NYSE Regulation
Industry: Company
DescriptionFounded: 2005 Parent organizations: NYSE Euronext Inc., NYSE Holdings LLC
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NYSE Regulation Employees
Employee
Years
Job
Industry
Patricia Corley Patricia Corley's NYSE Regulation Experience October 2005 - November 2007
Job Deputy Director, Litigation and Regulatory Affairs at Societe Generale
Industry Banking
Experience
Societe Generale December 2007 - Present
NYSE Regulation October 2005 - November 2007
O'Melveny & Myers LLP January 2004 - September 2005
Debevoise & Plimpton October 1998 - January 2004
Hon. Eugene E. Siler, Jr., United States Court of Appeals for the Sixth Circuit August 1997 - August 1998
Skills
Litigation, Securities Regulation, Corporate Law, Securities, Legal Advice, Derivatives, Legal Writing
Education
Harvard Law School 1994 — 1997
Doctor of Law (J.D.), Cum Laude
Transylvania University 1990 — 1994
Bachelor of Arts (B.A.), Political Science, Summa Cum Laude
Societe Generale December 2007 - Present
NYSE Regulation October 2005 - November 2007
O'Melveny & Myers LLP January 2004 - September 2005
Debevoise & Plimpton October 1998 - January 2004
Hon. Eugene E. Siler, Jr., United States Court of Appeals for the Sixth Circuit August 1997 - August 1998
Skills
Litigation, Securities Regulation, Corporate Law, Securities, Legal Advice, Derivatives, Legal Writing
Education
Harvard Law School 1994 — 1997
Doctor of Law (J.D.), Cum Laude
Transylvania University 1990 — 1994
Bachelor of Arts (B.A.), Political Science, Summa Cum Laude
Robert A. Marchman Robert A. Marchman's NYSE Regulation Experience January 1989 - June 2010
Job Executive Vice President/MRD Legal Section at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
NYSE Euronext 1999 - June 2010
NYSER January 1989 - June 2010
NYSE Regulation January 1989 - June 2010
New York Stock Exchange January 1989 - June 2010
US Securities and Exchange Commission August 1983 - January 1989
Skills
Securities Regulation, Securities, FINRA, Corporate Governance, FCPA, Capital Markets, Equities, AML, Internal Investigations, Litigation, Broker-Dealer, Corporate Law, Due Diligence, Mergers, Hedge Funds, Diversity & Inclusion, Financial Regulation, SEC, Mergers & Acquisitions, Program Management, Series 24
Education
University of Pennsylvania Law School 1980 — 1983
JD, Law
Allegheny College 1976 — 1980
BA, Political Science
FINRA June 2010 - Present
NYSE Euronext 1999 - June 2010
NYSER January 1989 - June 2010
NYSE Regulation January 1989 - June 2010
New York Stock Exchange January 1989 - June 2010
US Securities and Exchange Commission August 1983 - January 1989
Skills
Securities Regulation, Securities, FINRA, Corporate Governance, FCPA, Capital Markets, Equities, AML, Internal Investigations, Litigation, Broker-Dealer, Corporate Law, Due Diligence, Mergers, Hedge Funds, Diversity & Inclusion, Financial Regulation, SEC, Mergers & Acquisitions, Program Management, Series 24
Education
University of Pennsylvania Law School 1980 — 1983
JD, Law
Allegheny College 1976 — 1980
BA, Political Science
Sara Manfro Sara Manfro's NYSE Regulation Experience September 2008 - December 2008
Job
Industry Financial Services
Experience
JPMorgan Chase January 2013 - Present
JPMorgan Chase August 2011 - January 2013
Financial Industry Regulatory Authority October 2009 - August 2011
NYSE Regulation September 2008 - December 2008
Financial Industry Regulatory Authority May 2008 - August 2008
Chalos, O'Connor and Duffy February 2007 - May 2008
Kaplan Test Prep July 2004 - February 2007
Skills
Series 7, Admitted to Practice, Securities, Securities Regulation, Fixed Income
Education
Hofstra University School of Law 2005 — 2008
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
Binghamton University 2001 — 2004
Bachelor of Arts (B.A.), Philosophy, Politics and Law
Jericho High School 1997 — 2001
JPMorgan Chase January 2013 - Present
JPMorgan Chase August 2011 - January 2013
Financial Industry Regulatory Authority October 2009 - August 2011
NYSE Regulation September 2008 - December 2008
Financial Industry Regulatory Authority May 2008 - August 2008
Chalos, O'Connor and Duffy February 2007 - May 2008
Kaplan Test Prep July 2004 - February 2007
Skills
Series 7, Admitted to Practice, Securities, Securities Regulation, Fixed Income
Education
Hofstra University School of Law 2005 — 2008
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
Binghamton University 2001 — 2004
Bachelor of Arts (B.A.), Philosophy, Politics and Law
Jericho High School 1997 — 2001
Marlene Fahy-Hinova Marlene Fahy-Hinova's NYSE Regulation Experience November 2003 - May 2007
Job VP, Compliance Manager, BNY Mellon Capital Markets LLC
Industry Financial Services
Experience
BNY Mellon December 2010 - December 2014
Rabobank International July 2010 - December 2010
Rabobank May 2007 - December 2010
NYSE Regulation November 2003 - May 2007
Skills
Securities, Capital Markets, Fixed Income, Equities, Financial Services, Investment Banking, Drafting Policies, Securities Regulation, Regulatory Inquiries, Real Time Advisory, Highly detail oriented, Organized with Strong..., Drafting Written...
Education
Fordham University School of Law 1999 — 2003
Doctor of Law (J.D.)
Baruch College
Bachelor of Arts (B.A.), Literature
State University of New York College at Oneonta
BNY Mellon December 2010 - December 2014
Rabobank International July 2010 - December 2010
Rabobank May 2007 - December 2010
NYSE Regulation November 2003 - May 2007
Skills
Securities, Capital Markets, Fixed Income, Equities, Financial Services, Investment Banking, Drafting Policies, Securities Regulation, Regulatory Inquiries, Real Time Advisory, Highly detail oriented, Organized with Strong..., Drafting Written...
Education
Fordham University School of Law 1999 — 2003
Doctor of Law (J.D.)
Baruch College
Bachelor of Arts (B.A.), Literature
State University of New York College at Oneonta
Laura Seamon Laura Seamon's NYSE Regulation Experience May 2015 - Present
Job Manager, Enforcement Counsel at NYSE Regulation
Industry Law Practice
Experience
NYSE Regulation May 2015 - Present
Nixon Peabody February 2012 - May 2015
Student at Emory University School of Law August 2008 - August 2012
Education
Emory University School of Law 2008 — 2011
Virginia Tech 2004 — 2008
Bachelor of Science (BS), Business Management
NYSE Regulation May 2015 - Present
Nixon Peabody February 2012 - May 2015
Student at Emory University School of Law August 2008 - August 2012
Education
Emory University School of Law 2008 — 2011
Virginia Tech 2004 — 2008
Bachelor of Science (BS), Business Management
John Roussel, CRCP John Roussel, CRCP's NYSE Regulation Experience April 2015 - Present
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
Anthony Sacco's NYSE Regulation Experience March 1999 - December 2006
Job Examination / Surveillance Director at Finra
Industry Financial Services
Experience
Finra March 2009 - Present
UBS Investment Bank January 2007 - March 2009
NYSE Regulation March 1999 - December 2006
Skills
Compliance and..., Finance, Fraud, Insurance, Management, Risk Management, Analysis, Securities, Financial Risk, Banking, FINRA
Education
Mount Saint Mary College 1993 — 1995
Bachelor's degree, Business Administration and Management, General
Finra March 2009 - Present
UBS Investment Bank January 2007 - March 2009
NYSE Regulation March 1999 - December 2006
Skills
Compliance and..., Finance, Fraud, Insurance, Management, Risk Management, Analysis, Securities, Financial Risk, Banking, FINRA
Education
Mount Saint Mary College 1993 — 1995
Bachelor's degree, Business Administration and Management, General
Sarit Sela's NYSE Regulation Experience August 2007 - May 2010
Job Assistant Vice President & Senior Risk Analyst
Industry Financial Services
Experience
Ocean Bank December 2011 - Present
NYSE Regulation August 2007 - May 2010
New York Stock Exchange Regulation August 2007 - May 2010
Goldman Sachs July 2004 - July 2007
Private Wealth Management Technology July 2004 - July 2007
Goldman Sachs November 1999 - February 2002
GOLDMAN, SACHS & CO November 1999 - February 2002
Skills
Equities, Management, Portfolio Management, Risk Assessment, Risk Management, Financial Risk, Finance, Investments, Project Management, Compliance, Credit, Budgets, Options, Analysis, Program Management, CRM, Training
Education
Nova Southeastern University 2002 — 2003
MBA, Business Administration
Wayne Huizenga School of Business 2002 — 2003
Bachelor of Arts, Criminology
University of South Florida 1995 — 1999
BA, Criminology
Ocean Bank December 2011 - Present
NYSE Regulation August 2007 - May 2010
New York Stock Exchange Regulation August 2007 - May 2010
Goldman Sachs July 2004 - July 2007
Private Wealth Management Technology July 2004 - July 2007
Goldman Sachs November 1999 - February 2002
GOLDMAN, SACHS & CO November 1999 - February 2002
Skills
Equities, Management, Portfolio Management, Risk Assessment, Risk Management, Financial Risk, Finance, Investments, Project Management, Compliance, Credit, Budgets, Options, Analysis, Program Management, CRM, Training
Education
Nova Southeastern University 2002 — 2003
MBA, Business Administration
Wayne Huizenga School of Business 2002 — 2003
Bachelor of Arts, Criminology
University of South Florida 1995 — 1999
BA, Criminology
Aldo Martinez (aldo@ajmadvisory.com) Aldo Martinez (aldo@ajmadvisory.com)'s NYSE Regulation Experience 2004 - 2008
Job Vella, Singer and Martinez, partner and shareholder
Industry Financial Services
Experience
Vella, Singer and Martinez July 2013 - Present
Vella, Singer & Martinez 2013 - 2014
Vella, Singer & Martinez 2013 - 2014
St. Peter's University 2008 - 2014
AJM Advisory Services April 2008 - July 2013
NYSE Regulation 2004 - 2008
New York Stock Exchange 1987 - 2004
NYSE Regulation 1983 - March 1987
Skills
Capital Markets, Derivatives, Equities, Trading, Options, Corporate Finance, Financial Markets, Executive Management, Emerging Markets, Valuation, Leadership, Securities, Analysis, Financial Services, Market Data, Finance, Investment Banking, Ethical Leadership, Securities Regulation, Risk Management, Equity Trading, Trading Systems, Private Equity, Hedge Funds, Strategy, Entrepreneurship, Asset Management, Financial Risk, Fixed Income, Venture Capital, Due Diligence, Mergers & Acquisitions, Investments, Enterprise Risk..., Restructuring, Consulting, Portfolio Management, Funding, Investor Relations, Alternative Investments, Strategic Financial..., Legal Research, FINRA, Strategic Vision, International Law, Financial Regulation
Education
Seton Hall University School of Law 1980 — 1984
Juris Doctor, Law
St. Peter's University 1971 — 1977
B.S., Business Administration
Vella, Singer and Martinez July 2013 - Present
Vella, Singer & Martinez 2013 - 2014
Vella, Singer & Martinez 2013 - 2014
St. Peter's University 2008 - 2014
AJM Advisory Services April 2008 - July 2013
NYSE Regulation 2004 - 2008
New York Stock Exchange 1987 - 2004
NYSE Regulation 1983 - March 1987
Skills
Capital Markets, Derivatives, Equities, Trading, Options, Corporate Finance, Financial Markets, Executive Management, Emerging Markets, Valuation, Leadership, Securities, Analysis, Financial Services, Market Data, Finance, Investment Banking, Ethical Leadership, Securities Regulation, Risk Management, Equity Trading, Trading Systems, Private Equity, Hedge Funds, Strategy, Entrepreneurship, Asset Management, Financial Risk, Fixed Income, Venture Capital, Due Diligence, Mergers & Acquisitions, Investments, Enterprise Risk..., Restructuring, Consulting, Portfolio Management, Funding, Investor Relations, Alternative Investments, Strategic Financial..., Legal Research, FINRA, Strategic Vision, International Law, Financial Regulation
Education
Seton Hall University School of Law 1980 — 1984
Juris Doctor, Law
St. Peter's University 1971 — 1977
B.S., Business Administration
Betsy Minkin Betsy Minkin's NYSE Regulation Experience 2005 - 2010
Job at KGSAlpha Capital Markets, L.P.
Industry Financial Services
Experience
KGS-Alpha Capital Markets, L.P. 2011 - Present
The Daily Princetonian 2000 - Present
NYSE Regulation 2005 - 2010
NYSE Euronext 1999 - 2005
NYSE 1989 - 1999
Skills
Securities, Equities, Fixed Income, Derivatives, FINRA, Trading, Securities Regulation, Electronic Trading, Financial Markets, Financial Services
Education
Cornell University
MSILR, Labor Relations
Princeton University
AB, economics
KGS-Alpha Capital Markets, L.P. 2011 - Present
The Daily Princetonian 2000 - Present
NYSE Regulation 2005 - 2010
NYSE Euronext 1999 - 2005
NYSE 1989 - 1999
Skills
Securities, Equities, Fixed Income, Derivatives, FINRA, Trading, Securities Regulation, Electronic Trading, Financial Markets, Financial Services
Education
Cornell University
MSILR, Labor Relations
Princeton University
AB, economics
Thomas Noble Thomas Noble's NYSE Regulation Experience May 2015 - Present
Job NYSE Regulation
Industry Financial Services
Experience
NYSE Regulation May 2015 - Present
Citi January 2007 - Present
Citi April 2000 - December 2006
Skills
Series 7, Series 63, Securities, Equities, Fixed Income, FINRA, Capital Markets, Equity Trading, Trading, Bloomberg, Financial Markets, Alternative Investments, Derivatives, ETFs, Equity Derivatives, Trading Strategies
Education
Garden City High School
SUNY at Buffalo
Bachelor of Science, Business Administration
NYSE Regulation May 2015 - Present
Citi January 2007 - Present
Citi April 2000 - December 2006
Skills
Series 7, Series 63, Securities, Equities, Fixed Income, FINRA, Capital Markets, Equity Trading, Trading, Bloomberg, Financial Markets, Alternative Investments, Derivatives, ETFs, Equity Derivatives, Trading Strategies
Education
Garden City High School
SUNY at Buffalo
Bachelor of Science, Business Administration
Adam Wasserman Adam Wasserman's NYSE Regulation Experience October 2014 - Present
Job Head of Enforcement at NYSE Regulation, Inc.
Industry Law Practice
Experience
NYSE Regulation October 2014 - Present
Dechert LLP January 2007 - September 2014
Dechert LLP January 2005 - December 2006
Swidler Berlin Shereff Friedman June 2000 - December 2004
Debevoise & Plimpton September 1998 - June 2000
Judge Franklin S. Van Antwerpen September 1997 - September 1998
Skills
Securities Litigation, Securities Regulation, Litigation, Commercial Litigation, White Collar Criminal..., Class Actions, Civil Litigation, Corporate Governance, Internal Investigations, Trials, Dispute Resolution, Trial Practice, Hearings, Criminal Law, Legal Writing, Private Investigations, Legal Advice, Fraud
Education
Harvard Law School 1994 — 1997
J.D.
Pomona College 1990 — 1994
B.A., Public Policy Analysis/Psychology
NYSE Regulation October 2014 - Present
Dechert LLP January 2007 - September 2014
Dechert LLP January 2005 - December 2006
Swidler Berlin Shereff Friedman June 2000 - December 2004
Debevoise & Plimpton September 1998 - June 2000
Judge Franklin S. Van Antwerpen September 1997 - September 1998
Skills
Securities Litigation, Securities Regulation, Litigation, Commercial Litigation, White Collar Criminal..., Class Actions, Civil Litigation, Corporate Governance, Internal Investigations, Trials, Dispute Resolution, Trial Practice, Hearings, Criminal Law, Legal Writing, Private Investigations, Legal Advice, Fraud
Education
Harvard Law School 1994 — 1997
J.D.
Pomona College 1990 — 1994
B.A., Public Policy Analysis/Psychology
Kit Wong-Khoo's NYSE Regulation Experience 2000 - May 2010
Job Integrative Holistic Health Coach, MBA
Industry Health, Wellness and Fitness
Experience
MiracleToBeAlive.com January 2013 - Present
nutraMetrix.com/kit May 2010 - Present
NYSE Regulation 2000 - May 2010
BNY Mellon March 1997 - October 2000
Skills
Great Communication, Business Analysis, Marketing Strategy, Entrepreneur, Detail Orientation, Friendship, Business Strategy, Entrepreneurship, Small Business, Nutrition, Leadership, Team Leadership, Marketing, Healthcare, Program Management, Microsoft Office, Wellness, Lifestyle, Coaching, Social Networking, Holistic Health, Supplements, Social Media Marketing, Public Speaking, Event Planning, Team Building
Education
Institute for Integrative Nutrition 2013 — 2013
Holistic Health Coach, Foods, Nutrition, and Wellness Studies, General
Fordham University - Graduate School of Business Administration 2001 — 2004
MBA, Finance
Baruch College, City University of New York (CUNY) 1994 — 1996
Bachelor, Finance
MiracleToBeAlive.com January 2013 - Present
nutraMetrix.com/kit May 2010 - Present
NYSE Regulation 2000 - May 2010
BNY Mellon March 1997 - October 2000
Skills
Great Communication, Business Analysis, Marketing Strategy, Entrepreneur, Detail Orientation, Friendship, Business Strategy, Entrepreneurship, Small Business, Nutrition, Leadership, Team Leadership, Marketing, Healthcare, Program Management, Microsoft Office, Wellness, Lifestyle, Coaching, Social Networking, Holistic Health, Supplements, Social Media Marketing, Public Speaking, Event Planning, Team Building
Education
Institute for Integrative Nutrition 2013 — 2013
Holistic Health Coach, Foods, Nutrition, and Wellness Studies, General
Fordham University - Graduate School of Business Administration 2001 — 2004
MBA, Finance
Baruch College, City University of New York (CUNY) 1994 — 1996
Bachelor, Finance
Javis Jay Brunson Javis Jay Brunson's NYSE Regulation Experience 1980 - 2008
Job Business Leadership and HR Facilitator at Goldman Sachs 10000 Small Businesses
Industry Professional Training & Coaching
Experience
Goldman Sachs 10000 Small Businesses March 2015 - Present
Goldman Sachs 10000 Small Businesses April 2011 - Present
Javis Brunson Consultants August 2010 - Present
Abel Business Institute January 2009 - January 2014
New York Stock Exchange July 1980 - April 2008
NYSE Regulation 1980 - 2008
Skills
Real Estate, Leadership, Management Consulting, Coaching, Public Speaking, Team Building, Management, Strategic Planning, Leadership Development, Sales, Trading Systems, Project Planning, Small Business, Entrepreneurship, Time Management, Staff Development, Risk Management, Start-ups, Strategy, Contract Negotiation, Marketing, Training, Customer Service, Business Planning, New Business Development, Business Development, Marketing Strategy, Negotiation, Program Management, Investments, Organizational..., Business Strategy, Budgets, Analysis, Mergers & Acquisitions, Fundraising, Executive Coaching, Executive Management, Strategic Partnerships, Employee Benefits, Change Management, Consulting, Project Management, Process Improvement
Education
Fordham University 1997 — 2001
BS, Business/Finance
Institute for Professional Excellence in Coaching 2008 — 2009
CPC, Certified Professional Coaching
Goldman Sachs 10000 Small Businesses March 2015 - Present
Goldman Sachs 10000 Small Businesses April 2011 - Present
Javis Brunson Consultants August 2010 - Present
Abel Business Institute January 2009 - January 2014
New York Stock Exchange July 1980 - April 2008
NYSE Regulation 1980 - 2008
Skills
Real Estate, Leadership, Management Consulting, Coaching, Public Speaking, Team Building, Management, Strategic Planning, Leadership Development, Sales, Trading Systems, Project Planning, Small Business, Entrepreneurship, Time Management, Staff Development, Risk Management, Start-ups, Strategy, Contract Negotiation, Marketing, Training, Customer Service, Business Planning, New Business Development, Business Development, Marketing Strategy, Negotiation, Program Management, Investments, Organizational..., Business Strategy, Budgets, Analysis, Mergers & Acquisitions, Fundraising, Executive Coaching, Executive Management, Strategic Partnerships, Employee Benefits, Change Management, Consulting, Project Management, Process Improvement
Education
Fordham University 1997 — 2001
BS, Business/Finance
Institute for Professional Excellence in Coaching 2008 — 2009
CPC, Certified Professional Coaching
Eduard Linetskiy's NYSE Regulation Experience July 2005 - August 2007
Job
Industry Investment Banking
Experience
Houlihan Lokey November 2014 - Present
Houlihan Lokey October 2013 - November 2014
MetLife September 2011 - September 2013
MetLife January 2010 - September 2011
AXA Equitable August 2007 - January 2010
NYSE Regulation July 2005 - August 2007
Office of Thrift Supervision June 2003 - December 2004
Skills
Series 24, Series 7, Compliance Testing, Policy, Investment Advisory, Equities, Finance, Auditing, Broker-Dealer, Analysis, Microsoft Excel, Compliance, Developing Testing..., 206(4)-7 testing, Development Of Policies, Code of Ethics, Personnel Management, Series 27, Employee Personal..., Series 66, 3012, Implementation Of..., Surveillance, Investment Advisory..., Sungard Prosurv, Sungard Personal..., StarCompliance
Education
New York University - Leonard N. Stern School of Business 2009 — 2013
MBA, Leadership / Change Management & Finance
Baruch College, City University of New York (CUNY) 2001 — 2005
BBA, Finance & Investments
Houlihan Lokey November 2014 - Present
Houlihan Lokey October 2013 - November 2014
MetLife September 2011 - September 2013
MetLife January 2010 - September 2011
AXA Equitable August 2007 - January 2010
NYSE Regulation July 2005 - August 2007
Office of Thrift Supervision June 2003 - December 2004
Skills
Series 24, Series 7, Compliance Testing, Policy, Investment Advisory, Equities, Finance, Auditing, Broker-Dealer, Analysis, Microsoft Excel, Compliance, Developing Testing..., 206(4)-7 testing, Development Of Policies, Code of Ethics, Personnel Management, Series 27, Employee Personal..., Series 66, 3012, Implementation Of..., Surveillance, Investment Advisory..., Sungard Prosurv, Sungard Personal..., StarCompliance
Education
New York University - Leonard N. Stern School of Business 2009 — 2013
MBA, Leadership / Change Management & Finance
Baruch College, City University of New York (CUNY) 2001 — 2005
BBA, Finance & Investments
Thomas Leahy's NYSE Regulation Experience July 2002 - August 2007
Job Associate, Energy Financial Services at GE Capital
Industry Financial Services
Experience
GE Capital December 2012 - Present
Smart Energy Capital April 2012 - December 2012
DTE Energy July 2010 - April 2012
Waste Management May 2009 - August 2009
Pacific Gas and Electric Company June 2008 - August 2008
NYSE Regulation July 2002 - August 2007
Education
University of Michigan - Stephen M. Ross School of Business 2007 — 2010
MBA/MS, Finance and Energy
Georgetown University 1998 — 2002
Bachelor of Arts (B.A.), Political Economy
GE Capital December 2012 - Present
Smart Energy Capital April 2012 - December 2012
DTE Energy July 2010 - April 2012
Waste Management May 2009 - August 2009
Pacific Gas and Electric Company June 2008 - August 2008
NYSE Regulation July 2002 - August 2007
Education
University of Michigan - Stephen M. Ross School of Business 2007 — 2010
MBA/MS, Finance and Energy
Georgetown University 1998 — 2002
Bachelor of Arts (B.A.), Political Economy
Jey Purushotham's NYSE Regulation Experience 2013 - 2015
Job
Industry Financial Services
Experience
NYSE Regulation 2013 - 2015
New York Stock Exchange 2009 - 2013
New York Stock Exchange 2007 - 2009
New York Stock Exchange 2004 - 2007
Beckett Law Group March 2003 - November 2003
Smith Barney January 2001 - October 2002
Merrill Lynch July 1999 - January 2001
Skills
Management, Equities, Financial Markets, Financial Analysis, Series 7, Capital Markets, Analytics, Investment Banking, Financial Modeling, Analysis, Portfolio Management, Fixed Income, Finance, Trading, Derivatives, Securities, Valuation
Education
Fordham Gabelli School of Business 2007 — 2010
MBA
Tufts University 1995 — 1999
BA
NYSE Regulation 2013 - 2015
New York Stock Exchange 2009 - 2013
New York Stock Exchange 2007 - 2009
New York Stock Exchange 2004 - 2007
Beckett Law Group March 2003 - November 2003
Smith Barney January 2001 - October 2002
Merrill Lynch July 1999 - January 2001
Skills
Management, Equities, Financial Markets, Financial Analysis, Series 7, Capital Markets, Analytics, Investment Banking, Financial Modeling, Analysis, Portfolio Management, Fixed Income, Finance, Trading, Derivatives, Securities, Valuation
Education
Fordham Gabelli School of Business 2007 — 2010
MBA
Tufts University 1995 — 1999
BA
Danylo Rakowsky's NYSE Regulation Experience July 2006 - 2007
Job Financial Data Analyst at Office of Financial Research at U.S. Department of the Treasury
Industry Financial Services
Experience
U.S. Department of the Treasury March 2013 - Present
Citi May 2011 - March 2013
FINRA June 2010 - April 2011
NYSE December 2009 - June 2010
NYSE June 2008 - December 2009
NYSE 2007 - June 2008
NYSE Regulation July 2006 - 2007
Army National Guard November 2000 - November 2006
The Ohio State University September 2005 - March 2006
Education
The Ohio State University 2002 — 2006
U.S. Department of the Treasury March 2013 - Present
Citi May 2011 - March 2013
FINRA June 2010 - April 2011
NYSE December 2009 - June 2010
NYSE June 2008 - December 2009
NYSE 2007 - June 2008
NYSE Regulation July 2006 - 2007
Army National Guard November 2000 - November 2006
The Ohio State University September 2005 - March 2006
Education
The Ohio State University 2002 — 2006
Matthew Vaughn's NYSE Regulation Experience July 2006 - May 2008
Job CoHead of Equities Compliance at Citadel LLC
Industry Financial Services
Experience
Citadel LLC April 2013 - Present
UBS Investment Bank January 2011 - April 2013
NYSE Euronext May 2008 - December 2010
NYSE Regulation July 2006 - May 2008
Sungard January 2002 - July 2006
Skills
Compliance, Equities, Electronic Trading, Due Diligence, AML, Corporate Governance, Hedge Funds, Risk Management, Investments, Securities Regulation, Private Equity, Financial Services, Mutual Funds, Banking, Capital Markets, FINRA, Equity Trading
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2003 — 2007
J.D., Law
University of Illinois at Urbana-Champaign 1997 — 2001
MIS, Finance
Citadel LLC April 2013 - Present
UBS Investment Bank January 2011 - April 2013
NYSE Euronext May 2008 - December 2010
NYSE Regulation July 2006 - May 2008
Sungard January 2002 - July 2006
Skills
Compliance, Equities, Electronic Trading, Due Diligence, AML, Corporate Governance, Hedge Funds, Risk Management, Investments, Securities Regulation, Private Equity, Financial Services, Mutual Funds, Banking, Capital Markets, FINRA, Equity Trading
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2003 — 2007
J.D., Law
University of Illinois at Urbana-Champaign 1997 — 2001
MIS, Finance
Brett Kofman's NYSE Regulation Experience March 2006 - May 2008
Job Vice President at Credit Suisse
Industry Financial Services
Experience
Credit Suisse December 2010 - Present
Deutsche Bank May 2008 - December 2010
NYSE Regulation March 2006 - May 2008
UBS Wealth Management 2000 - 2006
SALOMON SMITH BARNEY December 1996 - March 2000
Skills
Series 7, Securities, Investment Banking, AML, Series 24, FINRA, Due Diligence, Capital Markets, Equities, Securities Regulation, KYC, Hedge Funds, Risk Management, Fixed Income, Derivatives, Alternative Investments, Financial Services, Operational Risk, Options
Education
Touro College Jacob D. Fuchsberg Law Center 1993 — 1996
JD, cum laude, Law
University at Albany, SUNY 1989 — 1993
Credit Suisse December 2010 - Present
Deutsche Bank May 2008 - December 2010
NYSE Regulation March 2006 - May 2008
UBS Wealth Management 2000 - 2006
SALOMON SMITH BARNEY December 1996 - March 2000
Skills
Series 7, Securities, Investment Banking, AML, Series 24, FINRA, Due Diligence, Capital Markets, Equities, Securities Regulation, KYC, Hedge Funds, Risk Management, Fixed Income, Derivatives, Alternative Investments, Financial Services, Operational Risk, Options
Education
Touro College Jacob D. Fuchsberg Law Center 1993 — 1996
JD, cum laude, Law
University at Albany, SUNY 1989 — 1993
Craig Gray's NYSE Regulation Experience October 2004 - Present
Job Director, ETF Listing Compliance at NYSE Regulation
Industry Financial Services
Experience
NYSE Regulation October 2004 - Present
Chicago Stock Exchange (CHX) 1995 - 2004
Chicago Stock Exchange 1993 - 1995
Chicago Stock Exchange 1990 - 1993
Chicago Board Options Exchange 1989 - 1990
Skills
Trading Systems, Electronic Trading, Options, Fixed Income, FINRA, Equities, Capital Markets, Market Data, Derivatives, Financial Markets, Trading, Equity Trading, Corporate Actions, Securities, Investments
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1992 — 1994
MBA, Finance
Northern Illinois University 1987 — 1989
Bachelor of Science (BS), Finance
NYSE Regulation October 2004 - Present
Chicago Stock Exchange (CHX) 1995 - 2004
Chicago Stock Exchange 1993 - 1995
Chicago Stock Exchange 1990 - 1993
Chicago Board Options Exchange 1989 - 1990
Skills
Trading Systems, Electronic Trading, Options, Fixed Income, FINRA, Equities, Capital Markets, Market Data, Derivatives, Financial Markets, Trading, Equity Trading, Corporate Actions, Securities, Investments
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1992 — 1994
MBA, Finance
Northern Illinois University 1987 — 1989
Bachelor of Science (BS), Finance
Richard Kaplin's NYSE Regulation Experience SecretaryByram Hills Education Foundation1994 - 2010
Job Director at NYSE Regulation
Industry Financial Services
Experience
NYSE Regulation SecretaryByram Hills Education Foundation1994 - 2010
NYSE Euronext 1970 - 2008
NYSE 1970 - 2008
Education
City University of New York Graduate Center 1970 — 1972
Master of Business Administration (MBA), Economics
Wheatley
NYSE Regulation SecretaryByram Hills Education Foundation1994 - 2010
NYSE Euronext 1970 - 2008
NYSE 1970 - 2008
Education
City University of New York Graduate Center 1970 — 1972
Master of Business Administration (MBA), Economics
Wheatley
Jack Macken's NYSE Regulation Experience April 2007 - June 2010
Job Counsel, Market Regulation, FINRA
Industry Financial Services
Experience
FINRA January 2011 - Present
NYSE January 2010 - June 2010
NYSE Regulation April 2007 - June 2010
New NYSE Regulation, Inc. October 2008 - January 2010
Tompkins & Davidson, LLP April 2006 - April 2007
White and Williams LLP April 2005 - April 2006
The Honorable John T.J. Kelly, Jr. of the Pennsylvania Superior Court 2003 - 2005
Skills
Securities Regulation
Education
The Catholic University of America, Columbus School of Law 2000 — 2003
JD
Georgetown University 1995 — 1999
BA, English
Regis High School 1991 — 1995
Regis High School
FINRA January 2011 - Present
NYSE January 2010 - June 2010
NYSE Regulation April 2007 - June 2010
New NYSE Regulation, Inc. October 2008 - January 2010
Tompkins & Davidson, LLP April 2006 - April 2007
White and Williams LLP April 2005 - April 2006
The Honorable John T.J. Kelly, Jr. of the Pennsylvania Superior Court 2003 - 2005
Skills
Securities Regulation
Education
The Catholic University of America, Columbus School of Law 2000 — 2003
JD
Georgetown University 1995 — 1999
BA, English
Regis High School 1991 — 1995
Regis High School
Angela Vignogna's NYSE Regulation Experience July 2008 - June 2010
Job Law Enforcement
Industry Legal Services
Experience
FINRA June 2010 - November 2010
NYSE Regulation July 2008 - June 2010
Phibro Animal Health September 2005 - June 2008
NYS Attorney General's Office - OCTF February 2008 - May 2008
Skills
Legal Writing, Criminal Justice, Research, Legal Research, Policy Analysis, Community Outreach, Microsoft Excel, Enforcement, Policy, Criminal Investigations, Private Investigations, Internal Investigations, Investigation, Criminal Law, Law Enforcement, Microsoft Office, Management, Police, Risk Management, Financial Services
Education
Iona College 2004 — 2008
Bachelor of Arts Degree, Criminal Justice
FINRA June 2010 - November 2010
NYSE Regulation July 2008 - June 2010
Phibro Animal Health September 2005 - June 2008
NYS Attorney General's Office - OCTF February 2008 - May 2008
Skills
Legal Writing, Criminal Justice, Research, Legal Research, Policy Analysis, Community Outreach, Microsoft Excel, Enforcement, Policy, Criminal Investigations, Private Investigations, Internal Investigations, Investigation, Criminal Law, Law Enforcement, Microsoft Office, Management, Police, Risk Management, Financial Services
Education
Iona College 2004 — 2008
Bachelor of Arts Degree, Criminal Justice
Thomas J. Bellaro's NYSE Regulation Experience July 1998 - May 1999
Job Manager IA Compliance
Industry Financial Services
Experience
Park Avenue Securities October 2005 - Present
Park Avenue Securities August 2011 - October 2011
TD Waterhouse February 2005 - October 2005
Park Avenue Securities January 2001 - February 2005
Prudential Securities June 1999 - December 2000
NYSE Regulation July 1998 - May 1999
Skills
Mergers, Investments, Investment Advisory, SEC, Financial Services, Auditing, Securities, Internal Audit, Equities, Capital Markets, Asset Managment, USA PATRIOT Act, Risk Management, Compliance, Asset Management, Series 7, Financial Risk, Mergers & Acquisitions, AML, FINRA, Series 63, Financial Advisory, Mutual Funds
Education
St. John's University, The Peter J. Tobin College of Business 1994 — 1998
BS, Finance
Park Avenue Securities October 2005 - Present
Park Avenue Securities August 2011 - October 2011
TD Waterhouse February 2005 - October 2005
Park Avenue Securities January 2001 - February 2005
Prudential Securities June 1999 - December 2000
NYSE Regulation July 1998 - May 1999
Skills
Mergers, Investments, Investment Advisory, SEC, Financial Services, Auditing, Securities, Internal Audit, Equities, Capital Markets, Asset Managment, USA PATRIOT Act, Risk Management, Compliance, Asset Management, Series 7, Financial Risk, Mergers & Acquisitions, AML, FINRA, Series 63, Financial Advisory, Mutual Funds
Education
St. John's University, The Peter J. Tobin College of Business 1994 — 1998
BS, Finance
Mike Bickford's NYSE Regulation Experience September 2015 - Present
Job
Industry Financial Services
Experience
NYSE Regulation September 2015 - Present
TYJS Group LLC January 2010 - August 2015
The Options Clearing Corporation April 2005 - October 2008
American Stock Exchange March 1995 - October 2008
New York Institute of Finance January 1981 - April 1997
Kidder Peabody May 1983 - February 1995
EF Hutton 1980 - 1983
Skills
Options, ETFs, Derivatives, Compliance, Executive Management, Market Structure, Electronic Trading, Trading Systems, Expert Witness, Trading, Equities, Financial Markets, Securities, Proprietary Trading, Volatility, FINRA, Equity Trading, Trading Strategies, Alternative Investments, Investments, Hedge Funds, Market Data, Equity Derivatives, Capital Markets, Series 24, Hedging
Education
Fordham University 1971 — 1975
BA, Economics
NYSE Regulation September 2015 - Present
TYJS Group LLC January 2010 - August 2015
The Options Clearing Corporation April 2005 - October 2008
American Stock Exchange March 1995 - October 2008
New York Institute of Finance January 1981 - April 1997
Kidder Peabody May 1983 - February 1995
EF Hutton 1980 - 1983
Skills
Options, ETFs, Derivatives, Compliance, Executive Management, Market Structure, Electronic Trading, Trading Systems, Expert Witness, Trading, Equities, Financial Markets, Securities, Proprietary Trading, Volatility, FINRA, Equity Trading, Trading Strategies, Alternative Investments, Investments, Hedge Funds, Market Data, Equity Derivatives, Capital Markets, Series 24, Hedging
Education
Fordham University 1971 — 1975
BA, Economics
Regina C Mysliwiec's NYSE Regulation Experience 2004 - 2006
Job Independent Legal Services Professional
Industry Legal Services
Experience
NYSE Regulation 2004 - 2006
New York Stock Exchange Regulation Inc. 2004 - 2006
NYSE 1988 - 2006
New York Stock Exchange 1988 - 2000
Education
Harvard Business School 1999 — 1999
na, Program for Management Development
University of Virginia School of Law
J.D., Law
NYSE Regulation 2004 - 2006
New York Stock Exchange Regulation Inc. 2004 - 2006
NYSE 1988 - 2006
New York Stock Exchange 1988 - 2000
Education
Harvard Business School 1999 — 1999
na, Program for Management Development
University of Virginia School of Law
J.D., Law
Judith Bryngil's NYSE Regulation Experience December 1985 - 2008
Job Associate Faculty Member at University of Phoenix
Industry Legal Services
Experience
AJM Advisory Services January 2009 - Present
University of Phoenix February 2010 - January 2011
NYSE Regulation December 1985 - 2008
Education
Fordham University School of Law 1980 — 1983
J.D., Law
Stevens Institute of Technology 1976 — 1980
B.S., Systems Planning and Management
AJM Advisory Services January 2009 - Present
University of Phoenix February 2010 - January 2011
NYSE Regulation December 1985 - 2008
Education
Fordham University School of Law 1980 — 1983
J.D., Law
Stevens Institute of Technology 1976 — 1980
B.S., Systems Planning and Management
Thomas Brogan's NYSE Regulation Experience May 2004 - May 2007
Job Compliance Officer at Credit Suisse
Industry Financial Services
Experience
Credit Suisse May 2007 - Present
NYSE Regulation May 2004 - May 2007
Education
Drew University 1997 — 2001
BA, Economics
Credit Suisse May 2007 - Present
NYSE Regulation May 2004 - May 2007
Education
Drew University 1997 — 2001
BA, Economics
Craig Hammond's NYSE Regulation Experience December 1997 - August 2006
Job Audit Director at Bank of America Global Wealth & Investment Management
Industry Financial Services
Experience
Bank of America January 2009 - Present
Merrill Lynch September 2007 - December 2008
NYSE Euronext August 2006 - September 2007
NYSE Regulation December 1997 - August 2006
Bronx County District Attorney Office August 1993 - August 1997
Skills
AML, Operational Risk, Securities, Capital Markets, Corporate Governance, Financial Risk, Risk Management, Enterprise Risk..., Securities Regulation, Fraud, Operational Risk..., Financial Regulation, Equities, Due Diligence, Banking
Education
Hofstra University School of Law 1990 — 1993
JD
New York University 1986 — 1990
BS, Political Science/Economics
Bank of America January 2009 - Present
Merrill Lynch September 2007 - December 2008
NYSE Euronext August 2006 - September 2007
NYSE Regulation December 1997 - August 2006
Bronx County District Attorney Office August 1993 - August 1997
Skills
AML, Operational Risk, Securities, Capital Markets, Corporate Governance, Financial Risk, Risk Management, Enterprise Risk..., Securities Regulation, Fraud, Operational Risk..., Financial Regulation, Equities, Due Diligence, Banking
Education
Hofstra University School of Law 1990 — 1993
JD
New York University 1986 — 1990
BS, Political Science/Economics
Matthew L. Moore's NYSE Regulation Experience 2005 - 2007
Job Managing Director at Goldman Sachs
Industry Investment Banking
Experience
Goldman Sachs September 2013 - Present
Goldman Sachs January 2012 - August 2013
Goldman Sachs May 2007 - December 2011
NYSE Regulation 2005 - 2007
Davis Polk & Wardwell LLP 2003 - 2005
Davis Polk & Wardwell LLP September 1996 - February 2002
Skills
Securities Regulation, Investment Banking, Financial Analysis, Equities, Securities, Fixed Income, Capital Markets, Hedge Funds
Education
University of Michigan Law School
JD
Goldman Sachs September 2013 - Present
Goldman Sachs January 2012 - August 2013
Goldman Sachs May 2007 - December 2011
NYSE Regulation 2005 - 2007
Davis Polk & Wardwell LLP 2003 - 2005
Davis Polk & Wardwell LLP September 1996 - February 2002
Skills
Securities Regulation, Investment Banking, Financial Analysis, Equities, Securities, Fixed Income, Capital Markets, Hedge Funds
Education
University of Michigan Law School
JD
John Malitzis's NYSE Regulation Experience October 2004 - June 2010
Job Executive Vice President, Market Regulation at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
NYSE Regulation October 2004 - June 2010
Citigroup Global Markets Inc May 2003 - September 2004
NASDAQ May 1997 - May 2002
National Association of Securities Dealers (nka, FINRA) April 1995 - May 1997
Commodity Futures Trading Commission June 1993 - April 1994
Skills
Market Structure, Market Regulation, Securities, FINRA, Cash, Equities, Capital Markets, Securities Regulation, Electronic Trading, Trading, Equity Trading, Derivatives, Trading Systems, Financial Markets, Hedge Funds, Options, Market Data, Financial Services, Financial Regulation, Investments, Financial Risk, Equity Derivatives, Regulations, SEC
Education
Boston College Law School 1989 — 1992
JD
State University of New York at Albany 1985 — 1989
BA
FINRA June 2010 - Present
NYSE Regulation October 2004 - June 2010
Citigroup Global Markets Inc May 2003 - September 2004
NASDAQ May 1997 - May 2002
National Association of Securities Dealers (nka, FINRA) April 1995 - May 1997
Commodity Futures Trading Commission June 1993 - April 1994
Skills
Market Structure, Market Regulation, Securities, FINRA, Cash, Equities, Capital Markets, Securities Regulation, Electronic Trading, Trading, Equity Trading, Derivatives, Trading Systems, Financial Markets, Hedge Funds, Options, Market Data, Financial Services, Financial Regulation, Investments, Financial Risk, Equity Derivatives, Regulations, SEC
Education
Boston College Law School 1989 — 1992
JD
State University of New York at Albany 1985 — 1989
BA
Stephen Buonomo's NYSE Regulation Experience July 2009 - November 2009
Job Vice President at Blackstone's Hedge Fund Solutions (BAAM)
Industry Financial Services
Experience
The Blackstone Group April 2015 - Present
Citigroup August 2012 - March 2015
Citigroup August 2010 - August 2012
New York Law School December 2009 - May 2010
NYSE Regulation July 2009 - November 2009
Citigroup, Office of the General Counsel January 2009 - May 2009
Education
New York Law School 2007 — 2010
JD
Dowling College 2001 — 2005
BBA, Marketing
The Blackstone Group April 2015 - Present
Citigroup August 2012 - March 2015
Citigroup August 2010 - August 2012
New York Law School December 2009 - May 2010
NYSE Regulation July 2009 - November 2009
Citigroup, Office of the General Counsel January 2009 - May 2009
Education
New York Law School 2007 — 2010
JD
Dowling College 2001 — 2005
BBA, Marketing
Liz-Ann Koos's NYSE Regulation Experience 1987 - 2006
Job Independent Real Estate Professional
Industry
Experience
New York Stock Exchange 1987 - 2006
NYSE Regulation 1987 - 2006
Education
Georgetown University
New York Stock Exchange 1987 - 2006
NYSE Regulation 1987 - 2006
Education
Georgetown University
Oscar Alvarado's NYSE Regulation Experience December 2004 - August 2007
Job Vice President at Credit Suisse
Industry Financial Services
Experience
Credit Suisse July 2012 - Present
Bank of America Merrill Lynch November 2010 - April 2012
UBS AG September 2007 - November 2010
NYSE Regulation December 2004 - August 2007
Morgan Stanley Smith Barney 2002 - 2004
Skills
Series 7, Securities Regulation, Internal Audit, Regulatory Examinations, Risk Assessment, Risk Management, Compliance, AML, Internal Controls, Sales Practices, Issue Management, FINRA, Securities, Banking, Auditing, Fixed Income, Capital Markets, Operational Risk, Hedge Funds, Operational Risk..., Mutual Funds, Financial Risk, Investments, Financial Services, Due Diligence, Series 24
Education
Rutgers University 1999 — 2002
Bachelors of Science, Finance
Credit Suisse July 2012 - Present
Bank of America Merrill Lynch November 2010 - April 2012
UBS AG September 2007 - November 2010
NYSE Regulation December 2004 - August 2007
Morgan Stanley Smith Barney 2002 - 2004
Skills
Series 7, Securities Regulation, Internal Audit, Regulatory Examinations, Risk Assessment, Risk Management, Compliance, AML, Internal Controls, Sales Practices, Issue Management, FINRA, Securities, Banking, Auditing, Fixed Income, Capital Markets, Operational Risk, Hedge Funds, Operational Risk..., Mutual Funds, Financial Risk, Investments, Financial Services, Due Diligence, Series 24
Education
Rutgers University 1999 — 2002
Bachelors of Science, Finance
Steve Brostoff's NYSE Regulation Experience June 1997 - October 2010
Job Head of Regulatory Relations at RBS Markets & International Banking
Industry Investment Banking
Experience
RBS Markets & International Banking October 2010 - Present
NYSE Regulation June 1997 - October 2010
NY County District Attorney's Office August 1986 - June 1997
Skills
Financial Services, Risk Management, Due Diligence, Securities, Options, Trading, FINRA, AML, Series 7, Equities, Derivatives, Securities Regulation, Corporate Governance, Financial Risk, Investment Banking, Capital Markets, Trading Systems, Mergers & Acquisitions, OFAC, Fixed Income, Financial Markets, Private Equity, Hedge Funds
Education
New York University School of Law 1980 — 1983
Doctor of Law (JD)
Queens College 1974 — 1978
Accounting and Finance
RBS Markets & International Banking October 2010 - Present
NYSE Regulation June 1997 - October 2010
NY County District Attorney's Office August 1986 - June 1997
Skills
Financial Services, Risk Management, Due Diligence, Securities, Options, Trading, FINRA, AML, Series 7, Equities, Derivatives, Securities Regulation, Corporate Governance, Financial Risk, Investment Banking, Capital Markets, Trading Systems, Mergers & Acquisitions, OFAC, Fixed Income, Financial Markets, Private Equity, Hedge Funds
Education
New York University School of Law 1980 — 1983
Doctor of Law (JD)
Queens College 1974 — 1978
Accounting and Finance
Deloitte
PwC
Ernst & Young
Walgreens
Procter & Gamble
KPMG
PricewaterhouseCoopers
EY