FINRA (Formerly NASD)
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FINRA (Formerly NASD) Employees
Employee
Years
Job
Industry
Laurie Harris Laurie Harris's FINRA (Formerly NASD) Experience November 2004 - June 2008
Job Data Warehouse Architect at Thomas Jefferson University
Industry Information Technology and Services
Experience
Thomas Jefferson University August 2015 - Present
Health Partners Plans June 2014 - August 2015
IMS Health October 2013 - March 2014
Radian February 2013 - September 2013
Bristol-Myers Squibb, Princeton, New Jersey December 2011 - February 2013
Columbia University August 2010 - March 2011
Solbright August 2009 - June 2010
Capgemini Consulting June 2008 - March 2009
FINRA (formerly NASD) November 2004 - June 2008
American Stock Exchange April 1997 - June 2008
Skills
Database Design, Data Warehousing, Data Modeling, Business Intelligence, Master Data Management, Dimensional Modeling, Data Marts, Erwin, ER/Studio, SQL, Oracle, Pentaho, Jasper, Data Analysis, Data Quality, Business Intelligence..., Business Analysis
Education
Hampshire College
BA, Poetry Performance, Statistics (Markov and Stochastic Processes), Music Theory
Thomas Jefferson University August 2015 - Present
Health Partners Plans June 2014 - August 2015
IMS Health October 2013 - March 2014
Radian February 2013 - September 2013
Bristol-Myers Squibb, Princeton, New Jersey December 2011 - February 2013
Columbia University August 2010 - March 2011
Solbright August 2009 - June 2010
Capgemini Consulting June 2008 - March 2009
FINRA (formerly NASD) November 2004 - June 2008
American Stock Exchange April 1997 - June 2008
Skills
Database Design, Data Warehousing, Data Modeling, Business Intelligence, Master Data Management, Dimensional Modeling, Data Marts, Erwin, ER/Studio, SQL, Oracle, Pentaho, Jasper, Data Analysis, Data Quality, Business Intelligence..., Business Analysis
Education
Hampshire College
BA, Poetry Performance, Statistics (Markov and Stochastic Processes), Music Theory
Robert M. Tello Robert M. Tello's FINRA (Formerly NASD) Experience May 2005 - January 2007
Job Director Business Risk Management/Operations Due Diligence at Cambridge Associates
Industry Financial Services
Experience
Cambridge Associates July 2014 - Present
Cambridge Associates LLC July 2010 - Present
Cambridge Associates January 2007 - July 2010
FINRA (formerly NASD) May 2005 - January 2007
FINRA (formerly NASD) May 2004 - May 2005
The Bank of New York Mellon (formerly Mellon Financial Corporation) September 2003 - May 2004
The Bank of New York Mellon July 2001 - September 2003
The Bank of New York Mellon July 2000 - July 2001
The Bank of New York Mellon November 1999 - July 2000
The Bank of New York Mellon November 1997 - November 1999
Skills
Hedge Funds, Securities, Alternative Investments, Equities, Mutual Funds, Asset Management
Education
Austin Preparatory School
Brunel University
N/A, International Business
Norwich University
B.S., Business Administration, Management
Tulane University - A.B. Freeman School of Business
Certificate of Business/Finance
Cambridge Associates July 2014 - Present
Cambridge Associates LLC July 2010 - Present
Cambridge Associates January 2007 - July 2010
FINRA (formerly NASD) May 2005 - January 2007
FINRA (formerly NASD) May 2004 - May 2005
The Bank of New York Mellon (formerly Mellon Financial Corporation) September 2003 - May 2004
The Bank of New York Mellon July 2001 - September 2003
The Bank of New York Mellon July 2000 - July 2001
The Bank of New York Mellon November 1999 - July 2000
The Bank of New York Mellon November 1997 - November 1999
Skills
Hedge Funds, Securities, Alternative Investments, Equities, Mutual Funds, Asset Management
Education
Austin Preparatory School
Brunel University
N/A, International Business
Norwich University
B.S., Business Administration, Management
Tulane University - A.B. Freeman School of Business
Certificate of Business/Finance
John Kalohn John Kalohn's FINRA (Formerly NASD) Experience February 2009 - Present
Job Vice President at FINRA (Formerly NASD)
Industry Education Management
Experience
FINRA (Formerly NASD) February 2009 - Present
FINRA (formerly NASD) January 2007 - February 2009
ACT, Inc. 1992 - 2006
Skills
Strategic Planning, Program Management, Statistics, Survey Design, Data Analysis, Research, Public Speaking, Program Evaluation, Non-profits, Leadership Development, Leadership, Nonprofits, SPSS, Policy Analysis, Higher Education, Organizational..., Financial Structuring, Proposal Writing, Program Development, Analysis, Training, Policy, Risk Management, Instructional Design, Grant Writing, Change Management, Staff Development
Education
University of Wisconsin-Madison 1988 — 1992
PhD
Wake Forest University 1981 — 1982
MA, Exercise Science
State University of New York College at Cortland 1978 — 1981
BSE, Physical Education/Athletic Training
State University of New York College at Oneonta 1976 — 1978
FINRA (Formerly NASD) February 2009 - Present
FINRA (formerly NASD) January 2007 - February 2009
ACT, Inc. 1992 - 2006
Skills
Strategic Planning, Program Management, Statistics, Survey Design, Data Analysis, Research, Public Speaking, Program Evaluation, Non-profits, Leadership Development, Leadership, Nonprofits, SPSS, Policy Analysis, Higher Education, Organizational..., Financial Structuring, Proposal Writing, Program Development, Analysis, Training, Policy, Risk Management, Instructional Design, Grant Writing, Change Management, Staff Development
Education
University of Wisconsin-Madison 1988 — 1992
PhD
Wake Forest University 1981 — 1982
MA, Exercise Science
State University of New York College at Cortland 1978 — 1981
BSE, Physical Education/Athletic Training
State University of New York College at Oneonta 1976 — 1978
Bryan Hagen Bryan Hagen's FINRA (Formerly NASD) Experience August 1998 - November 2000
Job Chief Compliance Officer at Paulson Investment Co.
Industry Financial Services
Experience
Paulson Investment Co. June 2012 - Present
Hagen Compliance LLC 2011 - Present
Phillips and Company Wealth Strategies November 2000 - January 2011
FINRA (formerly NASD) August 1998 - November 2000
Skills
Securities Compliance..., Expert Witness, Case Analysis, Broker Dealer Compliance, Procedure Development, Teaching, Relationship Development, Operations Management, Auditing, Testing, Compliance, Securities, Due Diligence, AML, Risk, FINRA, Broker-Dealer, Financial Risk, Investment Advisory, Series 7, Finance, Anti Money Laundering
Education
Reed College 1987 — 1991
B.A., Economics
University of Chicago Graduate School of Business
Completed Fellows Program
Paulson Investment Co. June 2012 - Present
Hagen Compliance LLC 2011 - Present
Phillips and Company Wealth Strategies November 2000 - January 2011
FINRA (formerly NASD) August 1998 - November 2000
Skills
Securities Compliance..., Expert Witness, Case Analysis, Broker Dealer Compliance, Procedure Development, Teaching, Relationship Development, Operations Management, Auditing, Testing, Compliance, Securities, Due Diligence, AML, Risk, FINRA, Broker-Dealer, Financial Risk, Investment Advisory, Series 7, Finance, Anti Money Laundering
Education
Reed College 1987 — 1991
B.A., Economics
University of Chicago Graduate School of Business
Completed Fellows Program
Carl Rubin Carl Rubin's FINRA (Formerly NASD) Experience July 2003 - April 2014
Job Qualifications Analyst
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
FINRA (Formerly NASD) July 2003 - April 2014
H&R Block Financial Advisors July 2001 - May 2003
Skills
Series 7, FINRA, Compliance, Series 63, Securities, Equities, Mutual Funds, Fixed Income, Alternative Investments, Investment Advisory, Derivatives, Options, Financial Markets, Investments, Capital Markets, Finance
Education
Florida State University 1997 — 2001
B.S., Finance
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
FINRA (Formerly NASD) July 2003 - April 2014
H&R Block Financial Advisors July 2001 - May 2003
Skills
Series 7, FINRA, Compliance, Series 63, Securities, Equities, Mutual Funds, Fixed Income, Alternative Investments, Investment Advisory, Derivatives, Options, Financial Markets, Investments, Capital Markets, Finance
Education
Florida State University 1997 — 2001
B.S., Finance
Brian Rubin Brian Rubin's FINRA (Formerly NASD) Experience August 1996 - August 2003
Job Securities enforcement, litigation and regulatory counseling partner at Sutherland Asbill & Brennan LLP
Industry Law Practice
Experience
Sutherland Asbill & Brennan LLP September 2003 - Present
FINRA (formerly NASD) August 1996 - August 2003
US Securities and Exchange Commission August 1992 - August 1996
Melrod, Redman & Gartlan 1991 - 1992
Sidley Austin August 1987 - August 1991
Skills
Securities, Enforcement, Compliance, Securities Law, Securities Regulation, Litigation, Investment Advisory, FINRA, Arbitration, Internal Investigations, Securities Litigation, Broker-Dealer, Corporate Governance, SEC, Licensing, White Collar Criminal..., Due Diligence, Civil Litigation, Privacy Law
Education
Duke University 1984 — 1987
MA, Economics
Duke University School of Law 1984 — 1987
JD
University of Pennsylvania - The Wharton School 1980 — 1984
BS, Economics, cum laude
Sutherland Asbill & Brennan LLP September 2003 - Present
FINRA (formerly NASD) August 1996 - August 2003
US Securities and Exchange Commission August 1992 - August 1996
Melrod, Redman & Gartlan 1991 - 1992
Sidley Austin August 1987 - August 1991
Skills
Securities, Enforcement, Compliance, Securities Law, Securities Regulation, Litigation, Investment Advisory, FINRA, Arbitration, Internal Investigations, Securities Litigation, Broker-Dealer, Corporate Governance, SEC, Licensing, White Collar Criminal..., Due Diligence, Civil Litigation, Privacy Law
Education
Duke University 1984 — 1987
MA, Economics
Duke University School of Law 1984 — 1987
JD
University of Pennsylvania - The Wharton School 1980 — 1984
BS, Economics, cum laude
Paul Gullatte, CFP® Paul Gullatte, CFP®'s FINRA (Formerly NASD) Experience November 2003 - April 2005
Job Senior Associate, Regulatory Compliance at PIMCO
Industry Financial Services
Experience
PIMCO August 2012 - Present
Legg Mason September 2010 - August 2012
Allianz Global Investors January 2008 - September 2010
Citigroup April 2007 - December 2007
AIG Global Investment Group April 2005 - April 2007
FINRA (Formerly NASD) November 2003 - April 2005
T. Rowe Price April 2001 - November 2003
T. Rowe Price January 2000 - April 2001
T. Rowe Price January 1998 - January 2000
Skills
Securities, FINRA, Series 7, Series 24, Mutual Funds, Hedge Funds, Alternative Investments, Series 63, Equities, Investments, Asset Managment, Fixed Income, Investment Advisory, Financial Services, Investment Strategies, Private Equity, Portfolio Management, Asset Management, Compliance, ETFs, Retirement, Financial Advisory, Finance, Retirement Planning
Education
The Johns Hopkins University - Carey Business School 2002 — 2003
Graduate Certificate, Leadership Development for Minority Managers
College for Financial Planning 1999 — 2001
Certificate of Completion, Financial Planning
Morgan State University 1991 — 1995
B.A., Economics
PIMCO August 2012 - Present
Legg Mason September 2010 - August 2012
Allianz Global Investors January 2008 - September 2010
Citigroup April 2007 - December 2007
AIG Global Investment Group April 2005 - April 2007
FINRA (Formerly NASD) November 2003 - April 2005
T. Rowe Price April 2001 - November 2003
T. Rowe Price January 2000 - April 2001
T. Rowe Price January 1998 - January 2000
Skills
Securities, FINRA, Series 7, Series 24, Mutual Funds, Hedge Funds, Alternative Investments, Series 63, Equities, Investments, Asset Managment, Fixed Income, Investment Advisory, Financial Services, Investment Strategies, Private Equity, Portfolio Management, Asset Management, Compliance, ETFs, Retirement, Financial Advisory, Finance, Retirement Planning
Education
The Johns Hopkins University - Carey Business School 2002 — 2003
Graduate Certificate, Leadership Development for Minority Managers
College for Financial Planning 1999 — 2001
Certificate of Completion, Financial Planning
Morgan State University 1991 — 1995
B.A., Economics
Lauren Weiniger's FINRA (Formerly NASD) Experience May 2004 - February 2005
Job Tau Investment Management; Timeless Capital; Milken Young Leaders Circle
Industry Investment Management
Experience
Tau Investment Management September 2013 - Present
LRN April 2013 - September 2013
University of Oxford September 2011 - October 2012
Global Viral Forecasting Initiative May 2011 - September 2011
Abraxis Bioscience June 2010 - February 2011
Financial Times March 2010 - June 2010
Grameen Argentina 2009 - 2010
Institute for International Research May 2007 - October 2009
Citigroup July 2005 - May 2007
FINRA (Formerly NASD) May 2004 - February 2005
Skills
Marketing, Sales, Microsoft Excel, Strategy, Management, Analysis, Proposal Writing, Spanish, PowerPoint, Microsoft Word, Editing, Financial Services, Business Strategy, Business Development, New Business Development, Strategic Partnerships, Start-ups, Business Analysis, Public Relations, Market Research, Fundraising, Business Planning, Social Media
Education
University of Oxford - Said Business School 2011 — 2012
MBA, Impact Investing; Branding
The University of Maryland, College Park: RH Smith School of Business - 2005 2001 — 2005
Bachelor of Science, Finance; Business School
Tau Investment Management September 2013 - Present
LRN April 2013 - September 2013
University of Oxford September 2011 - October 2012
Global Viral Forecasting Initiative May 2011 - September 2011
Abraxis Bioscience June 2010 - February 2011
Financial Times March 2010 - June 2010
Grameen Argentina 2009 - 2010
Institute for International Research May 2007 - October 2009
Citigroup July 2005 - May 2007
FINRA (Formerly NASD) May 2004 - February 2005
Skills
Marketing, Sales, Microsoft Excel, Strategy, Management, Analysis, Proposal Writing, Spanish, PowerPoint, Microsoft Word, Editing, Financial Services, Business Strategy, Business Development, New Business Development, Strategic Partnerships, Start-ups, Business Analysis, Public Relations, Market Research, Fundraising, Business Planning, Social Media
Education
University of Oxford - Said Business School 2011 — 2012
MBA, Impact Investing; Branding
The University of Maryland, College Park: RH Smith School of Business - 2005 2001 — 2005
Bachelor of Science, Finance; Business School
Eric Field Eric Field's FINRA (Formerly NASD) Experience 2000 - 2003
Job Director of Capital Markets Compliance at Robert W. Baird & Co.
Industry Financial Services
Experience
Robert W. Baird & Co. July 2011 - Present
Robert W. Baird & Co. 2010 - 2011
FBR Capital Markets 2003 - 2010
FINRA (formerly NASD) 2000 - 2003
State Farm Insurance 1997 - 2000
Skills
Compliance Management, Regulatory Strategy, Capital Markets, Regulatory Submissions, Development Of Policies, Regulatory Risk, Implementation Of..., Regulatory Reporting, Strategy, Trading, Trading Systems, Regulations, Fixed Income, Policy, Insurance, Equities, Options, Banking, FINRA
Education
The Johns Hopkins University - Carey Business School
Master of Science (M.S.)
West Virginia University
Bachelor of Science (B.S.)
Robert W. Baird & Co. July 2011 - Present
Robert W. Baird & Co. 2010 - 2011
FBR Capital Markets 2003 - 2010
FINRA (formerly NASD) 2000 - 2003
State Farm Insurance 1997 - 2000
Skills
Compliance Management, Regulatory Strategy, Capital Markets, Regulatory Submissions, Development Of Policies, Regulatory Risk, Implementation Of..., Regulatory Reporting, Strategy, Trading, Trading Systems, Regulations, Fixed Income, Policy, Insurance, Equities, Options, Banking, FINRA
Education
The Johns Hopkins University - Carey Business School
Master of Science (M.S.)
West Virginia University
Bachelor of Science (B.S.)
Alex Kavaliunas Alex Kavaliunas's FINRA (Formerly NASD) Experience January 2006 - May 2013
Job Principal Examiner at Financial Industry Regulatory Authority
Industry Capital Markets
Experience
Financial Industry Regulatory Authority May 2013 - Present
FINRA (formerly NASD) January 2006 - May 2013
Legg Mason May 2002 - December 2005
Legg Mason 2001 - 2002
Skills
Fixed Income, Capital Markets, Equities, FINRA, Investments, Securities, Trading, Mutual Funds, Portfolio Management, Series 7, Financial Services, Financial Modeling
Education
Drexel University 2007 — 2009
MBA, Marketing
Fairfield University 1996 — 2000
Georgetown Prep 1992 — 1996
BSS
Financial Industry Regulatory Authority May 2013 - Present
FINRA (formerly NASD) January 2006 - May 2013
Legg Mason May 2002 - December 2005
Legg Mason 2001 - 2002
Skills
Fixed Income, Capital Markets, Equities, FINRA, Investments, Securities, Trading, Mutual Funds, Portfolio Management, Series 7, Financial Services, Financial Modeling
Education
Drexel University 2007 — 2009
MBA, Marketing
Fairfield University 1996 — 2000
Georgetown Prep 1992 — 1996
BSS
Doug Preveza Doug Preveza's FINRA (Formerly NASD) Experience May 2004 - November 2010
Job Compliance Specialist
Industry Financial Services
Experience
Infinex Finanacial Group May 2012 - Present
FINRA May 2006 - May 2012
South Shore Mental Health April 2005 - May 2012
FINRA (formerly NASD) May 2004 - November 2010
Fidelity Investments May 2000 - October 2003
Investors Capital February 1997 - May 2000
State Street Bank February 1996 - February 1997
Dean Witter September 1995 - February 1996
Skills
Customer Relations, Problem Solving, Customer Service, Teaching, Auditing, Compliance, Team Leadership, Managerial, Trading
Education
Boston University
MBA
Bryant University 1991 — 1995
B.S., Finance
Infinex Finanacial Group May 2012 - Present
FINRA May 2006 - May 2012
South Shore Mental Health April 2005 - May 2012
FINRA (formerly NASD) May 2004 - November 2010
Fidelity Investments May 2000 - October 2003
Investors Capital February 1997 - May 2000
State Street Bank February 1996 - February 1997
Dean Witter September 1995 - February 1996
Skills
Customer Relations, Problem Solving, Customer Service, Teaching, Auditing, Compliance, Team Leadership, Managerial, Trading
Education
Boston University
MBA
Bryant University 1991 — 1995
B.S., Finance
Gary Distell Gary Distell's FINRA (Formerly NASD) Experience 1992 - 1996
Job Senior Consultant at Guggenheim Partners
Industry Financial Services
Experience
Guggenheim Partners April 2015 - Present
Cantor Fitzgerald/BGC February 2010 - March 2015
Katten Muchin Rosenman LLP July 2008 - January 2010
Bear, Stearns & Co. Inc December 1996 - June 2008
Institutional Direct, Inc. June 2002 - April 2006
National Association of Securities Dealers October 1992 - December 1996
FINRA (Formerly NASD) 1992 - 1996
Skills
Securities, Compliance, Hedge Funds, Trading, FINRA, Prime Brokerage, Securities Regulation, Capital Markets, Equities, Equity Trading, Trading Systems, Private Equity, Financial Services, Mutual Funds, Dodd-Frank, Series 7, Alternative Investments, Mergers & Acquisitions, Investments, Fixed Income, Financial Regulation, Broker-Dealer, Derivatives, Options, Asset Management, Series 24, AML, Electronic Trading, Structured Products, Financial Markets, Investment Banking, Bonds, Series 63, Corporate Governance, Private Placements, Securities Litigation, Bloomberg, ETFs, Investment Advisory, Wealth Management
Education
Georgetown University Law Center 1992 — 1996
LL.M.
The George Washington University Law School 1989 — 1992
J.D.
Penn State University 1982 — 1985
Bachelor of Science (B.S.)
Lower Merion High School 1978 — 1982
Guggenheim Partners April 2015 - Present
Cantor Fitzgerald/BGC February 2010 - March 2015
Katten Muchin Rosenman LLP July 2008 - January 2010
Bear, Stearns & Co. Inc December 1996 - June 2008
Institutional Direct, Inc. June 2002 - April 2006
National Association of Securities Dealers October 1992 - December 1996
FINRA (Formerly NASD) 1992 - 1996
Skills
Securities, Compliance, Hedge Funds, Trading, FINRA, Prime Brokerage, Securities Regulation, Capital Markets, Equities, Equity Trading, Trading Systems, Private Equity, Financial Services, Mutual Funds, Dodd-Frank, Series 7, Alternative Investments, Mergers & Acquisitions, Investments, Fixed Income, Financial Regulation, Broker-Dealer, Derivatives, Options, Asset Management, Series 24, AML, Electronic Trading, Structured Products, Financial Markets, Investment Banking, Bonds, Series 63, Corporate Governance, Private Placements, Securities Litigation, Bloomberg, ETFs, Investment Advisory, Wealth Management
Education
Georgetown University Law Center 1992 — 1996
LL.M.
The George Washington University Law School 1989 — 1992
J.D.
Penn State University 1982 — 1985
Bachelor of Science (B.S.)
Lower Merion High School 1978 — 1982
Peter Bauer, SPHR Peter Bauer, SPHR's FINRA (Formerly NASD) Experience 2010 - Present
Job Associate Director Human Resources at FINRA
Industry Financial Services
Experience
FINRA (Formerly NASD) 2010 - Present
BlackRock 2003 - 2010
SSR Realty Advisors 2003 - 2004
TIAA-CREF 1998 - 2003
Metropolitan Life Insurance Company 1991 - 1998
Skills
Talent Management, Employee Engagement, Recruiting, Employee Relations, Deferred Compensation, Succession Planning, Performance Management, Human Resources, HRIS, Personnel Management, Training, Talent Acquisition, Executive Search, Leadership Development, Workforce Planning, Change Management
Education
Capella University 2005 — 2007
MS, Business & HR
Kean University 1987 — 1991
BS, Management
FINRA (Formerly NASD) 2010 - Present
BlackRock 2003 - 2010
SSR Realty Advisors 2003 - 2004
TIAA-CREF 1998 - 2003
Metropolitan Life Insurance Company 1991 - 1998
Skills
Talent Management, Employee Engagement, Recruiting, Employee Relations, Deferred Compensation, Succession Planning, Performance Management, Human Resources, HRIS, Personnel Management, Training, Talent Acquisition, Executive Search, Leadership Development, Workforce Planning, Change Management
Education
Capella University 2005 — 2007
MS, Business & HR
Kean University 1987 — 1991
BS, Management
Alan Roth's FINRA (Formerly NASD) Experience October 2005 - December 2009
Job Expert Business Lawyer
Industry Legal Services
Experience
Quoddy, Inc. April 2009 - Present
Outside GC, LLC March 2006 - Present
Alan H. Roth, Esq. December 2002 - Present
Baypoint Builders Corp. November 2002 - Present
L1 Identity Solutions March 2008 - September 2010
FINRA (formerly NASD) October 2005 - December 2009
Internet Business Capital Corporation Limited 1999 - 2003
Cambridge Executive Enterprises 1997 - 2002
C-bridge Internet Solutions, Inc. 1997 - 1999
Hemenway & Barnes July 1995 - July 1997
Skills
Mergers, Corporate Law, Corporate Governance, Start-ups, Mergers & Acquisitions, Licensing, Joint Ventures, Legal Writing, Strategy, Litigation, Arbitration
Education
Stanford Law School 1989 — 1992
JD, Law
Columbia University School of Journalism 1978 — 1979
MS, Journalism
Amherst College 1975 — 1978
BA, English
Quoddy, Inc. April 2009 - Present
Outside GC, LLC March 2006 - Present
Alan H. Roth, Esq. December 2002 - Present
Baypoint Builders Corp. November 2002 - Present
L1 Identity Solutions March 2008 - September 2010
FINRA (formerly NASD) October 2005 - December 2009
Internet Business Capital Corporation Limited 1999 - 2003
Cambridge Executive Enterprises 1997 - 2002
C-bridge Internet Solutions, Inc. 1997 - 1999
Hemenway & Barnes July 1995 - July 1997
Skills
Mergers, Corporate Law, Corporate Governance, Start-ups, Mergers & Acquisitions, Licensing, Joint Ventures, Legal Writing, Strategy, Litigation, Arbitration
Education
Stanford Law School 1989 — 1992
JD, Law
Columbia University School of Journalism 1978 — 1979
MS, Journalism
Amherst College 1975 — 1978
BA, English
Tammy Choe's FINRA (Formerly NASD) Experience September 2007 - May 2011
Job Vice President in Legal and Compliance at BlackRock
Industry Financial Services
Experience
BlackRock August 2013 - Present
Barclays Capital July 2010 - August 2013
FINRA (formerly NASD) September 2007 - May 2011
Skills
NY Bar - Admitted June..., MA Bar - Admitted..., FINRA Series 14 License
Education
Georgetown University Law Center 2008 — 2011
LLM, Securities and Financial Regulation
Suffolk University Law School 2005 — 2007
J.D., LAW
Georgia Institute of Technology - Georgia Tech College of Management 1999 — 2003
B.S., Management (Finance and International Business)
BlackRock August 2013 - Present
Barclays Capital July 2010 - August 2013
FINRA (formerly NASD) September 2007 - May 2011
Skills
NY Bar - Admitted June..., MA Bar - Admitted..., FINRA Series 14 License
Education
Georgetown University Law Center 2008 — 2011
LLM, Securities and Financial Regulation
Suffolk University Law School 2005 — 2007
J.D., LAW
Georgia Institute of Technology - Georgia Tech College of Management 1999 — 2003
B.S., Management (Finance and International Business)
Darcey Bohanna Hall's FINRA (Formerly NASD) Experience April 2005 - January 2008
Job BSA/AML Compliance Officer at SVB Financial Group
Industry Banking
Experience
SVB Financial Group October 2014 - Present
SVB Financial Group January 2008 - October 2014
FINRA (formerly NASD) April 2005 - January 2008
E*TRADE Financial June 2000 - April 2005
Merrill Lynch 1993 - 1998
Education
California State University-Sacramento 1998 — 2001
MBA
St. Mary's College of California 1989 — 1993
BA, Government
Tomales High School 1985 — 1989
High School
SVB Financial Group October 2014 - Present
SVB Financial Group January 2008 - October 2014
FINRA (formerly NASD) April 2005 - January 2008
E*TRADE Financial June 2000 - April 2005
Merrill Lynch 1993 - 1998
Education
California State University-Sacramento 1998 — 2001
MBA
St. Mary's College of California 1989 — 1993
BA, Government
Tomales High School 1985 — 1989
High School
Rob Renner's FINRA (Formerly NASD) Experience January 1998 - 2009
Job Vice President at Financial Industry Regulatory Authority (FINRA)
Industry Accounting
Experience
FINRA 2009 - Present
FINRA (formerly NASD) January 1998 - 2009
Ernst & Young LLP September 1994 - December 1997
Skills
Internal Controls, Financial Reporting, Auditing, Financial Analysis, Accounting, Financial Accounting, Finance, CPA, PeopleSoft, Sarbanes-Oxley, Leadership, Sarbanes-Oxley Act, Human Resources, GAAP, Internal Audit, Management, SDLC, General Ledger, Technical Project..., Analysis, Accounts Receivable, Business Analysis
Education
University of Maryland - Robert H. Smith School of Business 1992 — 1994
BS, Accounting
College of Southern Maryland 1990 — 1992
Associate's degree, Accounting and Business/Management
FINRA 2009 - Present
FINRA (formerly NASD) January 1998 - 2009
Ernst & Young LLP September 1994 - December 1997
Skills
Internal Controls, Financial Reporting, Auditing, Financial Analysis, Accounting, Financial Accounting, Finance, CPA, PeopleSoft, Sarbanes-Oxley, Leadership, Sarbanes-Oxley Act, Human Resources, GAAP, Internal Audit, Management, SDLC, General Ledger, Technical Project..., Analysis, Accounts Receivable, Business Analysis
Education
University of Maryland - Robert H. Smith School of Business 1992 — 1994
BS, Accounting
College of Southern Maryland 1990 — 1992
Associate's degree, Accounting and Business/Management
Ashlee Connett's FINRA (Formerly NASD) Experience October 2007 - December 2007
Job Senior Counsel at US Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities and Exchange Commission May 2015 - Present
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Securities and Exchange Commission March 2014 - June 2014
U.S. Securities and Exchange Commission August 2011 - March 2014
KPMG US July 2010 - July 2011
KPMG US September 2009 - July 2010
KPMG US August 2008 - September 2009
KPMG US January 2008 - May 2008
FINRA (Formerly NASD) October 2007 - December 2007
U.S. Securities and Exchange Commission May 2007 - August 2007
Skills
Mergers, Due Diligence, Tax, Legal Research, Legal Writing, SEC filings, Corporate Law, Mergers & Acquisitions, Litigation, Tax Law, Securities, State Tax, Westlaw, Legal Issues, Securities Regulation, Administrative Law, Lexis, Hearings, Corporate Tax, Courts, Legal Assistance, Legal Advice, Private Equity, Corporate Governance
Education
Rutgers University School of Law - Newark 2006 — 2008
J.D, Law
The American University of Paris 2000 — 2004
B.S., International Finance; International Economics
U.S. Securities and Exchange Commission May 2015 - Present
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Securities and Exchange Commission March 2014 - June 2014
U.S. Securities and Exchange Commission August 2011 - March 2014
KPMG US July 2010 - July 2011
KPMG US September 2009 - July 2010
KPMG US August 2008 - September 2009
KPMG US January 2008 - May 2008
FINRA (Formerly NASD) October 2007 - December 2007
U.S. Securities and Exchange Commission May 2007 - August 2007
Skills
Mergers, Due Diligence, Tax, Legal Research, Legal Writing, SEC filings, Corporate Law, Mergers & Acquisitions, Litigation, Tax Law, Securities, State Tax, Westlaw, Legal Issues, Securities Regulation, Administrative Law, Lexis, Hearings, Corporate Tax, Courts, Legal Assistance, Legal Advice, Private Equity, Corporate Governance
Education
Rutgers University School of Law - Newark 2006 — 2008
J.D, Law
The American University of Paris 2000 — 2004
B.S., International Finance; International Economics
Doug Drozdowski's FINRA (Formerly NASD) Experience September 2005 - September 2006
Job Vice President at Citizens Bank
Industry Financial Services
Experience
Citizens Bank June 2014 - Present
GL Advisor May 2012 - August 2013
GW & Wade LLC March 2011 - May 2012
GW & Wade Asset Management Company, LLC March 2011 - May 2012
John Hancock September 2006 - March 2011
FINRA (Formerly NASD) September 2005 - September 2006
JP Morgan July 2002 - September 2005
UBS July 2000 - July 2002
Education
Providence College 1996 — 2000
Bachelor of Science (BS), Finance
Don Bosco Preparatory High School
Citizens Bank June 2014 - Present
GL Advisor May 2012 - August 2013
GW & Wade LLC March 2011 - May 2012
GW & Wade Asset Management Company, LLC March 2011 - May 2012
John Hancock September 2006 - March 2011
FINRA (Formerly NASD) September 2005 - September 2006
JP Morgan July 2002 - September 2005
UBS July 2000 - July 2002
Education
Providence College 1996 — 2000
Bachelor of Science (BS), Finance
Don Bosco Preparatory High School
Timothy M Thornton's FINRA (Formerly NASD) Experience 2000 - 2002
Job At the intersection of land use and transportation
Industry Real Estate
Experience
Parsons Brinckerhoff July 2011 - Present
Four Friends Kitchen March 2013 - Present
HUD July 2010 - July 2011
Bay Area Economics October 2008 - May 2010
RCLCO July 2004 - October 2008
Colliers International 2003 - 2003
FINRA (Formerly NASD) 2000 - 2002
Morgan Stanley 1998 - 2000
Skills
Market Analysis, Real Estate Finance, Urban Economics, Financial Modeling, Economic Development, Transit-oriented..., Demographic Analysis, Report Writing, Data Presentation, Transportation Finance, Strategic Consulting, Housing Policy, Urban Infill, Due Diligence, Infrastructure, Financial Analysis, Real Estate Economics, Business Development, Market Research, Feasibility Studies, Economics, Program Management, Public/private..., Analysis, Project Planning, Leadership, Location Intelligence, Container Terminals, Ports, Highways, Toll Roads, Management Consulting, Affordable Housing, Real Estate Development, Commercial Real Estate..., Development Economics, Start-ups, Project Finance, Urban Planning, Finance, Business Strategy, CRM, Project Management
Education
Rice University - Jesse H. Jones Graduate School of Management 2002 — 2004
MBA
Lafayette College 1994 — 1998
Bachelor of Arts, Economics & Business
Pembroke Hill 1990 — 1994
Parsons Brinckerhoff July 2011 - Present
Four Friends Kitchen March 2013 - Present
HUD July 2010 - July 2011
Bay Area Economics October 2008 - May 2010
RCLCO July 2004 - October 2008
Colliers International 2003 - 2003
FINRA (Formerly NASD) 2000 - 2002
Morgan Stanley 1998 - 2000
Skills
Market Analysis, Real Estate Finance, Urban Economics, Financial Modeling, Economic Development, Transit-oriented..., Demographic Analysis, Report Writing, Data Presentation, Transportation Finance, Strategic Consulting, Housing Policy, Urban Infill, Due Diligence, Infrastructure, Financial Analysis, Real Estate Economics, Business Development, Market Research, Feasibility Studies, Economics, Program Management, Public/private..., Analysis, Project Planning, Leadership, Location Intelligence, Container Terminals, Ports, Highways, Toll Roads, Management Consulting, Affordable Housing, Real Estate Development, Commercial Real Estate..., Development Economics, Start-ups, Project Finance, Urban Planning, Finance, Business Strategy, CRM, Project Management
Education
Rice University - Jesse H. Jones Graduate School of Management 2002 — 2004
MBA
Lafayette College 1994 — 1998
Bachelor of Arts, Economics & Business
Pembroke Hill 1990 — 1994
Jeanne Hartman's FINRA (Formerly NASD) Experience February 2008 - Present
Job Sr. Director, Operations Testing & Continuing Education at FINRA
Industry Financial Services
Experience
FINRA (formerly NASD) February 2008 - Present
Pearson (Harcourt) January 2004 - February 2008
Data Recognition Corporation April 1998 - October 2003
Skills
Program Management, PMP, Cross-functional Team..., Training, Instructional Design, Process Improvement, Project Planning, Performance Management, Project Management, Budgets, Team Building, Leadership, Team Leadership, Management, SDLC, Change Management, Coaching, Vendor Management, Agile Methodologies, Business Process..., Nonprofits, Research, Staff Development, Strategic Planning, Human Resources, Strategy, Business Process, Business Intelligence, Testing, Analysis, Data Analysis
Education
Northern Kentucky University 1998 — 2001
BA, Secondary Education and Social Studies
University of Cincinnati 1996 — 1998
AA, Secondary Education
FINRA (formerly NASD) February 2008 - Present
Pearson (Harcourt) January 2004 - February 2008
Data Recognition Corporation April 1998 - October 2003
Skills
Program Management, PMP, Cross-functional Team..., Training, Instructional Design, Process Improvement, Project Planning, Performance Management, Project Management, Budgets, Team Building, Leadership, Team Leadership, Management, SDLC, Change Management, Coaching, Vendor Management, Agile Methodologies, Business Process..., Nonprofits, Research, Staff Development, Strategic Planning, Human Resources, Strategy, Business Process, Business Intelligence, Testing, Analysis, Data Analysis
Education
Northern Kentucky University 1998 — 2001
BA, Secondary Education and Social Studies
University of Cincinnati 1996 — 1998
AA, Secondary Education
Dallas Mossman's FINRA (Formerly NASD) Experience 1989 - 1999
Job IT Specialist at US Government
Industry Information Technology and Services
Experience
US Government September 2010 - Present
Base Technologies Inc. February 2009 - September 2010
Sapphire Technologies May 2008 - January 2009
NASDAQ Stock Market 1999 - 2007
NASD 1989 - 1999
The National Association of Securities Dealers 1989 - 1999
FINRA (Formerly NASD) 1989 - 1999
Hertz 1987 - 1989
Skills
ITIL, Disaster Recovery, SQL, System Administration, Data Center, Linux, Customer Relations, Unix, Testing, Strategic Planning, Storage, C
Education
Saginaw Valley State University 1980 — 1985
BS, Computer Science
US Government September 2010 - Present
Base Technologies Inc. February 2009 - September 2010
Sapphire Technologies May 2008 - January 2009
NASDAQ Stock Market 1999 - 2007
NASD 1989 - 1999
The National Association of Securities Dealers 1989 - 1999
FINRA (Formerly NASD) 1989 - 1999
Hertz 1987 - 1989
Skills
ITIL, Disaster Recovery, SQL, System Administration, Data Center, Linux, Customer Relations, Unix, Testing, Strategic Planning, Storage, C
Education
Saginaw Valley State University 1980 — 1985
BS, Computer Science
Rachael Stephens's FINRA (Formerly NASD) Experience December 2006 - April 2008
Job Independent Consultant
Industry Financial Services
Experience
Self June 2013 - Present
The Legend Group May 2008 - June 2013
FINRA (formerly NASD) December 2006 - April 2008
The Legend Group February 2004 - November 2006
Gleim Publications 2002 - 2004
Skills
Leadership, FINRA, Securities
Education
University of Florida 2001 — 2003
B.S., Journalism
Self June 2013 - Present
The Legend Group May 2008 - June 2013
FINRA (formerly NASD) December 2006 - April 2008
The Legend Group February 2004 - November 2006
Gleim Publications 2002 - 2004
Skills
Leadership, FINRA, Securities
Education
University of Florida 2001 — 2003
B.S., Journalism
Maria Marks's FINRA (Formerly NASD) Experience June 2000 - April 2008
Job Regional Compliance Manager
Industry Financial Services
Experience
The Ayco Company May 2008 - Present
FINRA (formerly NASD) June 2000 - April 2008
Merrill Lynch 1990 - 2000
Skills
Operations, Operations Management, Investment Advisory, Series 7, Series 66, Series 24, FINRA, Securities Regulation
Education
Marquette University 1975 — 1979
Bachelor of Science, Speech
The Ayco Company May 2008 - Present
FINRA (formerly NASD) June 2000 - April 2008
Merrill Lynch 1990 - 2000
Skills
Operations, Operations Management, Investment Advisory, Series 7, Series 66, Series 24, FINRA, Securities Regulation
Education
Marquette University 1975 — 1979
Bachelor of Science, Speech
Michael Tuohy's FINRA (Formerly NASD) Experience 1999 - 2002
Job Director at Fidelity Investments
Industry Financial Services
Experience
Fidelity Investments September 2009 - Present
PricewaterhouseCoopers December 2005 - September 2009
Wachovia February 2002 - November 2005
NASD May 1999 - February 2002
FINRA (formerly NASD) 1999 - 2002
Skills
AML, Securities
Education
Fairleigh Dickinson University 1981 — 1985
BS, Business
Xavier
Fidelity Investments September 2009 - Present
PricewaterhouseCoopers December 2005 - September 2009
Wachovia February 2002 - November 2005
NASD May 1999 - February 2002
FINRA (formerly NASD) 1999 - 2002
Skills
AML, Securities
Education
Fairleigh Dickinson University 1981 — 1985
BS, Business
Xavier
Diane E. Carter, CCP, SPHR, SHRM-SCP's FINRA (Formerly NASD) Experience 1997 - 2001
Job Director, Human Resources at Gray and Son, Inc./Maryland Paving Inc.
Industry Construction
Experience
Gray and Son, Inc./Maryland Paving Inc. October 2012 - Present
University of Maryland University College April 2012 - October 2012
University of Maryland University College June 2011 - April 2012
City of Baltimore, Maryland January 2011 - May 2011
University of Maryland Medical Center 2007 - 2010
AAI Corporation 2007 - 2007
Lafarge North America 2002 - 2007
Metastorm May 2001 - October 2002
FINRA (formerly NASD) 1997 - 2001
Integrated Health Services March 1995 - December 1997
Skills
Employee Benefits, Performance Management, Talent Management, Succession Planning, Talent Acquisition, Human Resources, Compensation & Benefits..., Workforce Planning, Employee Relations, Personnel Management, Organizational..., Leadership, PeopleSoft, Employment Law, Organizational..., Deferred Compensation, Onboarding, Benefits Administration, HRIS, Recruiting, Compensation & Benefits
Education
HRCI
SPHR, Sr. Professional in Human Resources
University of Connecticut
BS, Human Development
World at Work
CCP, Certified Compensation Professional
Gray and Son, Inc./Maryland Paving Inc. October 2012 - Present
University of Maryland University College April 2012 - October 2012
University of Maryland University College June 2011 - April 2012
City of Baltimore, Maryland January 2011 - May 2011
University of Maryland Medical Center 2007 - 2010
AAI Corporation 2007 - 2007
Lafarge North America 2002 - 2007
Metastorm May 2001 - October 2002
FINRA (formerly NASD) 1997 - 2001
Integrated Health Services March 1995 - December 1997
Skills
Employee Benefits, Performance Management, Talent Management, Succession Planning, Talent Acquisition, Human Resources, Compensation & Benefits..., Workforce Planning, Employee Relations, Personnel Management, Organizational..., Leadership, PeopleSoft, Employment Law, Organizational..., Deferred Compensation, Onboarding, Benefits Administration, HRIS, Recruiting, Compensation & Benefits
Education
HRCI
SPHR, Sr. Professional in Human Resources
University of Connecticut
BS, Human Development
World at Work
CCP, Certified Compensation Professional
Scott Holleman's FINRA (Formerly NASD) Experience May 2006 - August 2006
Job Associate at Johnson & Weaver, LLP
Industry Law Practice
Experience
Johnson & Weaver, LLP September 2013 - Present
Levi & Korsinsky LLP May 2009 - August 2013
Bloomberg April 2009 - May 2009
Balestriere Lanza PLLC October 2007 - March 2009
US Securities and Exchange Commission January 2007 - May 2007
FINRA (formerly NASD) May 2006 - August 2006
Skills
Class Actions, AML, OFAC, Commercial Litigation, Securities Regulation, Securities, Competition Law, Civil Litigation, Corporate Governance, Financial Services, Litigation, Fraud, Legal Research, Mutual Funds, Courts, Legal Writing, Corporate Law, Trials, Trade Secrets, Arbitration, Securities Litigation, Appeals, Litigation Support, Business Litigation, Westlaw
Education
Saint John's University School of Law 2004 — 2007
J.D.
University of North Carolina at Chapel Hill 1999 — 2003
B.A., Political Science
Myers Park High School 1995 — 1999
International Baccalaureate (IB)
Johnson & Weaver, LLP September 2013 - Present
Levi & Korsinsky LLP May 2009 - August 2013
Bloomberg April 2009 - May 2009
Balestriere Lanza PLLC October 2007 - March 2009
US Securities and Exchange Commission January 2007 - May 2007
FINRA (formerly NASD) May 2006 - August 2006
Skills
Class Actions, AML, OFAC, Commercial Litigation, Securities Regulation, Securities, Competition Law, Civil Litigation, Corporate Governance, Financial Services, Litigation, Fraud, Legal Research, Mutual Funds, Courts, Legal Writing, Corporate Law, Trials, Trade Secrets, Arbitration, Securities Litigation, Appeals, Litigation Support, Business Litigation, Westlaw
Education
Saint John's University School of Law 2004 — 2007
J.D.
University of North Carolina at Chapel Hill 1999 — 2003
B.A., Political Science
Myers Park High School 1995 — 1999
International Baccalaureate (IB)
LaTonya Reynolds's FINRA (Formerly NASD) Experience 2005 - 2007
Job Senior Counsel at MarylandNational Capital Park and Planning Commission
Industry Legal Services
Experience
Maryland-National Capital Park and Planning Commission August 2010 - Present
US Securities and Exchange Commission November 2007 - May 2008
FINRA (formerly NASD) 2005 - 2007
Skills
Government, Pension Funds, Pension Administration, Employment Law, Employee Benefits, Corporate Governance, Securities, Equities, Compliance, Litigation, Legal Writing
Education
Georgetown University - The McDonough School of Business 1999 — 2002
MBA -Masters of Busines Administration, Finance, Management
Georgetown University Law Center 1998 — 2002
JD
Wake Forest University 1996 — 1998
Bachelor of Arts, BA, Economics
North Carolina Agricultural and Technical State University 1994 — 1996
Business Administration, Economics
Maryland-National Capital Park and Planning Commission August 2010 - Present
US Securities and Exchange Commission November 2007 - May 2008
FINRA (formerly NASD) 2005 - 2007
Skills
Government, Pension Funds, Pension Administration, Employment Law, Employee Benefits, Corporate Governance, Securities, Equities, Compliance, Litigation, Legal Writing
Education
Georgetown University - The McDonough School of Business 1999 — 2002
MBA -Masters of Busines Administration, Finance, Management
Georgetown University Law Center 1998 — 2002
JD
Wake Forest University 1996 — 1998
Bachelor of Arts, BA, Economics
North Carolina Agricultural and Technical State University 1994 — 1996
Business Administration, Economics
Andrew C. Goresh's FINRA (Formerly NASD) Experience 2001 - 2006
Job Principal at Coaching for Transitions LLC
Industry Human Resources
Experience
Coaching for Transitions LLC January 2008 - Present
Fieldstone Mortgage Company October 2006 - October 2007
NASD April 2001 - October 2006
FINRA (formerly NASD) 2001 - 2006
FINRA 2001 - 2006
Financial Industry Regulatory Authority 2001 - 2006
T. Rowe Price 1985 - 1998
Skills
Recruiting, Succession Planning, Leadership, Change Management, Human Resources, Deferred Compensation, Team Building, Strategy, Talent Management, Employment Law, Strategic Planning, Performance Management, Employee Benefits, Management, Personnel Management, Mergers & Acquisitions, Executive Coaching, Employee Relations, Coaching, Consulting, Executive Management, Talent Acquisition, Management Consulting
Education
University of Pennsylvania - The Wharton School 1996 — 1996
Certificate, Advanced Management Program
Washington and Lee University 1971 — 1974
JD, Law
The Ohio State University 1968 — 1970
BA, Psychology
Coaching for Transitions LLC January 2008 - Present
Fieldstone Mortgage Company October 2006 - October 2007
NASD April 2001 - October 2006
FINRA (formerly NASD) 2001 - 2006
FINRA 2001 - 2006
Financial Industry Regulatory Authority 2001 - 2006
T. Rowe Price 1985 - 1998
Skills
Recruiting, Succession Planning, Leadership, Change Management, Human Resources, Deferred Compensation, Team Building, Strategy, Talent Management, Employment Law, Strategic Planning, Performance Management, Employee Benefits, Management, Personnel Management, Mergers & Acquisitions, Executive Coaching, Employee Relations, Coaching, Consulting, Executive Management, Talent Acquisition, Management Consulting
Education
University of Pennsylvania - The Wharton School 1996 — 1996
Certificate, Advanced Management Program
Washington and Lee University 1971 — 1974
JD, Law
The Ohio State University 1968 — 1970
BA, Psychology
Elizabeth Wollin's FINRA (Formerly NASD) Experience 1983 - 1988
Job Senior Advisor at Department of Veterans Affairs, Center for Innovation
Industry Information Technology and Services
Experience
Nuna Health January 2015 - April 2015
Associated Veterans 2013 - 2014
MITRE 2009 - 2013
FINRA 1979 - 2008
NASD (now FINRA) 2000 - 2006
NASD (now ) 1998 - 1999
NASD (Now FINRA) 1989 - 1997
FINRA (Formerly NASD) 1983 - 1988
NASD (now FINRA) 1981 - 1983
FINRA March 1979 - February 1981
Skills
Analysis, Data Warehousing, Government, Financial Analysis, Data Mining, Case Management, Customer Relationship..., Acquisition, Business Intelligence, Business Process, Cross-functional Team..., Program Management, Analytics, Leadership, Mergers, CRM, Case Managment, SDLC, Mergers & Acquisitions, Project Management, Securities, SaaS, Consulting, Financial Services, Policy, PMP, Knowledge Management, Management, Finance, Management Consulting
Education
The George Washington University - School of Business 1982 — 1986
MBA, International Finance
Allegheny College 1968 — 1972
BA, French
Nuna Health January 2015 - April 2015
Associated Veterans 2013 - 2014
MITRE 2009 - 2013
FINRA 1979 - 2008
NASD (now FINRA) 2000 - 2006
NASD (now ) 1998 - 1999
NASD (Now FINRA) 1989 - 1997
FINRA (Formerly NASD) 1983 - 1988
NASD (now FINRA) 1981 - 1983
FINRA March 1979 - February 1981
Skills
Analysis, Data Warehousing, Government, Financial Analysis, Data Mining, Case Management, Customer Relationship..., Acquisition, Business Intelligence, Business Process, Cross-functional Team..., Program Management, Analytics, Leadership, Mergers, CRM, Case Managment, SDLC, Mergers & Acquisitions, Project Management, Securities, SaaS, Consulting, Financial Services, Policy, PMP, Knowledge Management, Management, Finance, Management Consulting
Education
The George Washington University - School of Business 1982 — 1986
MBA, International Finance
Allegheny College 1968 — 1972
BA, French
Sara Ford Burstein's FINRA (Formerly NASD) Experience January 2000 - August 2000
Job Director of Outreach at The Schiller Center for Connective Change
Industry Law Practice
Experience
The Schiller Center for Connective Change May 2013 - Present
Alston & Bird LLP September 2001 - October 2006
FINRA (formerly NASD) January 2000 - August 2000
Meridian International Center August 1996 - June 1998
K.G. Druker 1998 - 1998
Skills
Corporate Law, Legal Research, Civil Litigation, Legal Writing, Securities Regulation, Corporate Governance, International Law, Legal Advice, Securities, Due Diligence, Westlaw
Education
American University, Washington College of Law 1998 — 2001
J.D.
University of Notre Dame 1992 — 1996
B.A., Government & International Relations
The Schiller Center for Connective Change May 2013 - Present
Alston & Bird LLP September 2001 - October 2006
FINRA (formerly NASD) January 2000 - August 2000
Meridian International Center August 1996 - June 1998
K.G. Druker 1998 - 1998
Skills
Corporate Law, Legal Research, Civil Litigation, Legal Writing, Securities Regulation, Corporate Governance, International Law, Legal Advice, Securities, Due Diligence, Westlaw
Education
American University, Washington College of Law 1998 — 2001
J.D.
University of Notre Dame 1992 — 1996
B.A., Government & International Relations
Ralph Heil's FINRA (Formerly NASD) Experience 1985 - 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
Eric Grollman's FINRA (Formerly NASD) Experience 2003 - 2005
Job Senior Manager: Finance Consulting at Virtusa Corporation
Industry Financial Services
Experience
Virtusa Corporation August 2010 - Present
Arden Asset Management (fund of hedge funds) 2007 - 2010
Ernst & Young 2005 - 2007
Whippoorwill Associates 2003 - 2005
FINRA (formerly NASD) 2003 - 2005
Skills
Governance, Internal Audit, Business Analysis, Project Management, CRM, Valuation, Risk Management, Business Process, Sarbanes-Oxley Act, Hedge Funds, Portfolio Management, Access, Financial Services, Options, Software Documentation, Visio, Analysis, Business Process..., Financial Risk, Investments
Education
Fordham Gabelli School of Business 2003 — 2005
Dual Major MBA, Finance and Information Systems
University of Colorado Boulder 1990 — 1994
BA, Communications
Virtusa Corporation August 2010 - Present
Arden Asset Management (fund of hedge funds) 2007 - 2010
Ernst & Young 2005 - 2007
Whippoorwill Associates 2003 - 2005
FINRA (formerly NASD) 2003 - 2005
Skills
Governance, Internal Audit, Business Analysis, Project Management, CRM, Valuation, Risk Management, Business Process, Sarbanes-Oxley Act, Hedge Funds, Portfolio Management, Access, Financial Services, Options, Software Documentation, Visio, Analysis, Business Process..., Financial Risk, Investments
Education
Fordham Gabelli School of Business 2003 — 2005
Dual Major MBA, Finance and Information Systems
University of Colorado Boulder 1990 — 1994
BA, Communications
Elisse Walter's FINRA (Formerly NASD) Experience 1996 - 2008
Job Retired; ex Chairman & Commissioner at Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission July 2008 - August 2013
US Securities and Exchange Commission December 2012 - April 2013
FINRA (formerly NASD) 1996 - 2008
US Commodity Futures Trading Commission 1994 - 1996
US Securities and Exchange Commission 1977 - 1994
Arent Fox 1974 - 1977
Skills
Securities Regulation, Corporate Governance
Education
Harvard Law School 1971 — 1974
Juris Doctor (J.D.)
Yale University 1969 — 1971
Bachelor's Degree, Mathematics
Brown University 1967 — 1969
Applied Mathematics
Herricks Senior High School 1963 — 1967
High School
US Securities and Exchange Commission July 2008 - August 2013
US Securities and Exchange Commission December 2012 - April 2013
FINRA (formerly NASD) 1996 - 2008
US Commodity Futures Trading Commission 1994 - 1996
US Securities and Exchange Commission 1977 - 1994
Arent Fox 1974 - 1977
Skills
Securities Regulation, Corporate Governance
Education
Harvard Law School 1971 — 1974
Juris Doctor (J.D.)
Yale University 1969 — 1971
Bachelor's Degree, Mathematics
Brown University 1967 — 1969
Applied Mathematics
Herricks Senior High School 1963 — 1967
High School