FINRA Dispute Resolution
FINRA Dispute Resolution List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at FINRA Dispute Resolution. You can filter them based on skills, years of employment, job, education, department, and prior employment.
FINRA Dispute Resolution Salaries. You can even request information on how much does FINRA Dispute Resolution pay if you want to. Learn about salaries, pros and cons of working for FINRA Dispute Resolution directly from the past employees.
Find People by Employers You can rekindle an old relationship, reconnect with a long-lost friend, former boss, business acquaintance who might be useful in your new line of work. With our employee database, the possibilities are endless. All you have to do is type in a couple of keywords and we'll bring you the exact information you wanted!
17 FINRA Dispute Resolution employees in database. Find out everything there's to know about FINRA Dispute Resolution employees. We offer you a great deal of unbiased information from the internal database, personal records, and many other details that might be of interest to you.
FINRA Dispute Resolution Employees
Employee
Years
Job
Industry
Jamie Vicha Jamie Vicha's FINRA Dispute Resolution Experience March 2010 - March 2012
Job Legal Assistant at Federal Public Defender
Industry Legal Services
Experience
Federal Public Defender October 2014 - Present
Access Justice, PSC August 2014 - October 2014
City of Chicago Federal Civil Right Litigation Division October 2012 - March 2013
Littler Mendelson May 2012 - July 2012
FINRA Dispute Resolution March 2010 - March 2012
Cundy & Martin, L.L.C March 2007 - June 2009
Larson King, LLP October 2004 - February 2007
Skills
Courts, Microsoft Word, Legal Writing, Motions, Legal Documents, Paralegals
Education
Minnesota School of Business 2004 — 2006
Associate of Applied Science, Paralegal Studies
Gustavus Adolphus College 1993 — 1997
Bachelor of Arts, Elementary Education
Federal Public Defender October 2014 - Present
Access Justice, PSC August 2014 - October 2014
City of Chicago Federal Civil Right Litigation Division October 2012 - March 2013
Littler Mendelson May 2012 - July 2012
FINRA Dispute Resolution March 2010 - March 2012
Cundy & Martin, L.L.C March 2007 - June 2009
Larson King, LLP October 2004 - February 2007
Skills
Courts, Microsoft Word, Legal Writing, Motions, Legal Documents, Paralegals
Education
Minnesota School of Business 2004 — 2006
Associate of Applied Science, Paralegal Studies
Gustavus Adolphus College 1993 — 1997
Bachelor of Arts, Elementary Education
Marc Piven Marc Piven's FINRA Dispute Resolution Experience January 1988 - January 2013
Job Sales representative for Hertz cars
Industry Automotive
Experience
Hertz Car Sales March 2014 - Present
Independent Life and Health Agent May 2012 - Present
American Legion Post 390 January 2008 - Present
Independent January 1987 - Present
FINRA Dispute Resolution January 1988 - January 2013
MetLife May 2011 - May 2012
Florida Farm Bureau Insurance November 2009 - May 2011
Allstate Financial November 2005 - June 2008
Spear Leeds and Kellogg January 1994 - August 1998
Skills
Protection and..., Registered Financial..., Property & Casualty..., Insurance, Commercial Insurance, Casualty, General Liability, General Insurance, Umbrella, Microsoft Office, Health Insurance, Excel, Compliance, Sales Management, Term Life Insurance, Financial Planning, Medicare and Medicare..., Final Expense Planning, Homeowners Insurance, Strategic Financial..., Homeowners, Investments
Education
Kaplan University-Davenport Campus 2005 — 2007
Certificate in Financial Planning, Financial Planning
City College of NY School of Engineering
Hertz Car Sales March 2014 - Present
Independent Life and Health Agent May 2012 - Present
American Legion Post 390 January 2008 - Present
Independent January 1987 - Present
FINRA Dispute Resolution January 1988 - January 2013
MetLife May 2011 - May 2012
Florida Farm Bureau Insurance November 2009 - May 2011
Allstate Financial November 2005 - June 2008
Spear Leeds and Kellogg January 1994 - August 1998
Skills
Protection and..., Registered Financial..., Property & Casualty..., Insurance, Commercial Insurance, Casualty, General Liability, General Insurance, Umbrella, Microsoft Office, Health Insurance, Excel, Compliance, Sales Management, Term Life Insurance, Financial Planning, Medicare and Medicare..., Final Expense Planning, Homeowners Insurance, Strategic Financial..., Homeowners, Investments
Education
Kaplan University-Davenport Campus 2005 — 2007
Certificate in Financial Planning, Financial Planning
City College of NY School of Engineering
Edith Novack Edith Novack's FINRA Dispute Resolution Experience 1997 - Present
Job Attorney in private practice
Industry Law Practice
Experience
Law Office of Edith M. Novack 1997 - Present
FINRA Dispute Resolution 1997 - Present
New Jersey Municipal Courts 1998 - 2001
Chemical Bank & Manufacturers Hanover Trust Company (now JPMorgan Chase Bank) 1979 - 1996
New York State Banking Department 1973 - 1979
Default Judgment Study 1971 - 1973
New York City Law Department 1969 - 1971
Skills
Courts, Corporate Law, Legal Research, Litigation, Mediation, Dispute Resolution, Arbitration, Securities, Real Estate, Legal Writing, Contract Negotiation, Legal Advice, Alternative Dispute..., Private Equity, Civil Litigation, Dispute, Appeals, Consumer Law, Commercial Litigation, Wills, Legal Assistance, Mergers & Acquisitions, International Law, Trusts, Securities Regulation, Real Estate Transactions, Administrative Law, Corporate Governance, Negotiation, Securities Litigation, Trials, LLC, Joint Ventures, Banking, Westlaw, Due Diligence, Property Law, Commercial Real Estate, Bankruptcy, Intellectual Property, Family Law, Banking Law, Estate Planning, Licensing, Employment Law, Personal Injury, Product Liability, Torts, Business Transactions, Hearings
Education
Bryn Mawr College
AB, Political Science
Columbia Law School
JD
Law Office of Edith M. Novack 1997 - Present
FINRA Dispute Resolution 1997 - Present
New Jersey Municipal Courts 1998 - 2001
Chemical Bank & Manufacturers Hanover Trust Company (now JPMorgan Chase Bank) 1979 - 1996
New York State Banking Department 1973 - 1979
Default Judgment Study 1971 - 1973
New York City Law Department 1969 - 1971
Skills
Courts, Corporate Law, Legal Research, Litigation, Mediation, Dispute Resolution, Arbitration, Securities, Real Estate, Legal Writing, Contract Negotiation, Legal Advice, Alternative Dispute..., Private Equity, Civil Litigation, Dispute, Appeals, Consumer Law, Commercial Litigation, Wills, Legal Assistance, Mergers & Acquisitions, International Law, Trusts, Securities Regulation, Real Estate Transactions, Administrative Law, Corporate Governance, Negotiation, Securities Litigation, Trials, LLC, Joint Ventures, Banking, Westlaw, Due Diligence, Property Law, Commercial Real Estate, Bankruptcy, Intellectual Property, Family Law, Banking Law, Estate Planning, Licensing, Employment Law, Personal Injury, Product Liability, Torts, Business Transactions, Hearings
Education
Bryn Mawr College
AB, Political Science
Columbia Law School
JD
Sharon Coleman, JD, CIR's FINRA Dispute Resolution Experience September 2009 - October 2009
Job Corporate Recruiter at Patriot National, Inc. (Former Recruiting Mgr of Now Hiring You at Patriot)
Industry Insurance
Experience
Patriot National, Inc. November 2009 - Present
An Exceptional Resume, Inc. - 954-465-6083 December 2008 - December 2014
Now Hiring You, LLC November 2009 - May 2013
Miami Dade College June 2009 - December 2009
FINRA Dispute Resolution September 2009 - October 2009
Human Capital Management. November 2007 - November 2008
CareerXchange October 2006 - March 2007
World Omni (JM Family Enterprises) February 2001 - January 2004
Gunster Yoakley June 1999 - October 2000
Omega Environmental Services (Previously Gurr & Associates) December 1988 - June 1999
Skills
Proposal Writing, Executive Search, Resume, Risk Management, Management, Recruiting, Hiring, Sourcing, Resume Writing, Personnel Management, Human Resources, Entrepreneurship, Applicant Tracking..., Internet Recruiting, Search, Training, Newsletters, HR Consulting, Brochures, Staff Development, Temporary Placement, Temporary Staffing, Contract Recruitment, Benefits Negotiation, Talent Acquisition, Interviews, Coaching, Leadership, Marketing, Sales, Career Counseling, Project Planning, Customer Service, Project Management, Permanent Placement, Technical Recruiting, Networking, Public Speaking, SaaS, College Recruiting, Staffing Services, Onboarding, Talent Management, Career Development, Interview Preparation, Employee Benefits, Employer Branding, Screening Resumes, Taleo, Job Fairs
Education
Howard University School of Law 1979 — 1982
Juris Doctor
Patriot National, Inc. November 2009 - Present
An Exceptional Resume, Inc. - 954-465-6083 December 2008 - December 2014
Now Hiring You, LLC November 2009 - May 2013
Miami Dade College June 2009 - December 2009
FINRA Dispute Resolution September 2009 - October 2009
Human Capital Management. November 2007 - November 2008
CareerXchange October 2006 - March 2007
World Omni (JM Family Enterprises) February 2001 - January 2004
Gunster Yoakley June 1999 - October 2000
Omega Environmental Services (Previously Gurr & Associates) December 1988 - June 1999
Skills
Proposal Writing, Executive Search, Resume, Risk Management, Management, Recruiting, Hiring, Sourcing, Resume Writing, Personnel Management, Human Resources, Entrepreneurship, Applicant Tracking..., Internet Recruiting, Search, Training, Newsletters, HR Consulting, Brochures, Staff Development, Temporary Placement, Temporary Staffing, Contract Recruitment, Benefits Negotiation, Talent Acquisition, Interviews, Coaching, Leadership, Marketing, Sales, Career Counseling, Project Planning, Customer Service, Project Management, Permanent Placement, Technical Recruiting, Networking, Public Speaking, SaaS, College Recruiting, Staffing Services, Onboarding, Talent Management, Career Development, Interview Preparation, Employee Benefits, Employer Branding, Screening Resumes, Taleo, Job Fairs
Education
Howard University School of Law 1979 — 1982
Juris Doctor
John H. Adair, MBA, CPA John H. Adair, MBA, CPA's FINRA Dispute Resolution Experience January 2002 - Present
Job Principal at Adair Advisory Group
Industry Accounting
Experience
Adair Advisory Group September 2013 - Present
Johns Hopkins Health System October 2011 - Present
FINRA Dispute Resolution January 2002 - Present
John H Adair CPA January 2010 - September 2013
Anne Arundel Medical Center January 2011 - February 2012
Anne Arundel HealthSystem September 2009 - December 2010
Johns Hopkins University Carey Business School June 2006 - November 2009
Johns Hopkins Health System August 2009 - September 2009
Johns Hopkins Health System June 2007 - August 2009
Johns Hopkins Health System November 2005 - June 2007
Skills
Financial Analysis, Budgets, Accounting, Data Analysis, Finance, Financial Reporting, Databases, Business Analysis, Visio, SAP, Business Intelligence, Business Planning, Tax, Benchmarking, Bloomberg Terminal, Budgeting, Capital Budgeting, CSS, Excel, Filemaker Pro, HTML, Inventory Management, JavaScript, KPI, Lean Sigma, Market Analysis, Microsoft Office, MySQL, Productivity Software, ProSystemsfx Tax, Quickbooks, QuickBooks Enterprise, QuickBooks POS, PowerPoint, SDK, Six Sigma, SQL, SQL Server, SSAS, SSIS, SSRS, SSMS, VB.NET, VBA, Visual Studio, Word, Web Design, XBRL, XML, XHTML
Education
The Johns Hopkins University - Carey Business School 2001 — 2006
MBA, General Business
United States Naval Academy 1988 — 1992
B.S., Economics
Naval Academy Preparatory School 1987 — 1988
Bachelor of Science (B.S.), Economics
Valley Forge Military Academy & College 1984 — 1987
HS Diploma, General Studies
Adair Advisory Group September 2013 - Present
Johns Hopkins Health System October 2011 - Present
FINRA Dispute Resolution January 2002 - Present
John H Adair CPA January 2010 - September 2013
Anne Arundel Medical Center January 2011 - February 2012
Anne Arundel HealthSystem September 2009 - December 2010
Johns Hopkins University Carey Business School June 2006 - November 2009
Johns Hopkins Health System August 2009 - September 2009
Johns Hopkins Health System June 2007 - August 2009
Johns Hopkins Health System November 2005 - June 2007
Skills
Financial Analysis, Budgets, Accounting, Data Analysis, Finance, Financial Reporting, Databases, Business Analysis, Visio, SAP, Business Intelligence, Business Planning, Tax, Benchmarking, Bloomberg Terminal, Budgeting, Capital Budgeting, CSS, Excel, Filemaker Pro, HTML, Inventory Management, JavaScript, KPI, Lean Sigma, Market Analysis, Microsoft Office, MySQL, Productivity Software, ProSystemsfx Tax, Quickbooks, QuickBooks Enterprise, QuickBooks POS, PowerPoint, SDK, Six Sigma, SQL, SQL Server, SSAS, SSIS, SSRS, SSMS, VB.NET, VBA, Visual Studio, Word, Web Design, XBRL, XML, XHTML
Education
The Johns Hopkins University - Carey Business School 2001 — 2006
MBA, General Business
United States Naval Academy 1988 — 1992
B.S., Economics
Naval Academy Preparatory School 1987 — 1988
Bachelor of Science (B.S.), Economics
Valley Forge Military Academy & College 1984 — 1987
HS Diploma, General Studies
Harry Striplin Harry Striplin's FINRA Dispute Resolution Experience March 1998 - Present
Job Chief Compliance Officer
Industry Financial Services
Experience
Umpqua Investments, Inc. (Member: FINRA/SIPC) December 2008 - Present
FINRA Dispute Resolution March 1998 - Present
Bill's Badges West January 1989 - Present
Umpqua Bank December 2008 - April 2014
Paulson Investment Co. April 1991 - December 2008
Murphey Favre, Inc. August 1981 - March 1991
Skills
Strong knowledge of..., Excellent Regulatory..., Project management, Series 7, Mutual Funds, Wealth Management, Investment Advisory, Investments, Series 24, Risk Management, Securities, Series 63, Series 65, AML, FINRA, Fraud, Equities, Mergers, Engraving, Name Tags, Life Insurance, Mergers & Acquisitions, Due Diligence, Capital Markets, Hedge Funds, Asset Allocation, Private Banking, Financial Services, Options, Credit, Financial Risk, Insurance, Project Management, Estate Planning, Retirement, USA PATRIOT Act, Securities Regulation, Banking, Private Equity, Bonds, Loans, Trading, Financial Markets, Fixed Annuities, High Net Worth..., Uniform Combined State..., Alternative Investments, Investment Banking, Bank Secrecy Act, Broker-Dealer
Education
University of Pennsylvania - The Wharton School 2002 — 2004
Certified Regulatory and Compliance Professional (CRCP), Finance, General
Portland State University 1976 — 1981
Bachelor of Science (B.S.)
Umpqua Investments, Inc. (Member: FINRA/SIPC) December 2008 - Present
FINRA Dispute Resolution March 1998 - Present
Bill's Badges West January 1989 - Present
Umpqua Bank December 2008 - April 2014
Paulson Investment Co. April 1991 - December 2008
Murphey Favre, Inc. August 1981 - March 1991
Skills
Strong knowledge of..., Excellent Regulatory..., Project management, Series 7, Mutual Funds, Wealth Management, Investment Advisory, Investments, Series 24, Risk Management, Securities, Series 63, Series 65, AML, FINRA, Fraud, Equities, Mergers, Engraving, Name Tags, Life Insurance, Mergers & Acquisitions, Due Diligence, Capital Markets, Hedge Funds, Asset Allocation, Private Banking, Financial Services, Options, Credit, Financial Risk, Insurance, Project Management, Estate Planning, Retirement, USA PATRIOT Act, Securities Regulation, Banking, Private Equity, Bonds, Loans, Trading, Financial Markets, Fixed Annuities, High Net Worth..., Uniform Combined State..., Alternative Investments, Investment Banking, Bank Secrecy Act, Broker-Dealer
Education
University of Pennsylvania - The Wharton School 2002 — 2004
Certified Regulatory and Compliance Professional (CRCP), Finance, General
Portland State University 1976 — 1981
Bachelor of Science (B.S.)
Dax White Dax White's FINRA Dispute Resolution Experience May 2003 - September 2003
Job Member/Partner at The White Law Group, LLC
Industry Law Practice
Experience
The White Law Group, LLC May 2010 - Present
Kane & Fischer August 2007 - May 2010
Dickenson Murphy Rex & Sloan February 2004 - August 2007
FINRA Dispute Resolution May 2003 - September 2003
Chicago Mercantile Exchange June 1998 - September 1998
Skills
Arbitration, Litigation, Mediation, Courts, Dispute Resolution, Trials, Bankruptcy, Employment Law, Securities Regulation, Securities Litigation, Document Review, Pleadings, Securities, Business Litigation, FINRA, Fraud, Investments, Dispute, Commercial Litigation, Civil Litigation
Education
Florida State University College of Law 2000 — 2003
JD
Florida State University College of Law 2000 — 2003
J.D, concentrated on business
Northwestern University 1996 — 2000
BA, Economics
Northwestern University 1996 — 2000
BA, Economics
Northwestern University 1996 — 2000
B.A, Economics and Political Science
Spanish River High School 1993 — 1996
The White Law Group, LLC May 2010 - Present
Kane & Fischer August 2007 - May 2010
Dickenson Murphy Rex & Sloan February 2004 - August 2007
FINRA Dispute Resolution May 2003 - September 2003
Chicago Mercantile Exchange June 1998 - September 1998
Skills
Arbitration, Litigation, Mediation, Courts, Dispute Resolution, Trials, Bankruptcy, Employment Law, Securities Regulation, Securities Litigation, Document Review, Pleadings, Securities, Business Litigation, FINRA, Fraud, Investments, Dispute, Commercial Litigation, Civil Litigation
Education
Florida State University College of Law 2000 — 2003
JD
Florida State University College of Law 2000 — 2003
J.D, concentrated on business
Northwestern University 1996 — 2000
BA, Economics
Northwestern University 1996 — 2000
BA, Economics
Northwestern University 1996 — 2000
B.A, Economics and Political Science
Spanish River High School 1993 — 1996
Simon Wu, Ph.D.'s FINRA Dispute Resolution Experience November 2008 - Present
Job Vice President at NERA Economic Consulting
Industry Financial Services
Experience
NERA Economic Consulting February 2015 - Present
FINRA Dispute Resolution November 2008 - Present
Federal Housing Finance Agency (OIG) December 2011 - February 2015
FTI Consulting October 2002 - December 2011
NASDAQ May 1998 - October 2002
Financial Industry Regulatory Authority (FINRA) May 1998 - October 2002
Skills
Capital Markets, Securities, Valuation, Derivatives, Economics, Financial Modeling, Hedge Funds, FINRA, Due Diligence, Corporate Finance, Fixed Income, Equities, Financial Markets, Bloomberg, Trading, Options, Investment Banking, Investments, Alternative Investments, Mergers & Acquisitions
Education
Vanderbilt University 1994 — 1998
Ph.D., M.A., Economics and Finance
Belmont University 1990 — 1993
B.B.A., Economics
NERA Economic Consulting February 2015 - Present
FINRA Dispute Resolution November 2008 - Present
Federal Housing Finance Agency (OIG) December 2011 - February 2015
FTI Consulting October 2002 - December 2011
NASDAQ May 1998 - October 2002
Financial Industry Regulatory Authority (FINRA) May 1998 - October 2002
Skills
Capital Markets, Securities, Valuation, Derivatives, Economics, Financial Modeling, Hedge Funds, FINRA, Due Diligence, Corporate Finance, Fixed Income, Equities, Financial Markets, Bloomberg, Trading, Options, Investment Banking, Investments, Alternative Investments, Mergers & Acquisitions
Education
Vanderbilt University 1994 — 1998
Ph.D., M.A., Economics and Finance
Belmont University 1990 — 1993
B.B.A., Economics
Laura McNamire's FINRA Dispute Resolution Experience April 2002 - Present
Job Regional Director at FINRA Dispute Resolution
Industry Alternative Dispute Resolution
Experience
FINRA Dispute Resolution April 2002 - Present
Woodbury University November 2007 - November 2012
Law Offices of David Payab September 2001 - April 2002
Skills
Public Speaking, Higher Education, Leadership Development, Leadership, Organizational..., Staff Development, Strategic Planning, University Teaching
Education
Pepperdine University School of Law 1998 — 2001
Southern Methodist University 1997 — 1998
M.A., Economics
The University of Texas at Austin 1992 — 1996
B.A., Economics
FINRA Dispute Resolution April 2002 - Present
Woodbury University November 2007 - November 2012
Law Offices of David Payab September 2001 - April 2002
Skills
Public Speaking, Higher Education, Leadership Development, Leadership, Organizational..., Staff Development, Strategic Planning, University Teaching
Education
Pepperdine University School of Law 1998 — 2001
Southern Methodist University 1997 — 1998
M.A., Economics
The University of Texas at Austin 1992 — 1996
B.A., Economics
Ken Andrichik's FINRA Dispute Resolution Experience October 1980 - Present
Job Sr. VP at FINRA Dispute Resolution
Industry Financial Services
Experience
FINRA Dispute Resolution October 1980 - Present
Education
Loyola University Chicago School of Law 1977 — 1980
FINRA Dispute Resolution October 1980 - Present
Education
Loyola University Chicago School of Law 1977 — 1980
Son-Mi Lee's FINRA Dispute Resolution Experience 1997 - 2000
Job Director, Regulatory Inquiries & Compliance Advisory for New Business Initiatives & Special Projects
Industry Investment Banking
Experience
Guggenheim Securities October 2013 - Present
Wells Fargo Securities 2010 - October 2013
Societe Generale 2007 - 2008
UBS 2002 - 2007
FINRA - Market Regulation 2000 - 2002
FINRA - Dispute Resolution 1997 - 2000
Skills
Securities, Equity Capital Markets, Equities, Capital Markets, Derivatives
Education
University of Virginia 1988 — 1992
Bachelor of Arts (B.A.), Government & Religion
The Catholic University of America, Columbus School of Law
Doctor of Law (JD)
Guggenheim Securities October 2013 - Present
Wells Fargo Securities 2010 - October 2013
Societe Generale 2007 - 2008
UBS 2002 - 2007
FINRA - Market Regulation 2000 - 2002
FINRA - Dispute Resolution 1997 - 2000
Skills
Securities, Equity Capital Markets, Equities, Capital Markets, Derivatives
Education
University of Virginia 1988 — 1992
Bachelor of Arts (B.A.), Government & Religion
The Catholic University of America, Columbus School of Law
Doctor of Law (JD)
Ianthe Philips's FINRA Dispute Resolution Experience May 2005 - October 2007
Job Hearing Administrator at FINRA
Industry Alternative Dispute Resolution
Experience
FINRA Case Assistant ManagerFINRA Dispute ResolutionOctober 2007 - July 2008
FINRA Dispute Resolution May 2005 - October 2007
Education
University of California, San Diego 1988 — 1993
FINRA Case Assistant ManagerFINRA Dispute ResolutionOctober 2007 - July 2008
FINRA Dispute Resolution May 2005 - October 2007
Education
University of California, San Diego 1988 — 1993
Robert Larson's FINRA Dispute Resolution Experience November 1990 - Present
Job Customer Service Representative (Chicago Lighthouse) at Illinois State Toll Highway Authority
Industry Financial Services
Experience
Illinois State Toll Highway Authority October 2014 - Present
FINRA Dispute Resolution November 1990 - Present
BMO Harris Financial Advisors, Inc. November 2012 - February 2013
Compliance Consulting 2000 - 2013
Ocean View Capital LLC December 2010 - October 2011
GLB TRADING, INC. January 2009 - May 2009
ITG Dirivatives LLC October 2007 - October 2008
FIRST ANALYSIS INVESTMENT CORP. May 2003 - January 2005
FINRA April 1982 - August 1986
US Navy November 1979 - February 1980
Skills
Compliance, Trading, Series 7, FINRA, Investments, Investment Banking, Securities, Asset Management, Insurance, Series 24, Series 63, AML, Mutual Funds, Equities, Options, Alternative Investments, Risk Management, Fixed Income, Licensing, SEC reporting, Capital Markets, Due Diligence, Risk, Portfolio Management, Derivatives, Banking, Institutional, Financial Planning, Investment Advisory, Auditing, Policy, Financial Analysis, Bonds, Prime Brokerage, Series 65, Executive Management, Customer Relations, Research, Hedge Funds, Wealth Management, ETFs, Series 3, Financial Markets, Credit, Series 66, Equity Trading, Brokerage, Commodities, KYC, Corporate Finance
Education
John Marshall Law School 1994 — 1994
I did not graduate, Law, 2.0
DePaul University - Charles H. Kellstadt Graduate School of Business 1978 — 1980
MBA, FINANCE
Rockhurst University 1975 — 1978
BSBA, Finance and Economics, 3.3
Illinois State Toll Highway Authority October 2014 - Present
FINRA Dispute Resolution November 1990 - Present
BMO Harris Financial Advisors, Inc. November 2012 - February 2013
Compliance Consulting 2000 - 2013
Ocean View Capital LLC December 2010 - October 2011
GLB TRADING, INC. January 2009 - May 2009
ITG Dirivatives LLC October 2007 - October 2008
FIRST ANALYSIS INVESTMENT CORP. May 2003 - January 2005
FINRA April 1982 - August 1986
US Navy November 1979 - February 1980
Skills
Compliance, Trading, Series 7, FINRA, Investments, Investment Banking, Securities, Asset Management, Insurance, Series 24, Series 63, AML, Mutual Funds, Equities, Options, Alternative Investments, Risk Management, Fixed Income, Licensing, SEC reporting, Capital Markets, Due Diligence, Risk, Portfolio Management, Derivatives, Banking, Institutional, Financial Planning, Investment Advisory, Auditing, Policy, Financial Analysis, Bonds, Prime Brokerage, Series 65, Executive Management, Customer Relations, Research, Hedge Funds, Wealth Management, ETFs, Series 3, Financial Markets, Credit, Series 66, Equity Trading, Brokerage, Commodities, KYC, Corporate Finance
Education
John Marshall Law School 1994 — 1994
I did not graduate, Law, 2.0
DePaul University - Charles H. Kellstadt Graduate School of Business 1978 — 1980
MBA, FINANCE
Rockhurst University 1975 — 1978
BSBA, Finance and Economics, 3.3
Cheryl Chang's FINRA Dispute Resolution Experience May 2014 - August 2014
Job Student, JD/MDR Pepperdine University, School of Law, Straus Institute of Dispute Resolution
Industry Law Practice
Experience
FINRA Dispute Resolution May 2014 - August 2014
Vicasa Limited Inc September 2010 - May 2014
JP Morgan July 2010 - September 2010
Morgan Stanley Smith Barney (formerly known May 2007 - July 2010
Morgan Stanley Smith Barney November 2006 - July 2010
Citigroup Smith Barney August 2006 - January 2007
USC Marshall Alumni Association (MAA) August 2005 - July 2006
Skills
Management, Sales, Marketing, Budgets, Time Management, Sales Management, Teamwork, Trading, Research, Interviews, Series 7, Wealth Management, Equities
Education
Pepperdine University School of Law 2013 — 2016
Doctor of Law (J.D.)/Masters, Dispute Resolution
Villanova University 2010 — 2010
Certificate, Project Management
University of Southern California (USC) 2004 — 2007
Bachelor of Science, Business Administration; Finance
University of Southern California - Marshall School of Business 2004 — 2007
Bachelor of Science, Business Administration, Corporate Finance
FINRA Dispute Resolution May 2014 - August 2014
Vicasa Limited Inc September 2010 - May 2014
JP Morgan July 2010 - September 2010
Morgan Stanley Smith Barney (formerly known May 2007 - July 2010
Morgan Stanley Smith Barney November 2006 - July 2010
Citigroup Smith Barney August 2006 - January 2007
USC Marshall Alumni Association (MAA) August 2005 - July 2006
Skills
Management, Sales, Marketing, Budgets, Time Management, Sales Management, Teamwork, Trading, Research, Interviews, Series 7, Wealth Management, Equities
Education
Pepperdine University School of Law 2013 — 2016
Doctor of Law (J.D.)/Masters, Dispute Resolution
Villanova University 2010 — 2010
Certificate, Project Management
University of Southern California (USC) 2004 — 2007
Bachelor of Science, Business Administration; Finance
University of Southern California - Marshall School of Business 2004 — 2007
Bachelor of Science, Business Administration, Corporate Finance
Craig D. Cook's FINRA Dispute Resolution Experience 2000 - Present
Job Chief Compliance Officer
Industry Financial Services
Experience
Zacks & Company December 2007 - Present
FINRA Dispute Resolution 2000 - Present
Zacks Investment Research 2001 - 2007
T.D. Waterhouse 2000 - 2001
Zacks Investment Research 1995 - 2000
Education
DePaul University - Charles H. Kellstadt Graduate School of Business
MBA, Finance
University of Illinois at Urbana-Champaign
BA, Political Science and Speech Communication
Zacks & Company December 2007 - Present
FINRA Dispute Resolution 2000 - Present
Zacks Investment Research 2001 - 2007
T.D. Waterhouse 2000 - 2001
Zacks Investment Research 1995 - 2000
Education
DePaul University - Charles H. Kellstadt Graduate School of Business
MBA, Finance
University of Illinois at Urbana-Champaign
BA, Political Science and Speech Communication
Leonie Feliciano's FINRA Dispute Resolution Experience November 2000 - Present
Job Case Assistant II at FINRA Dispute Resolution
Industry Alternative Dispute Resolution
Experience
FINRA Dispute Resolution November 2000 - Present
Skills
Computer Literate
Education
CUNY Medgar Evers College 1996 — 2000
Bachelor of Applied Science (B.A.Sc.), Public Administration
FINRA Dispute Resolution November 2000 - Present
Skills
Computer Literate
Education
CUNY Medgar Evers College 1996 — 2000
Bachelor of Applied Science (B.A.Sc.), Public Administration
Sumiko Ragland's FINRA Dispute Resolution Experience 2004 - 2005
Job Administrative Assistant III at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority 2005 - Present
FINRA Dispute Resolution 2004 - 2005
PricewaterhouseCooper IAC 2001 - 2002
Warner Brothers Studio Store 1999 - 2001
Skills
Calendaring, Reports, MS Excel Pivot Tables, Vlookup, Staff Development, Training, Google Docs, Records Management, Customer Service, Database Administration, Meeting Scheduling, Microsoft Word, Mail Merge, Mac, Travel Arrangements, Phone Screening, Supply Ordering, Tax Preparation, Manuals, Checklists, Adobe Acrobat, Concur, Turbo Tax, STAR, CRD, Process Improvement, Streamlining, Multi Tasking, Multicultural
Education
Fullerton College
Long Beach City College, CA
Santa Monica College Santa Monica, CA
Financial Industry Regulatory Authority 2005 - Present
FINRA Dispute Resolution 2004 - 2005
PricewaterhouseCooper IAC 2001 - 2002
Warner Brothers Studio Store 1999 - 2001
Skills
Calendaring, Reports, MS Excel Pivot Tables, Vlookup, Staff Development, Training, Google Docs, Records Management, Customer Service, Database Administration, Meeting Scheduling, Microsoft Word, Mail Merge, Mac, Travel Arrangements, Phone Screening, Supply Ordering, Tax Preparation, Manuals, Checklists, Adobe Acrobat, Concur, Turbo Tax, STAR, CRD, Process Improvement, Streamlining, Multi Tasking, Multicultural
Education
Fullerton College
Long Beach City College, CA
Santa Monica College Santa Monica, CA