NYSE Regulation, Inc.
Industry: Company
DescriptionFounded: 2005 Parent organizations: NYSE Euronext Inc., NYSE Holdings LLC
NYSE Regulation, Inc. List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at NYSE Regulation, Inc.. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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NYSE Regulation, Inc. Employees
Employee
Years
Job
Industry
Keri-Ann Cuadros Keri-Ann Cuadros's NYSE Regulation, Inc. Experience May 2004 - July 2009
Job Compliance Professional
Industry Financial Services
Experience
Broadridge Financial Solutions February 2010 - Present
NYSE Regulation, Inc. May 2004 - July 2009
Kravet October 2002 - May 2004
NYSE Euronext 1998 - 2000
NYSE Euronext 1996 - 1998
NYSE Euronext January 1994 - 1996
NYSE Euronext May 1988 - November 1991
Skills
Microsoft Excel, Access, Microsoft Office, Microsoft Word, Corporate Governance, Corporate Governance..., PowerPoint, Proxy Voting, Corporate Filings, Proxy Statements, Corporate Filing..., Microsoft Office 2007, Windows NT, Outlook Express, EDGAR, EDGAR filings, Annual Meetings, Windows 8, Microsoft Dynamics CRM, Lotus Notes, SalesLogix
Education
American Management Association 2007 — 2007
Management Skills for New Supervisors
Queensborough Community College 1986 — 1988
Liberal Arts
Stella Maris, H.S. 1982 — 1986
Broadridge Financial Solutions February 2010 - Present
NYSE Regulation, Inc. May 2004 - July 2009
Kravet October 2002 - May 2004
NYSE Euronext 1998 - 2000
NYSE Euronext 1996 - 1998
NYSE Euronext January 1994 - 1996
NYSE Euronext May 1988 - November 1991
Skills
Microsoft Excel, Access, Microsoft Office, Microsoft Word, Corporate Governance, Corporate Governance..., PowerPoint, Proxy Voting, Corporate Filings, Proxy Statements, Corporate Filing..., Microsoft Office 2007, Windows NT, Outlook Express, EDGAR, EDGAR filings, Annual Meetings, Windows 8, Microsoft Dynamics CRM, Lotus Notes, SalesLogix
Education
American Management Association 2007 — 2007
Management Skills for New Supervisors
Queensborough Community College 1986 — 1988
Liberal Arts
Stella Maris, H.S. 1982 — 1986
John Roussel, CRCP John Roussel, CRCP's NYSE Regulation, Inc. Experience January 2008 - June 2010
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
Julie Han Broderick Julie Han Broderick's NYSE Regulation, Inc. Experience November 1997 - July 2007
Job Vice President, Corporate Counsel at Prudential Financial
Industry Financial Services
Experience
Prudential Financial April 2012 - Present
Financial Industry Regulatory Authority (FINRA) July 2007 - April 2012
NYSE Regulation, Inc. November 1997 - July 2007
Philadelphia District Attorney's Office August 1994 - November 1997
Skills
Securities, Securities Regulation, FINRA, Corporate Governance, Fraud
Education
Boston College Law School 1991 — 1994
Doctor of Law (JD)
Cornell University 1986 — 1990
Bachelor of Arts (BA), History
Prudential Financial April 2012 - Present
Financial Industry Regulatory Authority (FINRA) July 2007 - April 2012
NYSE Regulation, Inc. November 1997 - July 2007
Philadelphia District Attorney's Office August 1994 - November 1997
Skills
Securities, Securities Regulation, FINRA, Corporate Governance, Fraud
Education
Boston College Law School 1991 — 1994
Doctor of Law (JD)
Cornell University 1986 — 1990
Bachelor of Arts (BA), History
Christine Lombardo, Esq. Christine Lombardo, Esq.'s NYSE Regulation, Inc. Experience 2004 - 2007
Job Associate at Morgan, Lewis & Bockius LLP
Industry Law Practice
Experience
Morgan, Lewis & Bockius LLP December 2012 - Present
Fried Frank 2008 - November 2012
Financial Industry Regulatory Authority 2007 - 2008
NYSE Regulation Inc 2004 - 2007
Sidley Austin 2001 - 2004
Skills
Securities Regulation, Financial Regulation, Securities, Legal Compliance, Corporate Law, Legal Research, Private Equity, FINRA, Hedge Funds, Private Placements, Securities Litigation, Corporate Governance, Legal Writing, Commercial Litigation, Litigation, Legal Advice, Due Diligence, Lexis, Courts, Westlaw, Civil Litigation
Education
Brooklyn Law School 2004 — 2008
Juris Doctor
New York University 2000 — 2004
LI Lutheran High School
Morgan, Lewis & Bockius LLP December 2012 - Present
Fried Frank 2008 - November 2012
Financial Industry Regulatory Authority 2007 - 2008
NYSE Regulation Inc 2004 - 2007
Sidley Austin 2001 - 2004
Skills
Securities Regulation, Financial Regulation, Securities, Legal Compliance, Corporate Law, Legal Research, Private Equity, FINRA, Hedge Funds, Private Placements, Securities Litigation, Corporate Governance, Legal Writing, Commercial Litigation, Litigation, Legal Advice, Due Diligence, Lexis, Courts, Westlaw, Civil Litigation
Education
Brooklyn Law School 2004 — 2008
Juris Doctor
New York University 2000 — 2004
LI Lutheran High School
Sonia Uppal Sonia Uppal's NYSE Regulation, Inc. Experience May 2006 - August 2006
Job Senior Key Account Manager, Childrenswear at Ralph Lauren
Industry Apparel & Fashion
Experience
Ralph Lauren July 2015 - Present
Ralph Lauren August 2012 - July 2015
Havaianas February 2011 - August 2012
DKNY Jeans July 2010 - February 2011
Liz Claiborne September 2008 - July 2010
Financial Industry Regulatory Authority (FINRA, f/k/a NASD) May 2008 - August 2008
Georgetown University Law Center August 2007 - May 2008
U.S. Securities and Exchange Commission May 2007 - December 2007
NYSE Regulation, Inc. May 2006 - August 2006
Banc of America Securities May 2004 - August 2004
Skills
New Business Development, Marketing, Negotiation, Cross-functional..., Inventory Management, Market Planning, Merchandising, Competitive Analysis, Driving Sales..., Open to Buy Management, International Sales, Microsoft Excel, Microsoft Word, PowerPoint, Outlook, SAP, AS400 system
Education
Parsons School of Design 2008 — 2009
Associate of Applied Science, Fashion Marketing
Georgetown University Law Center 2005 — 2008
Juris Doctor, Law
Loyola University Chicago 2001 — 2005
Bachelor of Business Administration, Honors, Finance
Ralph Lauren July 2015 - Present
Ralph Lauren August 2012 - July 2015
Havaianas February 2011 - August 2012
DKNY Jeans July 2010 - February 2011
Liz Claiborne September 2008 - July 2010
Financial Industry Regulatory Authority (FINRA, f/k/a NASD) May 2008 - August 2008
Georgetown University Law Center August 2007 - May 2008
U.S. Securities and Exchange Commission May 2007 - December 2007
NYSE Regulation, Inc. May 2006 - August 2006
Banc of America Securities May 2004 - August 2004
Skills
New Business Development, Marketing, Negotiation, Cross-functional..., Inventory Management, Market Planning, Merchandising, Competitive Analysis, Driving Sales..., Open to Buy Management, International Sales, Microsoft Excel, Microsoft Word, PowerPoint, Outlook, SAP, AS400 system
Education
Parsons School of Design 2008 — 2009
Associate of Applied Science, Fashion Marketing
Georgetown University Law Center 2005 — 2008
Juris Doctor, Law
Loyola University Chicago 2001 — 2005
Bachelor of Business Administration, Honors, Finance
Daniel Odell Daniel Odell's NYSE Regulation, Inc. Experience 2006 - 2007
Job Actor, Model and Voiceover Talent Independent Law Practice
Industry Entertainment
Experience
Entertainment Industry April 2008 - Present
NYSE Euronext 2005 - 2008
NYSE Regulation, Inc. 2006 - 2007
New York Stock Exchange, Inc. (NYSE Euronext) 2000 - 2005
New York Stock Exchange, Inc. 1985 - 2000
New York Stock Exchange, Inc. 1983 - 1985
New York State Office of Court Administration 1980 - 1983
Education
St. John's University School of Law 1976 — 1980
J.D.
Saint John's University 1973 — 1976
B.S., Business Administration
Entertainment Industry April 2008 - Present
NYSE Euronext 2005 - 2008
NYSE Regulation, Inc. 2006 - 2007
New York Stock Exchange, Inc. (NYSE Euronext) 2000 - 2005
New York Stock Exchange, Inc. 1985 - 2000
New York Stock Exchange, Inc. 1983 - 1985
New York State Office of Court Administration 1980 - 1983
Education
St. John's University School of Law 1976 — 1980
J.D.
Saint John's University 1973 — 1976
B.S., Business Administration
Stephanie Glenn-Palmer Stephanie Glenn-Palmer's NYSE Regulation, Inc. Experience August 2005 - July 2007
Job Principal Consultant at TAS Consulting
Industry Financial Services
Experience
TAS Consulting 2013 - Present
Financial Industry Regulatory Authority 2007 - 2013
NYSE Regulation Inc. August 2005 - July 2007
New York Stock Exchange, Inc. January 1990 - August 2005
Skills
Securities Regulation, Litigation, Legal Writing, Legal Research, Corporate Law, Securities Litigation, Corporate Governance, Financial Transaction..., Complex Investigations
Education
Columbia Law School 1982 — 1985
Juris Doctor, law
Mount Holyoke College 1978 — 1982
Bachelor of Arts (B.A.), Political Science and Government, cum laude
Georgetown University - Walsh School of Foreign Service 1981 — 1981
Exchange Program, International Relations and Affairs
TAS Consulting 2013 - Present
Financial Industry Regulatory Authority 2007 - 2013
NYSE Regulation Inc. August 2005 - July 2007
New York Stock Exchange, Inc. January 1990 - August 2005
Skills
Securities Regulation, Litigation, Legal Writing, Legal Research, Corporate Law, Securities Litigation, Corporate Governance, Financial Transaction..., Complex Investigations
Education
Columbia Law School 1982 — 1985
Juris Doctor, law
Mount Holyoke College 1978 — 1982
Bachelor of Arts (B.A.), Political Science and Government, cum laude
Georgetown University - Walsh School of Foreign Service 1981 — 1981
Exchange Program, International Relations and Affairs
Danny Beyda Danny Beyda's NYSE Regulation, Inc. Experience February 1981 - December 2008
Job Independent Financial Services Professional
Industry Financial Services
Experience
NYSE Regulation, Inc. February 1981 - December 2008
Skills
Securities, Corporate Governance, Securities Regulation, Equities, Corporate Law, Capital Markets, Risk Management, SEC, Finance, Financial Services, Options, Financial Markets, Mergers & Acquisitions, Hedge Funds, Electronic Trading, Asset Management, SEC filings, Private Equity, Management, Compliance, Financial Regulation, Auditing, Investor Relations, Settlement, SEC reporting, Government...
Education
University of Miami School of Law 1976 — 1979
Juris Doctor, Law
Ithaca College 1971 — 1975
BA, Politics
NYSE Regulation, Inc. February 1981 - December 2008
Skills
Securities, Corporate Governance, Securities Regulation, Equities, Corporate Law, Capital Markets, Risk Management, SEC, Finance, Financial Services, Options, Financial Markets, Mergers & Acquisitions, Hedge Funds, Electronic Trading, Asset Management, SEC filings, Private Equity, Management, Compliance, Financial Regulation, Auditing, Investor Relations, Settlement, SEC reporting, Government...
Education
University of Miami School of Law 1976 — 1979
Juris Doctor, Law
Ithaca College 1971 — 1975
BA, Politics
Lance Barrett's NYSE Regulation, Inc. Experience June 2008 - August 2008
Job at The Vanguard Group, Inc.
Industry Financial Services
Experience
The Vanguard Group, Inc. October 2010 - Present
Legg Mason & Co November 2009 - October 2010
Legg Mason & Co August 2008 - November 2009
NYSE Regulation, Inc. June 2008 - August 2008
Education
University of Baltimore School of Law 2005 — 2009
Juris Doctor, Business Law
Rollins College 2000 — 2004
Bachelor's, Poltical Science
Calvert Hall
The Vanguard Group, Inc. October 2010 - Present
Legg Mason & Co November 2009 - October 2010
Legg Mason & Co August 2008 - November 2009
NYSE Regulation, Inc. June 2008 - August 2008
Education
University of Baltimore School of Law 2005 — 2009
Juris Doctor, Business Law
Rollins College 2000 — 2004
Bachelor's, Poltical Science
Calvert Hall
Clare Saperstein's NYSE Regulation, Inc. Experience July 2013 - Present
Job Senior Vice President at NYSE Regulation, Inc.
Industry Financial Services
Experience
NYSE Regulation, Inc. July 2013 - Present
NYSE Regulation, Inc. June 2010 - Present
NYSE Regulation, Inc. October 2008 - July 2010
NYSE Regulation, Inc. October 2006 - October 2008
NYSE Regulation, Inc. February 2005 - September 2006
Patterson, Belknap, Webb & Tyler LLP July 1999 - January 2005
Pratt Institute 2003 - 2005
Cadwalader, Wickersham & Taft September 1996 - June 1999
Education
Boston University School of Law 1993 — 1996
JD, magna cum laude
Columbia University in the City of New York 1988 — 1992
AB, Political Science, Dance
High School
NYSE Regulation, Inc. July 2013 - Present
NYSE Regulation, Inc. June 2010 - Present
NYSE Regulation, Inc. October 2008 - July 2010
NYSE Regulation, Inc. October 2006 - October 2008
NYSE Regulation, Inc. February 2005 - September 2006
Patterson, Belknap, Webb & Tyler LLP July 1999 - January 2005
Pratt Institute 2003 - 2005
Cadwalader, Wickersham & Taft September 1996 - June 1999
Education
Boston University School of Law 1993 — 1996
JD, magna cum laude
Columbia University in the City of New York 1988 — 1992
AB, Political Science, Dance
High School
Anthony Cavallaro's NYSE Regulation, Inc. Experience January 1997 - July 2007
Job Senior Vice President at FINRA
Industry Financial Services
Experience
FINRA August 2007 - Present
NYSE Regulation, Inc. January 1997 - July 2007
United States Army Reserve 1984 - 2004
New York County District Attorney's Office 1992 - 1997
Education
Saint John's University School of Law 1988 — 1991
Doctor of Law (J.D.), Law
Fordham University 1982 — 1986
Bachelor of Science (BS), Finance, General
La Salle Military Academy 1980 — 1982
FINRA August 2007 - Present
NYSE Regulation, Inc. January 1997 - July 2007
United States Army Reserve 1984 - 2004
New York County District Attorney's Office 1992 - 1997
Education
Saint John's University School of Law 1988 — 1991
Doctor of Law (J.D.), Law
Fordham University 1982 — 1986
Bachelor of Science (BS), Finance, General
La Salle Military Academy 1980 — 1982
Brendan Intindola's NYSE Regulation, Inc. Experience April 2005 - July 2007
Job editor at Dow Jones
Industry Financial Services
Experience
Dow Jones September 2011 - Present
Skadden Arps September 2010 - June 2011
NYSE Regulation Inc. April 2005 - July 2007
Reuters News Service October 1993 - March 2005
National Underwriter February 1991 - September 1993
Associated Press - Newark Bureau 1990 - 1991
the Daily Targum 1988 - 1989
Education
Rutgers University-New Brunswick 1984 — 1989
Nutley High
Dow Jones September 2011 - Present
Skadden Arps September 2010 - June 2011
NYSE Regulation Inc. April 2005 - July 2007
Reuters News Service October 1993 - March 2005
National Underwriter February 1991 - September 1993
Associated Press - Newark Bureau 1990 - 1991
the Daily Targum 1988 - 1989
Education
Rutgers University-New Brunswick 1984 — 1989
Nutley High
Jasmine Alencherril's NYSE Regulation, Inc. Experience January 2005 - August 2007
Job Legal/Compliance Professional
Industry Financial Services
Experience
Ernst & Young January 2010 - Present
NYC Department of Consumer Affairs June 2009 - December 2009
Bear Stearns (now a division of JPMorgan Chase & Co.) August 2007 - December 2008
NYSE Regulation, Inc. January 2005 - August 2007
NYSE Regulation, Inc. July 2002 - January 2005
Merrill Lynch July 2000 - February 2002
Skills
Risk Management
Education
Brooklyn Law School 2003 — 2007
Juris Doctor
State University of New York at Albany 1996 — 2000
Bachelor of Science (summa cum laude)
Ernst & Young January 2010 - Present
NYC Department of Consumer Affairs June 2009 - December 2009
Bear Stearns (now a division of JPMorgan Chase & Co.) August 2007 - December 2008
NYSE Regulation, Inc. January 2005 - August 2007
NYSE Regulation, Inc. July 2002 - January 2005
Merrill Lynch July 2000 - February 2002
Skills
Risk Management
Education
Brooklyn Law School 2003 — 2007
Juris Doctor
State University of New York at Albany 1996 — 2000
Bachelor of Science (summa cum laude)
Michael S. Choi's NYSE Regulation, Inc. Experience November 2003 - July 2007
Job Director, Department of Enforcement
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) July 2007 - Present
NYSE Regulation, Inc. November 2003 - July 2007
Deloitte & Touche LLC October 2002 - November 2003
Kings County District Attorney's Office October 1997 - October 2002
Education
Saint John's University School of Law 1994 — 1997
JD
University of California, Los Angeles 1989 — 1993
BA, Political Science
Yonsei University 1990 — 1990
FINRA (Financial Industry Regulatory Authority) July 2007 - Present
NYSE Regulation, Inc. November 2003 - July 2007
Deloitte & Touche LLC October 2002 - November 2003
Kings County District Attorney's Office October 1997 - October 2002
Education
Saint John's University School of Law 1994 — 1997
JD
University of California, Los Angeles 1989 — 1993
BA, Political Science
Yonsei University 1990 — 1990
Nikita Mehta's NYSE Regulation, Inc. Experience 2008 - 2008
Job Senior Counsel at JPMorgan Chase
Industry Law Practice
Experience
JPMorgan Chase September 2013 - Present
New Jersey Office of Attorney General 2013 - 2013
SecondMarket, Inc. 2012 - 2013
ABA White Collar Crimes Newsletter 2011 - 2013
Baron Samson LLP 2011 - 2011
Stark and Stark 2010 - 2011
N.J. Superior Court, Civil Division 2009 - 2010
New Jersey Attorney General's Office - Securities Fraud Prosecution Section 2009 - 2009
Budd Larner, P.C. 2008 - 2008
NYSE Regulation, Inc. 2008 - 2008
Skills
Commercial Litigation, Securities, General Litigation, Insurance, Claims, Policy
Education
Seton Hall University School of Law 2006 — 2009
Juris Doctor
The American University in Cairo 2007 — 2007
Summer Study International Law
New York University 2000 — 2004
Bachelor of Arts (B.A.)
High Technology High School 1996 — 2000
JPMorgan Chase September 2013 - Present
New Jersey Office of Attorney General 2013 - 2013
SecondMarket, Inc. 2012 - 2013
ABA White Collar Crimes Newsletter 2011 - 2013
Baron Samson LLP 2011 - 2011
Stark and Stark 2010 - 2011
N.J. Superior Court, Civil Division 2009 - 2010
New Jersey Attorney General's Office - Securities Fraud Prosecution Section 2009 - 2009
Budd Larner, P.C. 2008 - 2008
NYSE Regulation, Inc. 2008 - 2008
Skills
Commercial Litigation, Securities, General Litigation, Insurance, Claims, Policy
Education
Seton Hall University School of Law 2006 — 2009
Juris Doctor
The American University in Cairo 2007 — 2007
Summer Study International Law
New York University 2000 — 2004
Bachelor of Arts (B.A.)
High Technology High School 1996 — 2000
Benjamin Siders's NYSE Regulation, Inc. Experience 1992 - 2007
Job Regulatory Professional
Industry Capital Markets
Experience
NYSE Regulation, Inc 1992 - 2007
Cowan & Company 1989 - 1992
American Stock Exchange 1987 - 1989
Skills
Equities, Derivatives, Fixed Income, Hedge Funds, Securities, Series 7
Education
University of Rochester
BA, History
NYSE Regulation, Inc 1992 - 2007
Cowan & Company 1989 - 1992
American Stock Exchange 1987 - 1989
Skills
Equities, Derivatives, Fixed Income, Hedge Funds, Securities, Series 7
Education
University of Rochester
BA, History
Darren K. Lee's NYSE Regulation, Inc. Experience March 2008 - August 2010
Job VPDirector of Trade Surveillance, Americas
Industry Financial Services
Experience
HSBC May 2014 - Present
JP Morgan Chase August 2010 - May 2014
NYSE Regulation, Inc. March 2008 - August 2010
NYSE Regulation, Inc. August 2005 - May 2007
Banc of America Investments 2007 - 2007
Signature Bank 2000 - 2005
Skills
Equities, Series 7, Equity Derivatives, Securities, Risk Management, Financial Risk, Fixed Income, Capital Markets, AML, Series 63, Financial Services, Banking, Mutual Funds, Hedge Funds
Education
Utica College of Syracuse University 2005 — 2007
MBA, Fraud Management
Saint Leo University
BA, Management
HSBC May 2014 - Present
JP Morgan Chase August 2010 - May 2014
NYSE Regulation, Inc. March 2008 - August 2010
NYSE Regulation, Inc. August 2005 - May 2007
Banc of America Investments 2007 - 2007
Signature Bank 2000 - 2005
Skills
Equities, Series 7, Equity Derivatives, Securities, Risk Management, Financial Risk, Fixed Income, Capital Markets, AML, Series 63, Financial Services, Banking, Mutual Funds, Hedge Funds
Education
Utica College of Syracuse University 2005 — 2007
MBA, Fraud Management
Saint Leo University
BA, Management
Saima Ahmed's NYSE Regulation, Inc. Experience June 2015 - Present
Job Director and Senior Enforcement Counsel at NYSE
Industry Law Practice
Experience
NYSE Regulation, Inc. June 2015 - Present
US Securities and Exchange Commission November 2010 - June 2015
United States Attorney's Office February 2014 - May 2015
Sidley Austin September 2000 - November 2010
Skills
Securities Regulation
Education
The George Washington University Law School 1997 — 2000
JD, With Honors
Cornell University 1992 — 1996
BS, Industrial & Labor Relations
NYSE Regulation, Inc. June 2015 - Present
US Securities and Exchange Commission November 2010 - June 2015
United States Attorney's Office February 2014 - May 2015
Sidley Austin September 2000 - November 2010
Skills
Securities Regulation
Education
The George Washington University Law School 1997 — 2000
JD, With Honors
Cornell University 1992 — 1996
BS, Industrial & Labor Relations
Eugene Chernovetsky's NYSE Regulation, Inc. Experience March 2013 - July 2014
Job Project Management Consultant at HSBC Global Banking and Markets
Industry
Experience
HSBC Global Banking and Markets July 2014 - Present
NYSE Regulation, Inc. March 2013 - July 2014
NYSE Euronext March 2008 - March 2013
NYSE Euronext April 2005 - March 2008
NYSE Euronext June 2004 - April 2005
Skills
Microsoft Office, SQL, Unix Shell Scripting, SAS, Perl, Java, Data Analysis, Data Mining, Program Management, Requirements Gathering, Communication, Organization &..., Self-motivated Team..., SDLC, Financial Markets, Trading Systems, Electronic Trading, Equities, Business Analysis, Unix, Financial Services, Options, Shell Scripting, IT Strategy
Education
New York University 2000 — 2004
Bachelor of Arts (B.A.), Computer Science, Cum Laude
HSBC Global Banking and Markets July 2014 - Present
NYSE Regulation, Inc. March 2013 - July 2014
NYSE Euronext March 2008 - March 2013
NYSE Euronext April 2005 - March 2008
NYSE Euronext June 2004 - April 2005
Skills
Microsoft Office, SQL, Unix Shell Scripting, SAS, Perl, Java, Data Analysis, Data Mining, Program Management, Requirements Gathering, Communication, Organization &..., Self-motivated Team..., SDLC, Financial Markets, Trading Systems, Electronic Trading, Equities, Business Analysis, Unix, Financial Services, Options, Shell Scripting, IT Strategy
Education
New York University 2000 — 2004
Bachelor of Arts (B.A.), Computer Science, Cum Laude
David De Gregorio's NYSE Regulation, Inc. Experience January 2006 - September 2010
Job Senior Counsel, Legal Department at New York Stock Exchange | Intercontinental Exchange
Industry Financial Services
Experience
New York Stock Exchange Intercontinental Exchange June 2014 - Present
Intercontinental Exchange NYSE Regulation, Inc. September 2010 - June 2014
NYSE Regulation, Inc. January 2006 - September 2010
NYSE Regulation, Inc. October 2004 - January 2006
New York Stock Exchange, Inc., Division of Enforcement September 1997 - October 2004
Cadwalader, Wickersham & Taft LLP September 1989 - September 1997
Skills
Securities Regulation, Securities, Litigation, Trials, Financial Services, Corporate Governance, FINRA, Corporate Law, Capital Markets, Securities Litigation, Financial Regulation, AML, Hedge Funds, Legal Writing, Commercial Litigation, Arbitration, Legal Research, Equities, Mergers & Acquisitions, Due Diligence, SEC, Derivatives, Broker-Dealer, Privacy Law, FCPA
Education
Brooklyn Law School 1986 — 1989
JD, Law
City University of New York-Hunter College 1982 — 1986
BA, Philosophy and Political Science
John Dewey High School
John Dewey High School
New York Stock Exchange Intercontinental Exchange June 2014 - Present
Intercontinental Exchange NYSE Regulation, Inc. September 2010 - June 2014
NYSE Regulation, Inc. January 2006 - September 2010
NYSE Regulation, Inc. October 2004 - January 2006
New York Stock Exchange, Inc., Division of Enforcement September 1997 - October 2004
Cadwalader, Wickersham & Taft LLP September 1989 - September 1997
Skills
Securities Regulation, Securities, Litigation, Trials, Financial Services, Corporate Governance, FINRA, Corporate Law, Capital Markets, Securities Litigation, Financial Regulation, AML, Hedge Funds, Legal Writing, Commercial Litigation, Arbitration, Legal Research, Equities, Mergers & Acquisitions, Due Diligence, SEC, Derivatives, Broker-Dealer, Privacy Law, FCPA
Education
Brooklyn Law School 1986 — 1989
JD, Law
City University of New York-Hunter College 1982 — 1986
BA, Philosophy and Political Science
John Dewey High School
John Dewey High School
Nancy Lutwin's NYSE Regulation, Inc. Experience February 2004 - July 2009
Job Experienced career counselor and administrative support specialist
Industry Professional Training & Coaching
Experience
NYSE Regulation, Inc. February 2004 - July 2009
Area Consultants, Inc. 1979 - 1980
Benjamin N. Cardozo School of Law 1978 - 1979
New York University, Project S.M.A.R.T. 1976 - 1978
Education
New York University
M.A., Counseling Psychology
New York University
B.A., English Literature
NYSE Regulation, Inc. February 2004 - July 2009
Area Consultants, Inc. 1979 - 1980
Benjamin N. Cardozo School of Law 1978 - 1979
New York University, Project S.M.A.R.T. 1976 - 1978
Education
New York University
M.A., Counseling Psychology
New York University
B.A., English Literature
Shanta Pressley's NYSE Regulation, Inc. Experience July 2006 - October 2010
Job Manager at American Express
Industry Financial Services
Experience
American Express May 2014 - Present
Federal Reserve Bank of New York July 2011 - May 2014
NYSE Regulation, Inc. July 2006 - October 2010
UBS May 2005 - August 2005
Prudential Financial May 2004 - August 2004
Skills
Financial Analysis, Bloomberg, Accounting, Banking, Securities, Management, Research, Outlook, Financial Services, Microsoft Excel, Team Leadership, Risk Management, Financial Modeling, Finance, Analysis, Equities
Education
Clark Atlanta University 2001 — 2006
Accounting
American Express May 2014 - Present
Federal Reserve Bank of New York July 2011 - May 2014
NYSE Regulation, Inc. July 2006 - October 2010
UBS May 2005 - August 2005
Prudential Financial May 2004 - August 2004
Skills
Financial Analysis, Bloomberg, Accounting, Banking, Securities, Management, Research, Outlook, Financial Services, Microsoft Excel, Team Leadership, Risk Management, Financial Modeling, Finance, Analysis, Equities
Education
Clark Atlanta University 2001 — 2006
Accounting
James G. Buckley's NYSE Regulation, Inc. Experience April 2002 - October 2007
Job Chief Regulatory Officer at National Stock Exchange, Inc.
Industry Financial Services
Experience
National Stock Exchange, Inc. July 2014 - Present
National Stock Exchange, Inc. May 2013 - July 2014
NYSE Euronext October 2007 - June 2012
NYSE Regulation, Inc April 2002 - October 2007
NYSE September 2000 - April 2002
NYSE April 1990 - September 2000
Skills
Securities Regulation, Financial Regulation, Capital Markets, Dodd-Frank, SEC, Equities, Electronic Trading, Internal Investigations, Enforcement, SEC filings, Options, Corporate Compliance
Education
Pace University School of Law
J.D.
Fordham University
M.A., Public Communications
Iona College
Bachelor of Arts (B.A.), Political Science/History
National Stock Exchange, Inc. July 2014 - Present
National Stock Exchange, Inc. May 2013 - July 2014
NYSE Euronext October 2007 - June 2012
NYSE Regulation, Inc April 2002 - October 2007
NYSE September 2000 - April 2002
NYSE April 1990 - September 2000
Skills
Securities Regulation, Financial Regulation, Capital Markets, Dodd-Frank, SEC, Equities, Electronic Trading, Internal Investigations, Enforcement, SEC filings, Options, Corporate Compliance
Education
Pace University School of Law
J.D.
Fordham University
M.A., Public Communications
Iona College
Bachelor of Arts (B.A.), Political Science/History
David Chambers's NYSE Regulation, Inc. Experience April 2015 - Present
Job
Industry Financial Services
Experience
NYSE Regulation, Inc. April 2015 - Present
NYSE Regulation, Inc. June 2013 - March 2015
Columbia University in the City of New York August 2012 - August 2013
United States Marine Corps September 2007 - June 2012
Education
Fordham University School of Law 2014 — 2018
Juris Doctor (J.D.)
Columbia University in the City of New York 2012 — 2014
Master of Arts (M.A.)
Saint Louis University 2002 — 2006
Bachelor of Arts (B.A.)
Ruprecht-Karls-Universität Heidelberg 2005 — 2005
DSH German Language Federal Proficiency Exam
Defense Language Institute 2008 — 2009
Associate of Arts (A.A.)
NYSE Regulation, Inc. April 2015 - Present
NYSE Regulation, Inc. June 2013 - March 2015
Columbia University in the City of New York August 2012 - August 2013
United States Marine Corps September 2007 - June 2012
Education
Fordham University School of Law 2014 — 2018
Juris Doctor (J.D.)
Columbia University in the City of New York 2012 — 2014
Master of Arts (M.A.)
Saint Louis University 2002 — 2006
Bachelor of Arts (B.A.)
Ruprecht-Karls-Universität Heidelberg 2005 — 2005
DSH German Language Federal Proficiency Exam
Defense Language Institute 2008 — 2009
Associate of Arts (A.A.)
Thomas C. Bruno's NYSE Regulation, Inc. Experience February 1998 - June 2010
Job Chief Counsel at Financial Industry Regulatory Authority, Inc.
Industry Financial Services
Experience
Financial Industry Regulatory Authority, Inc. June 2010 - Present
NYSE Regulation, Inc. February 1998 - June 2010
Skills
Contract Negotiation, Securities Regulation, Capital Markets, OFAC, Internal Investigations, Securities Litigation, Securities, Equities, Internal Controls, Corporate Governance, FCPA, Asset Management, Financial Regulation, Broker-Dealer, AML, Due Diligence, Financial Risk, SEC, FINRA, Asset Managment
Education
Hofstra University School of Law 1985 — 1988
Juris Doctorate, Law
Villanova University 1981 — 1985
Bachelor's degree, Accounting
Financial Industry Regulatory Authority, Inc. June 2010 - Present
NYSE Regulation, Inc. February 1998 - June 2010
Skills
Contract Negotiation, Securities Regulation, Capital Markets, OFAC, Internal Investigations, Securities Litigation, Securities, Equities, Internal Controls, Corporate Governance, FCPA, Asset Management, Financial Regulation, Broker-Dealer, AML, Due Diligence, Financial Risk, SEC, FINRA, Asset Managment
Education
Hofstra University School of Law 1985 — 1988
Juris Doctorate, Law
Villanova University 1981 — 1985
Bachelor's degree, Accounting
Deloitte
PwC
Ernst & Young
Walgreens
Procter & Gamble
KPMG
PricewaterhouseCoopers
EY