago
MS, Chemistry
Reed College
BA, Economics
North Shore Country Day School
High School Diploma
Eric Tews, MBA's FINRA Experience November 2010 - September 2013
Job Senior Compliance Officer at Western Union
Industry Financial Services
Experience
Western Union June 2014 - Present
Western Union September 2013 - Present
FINRA November 2010 - September 2013
State of Colorado February 2006 - November 2010
Skills
Financial Modeling, Appeals, Due Diligence, Criminal Defense, Legal Research, Fraud, Criminal Law, Mediation, Legal Writing, Investments, Microsoft Office, Microsoft Word, Financial Analysis, Personal Injury, Risk Management, PowerPoint, Research, Data Analysis, Microsoft Excel, Courts, Litigation, Trials
Education
Regis University 2009 — 2012
Master of Business Administration (M.B.A.), Finance and Accounting
Regis University 2001 — 2005
B.A., Sociology and Philosophy
Western Union June 2014 - Present
Western Union September 2013 - Present
FINRA November 2010 - September 2013
State of Colorado February 2006 - November 2010
Skills
Financial Modeling, Appeals, Due Diligence, Criminal Defense, Legal Research, Fraud, Criminal Law, Mediation, Legal Writing, Investments, Microsoft Office, Microsoft Word, Financial Analysis, Personal Injury, Risk Management, PowerPoint, Research, Data Analysis, Microsoft Excel, Courts, Litigation, Trials
Education
Regis University 2009 — 2012
Master of Business Administration (M.B.A.), Finance and Accounting
Regis University 2001 — 2005
B.A., Sociology and Philosophy
Joseph Signora's FINRA Experience October 2003 - January 2005
Job Chief Compliance Officer Funds at Emerging Global Advisors
Industry Financial Services
Experience
Emerging Global Advisors July 2014 - Present
Van Eck Global October 2011 - July 2014
Artio Global Investors April 2007 - October 2011
Citi January 2005 - April 2007
FINRA October 2003 - January 2005
UBS April 2000 - October 2003
Skills
FINRA, Securities, Mutual Funds, Equities, Series 7
Education
Rutgers, The State University of New Jersey-Newark 2002 — 2004
MBA, Finance
Penn State University 1995 — 1999
BS, Business
Emerging Global Advisors July 2014 - Present
Van Eck Global October 2011 - July 2014
Artio Global Investors April 2007 - October 2011
Citi January 2005 - April 2007
FINRA October 2003 - January 2005
UBS April 2000 - October 2003
Skills
FINRA, Securities, Mutual Funds, Equities, Series 7
Education
Rutgers, The State University of New Jersey-Newark 2002 — 2004
MBA, Finance
Penn State University 1995 — 1999
BS, Business
Harold Li's FINRA Experience July 2007 - January 2012
Job SAS Architect / Senior SAS Administrator at Teva Pharmaceutical Industries Ltd.
Industry Pharmaceuticals
Experience
Teva Pharmaceutical Industries Ltd. February 2012 - Present
FINRA July 2007 - January 2012
NASD September 2003 - July 2007
Bank of New York June 2003 - September 2003
Freddie Mac November 2002 - May 2003
Raytheon April 2000 - July 2002
Skills
SAS Programming, SAS BI Administration, SAS Management Console, SAS Macro, Unix Shell Scripting, Linux Scripting, Red Hat Linux, Unix Administration, SQL, Oracle, Netezza, Greenplum, MS SQL Server, ODBC, SAS/Access, System Automation, Test Automation, Production Automation, Documentation, MS Office Suite, Technical Presentations, Internal Communications, Business Intelligence, Data Mining, Windows, Linux, ETL, Databases, Windows Server 2008 R2, Windows Desktop..., SAS 9.2 SAS 9.3 SAS Grid, Unix, Shell Scripting, SAS, SAS programming, Business Analysis, Microsoft Office, Microsoft SQL Server, Requirements Analysis, SAS Base
Education
Southeastern University 1999 — 2000
MS, Computer Science
University of Maryland College Park 1994 — 1999
Ph.D. Candidate, Mass Communications
Shanghai International Studies University
MA, Mass Communications
Shanghai Jiao Tong University
BS, Science and Technology
Teva Pharmaceutical Industries Ltd. February 2012 - Present
FINRA July 2007 - January 2012
NASD September 2003 - July 2007
Bank of New York June 2003 - September 2003
Freddie Mac November 2002 - May 2003
Raytheon April 2000 - July 2002
Skills
SAS Programming, SAS BI Administration, SAS Management Console, SAS Macro, Unix Shell Scripting, Linux Scripting, Red Hat Linux, Unix Administration, SQL, Oracle, Netezza, Greenplum, MS SQL Server, ODBC, SAS/Access, System Automation, Test Automation, Production Automation, Documentation, MS Office Suite, Technical Presentations, Internal Communications, Business Intelligence, Data Mining, Windows, Linux, ETL, Databases, Windows Server 2008 R2, Windows Desktop..., SAS 9.2 SAS 9.3 SAS Grid, Unix, Shell Scripting, SAS, SAS programming, Business Analysis, Microsoft Office, Microsoft SQL Server, Requirements Analysis, SAS Base
Education
Southeastern University 1999 — 2000
MS, Computer Science
University of Maryland College Park 1994 — 1999
Ph.D. Candidate, Mass Communications
Shanghai International Studies University
MA, Mass Communications
Shanghai Jiao Tong University
BS, Science and Technology
Sarah M. Smith, CFE, CRCP's FINRA Experience January 2008 - February 2011
Job Control Division Manager Operations, SVP at Clearing Broker Dealer
Industry Financial Services
Experience
Clearing Broker/Dealer November 2014 - Present
BMO Financial Group October 2013 - October 2014
BMO Capital Markets July 2012 - October 2013
Advantage Futures February 2011 - July 2012
FINRA January 2008 - February 2011
RBC Dain Rauscher 2000 - 2008
Speedway SuperAmerica LLC June 1995 - October 2000
Skills
FINRA, Financial Risk, Risk Management, Finance, Securities, Internal Controls, Internal Audit, Accounting, Account Reconciliation, Leadership, Financial Regulation, Fraud, AML, Financial Services, Due Diligence
Education
University of Pennsylvania - The Wharton School
CRCP Program - FINRA Institute at Wharton
College of St. Catherine
Bachelor of Arts, Accounting and Marketing/Management
Clearing Broker/Dealer November 2014 - Present
BMO Financial Group October 2013 - October 2014
BMO Capital Markets July 2012 - October 2013
Advantage Futures February 2011 - July 2012
FINRA January 2008 - February 2011
RBC Dain Rauscher 2000 - 2008
Speedway SuperAmerica LLC June 1995 - October 2000
Skills
FINRA, Financial Risk, Risk Management, Finance, Securities, Internal Controls, Internal Audit, Accounting, Account Reconciliation, Leadership, Financial Regulation, Fraud, AML, Financial Services, Due Diligence
Education
University of Pennsylvania - The Wharton School
CRCP Program - FINRA Institute at Wharton
College of St. Catherine
Bachelor of Arts, Accounting and Marketing/Management
James Garzon's FINRA Experience 1993 - 1997
Job AVP at Asset Management Group
Industry Capital Markets
Experience
AIG Financial Products 2002 - Present
Ernst & Young 2000 - 2002
Goldman Sachs 1997 - 2000
FINRA 1993 - 1997
Skills
Credit Derivatives, FX, Hedging, Derivatives, Commodities, Financial Markets, Middle Office, Structured Products, Risk Management, Fixed Income, Equities, Swaps, Back Office, Market Risk, Trading Systems, Securities, Compliance, Accounting, CDS, Prime Brokerage, Financial Analysis
Education
St. John's University, The Peter J. Tobin College of Business 1997 — 2000
MBA, Finance
AIG Financial Products 2002 - Present
Ernst & Young 2000 - 2002
Goldman Sachs 1997 - 2000
FINRA 1993 - 1997
Skills
Credit Derivatives, FX, Hedging, Derivatives, Commodities, Financial Markets, Middle Office, Structured Products, Risk Management, Fixed Income, Equities, Swaps, Back Office, Market Risk, Trading Systems, Securities, Compliance, Accounting, CDS, Prime Brokerage, Financial Analysis
Education
St. John's University, The Peter J. Tobin College of Business 1997 — 2000
MBA, Finance
John Ruggieri, CFE's FINRA Experience April 2014 - Present
Job Corporate Security Senior Specialist at FINRA
Industry Security and Investigations
Experience
FINRA April 2014 - Present
New York City Police Department August 1993 - August 2013
Skills
Microsoft Word, Research, Microsoft Excel, Enforcement, Criminal Investigations, Police, Microsoft Office, PowerPoint, Risk Management, Risk Assessment, Physical Security, Executive Protection, Corporate Security, Workplace Violence, Personal Protection, Private Investigations, Vulnerability Assessment, Dignitary Protection, Security, Patrol, Security Operations
Education
State University of New York Empire State College
FINRA April 2014 - Present
New York City Police Department August 1993 - August 2013
Skills
Microsoft Word, Research, Microsoft Excel, Enforcement, Criminal Investigations, Police, Microsoft Office, PowerPoint, Risk Management, Risk Assessment, Physical Security, Executive Protection, Corporate Security, Workplace Violence, Personal Protection, Private Investigations, Vulnerability Assessment, Dignitary Protection, Security, Patrol, Security Operations
Education
State University of New York Empire State College
Kristen Petherbridge's FINRA Experience March 2014 - Present
Job Senior Regulatory Coordinator at FINRA
Industry Financial Services
Experience
FINRA March 2014 - Present
FINRA July 2010 - March 2014
Skills
Financial Analysis, Risk Management, Finance, Banking, Investments, Analysis, Accounting, Financial Risk, Portfolio Management, Auditing
Education
Siena College 2006 — 2010
Bachelor of Science (B.S.), Accounting and Information Systems
FINRA March 2014 - Present
FINRA July 2010 - March 2014
Skills
Financial Analysis, Risk Management, Finance, Banking, Investments, Analysis, Accounting, Financial Risk, Portfolio Management, Auditing
Education
Siena College 2006 — 2010
Bachelor of Science (B.S.), Accounting and Information Systems
Mary Santen's FINRA Experience January 2003 - January 2006
Job Contract Paralegal with Wells Fargo Bank Complex Subpoena Team
Industry Law Practice
Experience
Randstad Professionals September 2014 - Present
Josephine's Professional Staffing, Inc. March 2014 - June 2014
Commonwealth of Virginia January 2011 - December 2012
McGuireWoods, LLP December 2011 - July 2012
FINRA,formerly NASD January 2006 - April 2010
FINRA January 2003 - January 2006
Burns Doane Swecker & Mathis LLP October 2000 - December 2002
Mintz Levin Ferris Glovsky April 2000 - October 2000
Skadden, Arps August 1998 - April 2000
San Mateo County District Attorney's Office May 1996 - July 1998
Skills
Legal Research, Legal Writing, Litigation, Courts, Hearings, Depositions, Lexis, Litigation Support, Appeals, Corporate Law, Pleadings, Trademarks, Government, Document Review, Patents, Investigation, Trial Preparation, Subpoenas
Education
University of San Francisco 1992 — 1994
Certificate, Paralegal Studies
San Francisco State University
Bachelor of Arts, International Relations
Randstad Professionals September 2014 - Present
Josephine's Professional Staffing, Inc. March 2014 - June 2014
Commonwealth of Virginia January 2011 - December 2012
McGuireWoods, LLP December 2011 - July 2012
FINRA,formerly NASD January 2006 - April 2010
FINRA January 2003 - January 2006
Burns Doane Swecker & Mathis LLP October 2000 - December 2002
Mintz Levin Ferris Glovsky April 2000 - October 2000
Skadden, Arps August 1998 - April 2000
San Mateo County District Attorney's Office May 1996 - July 1998
Skills
Legal Research, Legal Writing, Litigation, Courts, Hearings, Depositions, Lexis, Litigation Support, Appeals, Corporate Law, Pleadings, Trademarks, Government, Document Review, Patents, Investigation, Trial Preparation, Subpoenas
Education
University of San Francisco 1992 — 1994
Certificate, Paralegal Studies
San Francisco State University
Bachelor of Arts, International Relations
Vadim Fuks-Rabinovich's FINRA Experience
Job Business Analyst at FINRA
Industry Financial Services
Experience
FINRA
Skills
SDLC, Requirements Analysis, SQL, Business Analysis, Enterprise Architecture, Software Development, Integration, Databases, Oracle, Requirements Gathering
Education
Stevens Institute of Technology
MS, Information Systems
The George Washington University
BS
FINRA
Skills
SDLC, Requirements Analysis, SQL, Business Analysis, Enterprise Architecture, Software Development, Integration, Databases, Oracle, Requirements Gathering
Education
Stevens Institute of Technology
MS, Information Systems
The George Washington University
BS
Mark Lauria's FINRA Experience May 2010 - August 2010
Job Senior Associate at PricewaterhouseCoopers
Industry Legal Services
Experience
PricewaterhouseCoopers July 2015 - Present
Morgan Stanley February 2013 - July 2015
Autarky Consulting, Inc. August 2012 - January 2013
Direct Edge September 2011 - August 2012
MetLife May 2011 - July 2011
State of New Jersey Office of the Attorney General January 2011 - April 2011
FINRA May 2010 - August 2010
Deutsche Bank May 2007 - June 2009
Banc of America Securities August 2006 - May 2007
Skills
Securities, Legal Research, Legal Writing, Equities, Corporate Law, Word, Compliance, Securities Law, Microsoft Office, Derivatives, Excel, Mediation, Securities Regulation, Westlaw, Litigation, Civil Litigation, Microsoft Word
Education
Seton Hall University School of Law 2009 — 2012
J.D.
Saint Louis University 2002 — 2006
Bachelor of Science, Economics, Biology minor
Monsignor Farrell High School 1998 — 2002
High School
PricewaterhouseCoopers July 2015 - Present
Morgan Stanley February 2013 - July 2015
Autarky Consulting, Inc. August 2012 - January 2013
Direct Edge September 2011 - August 2012
MetLife May 2011 - July 2011
State of New Jersey Office of the Attorney General January 2011 - April 2011
FINRA May 2010 - August 2010
Deutsche Bank May 2007 - June 2009
Banc of America Securities August 2006 - May 2007
Skills
Securities, Legal Research, Legal Writing, Equities, Corporate Law, Word, Compliance, Securities Law, Microsoft Office, Derivatives, Excel, Mediation, Securities Regulation, Westlaw, Litigation, Civil Litigation, Microsoft Word
Education
Seton Hall University School of Law 2009 — 2012
J.D.
Saint Louis University 2002 — 2006
Bachelor of Science, Economics, Biology minor
Monsignor Farrell High School 1998 — 2002
High School
Stefanie Watkins's FINRA Experience July 1995 - Present
Job Assistant Chief Counsel at FINRA
Industry Financial Services
Experience
FINRA July 1995 - Present
Skills
Securities Regulation, Legal Research, Legal Writing, FINRA
Education
Syracuse University College of Law 1991 — 1994
JD
University of Connecticut 1987 — 1991
BA, Political Science
FINRA July 1995 - Present
Skills
Securities Regulation, Legal Research, Legal Writing, FINRA
Education
Syracuse University College of Law 1991 — 1994
JD
University of Connecticut 1987 — 1991
BA, Political Science
Jaime (D) Rocha's FINRA Experience January 2010 - May 2011
Job MBA Candidate at Chicago Booth
Industry Financial Services
Experience
The University of Chicago Booth School of Business September 2014 - Present
Teachers' Retirement System of the State of Illinois June 2015 - August 2015
Fitch Ratings May 2011 - July 2014
The University of Chicago 2014 - 2014
FINRA January 2010 - May 2011
UBS November 2005 - December 2009
Skills
Capital Markets, Securities, FINRA, Equities, Financial Regulation, Fixed Income, Series 7, Investments, Financial Markets, Investment Banking, Operational Risk..., Asset Management, Options, Derivatives, Mutual Funds, Alternative Investments, Bloomberg, Financial Services, Structured Finance, AML
Education
The University of Chicago Booth School of Business 2014 — 2016
Master of Business Administration (M.B.A.)
Rutgers, The State University of New Jersey - Rutgers Business School 2002 — 2004
Bachelor's Degree, Finance
The University of Chicago Booth School of Business September 2014 - Present
Teachers' Retirement System of the State of Illinois June 2015 - August 2015
Fitch Ratings May 2011 - July 2014
The University of Chicago 2014 - 2014
FINRA January 2010 - May 2011
UBS November 2005 - December 2009
Skills
Capital Markets, Securities, FINRA, Equities, Financial Regulation, Fixed Income, Series 7, Investments, Financial Markets, Investment Banking, Operational Risk..., Asset Management, Options, Derivatives, Mutual Funds, Alternative Investments, Bloomberg, Financial Services, Structured Finance, AML
Education
The University of Chicago Booth School of Business 2014 — 2016
Master of Business Administration (M.B.A.)
Rutgers, The State University of New Jersey - Rutgers Business School 2002 — 2004
Bachelor's Degree, Finance
Don O'Connor's FINRA Experience 1985 - 1995
Job Chief Compliance Officer at Madison Williams and Company
Industry Financial Services
Experience
The Benchmark Company June 2003 - September 2010
FINRA 1985 - 1995
Skills
Broker-Dealer, Series 24, Securities, Capital Markets, AML, Equities, USA PATRIOT Act, Investment Banking, Securities Regulation, OFAC, Equity Trading, Options, Private Placements, Trading, Financial Regulation, Electronic Trading, Trading Systems, Prime Brokerage, Series 63, Hedge Funds, FINRA, Series 7, Financial Services
Education
St. John's University, The Peter J. Tobin College of Business 1991 — 1995
MBA, Finance
Pace University 1979 — 1985
BBA, Finance
The Benchmark Company June 2003 - September 2010
FINRA 1985 - 1995
Skills
Broker-Dealer, Series 24, Securities, Capital Markets, AML, Equities, USA PATRIOT Act, Investment Banking, Securities Regulation, OFAC, Equity Trading, Options, Private Placements, Trading, Financial Regulation, Electronic Trading, Trading Systems, Prime Brokerage, Series 63, Hedge Funds, FINRA, Series 7, Financial Services
Education
St. John's University, The Peter J. Tobin College of Business 1991 — 1995
MBA, Finance
Pace University 1979 — 1985
BBA, Finance
Jane (JingJing) Liu's FINRA Experience June 2010 - Present
Job Assitant Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
Natixis Bleichroeder LLC. September 2005 - June 2010
Banc of America Securities LLC. January 2004 - September 2005
IBM January 2002 - June 2002
Skills
Internal Controls, Auditing, Derivatives, Financial Analysis, Securities, Equities, Accounting, Regulatory Filings, Market Regulation, Direct Market Access, Trading, FINRA
Education
State University of New York at Buffalo - School of Management 1999 — 2003
Bachelor of Science, Accounting & Finance
FINRA June 2010 - Present
Natixis Bleichroeder LLC. September 2005 - June 2010
Banc of America Securities LLC. January 2004 - September 2005
IBM January 2002 - June 2002
Skills
Internal Controls, Auditing, Derivatives, Financial Analysis, Securities, Equities, Accounting, Regulatory Filings, Market Regulation, Direct Market Access, Trading, FINRA
Education
State University of New York at Buffalo - School of Management 1999 — 2003
Bachelor of Science, Accounting & Finance
Katie McGowan's FINRA Experience July 2007 - March 2012
Job Compliance Officer at National Bank of Canada Financial Inc.
Industry Financial Services
Experience
National Bank of Canada March 2014 - Present
Fitch Ratings March 2012 - March 2014
FINRA July 2007 - March 2012
Skills
Securities, FINRA, Mutual Funds, Fixed Income, Equities, Series 7, Financial Analysis, AML, Investments, Investment Advisory, Hedge Funds, Capital Markets, Series 63, Bloomberg, Series 24
Education
Springfield College 2003 — 2007
Universidad de Alcalá 2005 — 2006
IIA Training
IIA Training
National Bank of Canada March 2014 - Present
Fitch Ratings March 2012 - March 2014
FINRA July 2007 - March 2012
Skills
Securities, FINRA, Mutual Funds, Fixed Income, Equities, Series 7, Financial Analysis, AML, Investments, Investment Advisory, Hedge Funds, Capital Markets, Series 63, Bloomberg, Series 24
Education
Springfield College 2003 — 2007
Universidad de Alcalá 2005 — 2006
IIA Training
IIA Training
Sebastian Paldao's FINRA Experience August 2007 - March 2011
Job Director, Contact Center at Shared Service Solutions in Linthicum, MD
Industry Financial Services
Experience
S3- Shared Service Solutions, LLC November 2012 - Present
Waste Management, Inc. July 2011 - November 2012
Sirius XM Radio Inc. April 2011 - July 2011
FINRA August 2007 - March 2011
Arbitron September 2002 - August 2007
GE Capital August 2001 - September 2002
John Hancock Life Insurance Company (U.S.A.) August 1999 - August 2001
Bank of America November 1997 - August 1999
Skills
Call Center, Compliance, Vendor Management, Customer Service, Process Improvement, Customer Experience, Project Management, Operations Management, Salesforce.com, Team Building, Contact Centers, Workforce Management, Training, Strategic Planning, International Project..., Quality Assurance, Coaching, Change Management, Team Management, Human Resources, Team Leadership, Employee Engagement, Performance Management, Cross-functional Team..., Strategy, Sales, Visio, Outsourcing, Analysis, Budgets, Account Management, Customer Satisfaction, Management, Employee Training, Market Research, Business Analysis, Program Management, Leadership, Forecasting, Call Centers, Business Process..., Marketing, Access, Executive Management, CRM, Policy, Risk Management, Teamwork, Recruiting, Data Analysis
Education
Old Dominion University
BA, History
S3- Shared Service Solutions, LLC November 2012 - Present
Waste Management, Inc. July 2011 - November 2012
Sirius XM Radio Inc. April 2011 - July 2011
FINRA August 2007 - March 2011
Arbitron September 2002 - August 2007
GE Capital August 2001 - September 2002
John Hancock Life Insurance Company (U.S.A.) August 1999 - August 2001
Bank of America November 1997 - August 1999
Skills
Call Center, Compliance, Vendor Management, Customer Service, Process Improvement, Customer Experience, Project Management, Operations Management, Salesforce.com, Team Building, Contact Centers, Workforce Management, Training, Strategic Planning, International Project..., Quality Assurance, Coaching, Change Management, Team Management, Human Resources, Team Leadership, Employee Engagement, Performance Management, Cross-functional Team..., Strategy, Sales, Visio, Outsourcing, Analysis, Budgets, Account Management, Customer Satisfaction, Management, Employee Training, Market Research, Business Analysis, Program Management, Leadership, Forecasting, Call Centers, Business Process..., Marketing, Access, Executive Management, CRM, Policy, Risk Management, Teamwork, Recruiting, Data Analysis
Education
Old Dominion University
BA, History
william crooks's FINRA Experience March 2010 - Present
Job Director at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
FINRA March 2010 - Present
FINRA March 2004 - March 2010
FINRA March 1998 - March 2004
Heights Partners, Inc. July 1996 - March 1998
Skills
AML, Equities, FINRA, Mutual Funds, Securities, Series 7, Securities Regulation
Education
Salve Regina University 1990 — 1995
Bachelor of Science, Business Administration
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
FINRA March 2010 - Present
FINRA March 2004 - March 2010
FINRA March 1998 - March 2004
Heights Partners, Inc. July 1996 - March 1998
Skills
AML, Equities, FINRA, Mutual Funds, Securities, Series 7, Securities Regulation
Education
Salve Regina University 1990 — 1995
Bachelor of Science, Business Administration
Diane Fitzpatrick's FINRA Experience 2011 - 2011
Job Administrative Assistant
Industry Legal Services
Experience
FINRA 2011 - 2011
ATK Small Caliber Systems 2006 - 2011
IKON Office Solutions July 2004 - November 2006
Hallmark Cards February 1984 - February 1992
Education
Park University 2001 — 2004
Early Childhood Education
University of Missouri-Kansas City 1981 — 1983
Certificate, Secretarial Science
FINRA 2011 - 2011
ATK Small Caliber Systems 2006 - 2011
IKON Office Solutions July 2004 - November 2006
Hallmark Cards February 1984 - February 1992
Education
Park University 2001 — 2004
Early Childhood Education
University of Missouri-Kansas City 1981 — 1983
Certificate, Secretarial Science
Janice Jarrett's FINRA Experience February 2003 - December 2007
Job Accounting Professional
Industry Accounting
Experience
Full Moon Wines & Liquors 2014 - Present
Jarrett Management LLC December 2007 - Present
Awaye Realty Management, LLC June 2011 - 2013
H & R Block December 2008 - April 2010
FINRA February 2003 - December 2007
The American Stock Exchange March 2001 - February 2003
National Association of Securities Dealers Regulation April 1997 - March 2001
International Longshoremen's Association June 1996 - April 1997
Skills
Compliance, Securities, Accounting, Audit, Financial Reporting, Due Diligence, Accounts Payable, Reconciliation, General Ledger, Internal Audit, Capital Markets, Auditing
Education
Pace University
BBA, Accounting
Full Moon Wines & Liquors 2014 - Present
Jarrett Management LLC December 2007 - Present
Awaye Realty Management, LLC June 2011 - 2013
H & R Block December 2008 - April 2010
FINRA February 2003 - December 2007
The American Stock Exchange March 2001 - February 2003
National Association of Securities Dealers Regulation April 1997 - March 2001
International Longshoremen's Association June 1996 - April 1997
Skills
Compliance, Securities, Accounting, Audit, Financial Reporting, Due Diligence, Accounts Payable, Reconciliation, General Ledger, Internal Audit, Capital Markets, Auditing
Education
Pace University
BBA, Accounting
Yelena Beylik's FINRA Experience August 2007 - June 2015
Job Program Risk Group at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
FINRA August 2007 - June 2015
NYSE August 2004 - July 2007
Skills
FINRA, Securities, Financial Regulation, Securities Regulation, Broker-Dealer, SEC, Equities, Mutual Funds, Risk Management, Financial Risk, Hedge Funds
Education
Pace University - Lubin School of Business 2000 — 2004
Bachelor of Business Administration (BBA), Finance
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
FINRA August 2007 - June 2015
NYSE August 2004 - July 2007
Skills
FINRA, Securities, Financial Regulation, Securities Regulation, Broker-Dealer, SEC, Equities, Mutual Funds, Risk Management, Financial Risk, Hedge Funds
Education
Pace University - Lubin School of Business 2000 — 2004
Bachelor of Business Administration (BBA), Finance
maureen hendrick's FINRA Experience July 2007 - December 2012
Job Senior Telecom Analyst at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) December 2012 - Present
FINRA July 2007 - December 2012
Stamford Hospital March 2004 - July 2007
american stock exchange October 1993 - October 2002
K-Mart October 1992 - October 1993
F.W. Woolworth Co. June 1985 - August 1987
Herzfeld & Stern June 1984 - June 1985
Skills
Troubleshooting, Data Center, ITIL, Vendor Management, Disaster Recovery, Solution Architecture, Service Delivery, System Deployment, System Administration, VMware, Firewalls, Switches, IT Management, Call Center, Telecommunications, VoIP, Security, Visio, Integration, Network Security, Network Administration, Servers, IT Strategy, VPN, Infrastructure, IP, Networking, Business Continuity, Call Centers
Education
Queensborough Community College 1999 — 2001
Associate of Arts (AA), Liberal Arts and Sciences, General Studies and Humanities, 3.84
Financial Industry Regulatory Authority (FINRA) December 2012 - Present
FINRA July 2007 - December 2012
Stamford Hospital March 2004 - July 2007
american stock exchange October 1993 - October 2002
K-Mart October 1992 - October 1993
F.W. Woolworth Co. June 1985 - August 1987
Herzfeld & Stern June 1984 - June 1985
Skills
Troubleshooting, Data Center, ITIL, Vendor Management, Disaster Recovery, Solution Architecture, Service Delivery, System Deployment, System Administration, VMware, Firewalls, Switches, IT Management, Call Center, Telecommunications, VoIP, Security, Visio, Integration, Network Security, Network Administration, Servers, IT Strategy, VPN, Infrastructure, IP, Networking, Business Continuity, Call Centers
Education
Queensborough Community College 1999 — 2001
Associate of Arts (AA), Liberal Arts and Sciences, General Studies and Humanities, 3.84
David Budd's FINRA Experience July 2013 - Present
Job Vice President, Transparency Services Technology at FINRA
Industry Information Technology and Services
Experience
FINRA July 2013 - Present
FINRA 1999 - July 2013
Lockheed Martin 1996 - 1999
GE / Martin Marietta 1993 - 1996
GE 1990 - 1993
RCA 1985 - 1990
Sohio Petroleum 1982 - 1985
Energy Resources Co., Inc. 1980 - 1982
Skills
Systems Engineering, Integration, Requirements Analysis, Software Development, SDLC, Vendor Management, Product Management, Process Improvement, Project Management, Testing, System Architecture, IT Strategy, Architecture, Change Management, Solution Architecture, Software Engineering, Proposal Writing
Education
Stanford University 1979 — 1980
Master of Science (M.S.), Mechanical Engineering
Princeton University 1975 — 1979
Bachelor of Science in Engineering, Mechanical and Aerospace Engineering
FINRA July 2013 - Present
FINRA 1999 - July 2013
Lockheed Martin 1996 - 1999
GE / Martin Marietta 1993 - 1996
GE 1990 - 1993
RCA 1985 - 1990
Sohio Petroleum 1982 - 1985
Energy Resources Co., Inc. 1980 - 1982
Skills
Systems Engineering, Integration, Requirements Analysis, Software Development, SDLC, Vendor Management, Product Management, Process Improvement, Project Management, Testing, System Architecture, IT Strategy, Architecture, Change Management, Solution Architecture, Software Engineering, Proposal Writing
Education
Stanford University 1979 — 1980
Master of Science (M.S.), Mechanical Engineering
Princeton University 1975 — 1979
Bachelor of Science in Engineering, Mechanical and Aerospace Engineering
Sreedevi Kalyan's FINRA Experience July 2013 - Present
Job Business Analyst at FINRA
Industry Information Technology and Services
Experience
FINRA July 2013 - Present
Hewlett-Packard September 2005 - June 2013
Education
Regis University
Master's degree, Computer and Information Sciences, General
FINRA July 2013 - Present
Hewlett-Packard September 2005 - June 2013
Education
Regis University
Master's degree, Computer and Information Sciences, General
Bill Bunting's FINRA Experience January 2010 - January 2014
Job Manager at Philadelphia Stock Exchange
Industry Accounting
Experience
FINRA January 2010 - January 2014
NASDAQ OMX PHLX, Inc. July 2008 - January 2010
Philadelphia Stock Exchange December 1992 - July 2008
Skills
Derivatives, Equities, Capital Markets, Securities, Hedge Funds, Risk Management, Options, Financial Analysis, Trading, Financial Markets, Alternative Investments, Fixed Income, Financial Risk, Bloomberg, Financial Regulation, Trading Systems
Education
Rowan University 1979 — 1987
Administrative Studies, Major in Accounting
FINRA January 2010 - January 2014
NASDAQ OMX PHLX, Inc. July 2008 - January 2010
Philadelphia Stock Exchange December 1992 - July 2008
Skills
Derivatives, Equities, Capital Markets, Securities, Hedge Funds, Risk Management, Options, Financial Analysis, Trading, Financial Markets, Alternative Investments, Fixed Income, Financial Risk, Bloomberg, Financial Regulation, Trading Systems
Education
Rowan University 1979 — 1987
Administrative Studies, Major in Accounting
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
Amnesty International