Securities & Exchange Commission
Industry: Federal agency
DescriptionThe U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Founder: Franklin D. Roosevelt Founded: June 6, 1934 Headquarters: Washington, D.C. Jurisdiction: United States of America Number of employees: 4,301 (2015)
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Securities & Exchange Commission Employees
Employee
Years
Job
Industry
Liz (Elizabeth) Lyons, J.D. Liz (Elizabeth) Lyons, J.D.'s Securities & Exchange Commission Experience January 2012 - April 2012
Job Judicial Law Clerk, Judge Loftus at Cook County Circuit Court
Industry Law Practice
Experience
Judge Senechalle, Circuit Court of Cook County Foreclosure Division November 2012 - May 2013
Securities & Exchange Commission January 2012 - April 2012
DePaul Student Legal Services September 2011 - April 2012
Lambda Legal May 2010 - August 2010
Deborah Tuerkheimer; DePaul University College of Law May 2010 - August 2010
University of Michigan August 2006 - December 2006
Skills
Tax Law, Corporate Law, Administrative Law, Legal Research, Legal Writing, Securities Regulation, Courts, Mediation, Pleadings, Motions, Appeals, Licensing, Westlaw, Research, Public Speaking, Human Rights, Employment Law, Lexis
Education
DePaul University College of Law 2009 — 2012
J.D., Cum Laude, Business Law, 3.61/4.00
University of Michigan 2006 — 2007
B.A., Economics & Political Science
University of Melbourne 2005 — 2005
Non-Degree Arts
American University 2003 — 2005
CLEG: Communications, Law, Economics, & Government
Judge Senechalle, Circuit Court of Cook County Foreclosure Division November 2012 - May 2013
Securities & Exchange Commission January 2012 - April 2012
DePaul Student Legal Services September 2011 - April 2012
Lambda Legal May 2010 - August 2010
Deborah Tuerkheimer; DePaul University College of Law May 2010 - August 2010
University of Michigan August 2006 - December 2006
Skills
Tax Law, Corporate Law, Administrative Law, Legal Research, Legal Writing, Securities Regulation, Courts, Mediation, Pleadings, Motions, Appeals, Licensing, Westlaw, Research, Public Speaking, Human Rights, Employment Law, Lexis
Education
DePaul University College of Law 2009 — 2012
J.D., Cum Laude, Business Law, 3.61/4.00
University of Michigan 2006 — 2007
B.A., Economics & Political Science
University of Melbourne 2005 — 2005
Non-Degree Arts
American University 2003 — 2005
CLEG: Communications, Law, Economics, & Government
Kyla Houge Kyla Houge's Securities & Exchange Commission Experience August 2015 - Present
Job Honor Student (Volunteer) at Securities & Exchange Commission
Industry Law Practice
Experience
Securities & Exchange Commission August 2015 - Present
FINRA Investor Advocacy Clinic August 2015 - Present
Los Angeles County District Attorney's Office - Victim Impact Program May 2015 - August 2015
Counsel to Secure Justice January 2015 - March 2015
Edward Jones June 2011 - July 2014
Merrill Lynch September 2010 - June 2011
Merrill Lynch September 2008 - April 2010
Charles Schwab November 2007 - September 2008
Education
Pepperdine University School of Law 2014 — 2017
Doctor of Law (J.D.), Law
Pepperdine University School of Law 2014 — 2017
Master of Dispute Resolution, Dispute Resolution
Arizona State University 2011 — 2013
B.S., Public Service & Public Policy
University of North Carolina at Charlotte 2002 — 2007
Bachelor of Arts, Communication Studies
Securities & Exchange Commission August 2015 - Present
FINRA Investor Advocacy Clinic August 2015 - Present
Los Angeles County District Attorney's Office - Victim Impact Program May 2015 - August 2015
Counsel to Secure Justice January 2015 - March 2015
Edward Jones June 2011 - July 2014
Merrill Lynch September 2010 - June 2011
Merrill Lynch September 2008 - April 2010
Charles Schwab November 2007 - September 2008
Education
Pepperdine University School of Law 2014 — 2017
Doctor of Law (J.D.), Law
Pepperdine University School of Law 2014 — 2017
Master of Dispute Resolution, Dispute Resolution
Arizona State University 2011 — 2013
B.S., Public Service & Public Policy
University of North Carolina at Charlotte 2002 — 2007
Bachelor of Arts, Communication Studies
Jeff Womer Jeff Womer's Securities & Exchange Commission Experience 1996 - 1998
Job Partner, PricewaterhouseCoopers LLP
Industry Accounting
Experience
PricewaterhouseCoopers LLP 1990 - Present
PwC April 1998 - December 2000
Securities & Exchange Commission 1996 - 1998
Skills
Business Advisory, Audit, SEC reporting, Technical Accounting, US GAAP, IFRS, SOX, Assurance, Accounting, Auditing, SEC filings, Sarbanes-Oxley Act, Big 4, CPA, External Audit, GAAP, Internal Controls, Revenue Recognition, SEC Filings, Tax Accounting, Financial Reporting
Education
Penn State University 1986 — 1990
BS, Accounting
PricewaterhouseCoopers LLP 1990 - Present
PwC April 1998 - December 2000
Securities & Exchange Commission 1996 - 1998
Skills
Business Advisory, Audit, SEC reporting, Technical Accounting, US GAAP, IFRS, SOX, Assurance, Accounting, Auditing, SEC filings, Sarbanes-Oxley Act, Big 4, CPA, External Audit, GAAP, Internal Controls, Revenue Recognition, SEC Filings, Tax Accounting, Financial Reporting
Education
Penn State University 1986 — 1990
BS, Accounting
James Cash James Cash's Securities & Exchange Commission Experience June 2008 - August 2008
Job Assistant U.S. Attorney at U.S. Attorney's Office, Northern District of Georgia
Industry Law Practice
Experience
U.S. Attorney's Office, Northern District of Georgia March 2015 - Present
Alston & Bird LLP September 2012 - March 2015
United States District Court for Western District of Kentucky August 2010 - August 2012
Alston & Bird LLP May 2009 - July 2009
Securities & Exchange Commission June 2008 - August 2008
Supreme Court of Kentucky May 2008 - June 2008
Thomas & Farris May 2006 - July 2007
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Civil Litigation, Courts, Commercial Litigation, Appeals, Criminal Law, Corporate Law, Lexis, Administrative Law
Education
University of Kentucky College of Law 2007 — 2010
Juris Doctorate, Law
Furman University 2000 — 2004
B.A., History, Latin American Studies
U.S. Attorney's Office, Northern District of Georgia March 2015 - Present
Alston & Bird LLP September 2012 - March 2015
United States District Court for Western District of Kentucky August 2010 - August 2012
Alston & Bird LLP May 2009 - July 2009
Securities & Exchange Commission June 2008 - August 2008
Supreme Court of Kentucky May 2008 - June 2008
Thomas & Farris May 2006 - July 2007
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Civil Litigation, Courts, Commercial Litigation, Appeals, Criminal Law, Corporate Law, Lexis, Administrative Law
Education
University of Kentucky College of Law 2007 — 2010
Juris Doctorate, Law
Furman University 2000 — 2004
B.A., History, Latin American Studies
Ayumi Noda's Securities & Exchange Commission Experience February 2012 - April 2012
Job
Industry Financial Services
Experience
J.P. Morgan September 2014 - Present
UBS Financial Services December 2012 - September 2014
Securities & Exchange Commission February 2012 - April 2012
Brune & Richard LLP May 2011 - July 2011
U.S. Bankruptcy Court, Central District of California May 2010 - August 2010
Brune & Richard LLP April 2007 - May 2009
Education
University of California, Los Angeles - School of Law 2009 — 2012
JD, Business Law
Cornell University 2003 — 2007
BA, Government
J.P. Morgan September 2014 - Present
UBS Financial Services December 2012 - September 2014
Securities & Exchange Commission February 2012 - April 2012
Brune & Richard LLP May 2011 - July 2011
U.S. Bankruptcy Court, Central District of California May 2010 - August 2010
Brune & Richard LLP April 2007 - May 2009
Education
University of California, Los Angeles - School of Law 2009 — 2012
JD, Business Law
Cornell University 2003 — 2007
BA, Government
Charlie Hallahan Charlie Hallahan's Securities & Exchange Commission Experience September 1975 - August 1980
Job Mathematician at USDA/ERS
Industry Research
Experience
USDA/ERS September 1980 - Present
Securities & Exchange Commission September 1975 - August 1980
American University September 1970 - August 1975
Skills
SAS, Stata, Econometric Modeling, Data Analysis, Mathematica, Mathematical Modeling, Statistics, Time Series Analysis
Education
Rutgers, The State University of New Jersey-New Brunswick 1963 — 1968
Doctor of Philosophy (PhD), Mathematics
Tufts University 1958 — 1962
Bachelor of Science (B.S.), Mathematics
Oliver Ames H. S.
USDA/ERS September 1980 - Present
Securities & Exchange Commission September 1975 - August 1980
American University September 1970 - August 1975
Skills
SAS, Stata, Econometric Modeling, Data Analysis, Mathematica, Mathematical Modeling, Statistics, Time Series Analysis
Education
Rutgers, The State University of New Jersey-New Brunswick 1963 — 1968
Doctor of Philosophy (PhD), Mathematics
Tufts University 1958 — 1962
Bachelor of Science (B.S.), Mathematics
Oliver Ames H. S.
Adam Sonenshine Adam Sonenshine's Securities & Exchange Commission Experience August 2010 - December 2010
Job Associate at Sutherland Asbill & Brennan LLP
Industry Law Practice
Experience
Sutherland Asbill & Brennan LLP May 2014 - Present
Burr & Forman LLP September 2012 - May 2014
Burr & Forman LLP May 2011 - July 2011
Securities & Exchange Commission August 2010 - December 2010
Georgia Court of Appeals May 2010 - July 2010
GSU Office of Legal Affairs May 2010 - July 2010
RK Capital Partners January 2008 - August 2009
Genesis Capital LLC May 2008 - August 2008
Skills
Banking Law, Real Estate Transactions, Real Estate Financing, Mergers, Due Diligence, Financial Analysis, Legal Writing
Education
Georgia State University College of Law 2009 — 2012
JD, Magna Cum Laude
The University of Georgia 2005 — 2009
BS, Biochemistry
Sutherland Asbill & Brennan LLP May 2014 - Present
Burr & Forman LLP September 2012 - May 2014
Burr & Forman LLP May 2011 - July 2011
Securities & Exchange Commission August 2010 - December 2010
Georgia Court of Appeals May 2010 - July 2010
GSU Office of Legal Affairs May 2010 - July 2010
RK Capital Partners January 2008 - August 2009
Genesis Capital LLC May 2008 - August 2008
Skills
Banking Law, Real Estate Transactions, Real Estate Financing, Mergers, Due Diligence, Financial Analysis, Legal Writing
Education
Georgia State University College of Law 2009 — 2012
JD, Magna Cum Laude
The University of Georgia 2005 — 2009
BS, Biochemistry
James Eichner James Eichner's Securities & Exchange Commission Experience April 2005 - January 2010
Job Trial Attorney at Department of Justice, Civil Rights Division
Industry Government Administration
Experience
Department of Justice, Civil Rights Division October 2014 - Present
Advancement Project April 2012 - September 2014
Department of Education 2010 - March 2012
Securities & Exchange Commission April 2005 - January 2010
Department of Justice, Civil Rights Division August 2003 - April 2005
Department of Justice, Civil Rights Division 2000 - 2003
Department of Justice, Environment Division 1997 - 2000
Skills
Litigation, Civil Rights, Enforcement, Legal Research, Legal Writing, Constitutional Law, Government, Civil Litigation, Policy, Discrimination
Education
NYU School of Law 1993 — 1996
JD
Haverford College 1986 — 1990
BA, History
Department of Justice, Civil Rights Division October 2014 - Present
Advancement Project April 2012 - September 2014
Department of Education 2010 - March 2012
Securities & Exchange Commission April 2005 - January 2010
Department of Justice, Civil Rights Division August 2003 - April 2005
Department of Justice, Civil Rights Division 2000 - 2003
Department of Justice, Environment Division 1997 - 2000
Skills
Litigation, Civil Rights, Enforcement, Legal Research, Legal Writing, Constitutional Law, Government, Civil Litigation, Policy, Discrimination
Education
NYU School of Law 1993 — 1996
JD
Haverford College 1986 — 1990
BA, History
Linda Baier Linda Baier's Securities & Exchange Commission Experience June 2005 - June 2012
Job Federal contracting advisor
Industry Government Administration
Experience
Securities & Ex July 2012 - March 2014
Securities & Exchange Commission June 2005 - June 2012
Not Applicable 2010 - 2011
Skills
Policy, Contract, Business Analysis, Proposal Writing, Program Management, Software Documentation, Security, Analysis, Project Planning, Change Management, Emergency Management, Training, Data Analysis, Project Management, Access, Organizational..., Risk Management, Research, Security Clearance
Education
California State University-Sacramento
Bachelor of Arts (B.A.), Physical Sciences
Securities & Ex July 2012 - March 2014
Securities & Exchange Commission June 2005 - June 2012
Not Applicable 2010 - 2011
Skills
Policy, Contract, Business Analysis, Proposal Writing, Program Management, Software Documentation, Security, Analysis, Project Planning, Change Management, Emergency Management, Training, Data Analysis, Project Management, Access, Organizational..., Risk Management, Research, Security Clearance
Education
California State University-Sacramento
Bachelor of Arts (B.A.), Physical Sciences
Katy Goshtasbi's Securities & Exchange Commission Experience 2001 - 2003
Job JD/CEO/Personal Brand/Business Development Management, KG Consulting Group, Inc. d/b/a Puris Personal Brand Solutions
Industry Professional Training & Coaching
Experience
Puris Personal Brand Solutions March 2008 - Present
KG Consulting Group, Inc. December 2006 - Present
Pacific Life February 2005 - December 2006
Stradley Ronon 2003 - 2005
Securities & Exchange Commission 2001 - 2003
North American Securities Administrators Association 1998 - 2001
Indiana Securities Division 1997 - 1998
Skills
Business Development, Corporate Governance, Marketing Strategy, Training, Hedge Funds, Mutual Funds, Negotiation, Securities, Public Speaking, Advertising, Investments, Investment Advisory, Marketing, Coaching, Small Business, Securities Regulation, Management, Leadership Development, Analysis, Investment Management, Financial Services, Insurance, Sales Operations, Written & Oral..., Executive Coaching
Education
Indiana University School of Law—Indianapolis 1994 — 1997
Juris Doctorate, Law
Indiana University - Kelley School of Business 1990 — 1994
BS, Business
Puris Personal Brand Solutions March 2008 - Present
KG Consulting Group, Inc. December 2006 - Present
Pacific Life February 2005 - December 2006
Stradley Ronon 2003 - 2005
Securities & Exchange Commission 2001 - 2003
North American Securities Administrators Association 1998 - 2001
Indiana Securities Division 1997 - 1998
Skills
Business Development, Corporate Governance, Marketing Strategy, Training, Hedge Funds, Mutual Funds, Negotiation, Securities, Public Speaking, Advertising, Investments, Investment Advisory, Marketing, Coaching, Small Business, Securities Regulation, Management, Leadership Development, Analysis, Investment Management, Financial Services, Insurance, Sales Operations, Written & Oral..., Executive Coaching
Education
Indiana University School of Law—Indianapolis 1994 — 1997
Juris Doctorate, Law
Indiana University - Kelley School of Business 1990 — 1994
BS, Business
Andrew Carr Conway, Jr. Andrew Carr Conway, Jr.'s Securities & Exchange Commission Experience January 1984 - December 1997
Job Self employed CPA at Carr Conway, CPA
Industry Accounting
Experience
Financial Forensic Services, LLC 2001 - Present
Carr Conway, CPA January 1998 - Present
Securities & Exchange Commission January 1984 - December 1997
Skills
Fraud, Forensic Accounting, Certified Fraud Examiner, Investigations, Fraud Prevention, Litigation Support, FCPA, Evidence, Crime
Education
Abilene Christian University 1962 — 1967
BS, Accounting
Financial Forensic Services, LLC 2001 - Present
Carr Conway, CPA January 1998 - Present
Securities & Exchange Commission January 1984 - December 1997
Skills
Fraud, Forensic Accounting, Certified Fraud Examiner, Investigations, Fraud Prevention, Litigation Support, FCPA, Evidence, Crime
Education
Abilene Christian University 1962 — 1967
BS, Accounting
William Scarborough CPA,CFE,CIA,CMA,CVA William Scarborough CPA,CFE,CIA,CMA,CVA's Securities & Exchange Commission Experience 1992 - Present
Job Associate Chief Accountant at Securities & Exchange Commission
Industry Accounting
Experience
Securities & Exchange Commission 1992 - Present
BDO Seidman, LLP January 1988 - December 1992
Arthur Andersen January 1981 - December 1987
Skills
Internal Audit, Consolidation, Income Tax, SEC reporting, US GAAP, Financial Reporting, Forensic Accounting, Business Valuation, Accounting, SEC filings, CPA, Due Diligence, GAAP, Corporate Governance, Finance, Mergers & Acquisitions, Sarbanes-Oxley Act, Financial Accounting, Internal Controls, Auditing, IFRS, Tax, Financial Statements, External Audit, Revenue Recognition, Corporate Tax, Sarbanes-Oxley, General Ledger, Assurance, Financial Audits, Financial Analysis, Tax Accounting, Certified Fraud Examiner, Enterprise Risk..., Managerial Finance, Account Reconciliation, SEC Filings
Education
Georgia State University - J. Mack Robinson College of Business 1991 — 1993
Masters of Professional Accountancy, Accounting (graduated magna cum laude)
Georgia State University - J. Mack Robinson College of Business 1979 — 1980
Master of Taxation, Tax (graduated magna cum laude)
Armstrong State University 1971 — 1975
1975, BBA, Accounting
Securities & Exchange Commission 1992 - Present
BDO Seidman, LLP January 1988 - December 1992
Arthur Andersen January 1981 - December 1987
Skills
Internal Audit, Consolidation, Income Tax, SEC reporting, US GAAP, Financial Reporting, Forensic Accounting, Business Valuation, Accounting, SEC filings, CPA, Due Diligence, GAAP, Corporate Governance, Finance, Mergers & Acquisitions, Sarbanes-Oxley Act, Financial Accounting, Internal Controls, Auditing, IFRS, Tax, Financial Statements, External Audit, Revenue Recognition, Corporate Tax, Sarbanes-Oxley, General Ledger, Assurance, Financial Audits, Financial Analysis, Tax Accounting, Certified Fraud Examiner, Enterprise Risk..., Managerial Finance, Account Reconciliation, SEC Filings
Education
Georgia State University - J. Mack Robinson College of Business 1991 — 1993
Masters of Professional Accountancy, Accounting (graduated magna cum laude)
Georgia State University - J. Mack Robinson College of Business 1979 — 1980
Master of Taxation, Tax (graduated magna cum laude)
Armstrong State University 1971 — 1975
1975, BBA, Accounting
Gina Ferrari Gina Ferrari's Securities & Exchange Commission Experience 2003 - 2003
Job Attorney at Seyfarth Shaw LLP
Industry Law Practice
Experience
Seyfarth Shaw LLP 2007 - Present
Hastings Womens Leadership Academy 2014 - 2014
Gordon & Rees LLP 2004 - 2007
Securities & Exchange Commission 2003 - 2003
California Supreme Court 2002 - 2002
Skills
Commercial Litigation, Class Actions, Trial Practice, Employment..., Personal Injury, Alternative Dispute..., White Collar Criminal..., Corporate Law, Legal Writing, Civil Litigation, Legal Research, Courts, Discrimination, Insurance Law, Business Litigation, Litigation Management, Non-compete Agreements, Litigation, Dispute Resolution, Trials, Arbitration, Unfair Competition
Education
University of California, Los Angeles 1996 — 2000
Bachelor's degree, Political Science and Government
Seyfarth Shaw LLP 2007 - Present
Hastings Womens Leadership Academy 2014 - 2014
Gordon & Rees LLP 2004 - 2007
Securities & Exchange Commission 2003 - 2003
California Supreme Court 2002 - 2002
Skills
Commercial Litigation, Class Actions, Trial Practice, Employment..., Personal Injury, Alternative Dispute..., White Collar Criminal..., Corporate Law, Legal Writing, Civil Litigation, Legal Research, Courts, Discrimination, Insurance Law, Business Litigation, Litigation Management, Non-compete Agreements, Litigation, Dispute Resolution, Trials, Arbitration, Unfair Competition
Education
University of California, Los Angeles 1996 — 2000
Bachelor's degree, Political Science and Government
Nick Tiemeyer, CFA's Securities & Exchange Commission Experience May 2007 - August 2007
Job Investment Consultant at Towers Watson
Industry Financial Services
Experience
Towers Watson October 2014 - Present
Towers Watson September 2013 - September 2014
Towers Watson February 2010 - March 2013
Edward Jones June 2009 - January 2010
Citadel Solutions June 2008 - August 2008
Securities & Exchange Commission May 2007 - August 2007
Skills
Investments, Pensions, Defined Benefit, Mutual Funds, Financial Analysis, Portfolio Management, Mergers & Acquisitions, Investment Management, Due Diligence, Equities, Bonds, Hedge Funds, Financial Services, Fixed Income
Education
Indiana University - Kelley School of Business 2005 — 2009
BS, Finance
Indiana University Bloomington 2005 — 2009
BA-Business, Finance (major), Econ (minor)
Seymour High School
Towers Watson October 2014 - Present
Towers Watson September 2013 - September 2014
Towers Watson February 2010 - March 2013
Edward Jones June 2009 - January 2010
Citadel Solutions June 2008 - August 2008
Securities & Exchange Commission May 2007 - August 2007
Skills
Investments, Pensions, Defined Benefit, Mutual Funds, Financial Analysis, Portfolio Management, Mergers & Acquisitions, Investment Management, Due Diligence, Equities, Bonds, Hedge Funds, Financial Services, Fixed Income
Education
Indiana University - Kelley School of Business 2005 — 2009
BS, Finance
Indiana University Bloomington 2005 — 2009
BA-Business, Finance (major), Econ (minor)
Seymour High School
Ted Schweinfurth's Securities & Exchange Commission Experience January 1992 - November 1993
Job Partner at Baker & McKenzie
Industry Law Practice
Experience
Baker & McKenzie January 2007 - Present
Readers 2 Leaders 2010 - 2013
Winstead PC December 1993 - December 2007
Securities & Exchange Commission January 1992 - November 1993
Akin Gump Strauss Hauer & Feld LLP 1988 - 1992
Skills
Mergers, Acquisitions, Acquisition Integration, Securities, Private Equity, Venture Capital, Public Equity Offerings
Education
The University of Texas School of Law 1985 — 1988
J.D.
The University of Texas at Austin 1981 — 1985
B.A., Plan II
The University of Texas at Austin 1981 — 1985
B.A, Plan II
Baker & McKenzie January 2007 - Present
Readers 2 Leaders 2010 - 2013
Winstead PC December 1993 - December 2007
Securities & Exchange Commission January 1992 - November 1993
Akin Gump Strauss Hauer & Feld LLP 1988 - 1992
Skills
Mergers, Acquisitions, Acquisition Integration, Securities, Private Equity, Venture Capital, Public Equity Offerings
Education
The University of Texas School of Law 1985 — 1988
J.D.
The University of Texas at Austin 1981 — 1985
B.A., Plan II
The University of Texas at Austin 1981 — 1985
B.A, Plan II
Mary Sjoquist Mary Sjoquist's Securities & Exchange Commission Experience 1982 - 1986
Job Director of Outreach and Small Business Liaison at Public Company Accounting Oversight Board
Industry Accounting
Experience
Public Company Accounting Oversight Board December 2010 - Present
PCAOB May 2009 - December 2010
Public Company Accounting Oversight Board May 2003 - May 2009
Patton Boggs LLP January 1998 - May 2003
Securities & Exchange Commission 1982 - 1986
SEC 1982 - 1986
Skills
Strategy, Auditing, Corporate Governance, Accounting, Finance, Corporate Finance, Public Policy, Policy, Mergers, Securities Regulation, Securities, Mergers & Acquisitions, IPO, Public Speaking, Due Diligence
Education
The Catholic University of America, Columbus School of Law 1979 — 1982
JD
Public Company Accounting Oversight Board December 2010 - Present
PCAOB May 2009 - December 2010
Public Company Accounting Oversight Board May 2003 - May 2009
Patton Boggs LLP January 1998 - May 2003
Securities & Exchange Commission 1982 - 1986
SEC 1982 - 1986
Skills
Strategy, Auditing, Corporate Governance, Accounting, Finance, Corporate Finance, Public Policy, Policy, Mergers, Securities Regulation, Securities, Mergers & Acquisitions, IPO, Public Speaking, Due Diligence
Education
The Catholic University of America, Columbus School of Law 1979 — 1982
JD
Teresa Verges Teresa Verges's Securities & Exchange Commission Experience 1999 - August 2011
Job Director, Investor Rights Clinic at University of Miami School of Law
Industry Legal Services
Experience
University of Miami School of Law August 2011 - Present
Securities & Exchange Commission 1999 - August 2011
US Securities and Exchange Commission 2003 - 2011
Jenner & Block 1989 - 1993
Skills
Arbitration, Securities Regulation, Securities, Legal Research, Mediation, Equities, FINRA, Litigation, Corporate Governance, Corporate Law, Civil Litigation, Fraud, Legal Writing, Due Diligence, Commercial Litigation
Education
DePaul University College of Law 1986 — 1989
JD, Law
University of Miami School of Law August 2011 - Present
Securities & Exchange Commission 1999 - August 2011
US Securities and Exchange Commission 2003 - 2011
Jenner & Block 1989 - 1993
Skills
Arbitration, Securities Regulation, Securities, Legal Research, Mediation, Equities, FINRA, Litigation, Corporate Governance, Corporate Law, Civil Litigation, Fraud, Legal Writing, Due Diligence, Commercial Litigation
Education
DePaul University College of Law 1986 — 1989
JD, Law
John K. Forst's Securities & Exchange Commission Experience 1997 - 2000
Job Deputy General Counsel at Lord, Abbett & Co. LLC
Industry Investment Management
Experience
Lord, Abbett & Co. LLC 2004 - Present
Dechert LLP 2000 - 2003
Securities & Exchange Commission 1997 - 2000
Skills
Securities, Hedge Funds, Mutual Funds, Corporate Governance, Private Equity, Due Diligence, Asset Management, Corporate Law, Alternative Investments, Mergers & Acquisitions, Capital Markets, Equities
Education
Georgetown University Law Center 1995 — 1997
LL.M., Financial Institutions & Securities Regulation
Capital University Law School 1988 — 1991
JD, Law
The George Washington University 1980 — 1984
B.B.A., Management
Virginia Polytechnic Institute and State University
Lord, Abbett & Co. LLC 2004 - Present
Dechert LLP 2000 - 2003
Securities & Exchange Commission 1997 - 2000
Skills
Securities, Hedge Funds, Mutual Funds, Corporate Governance, Private Equity, Due Diligence, Asset Management, Corporate Law, Alternative Investments, Mergers & Acquisitions, Capital Markets, Equities
Education
Georgetown University Law Center 1995 — 1997
LL.M., Financial Institutions & Securities Regulation
Capital University Law School 1988 — 1991
JD, Law
The George Washington University 1980 — 1984
B.B.A., Management
Virginia Polytechnic Institute and State University
Patrick Quine's Securities & Exchange Commission Experience January 2015 - April 2015
Job J.D. Candidate, Georgetown University Law Center
Industry Law Practice
Experience
Securities & Exchange Commission January 2015 - April 2015
Stein Mitchell Muse Cipollone & Beato LLP October 2010 - December 2014
Skills
Mergers & Acquisitions, Corporate Law, Business Transactions, Securities Regulation, Legal Research, Legal Writing, Due Diligence, Litigation, Civil Litigation, Depositions, Work Ethic, Securities, Appeals, Trials, Litigation Support, Policy, Lexis, Courts, Hearings, Commercial Litigation, Real Estate Transactions, Real Estate Financing, Document Review, Business Litigation, Westlaw
Education
Georgetown University Law Center 2012 — 2015
Juris Doctor (J.D.)
University of Notre Dame 2007 — 2010
The Heights School
Securities & Exchange Commission January 2015 - April 2015
Stein Mitchell Muse Cipollone & Beato LLP October 2010 - December 2014
Skills
Mergers & Acquisitions, Corporate Law, Business Transactions, Securities Regulation, Legal Research, Legal Writing, Due Diligence, Litigation, Civil Litigation, Depositions, Work Ethic, Securities, Appeals, Trials, Litigation Support, Policy, Lexis, Courts, Hearings, Commercial Litigation, Real Estate Transactions, Real Estate Financing, Document Review, Business Litigation, Westlaw
Education
Georgetown University Law Center 2012 — 2015
Juris Doctor (J.D.)
University of Notre Dame 2007 — 2010
The Heights School
Megan Harmsen's Securities & Exchange Commission Experience 2007 - 2008
Job VP / Attorney at JPMorgan
Industry Legal Services
Experience
JPMorgan 2013 - Present
Mayer Brown 2009 - 2013
Securities & Exchange Commission 2007 - 2008
Morgan Stanley 2005 - 2006
Education
Georgetown University Law Center
Doctor of Law (J.D.)
Columbia University in the City of New York
Bachelor of Arts (B.A.), cum laude
JPMorgan 2013 - Present
Mayer Brown 2009 - 2013
Securities & Exchange Commission 2007 - 2008
Morgan Stanley 2005 - 2006
Education
Georgetown University Law Center
Doctor of Law (J.D.)
Columbia University in the City of New York
Bachelor of Arts (B.A.), cum laude
Michael Wallace's Securities & Exchange Commission Experience September 2003 - August 2004
Job EVP & CFO at Intermedix
Industry Hospital & Health Care
Experience
Intermedix August 2013 - Present
Elephant Group September 2008 - July 2013
Radiology Corporation of America August 2004 - August 2008
Securities & Exchange Commission September 2003 - August 2004
Inktel Direct March 2002 - September 2003
CELLIT Technologies August 2000 - March 2002
Kellstrom Industries April 1997 - August 2000
KPMG August 1990 - April 1997
Skills
Mergers, Accountants, Accounting, Aerospace, Healthcare, SEC filings, CPA, Finance, Financial Modeling, Financial Services, GAAP, Human Resources, Integration, Leadership, Management, Marketing, Mergers, Negotiation, Revenue Recognition, Sarbanes-Oxley Act, Strategy, Tax, Telecommunications, SEC Filings
Education
University of Notre Dame 1986 — 1990
Bachelor of Business Administration, Accounting
Intermedix August 2013 - Present
Elephant Group September 2008 - July 2013
Radiology Corporation of America August 2004 - August 2008
Securities & Exchange Commission September 2003 - August 2004
Inktel Direct March 2002 - September 2003
CELLIT Technologies August 2000 - March 2002
Kellstrom Industries April 1997 - August 2000
KPMG August 1990 - April 1997
Skills
Mergers, Accountants, Accounting, Aerospace, Healthcare, SEC filings, CPA, Finance, Financial Modeling, Financial Services, GAAP, Human Resources, Integration, Leadership, Management, Marketing, Mergers, Negotiation, Revenue Recognition, Sarbanes-Oxley Act, Strategy, Tax, Telecommunications, SEC Filings
Education
University of Notre Dame 1986 — 1990
Bachelor of Business Administration, Accounting
James Mora James Mora's Securities & Exchange Commission Experience January 2015 - March 2015
Job Associate at PwC
Industry Accounting
Experience
PwC September 2015 - Present
Securities & Exchange Commission January 2015 - March 2015
Baker & McKenzie May 2014 - June 2014
dōTERRA International LLC January 2014 - April 2014
Robinson, Seiler & Anderson, LC May 2013 - January 2014
Skills
Team Leadership, Customer Service, Microsoft Office, Legal Writing, Teaching, Strategic Planning, Corporate Law, Negotiation, Spanish, Contract Negotiation
Education
Brigham Young University—J. Reuben Clark Law School 2012 — 2015
Doctor of Law (J.D.)
Utah Valley University 2000 — 2012
Bachelor Science, Accounting
PwC September 2015 - Present
Securities & Exchange Commission January 2015 - March 2015
Baker & McKenzie May 2014 - June 2014
dōTERRA International LLC January 2014 - April 2014
Robinson, Seiler & Anderson, LC May 2013 - January 2014
Skills
Team Leadership, Customer Service, Microsoft Office, Legal Writing, Teaching, Strategic Planning, Corporate Law, Negotiation, Spanish, Contract Negotiation
Education
Brigham Young University—J. Reuben Clark Law School 2012 — 2015
Doctor of Law (J.D.)
Utah Valley University 2000 — 2012
Bachelor Science, Accounting
Stratis Philippis Stratis Philippis's Securities & Exchange Commission Experience September 2005 - December 2005
Job Deputy General Counsel at NBTY, Inc.
Industry Law Practice
Experience
NBTY Associate General CounselNBTY, Inc.July 2012 - Present
Debevoise & Plimpton February 2008 - July 2012
Cadwalader, Wickersham & Taft LLP September 2006 - February 2008
Securities & Exchange Commission September 2005 - December 2005
National Association of Securities Dealers (NASD) May 2005 - August 2005
New York Stock Exchange January 2005 - May 2005
Skills
Corporate Law, Securities Regulation, Joint Ventures, Mergers & Acquisitions, Corporate Governance, Litigation, Private Equity
Education
St John's University - School of Law 2003 — 2006
Doctor of Law (JD)
St John's University - Graduate School of Business 2003 — 2006
Master of Business Administration (M.B.A.), Finance, General
Fordham University 1999 — 2002
Bachelor's degree, Economics
NBTY Associate General CounselNBTY, Inc.July 2012 - Present
Debevoise & Plimpton February 2008 - July 2012
Cadwalader, Wickersham & Taft LLP September 2006 - February 2008
Securities & Exchange Commission September 2005 - December 2005
National Association of Securities Dealers (NASD) May 2005 - August 2005
New York Stock Exchange January 2005 - May 2005
Skills
Corporate Law, Securities Regulation, Joint Ventures, Mergers & Acquisitions, Corporate Governance, Litigation, Private Equity
Education
St John's University - School of Law 2003 — 2006
Doctor of Law (JD)
St John's University - Graduate School of Business 2003 — 2006
Master of Business Administration (M.B.A.), Finance, General
Fordham University 1999 — 2002
Bachelor's degree, Economics
Ana Razmazma Ana Razmazma's Securities & Exchange Commission Experience May 2008 - August 2008
Job Associate at Fenwick and West
Industry Law Practice
Experience
Fenwick and West 2010 - Present
Fenwick & West May 2009 - July 2009
U.S. Department of Justice January 2009 - April 2009
Securities & Exchange Commission May 2008 - August 2008
Ernst & Young 2005 - 2007
Education
University of California, Hastings College of the Law 2007 — 2010
Santa Clara University 2001 — 2005
Accounting, Economics, French
Fenwick and West 2010 - Present
Fenwick & West May 2009 - July 2009
U.S. Department of Justice January 2009 - April 2009
Securities & Exchange Commission May 2008 - August 2008
Ernst & Young 2005 - 2007
Education
University of California, Hastings College of the Law 2007 — 2010
Santa Clara University 2001 — 2005
Accounting, Economics, French
Alan Beilis, Ph.D. Alan Beilis, Ph.D.'s Securities & Exchange Commission Experience September 2013 - Present
Job Senior Financial Analyst at Securities & Exchange Commission
Industry Financial Services
Experience
Securities & Exchange Commission September 2013 - Present
Ally Financial Inc. September 2011 - September 2013
CIT Group November 2010 - September 2011
Moore Capital Management January 2007 - January 2009
Bank of America 2002 - 2006
Columbia University 2002 - 2006
Bear Stearns 1999 - 2000
Smith Barney 1996 - 1998
Merrill Lynch 1987 - 1989
Bell Laboratories 1979 - 1986
Education
Canarsie High School
Academic
City University of New York City College
B. S., Physics
New York University
M.S., Ph.D., Physics
Securities & Exchange Commission September 2013 - Present
Ally Financial Inc. September 2011 - September 2013
CIT Group November 2010 - September 2011
Moore Capital Management January 2007 - January 2009
Bank of America 2002 - 2006
Columbia University 2002 - 2006
Bear Stearns 1999 - 2000
Smith Barney 1996 - 1998
Merrill Lynch 1987 - 1989
Bell Laboratories 1979 - 1986
Education
Canarsie High School
Academic
City University of New York City College
B. S., Physics
New York University
M.S., Ph.D., Physics
Janet K DeCosta Janet K DeCosta's Securities & Exchange Commission Experience 1985 - 1987
Job Attorney at Janet K. DeCosta, P.C.
Industry Legal Services
Experience
Janet K. DeCosta, P.C. 1992 - Present
Securities & Exchange Commission 1985 - 1987
United States Attorney's Office for the Eastern District of Virginia 1984 - 1985
Department of Justice/Criminal Division/Office of Special Investigations 1979 - 1985
Skills
Broker-Dealer Disputes, Investor Disputes, Securities Regulation, Securities Litigation, FINRA Enforcement, Arbitration, Mediation, Civil Litigation, Contract Negotiation, Employment
Education
DePaul University College of Law
J.D.
Harvard University
Program on Mediation
University of Massachusetts, Amherst
B.A., Psychology
Janet K. DeCosta, P.C. 1992 - Present
Securities & Exchange Commission 1985 - 1987
United States Attorney's Office for the Eastern District of Virginia 1984 - 1985
Department of Justice/Criminal Division/Office of Special Investigations 1979 - 1985
Skills
Broker-Dealer Disputes, Investor Disputes, Securities Regulation, Securities Litigation, FINRA Enforcement, Arbitration, Mediation, Civil Litigation, Contract Negotiation, Employment
Education
DePaul University College of Law
J.D.
Harvard University
Program on Mediation
University of Massachusetts, Amherst
B.A., Psychology
Reagan Larkin Reagan Larkin's Securities & Exchange Commission Experience May 2009 - August 2009
Job Associate Attorney at Sweetbaum Sands Anderson PC
Industry Law Practice
Experience
Sweetbaum Sands Anderson PC September 2013 - Present
The Castle Law Group, LLC February 2011 - September 2013
Colorado Legal Services August 2010 - February 2011
Washington University in St. Louis August 2009 - December 2009
Legal Services of Eastern Missouri August 2009 - December 2009
Securities & Exchange Commission May 2009 - August 2009
Mundocom USA October 2006 - August 2007
Uncle Dan's September 2006 - August 2007
Mundocom USA September 2005 - September 2006
Northwestern University, Feinberg School of Medicine March 2004 - September 2005
Skills
Legal Writing, Legal Research, Litigation, Negotiation, Microsoft Office, Civil Litigation, PowerPoint, Microsoft Excel, Mediation, Microsoft Word, Outlook, Social Media, Public Speaking, Strategic Planning, Trials, Creditors' Rights, Creditor Representation, Breach Of Contract, Motions, Property Law, Pleadings, Legal Issues, Westlaw, Courts, Commercial Litigation, Appeals
Education
Washington University in St. Louis School of Law 2007 — 2010
Doctor of Law (J.D.)
University of Colorado Boulder - Leeds School of Business 2000 — 2002
Business Admin, Finance & Accounting
Sweetbaum Sands Anderson PC September 2013 - Present
The Castle Law Group, LLC February 2011 - September 2013
Colorado Legal Services August 2010 - February 2011
Washington University in St. Louis August 2009 - December 2009
Legal Services of Eastern Missouri August 2009 - December 2009
Securities & Exchange Commission May 2009 - August 2009
Mundocom USA October 2006 - August 2007
Uncle Dan's September 2006 - August 2007
Mundocom USA September 2005 - September 2006
Northwestern University, Feinberg School of Medicine March 2004 - September 2005
Skills
Legal Writing, Legal Research, Litigation, Negotiation, Microsoft Office, Civil Litigation, PowerPoint, Microsoft Excel, Mediation, Microsoft Word, Outlook, Social Media, Public Speaking, Strategic Planning, Trials, Creditors' Rights, Creditor Representation, Breach Of Contract, Motions, Property Law, Pleadings, Legal Issues, Westlaw, Courts, Commercial Litigation, Appeals
Education
Washington University in St. Louis School of Law 2007 — 2010
Doctor of Law (J.D.)
University of Colorado Boulder - Leeds School of Business 2000 — 2002
Business Admin, Finance & Accounting
Erin Tobin's Securities & Exchange Commission Experience January 2006 - April 2006
Job Senior Associate at Ashurst LLP
Industry Law Practice
Experience
Ashurst LLP March 2009 - Present
McKee Nelson LLP 2006 - 2009
Securities & Exchange Commission January 2006 - April 2006
Honorable Joseph M. McLaughlin, 2nd Circuit Court of Appeals January 2005 - April 2005
Marsh, Inc. September 2002 - July 2004
Rothschild, Inc. July 2001 - July 2002
Skills
Project Finance, P3 Transactions, Structured Finance, Corporate Law, Securitization, Public Finance, Derivatives, Capital Markets, Securities Regulation, Securities, Due Diligence, Corporate Finance, Structured Products
Education
Brooklyn Law School 2003 — 2006
Doctor of Law (JD)
Cornell University 1997 — 2001
BS, Policy Analysis and Management
Ashurst LLP March 2009 - Present
McKee Nelson LLP 2006 - 2009
Securities & Exchange Commission January 2006 - April 2006
Honorable Joseph M. McLaughlin, 2nd Circuit Court of Appeals January 2005 - April 2005
Marsh, Inc. September 2002 - July 2004
Rothschild, Inc. July 2001 - July 2002
Skills
Project Finance, P3 Transactions, Structured Finance, Corporate Law, Securitization, Public Finance, Derivatives, Capital Markets, Securities Regulation, Securities, Due Diligence, Corporate Finance, Structured Products
Education
Brooklyn Law School 2003 — 2006
Doctor of Law (JD)
Cornell University 1997 — 2001
BS, Policy Analysis and Management
Andrew Snowdon Andrew Snowdon's Securities & Exchange Commission Experience 1996 - 2001
Job Senior Attorney Advisor at SIGTARP
Industry Government Administration
Experience
SIGTARP 2011 - Present
Dickstein Shapiro LLP 2007 - 2011
House Energy & Commerce Committee 2003 - 2007
Financial Industry Regulatory Authority (FINRA) October 2001 - October 2003
Securities & Exchange Commission 1996 - 2001
United States Attorney’s Office, Eastern District of Virginia 1999 - 2000
Howrey LLP 1994 - 1996
U.S. District Court for the Eastern District of Virginia 1993 - 1994
Skills
Congressional..., Corporate Fraud..., Securities, Criminal Law, Courts, Congressional Affairs, Civil Litigation, Corporate Governance, Analysis, Securities Regulation, Government, Appeals, Legal Issues, Policy
Education
University of Virginia 1990 — 1993
J.D., Law
Duke University 1986 — 1990
Bachelor's degree, Political Science and History
St. Albans School 1977 — 1986
SIGTARP 2011 - Present
Dickstein Shapiro LLP 2007 - 2011
House Energy & Commerce Committee 2003 - 2007
Financial Industry Regulatory Authority (FINRA) October 2001 - October 2003
Securities & Exchange Commission 1996 - 2001
United States Attorney’s Office, Eastern District of Virginia 1999 - 2000
Howrey LLP 1994 - 1996
U.S. District Court for the Eastern District of Virginia 1993 - 1994
Skills
Congressional..., Corporate Fraud..., Securities, Criminal Law, Courts, Congressional Affairs, Civil Litigation, Corporate Governance, Analysis, Securities Regulation, Government, Appeals, Legal Issues, Policy
Education
University of Virginia 1990 — 1993
J.D., Law
Duke University 1986 — 1990
Bachelor's degree, Political Science and History
St. Albans School 1977 — 1986
Anamaria Carretero Anamaria Carretero's Securities & Exchange Commission Experience March 1989 - October 2000
Job Commercial & Residential Realtor at CapStar Properties Realty Inc.
Industry Real Estate
Experience
CapStar Properties Realty Inc. REALTORREMAX REALTY SERVICESAugust 2004 - February 2013
Securities & Exchange Commission March 1989 - October 2000
Skills
Studied Economics, International Economics, Short Sales, Real Estate, Foreclosures, REO
Education
University of Maryland College Park 1990 — 1993
University Mayor de San Andres, Bolivia 1973 — 1974
2 years
CapStar Properties Realty Inc. REALTORREMAX REALTY SERVICESAugust 2004 - February 2013
Securities & Exchange Commission March 1989 - October 2000
Skills
Studied Economics, International Economics, Short Sales, Real Estate, Foreclosures, REO
Education
University of Maryland College Park 1990 — 1993
University Mayor de San Andres, Bolivia 1973 — 1974
2 years
Mitchell Kulick Mitchell Kulick's Securities & Exchange Commission Experience August 1999 - July 2001
Job General Counsel Steep Hill Labs, Inc.
Industry Law Practice
Experience
GC Soultions, LLC Gneral CounselIroquois Capital ManagementJanuary 2007 - May 2014
Securities & Exchange Commission August 1999 - July 2001
Skills
Microsoft Office, Management, Microsoft Excel, Microsoft Word, Research, PowerPoint, Sales, Leadership, Training, Photoshop
Education
Maurice A. Deane School of Law at Hofstra University 1990 — 1993
Doctor of Law (J.D.)
University of Michigan -- Ann Arbor 1986 — 1990
A.B. with Honors Distinction, Physical and Biological Anthropology
GC Soultions, LLC Gneral CounselIroquois Capital ManagementJanuary 2007 - May 2014
Securities & Exchange Commission August 1999 - July 2001
Skills
Microsoft Office, Management, Microsoft Excel, Microsoft Word, Research, PowerPoint, Sales, Leadership, Training, Photoshop
Education
Maurice A. Deane School of Law at Hofstra University 1990 — 1993
Doctor of Law (J.D.)
University of Michigan -- Ann Arbor 1986 — 1990
A.B. with Honors Distinction, Physical and Biological Anthropology
Jim Adelman's Securities & Exchange Commission Experience 1998 - 2000
Job General Counsel at Commonwealth Financial Network
Industry Financial Services
Experience
Commonwealth Financial Network 2004 - Present
Allmerica Financial 2000 - 2004
U.S Securities and Exchange Commision 1998 - 2000
US Securities and Exchange Commission 1998 - 2000
Securities & Exchange Commission 1998 - 2000
Choate Hall and Stewart 1996 - 1998
Skills
FINRA, Securities, Compliance, Securities Regulation, Mutual Funds, SEC filings, Litigation, Corporate Governance, Insurance, SEC, Investments, Financial Services, Due Diligence, AML, Privacy Law
Education
American University Washington College of Law 1978 — 1981
JD, LAW
Bucknell University 1973 — 1977
BA, Economics
Commonwealth Financial Network 2004 - Present
Allmerica Financial 2000 - 2004
U.S Securities and Exchange Commision 1998 - 2000
US Securities and Exchange Commission 1998 - 2000
Securities & Exchange Commission 1998 - 2000
Choate Hall and Stewart 1996 - 1998
Skills
FINRA, Securities, Compliance, Securities Regulation, Mutual Funds, SEC filings, Litigation, Corporate Governance, Insurance, SEC, Investments, Financial Services, Due Diligence, AML, Privacy Law
Education
American University Washington College of Law 1978 — 1981
JD, LAW
Bucknell University 1973 — 1977
BA, Economics
Matthew Landon's Securities & Exchange Commission Experience January 2004 - February 2009
Job Experienced Attorney and Entrepreneur
Industry Legal Services
Experience
Thai by Thai February 2006 - Present
US Securities and Exchange Commission October 2011 - October 2013
Public Company Accounting Oversight Board February 2009 - April 2011
Securities & Exchange Commission January 2004 - February 2009
Baker & McKenzie - Washington DC September 1997 - December 2003
Baker & McKenzie - Bangkok October 1993 - June 1994
Skills
Corporate Governance, Securities, Securities Law, Mergers, Thai, Thailand, Derivatives, Securities Regulation, Corporate Law, Financial Regulation, Internal Investigations, Private Equity, Due Diligence, Joint Ventures, International Law
Education
Cornell Law School 1994 — 1997
JD, Business Law and Regulation
Northern Illinois University 1989 — 1992
BA, International Relations, Thai, Southeast Asian Studies
Thai by Thai February 2006 - Present
US Securities and Exchange Commission October 2011 - October 2013
Public Company Accounting Oversight Board February 2009 - April 2011
Securities & Exchange Commission January 2004 - February 2009
Baker & McKenzie - Washington DC September 1997 - December 2003
Baker & McKenzie - Bangkok October 1993 - June 1994
Skills
Corporate Governance, Securities, Securities Law, Mergers, Thai, Thailand, Derivatives, Securities Regulation, Corporate Law, Financial Regulation, Internal Investigations, Private Equity, Due Diligence, Joint Ventures, International Law
Education
Cornell Law School 1994 — 1997
JD, Business Law and Regulation
Northern Illinois University 1989 — 1992
BA, International Relations, Thai, Southeast Asian Studies
Jessica Dhuyvetter Plowgian's Securities & Exchange Commission Experience November 2007 - February 2013
Job Corporate Attorney
Industry Legal Services
Experience
Securities & Exchange Commission November 2007 - February 2013
Global Payments Inc. March 2006 - October 2007
King & Spalding LLP 2001 - 2006
Skills
Corporate Governance, Legal Research, Corporate Law, Mergers, Securities Regulation, Acquisitions, Private Equity, Securities Offerings, Securities
Education
Harvard Law School 1998 — 2001
JD
Wake Forest University 1994 — 1998
Securities & Exchange Commission November 2007 - February 2013
Global Payments Inc. March 2006 - October 2007
King & Spalding LLP 2001 - 2006
Skills
Corporate Governance, Legal Research, Corporate Law, Mergers, Securities Regulation, Acquisitions, Private Equity, Securities Offerings, Securities
Education
Harvard Law School 1998 — 2001
JD
Wake Forest University 1994 — 1998
Donna Norman's Securities & Exchange Commission Experience 2001 - 2009
Job Senior Counsel, Asset Management Unit
Industry Law Enforcement
Experience
U.S.Securities and Exchange Commission February 2011 - Present
Georgetown University Law Center 2008 - Present
US Securities and Exchange Commission October 2004 - January 2011
Financial Crisis Inquiry Commission 2010 - 2010
Securities & Exchange Commission 2001 - 2009
Wilson Sonsini Goodrich and Rosati 1995 - 2001
Arnold & Porter 1993 - 1995
US Court of Appeals for the Seventh Circuit 1992 - 1993
Skills
Securities Regulation, Corporate Governance, Commercial Litigation, Corporate Law, Westlaw, Securities, Legal Writing, Courts, Arbitration, Internal Investigations, Private Investigations, Litigation, Civil Litigation, Intellectual Property, Trials, Appeals, Public Policy, Fraud, Government, Policy Analysis, Legal Research, Legislation, Employment Law, Enforcement, White Collar Criminal..., Criminal Law, Licensing, International Law
Education
Georgetown University Law Center 1989 — 1992
University of Wisconsin-Madison 1985 — 1989
BA, Political Science
U.S.Securities and Exchange Commission February 2011 - Present
Georgetown University Law Center 2008 - Present
US Securities and Exchange Commission October 2004 - January 2011
Financial Crisis Inquiry Commission 2010 - 2010
Securities & Exchange Commission 2001 - 2009
Wilson Sonsini Goodrich and Rosati 1995 - 2001
Arnold & Porter 1993 - 1995
US Court of Appeals for the Seventh Circuit 1992 - 1993
Skills
Securities Regulation, Corporate Governance, Commercial Litigation, Corporate Law, Westlaw, Securities, Legal Writing, Courts, Arbitration, Internal Investigations, Private Investigations, Litigation, Civil Litigation, Intellectual Property, Trials, Appeals, Public Policy, Fraud, Government, Policy Analysis, Legal Research, Legislation, Employment Law, Enforcement, White Collar Criminal..., Criminal Law, Licensing, International Law
Education
Georgetown University Law Center 1989 — 1992
University of Wisconsin-Madison 1985 — 1989
BA, Political Science
Douglas Randall, CPA's Securities & Exchange Commission Experience July 2001 - July 2006
Job Director, FP&A at Schneider Electric
Industry Electrical/Electronic Manufacturing
Experience
Schneider Electric February 2013 - Present
American Express August 2011 - February 2013
American Express June 2010 - July 2011
FTI Consulting August 2008 - June 2010
Walt Disney Studios May 2007 - August 2007
Securities & Exchange Commission July 2001 - July 2006
Education
Columbia University - Columbia Business School 2006 — 2008
Master of Business Administration (MBA)
Villanova University 1997 — 2001
BS, Finance / Management Information Systems
Schneider Electric February 2013 - Present
American Express August 2011 - February 2013
American Express June 2010 - July 2011
FTI Consulting August 2008 - June 2010
Walt Disney Studios May 2007 - August 2007
Securities & Exchange Commission July 2001 - July 2006
Education
Columbia University - Columbia Business School 2006 — 2008
Master of Business Administration (MBA)
Villanova University 1997 — 2001
BS, Finance / Management Information Systems
Hillary Profita's Securities & Exchange Commission Experience January 2011 - December 2011
Job Associate, Commercial Litigation; SEC and White Collar Defense at Venable LLP
Industry Legal Services
Experience
Venable LLP October 2012 - Present
George Washington University Law School August 2010 - May 2012
Securities & Exchange Commission January 2011 - December 2011
Venable LLP June 2011 - August 2011
Seabury Group March 2007 - August 2009
CBSNews.com August 2005 - March 2007
ABC News Nightline September 2004 - August 2005
Education
The George Washington University Law School 2010 — 2012
Doctor of Law (JD)
Cornell University 2000 — 2003
BA, English
Venable LLP October 2012 - Present
George Washington University Law School August 2010 - May 2012
Securities & Exchange Commission January 2011 - December 2011
Venable LLP June 2011 - August 2011
Seabury Group March 2007 - August 2009
CBSNews.com August 2005 - March 2007
ABC News Nightline September 2004 - August 2005
Education
The George Washington University Law School 2010 — 2012
Doctor of Law (JD)
Cornell University 2000 — 2003
BA, English
Brent Mitchell's Securities & Exchange Commission Experience May 2004 - Present
Job Senior Counsel at Securities & Exchange Commission
Industry Law Enforcement
Experience
Securities & Exchange Commission May 2004 - Present
WilmerHale 1999 - 2004
Hon. Ronald L. Lagueux September 1998 - September 1999
Miami Herald 1992 - 1995
Skills
Enforcement, Fraud
Education
Harvard Law School 1995 — 1998
JD, Law
University of Pennsylvania 1987 — 1991
BA, American History (United States)
Lake Braddock 1983 — 1987
Securities & Exchange Commission May 2004 - Present
WilmerHale 1999 - 2004
Hon. Ronald L. Lagueux September 1998 - September 1999
Miami Herald 1992 - 1995
Skills
Enforcement, Fraud
Education
Harvard Law School 1995 — 1998
JD, Law
University of Pennsylvania 1987 — 1991
BA, American History (United States)
Lake Braddock 1983 — 1987
Kathleen Burdette Shields's Securities & Exchange Commission Experience January 2010 - Present
Job Senior Trial Counsel at Securities & Exchange Commission
Industry Law Practice
Experience
Securities & Exchange Commission January 2010 - Present
Choate, Hall & Stewart LLP September 1997 - December 2009
Education
University of Pennsylvania Law School 1994 — 1997
JD, law
Cornell University 1990 — 1994
BA
Securities & Exchange Commission January 2010 - Present
Choate, Hall & Stewart LLP September 1997 - December 2009
Education
University of Pennsylvania Law School 1994 — 1997
JD, law
Cornell University 1990 — 1994
BA
Erin Wilson's Securities & Exchange Commission Experience October 2007 - April 2010
Job Attorney, Securities & Exchange Commission
Industry Security and Investigations
Experience
U.S. Securities and Exchange Commission May 2015 - Present
George Mason University August 2007 - Present
US Securities and Exchange Commission April 2010 - May 2015
Securities & Exchange Commission October 2007 - April 2010
Choice Hotels International, Inc. January 2007 - September 2007
Choice Hotels International 2007 - 2007
Special Counsel 2006 - 2006
Siegel Siegel Johnson & Jennings, Co. LPA December 2002 - August 2005
Skills
Corporate Law, Administrative Law, Compliance, Securities Law, Corporate Finance, Litigation, Securities Regulation, Mergers & Acquisitions, Legal Research, Corporate Governance, Due Diligence, Licensing, Westlaw, Securities, Employment Law, Legal Writing
Education
Georgetown University Law Center 2005 — 2006
LL.M. Securities and Financial Regulation
The University of Akron 1999 — 2001
Master of Business Administration (MBA), Finance, General
University of Akron School of Law 1998 — 2001
J.D., Law
Miami University 1994 — 1998
Finance, Business
U.S. Securities and Exchange Commission May 2015 - Present
George Mason University August 2007 - Present
US Securities and Exchange Commission April 2010 - May 2015
Securities & Exchange Commission October 2007 - April 2010
Choice Hotels International, Inc. January 2007 - September 2007
Choice Hotels International 2007 - 2007
Special Counsel 2006 - 2006
Siegel Siegel Johnson & Jennings, Co. LPA December 2002 - August 2005
Skills
Corporate Law, Administrative Law, Compliance, Securities Law, Corporate Finance, Litigation, Securities Regulation, Mergers & Acquisitions, Legal Research, Corporate Governance, Due Diligence, Licensing, Westlaw, Securities, Employment Law, Legal Writing
Education
Georgetown University Law Center 2005 — 2006
LL.M. Securities and Financial Regulation
The University of Akron 1999 — 2001
Master of Business Administration (MBA), Finance, General
University of Akron School of Law 1998 — 2001
J.D., Law
Miami University 1994 — 1998
Finance, Business
Robert I. Dodge's Securities & Exchange Commission Experience 2003 - Present
Job Assistant Chief Litigation Counsel at U.S. Securities & Exchange Commission
Industry Law Practice
Experience
Securities & Exchange Commission 2003 - Present
U.S. Attorney's Office - W.D.Mi. 1999 - 2002
Justice Dept. - Environmental Defense Section 1994 - 1999
Nussbaum & Wald 1990 - 1994
Debevoise & Plimpton 1987 - 1990
Skills
Litigation, Securities Regulation, Securities Litigation, FCPA
Education
Columbia Law School 1984 — 1987
J.D., Law
Cornell University 1980 — 1984
BS, Electrical Engineering
Langley High School 1976 — 1980
Securities & Exchange Commission 2003 - Present
U.S. Attorney's Office - W.D.Mi. 1999 - 2002
Justice Dept. - Environmental Defense Section 1994 - 1999
Nussbaum & Wald 1990 - 1994
Debevoise & Plimpton 1987 - 1990
Skills
Litigation, Securities Regulation, Securities Litigation, FCPA
Education
Columbia Law School 1984 — 1987
J.D., Law
Cornell University 1980 — 1984
BS, Electrical Engineering
Langley High School 1976 — 1980
Deena Bernstein's Securities & Exchange Commission Experience February 1995 - April 1996
Job Senior Trial Counsel at Securities Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission April 2008 - Present
Sutherland Asbill & Brennan LLP July 1999 - February 2008
Arnold & Porter 1992 - 1998
Securities & Exchange Commission February 1995 - April 1996
Judge Hugh Bownes, U.S. Court of Appeals for the First Circuit September 1991 - August 1992
Skills
Securities Litigation, Securities Regulation, Litigation, Civil Litigation, Internal Investigations, Commercial Litigation, FCPA, White Collar Criminal..., Legal Research, Appeals, Class Actions, Securities, Corporate Governance
Education
Cornell Law School 1988 — 1991
Doctor of Law (JD), Litigation, Magna Cum Laude
Harvard University 1984 — 1988
Bachelor of Arts (B.A.), Political Science and Government, Cum Laude
Choate Rosemary Hall 1982 — 1984
Ramaz Upper School 1980 — 1982
North Shore Hebrew Academy 1979 — 1980
US Securities and Exchange Commission April 2008 - Present
Sutherland Asbill & Brennan LLP July 1999 - February 2008
Arnold & Porter 1992 - 1998
Securities & Exchange Commission February 1995 - April 1996
Judge Hugh Bownes, U.S. Court of Appeals for the First Circuit September 1991 - August 1992
Skills
Securities Litigation, Securities Regulation, Litigation, Civil Litigation, Internal Investigations, Commercial Litigation, FCPA, White Collar Criminal..., Legal Research, Appeals, Class Actions, Securities, Corporate Governance
Education
Cornell Law School 1988 — 1991
Doctor of Law (JD), Litigation, Magna Cum Laude
Harvard University 1984 — 1988
Bachelor of Arts (B.A.), Political Science and Government, Cum Laude
Choate Rosemary Hall 1982 — 1984
Ramaz Upper School 1980 — 1982
North Shore Hebrew Academy 1979 — 1980
Paris Wynn's Securities & Exchange Commission Experience June 2007 - November 2012
Job Assistant United States Attorney at U.S. Department of Justice
Industry Legal Services
Experience
U.S. Department of Justice November 2012 - Present
Securities & Exchange Commission June 2007 - November 2012
Heller Ehrman March 2003 - April 2007
Mayer Brown September 1999 - March 2003
King and Spalding June 1998 - July 1998
Husch & Eppenberger, LLC June 1997 - September 1997
Skills
Securities Regulation
Education
University of Chicago Law School 1996 — 1999
Bradley University 1992 — 1996
BA, Political Science, International Studies & Economics
U.S. Department of Justice November 2012 - Present
Securities & Exchange Commission June 2007 - November 2012
Heller Ehrman March 2003 - April 2007
Mayer Brown September 1999 - March 2003
King and Spalding June 1998 - July 1998
Husch & Eppenberger, LLC June 1997 - September 1997
Skills
Securities Regulation
Education
University of Chicago Law School 1996 — 1999
Bradley University 1992 — 1996
BA, Political Science, International Studies & Economics
L. Jacob Fien-Helfman's Securities & Exchange Commission Experience September 1998 - June 2014
Job 2011
Industry Financial Services
Experience
US Securities and Exchange Commission June 2014 - Present
MetroDogs Community Canine Search and Rescue March 2008 - Present
Securities & Exchange Commission September 1998 - June 2014
Skills
Research
Education
Georgetown University Law Center 1980 — 1983
MLT, Law -Taxation
Antioch School of Law 1972 — 1975
JD, Law
University of Pennsylvania - The Wharton School 1968 — 1972
Mt. Lebanon High School 1967 — 1968
H.S., English, Math, Science
Omaha Central High School 1964 — 1967
English, Math, Science, Economics
US Securities and Exchange Commission June 2014 - Present
MetroDogs Community Canine Search and Rescue March 2008 - Present
Securities & Exchange Commission September 1998 - June 2014
Skills
Research
Education
Georgetown University Law Center 1980 — 1983
MLT, Law -Taxation
Antioch School of Law 1972 — 1975
JD, Law
University of Pennsylvania - The Wharton School 1968 — 1972
Mt. Lebanon High School 1967 — 1968
H.S., English, Math, Science
Omaha Central High School 1964 — 1967
English, Math, Science, Economics
Susan Helfrick's Securities & Exchange Commission Experience May 1995 - May 1997
Job General Counsel at Chewy.com, LLC
Industry Internet
Experience
Chewy.com, LLC December 2014 - Present
GfK February 2009 - July 2014
Goldman Sachs August 2007 - January 2009
HSBC Securities May 2005 - August 2007
UBS May 2000 - May 2005
Skadden Arps May 1997 - May 2000
Securities & Exchange Commission May 1995 - May 1997
Skills
Capital Markets, Mergers & Acquisitions, Corporate Law, Securities, Structured Finance, Intellectual Property, Corporate Governance, Corporate Finance, Securities Regulation, Joint Ventures, Risk Management, Management, Finance, Private Equity, Mergers, Investments, Licensing, Strategy, Cross-border...
Education
Georgetown University Law Center 2005 — 2007
LLM, Securities; Tax
Cornell University - Johnson Graduate School of Management 2003 — 2005
MBA, Corporate Finance
Dickinson Law 1988 — 1991
JD, Law
Chewy.com, LLC December 2014 - Present
GfK February 2009 - July 2014
Goldman Sachs August 2007 - January 2009
HSBC Securities May 2005 - August 2007
UBS May 2000 - May 2005
Skadden Arps May 1997 - May 2000
Securities & Exchange Commission May 1995 - May 1997
Skills
Capital Markets, Mergers & Acquisitions, Corporate Law, Securities, Structured Finance, Intellectual Property, Corporate Governance, Corporate Finance, Securities Regulation, Joint Ventures, Risk Management, Management, Finance, Private Equity, Mergers, Investments, Licensing, Strategy, Cross-border...
Education
Georgetown University Law Center 2005 — 2007
LLM, Securities; Tax
Cornell University - Johnson Graduate School of Management 2003 — 2005
MBA, Corporate Finance
Dickinson Law 1988 — 1991
JD, Law
Richard Gordon's Securities & Exchange Commission Experience 2005 - 2007
Job External Advisory Board Member Computer Science Department at Bowie State University
Industry Government Administration
Experience
Infinity Technology, LLC March 2013 - Present
Financial Student Aid, US Dept of Education March 2010 - March 2013
Office of the Comptroller of the Currency January 2007 - March 2010
US Treasury November 2008 - December 2009
US Securities and Exchange Commission 2005 - 2007
Securities & Exchange Commission 2005 - 2007
BearingPoint December 2004 - December 2004
Standard Technology January 2004 - November 2004
NIH 1999 - 2004
North Atlantic Regional Medical Command 1998 - 1999
Skills
Government, Budgets, Access, Enterprise Architecture, IT Strategy, Healthcare, SDLC, IT Management, Program Management, Integration, Business Analysis, ITIL, Disaster Recovery, SharePoint, Strategic Planning, Security, Governance, Leadership, Mentoring, Policy, Information Security..., Data Center, Project Management, Information Security, PMO, Analysis, Team Leadership, Active Directory, Change Management, IT Service Management, Information Assurance
Education
American University 1994 — 1994
MS, Management Information Systems and Services
Park University 1987 — 1989
BS, Information Systems
Infinity Technology, LLC March 2013 - Present
Financial Student Aid, US Dept of Education March 2010 - March 2013
Office of the Comptroller of the Currency January 2007 - March 2010
US Treasury November 2008 - December 2009
US Securities and Exchange Commission 2005 - 2007
Securities & Exchange Commission 2005 - 2007
BearingPoint December 2004 - December 2004
Standard Technology January 2004 - November 2004
NIH 1999 - 2004
North Atlantic Regional Medical Command 1998 - 1999
Skills
Government, Budgets, Access, Enterprise Architecture, IT Strategy, Healthcare, SDLC, IT Management, Program Management, Integration, Business Analysis, ITIL, Disaster Recovery, SharePoint, Strategic Planning, Security, Governance, Leadership, Mentoring, Policy, Information Security..., Data Center, Project Management, Information Security, PMO, Analysis, Team Leadership, Active Directory, Change Management, IT Service Management, Information Assurance
Education
American University 1994 — 1994
MS, Management Information Systems and Services
Park University 1987 — 1989
BS, Information Systems
Lloyd Feller's Securities & Exchange Commission Experience 1977 - 1979
Job Director at IEX Group, Inc.
Industry Financial Services
Experience
Morgan, Lewis & Bockius LLP September 2011 - Present
OpenExchange 2010 - Present
IEX Group, Inc. June 2013 - Present
Jefferies & Company December 2002 - December 2010
Wit Capital Group, Inc. 1999 - 2002
Morgan Lewis & Bockius 1979 - 1999
Securities & Exchange Commission 1977 - 1979
Securities & Exchange Commission 1976 - 1977
Securities & Exchange Commission 1973 - 1976
Education
NYU School of Law 1964 — 1967
LL.B
University of Pennsylvania 1960 — 1964
BE in Eco.
Morgan, Lewis & Bockius LLP September 2011 - Present
OpenExchange 2010 - Present
IEX Group, Inc. June 2013 - Present
Jefferies & Company December 2002 - December 2010
Wit Capital Group, Inc. 1999 - 2002
Morgan Lewis & Bockius 1979 - 1999
Securities & Exchange Commission 1977 - 1979
Securities & Exchange Commission 1976 - 1977
Securities & Exchange Commission 1973 - 1976
Education
NYU School of Law 1964 — 1967
LL.B
University of Pennsylvania 1960 — 1964
BE in Eco.
Eric Meer's Securities & Exchange Commission Experience September 2009 - December 2009
Job Associate at Gibson, Dunn & Crutcher LLP
Industry Law Practice
Experience
Gibson, Dunn & Crutcher LLP November 2014 - Present
Kirkland & Ellis LLP September 2011 - November 2014
Kings County District Attorney's Office June 2010 - August 2010
Securities & Exchange Commission September 2009 - December 2009
The Honorable Miriam Goldman Cedarbaum- SDNY June 2009 - August 2009
Skills
Corporate Law, Private Equity, Real Estate Law, Real Estate, Private Funds
Education
Emory University School of Law 2008 — 2011
Doctor of Law (J.D.), Law
University of Michigan 2004 — 2008
BA, Economics & Political Science
Gibson, Dunn & Crutcher LLP November 2014 - Present
Kirkland & Ellis LLP September 2011 - November 2014
Kings County District Attorney's Office June 2010 - August 2010
Securities & Exchange Commission September 2009 - December 2009
The Honorable Miriam Goldman Cedarbaum- SDNY June 2009 - August 2009
Skills
Corporate Law, Private Equity, Real Estate Law, Real Estate, Private Funds
Education
Emory University School of Law 2008 — 2011
Doctor of Law (J.D.), Law
University of Michigan 2004 — 2008
BA, Economics & Political Science
Malmquist, David's Securities & Exchange Commission Experience September 1982 - May 1991
Job Financial Economist at Office of the Comptroller of the Currency
Industry Government Administration
Experience
Office of the Comptroller of the Currency August 2011 - Present
Office of Thrift Supervision May 1991 - July 2011
University of Maryland - RH Smith School of Business January 1992 - December 2009
Securities & Exchange Commission September 1982 - May 1991
Skills
Economics, Econometrics, Financial Modeling, SAS, Statistics, Credit Risk, Data Analysis, Loans, Quantitative Analytics, Risk Management, Finance, Policy, Valuation, Capital Markets, Market Risk, Financial Markets, Financial Risk, Macroeconomics
Education
The Graduate Center, City University of New York
PhD, Economics
Office of the Comptroller of the Currency August 2011 - Present
Office of Thrift Supervision May 1991 - July 2011
University of Maryland - RH Smith School of Business January 1992 - December 2009
Securities & Exchange Commission September 1982 - May 1991
Skills
Economics, Econometrics, Financial Modeling, SAS, Statistics, Credit Risk, Data Analysis, Loans, Quantitative Analytics, Risk Management, Finance, Policy, Valuation, Capital Markets, Market Risk, Financial Markets, Financial Risk, Macroeconomics
Education
The Graduate Center, City University of New York
PhD, Economics
Avon Hart-Johnson, PhD's Securities & Exchange Commission Experience 2013 - March 2014
Job President at DC Project Connect
Industry Information Technology and Services
Experience
DC Project Connect December 2014 - Present
NTT DATA July 2011 - Present
University of Maryland University College January 2011 - Present
Securities & Exchange Commission 2013 - March 2014
Skills
Program Management, Higher Education, Leadership Development, Organizational..., Instructional Design, E-Learning, Project Management, Change Management, Process Improvement, Business Process..., Project Planning, Management Consulting
Education
The George Washington University - School of Business 1999 — 2001
Master's degree, Management Information Systems, General
Walden University 2011 — 2014
Doctor of Philosophy (PhD), Human Services, Counseling, 4.0
Walden University 2009 — 2011
Master of Science,, Forensic Psychology, 4.0
DC Project Connect December 2014 - Present
NTT DATA July 2011 - Present
University of Maryland University College January 2011 - Present
Securities & Exchange Commission 2013 - March 2014
Skills
Program Management, Higher Education, Leadership Development, Organizational..., Instructional Design, E-Learning, Project Management, Change Management, Process Improvement, Business Process..., Project Planning, Management Consulting
Education
The George Washington University - School of Business 1999 — 2001
Master's degree, Management Information Systems, General
Walden University 2011 — 2014
Doctor of Philosophy (PhD), Human Services, Counseling, 4.0
Walden University 2009 — 2011
Master of Science,, Forensic Psychology, 4.0
David Bayless's Securities & Exchange Commission Experience August 1994 - August 1999
Job Partner at Covington & Burling
Industry Law Practice
Experience
Covington & Burling March 2007 - Present
Morrison & Foerster 1999 - 2007
Securities & Exchange Commission August 1994 - August 1999
Skills
Securities Enforcement, Securities Litigation, SEC Investigations, Internal Investigations, White Collar Criminal..., Whistleblower Cases, SEC Appeals, Municipal Securities, Expert Witness, Derivative Litigation, Securities Regulation, SEC, Securities, Competition Law, FCPA, Corporate Governance, FINRA, Arbitration, Trials, Fraud, Commercial Litigation, Appeals, Trade Secrets
Education
University of Chicago Law School
JD with Honors
Oberlin College
BA with High Honors
Cambridge University
PhD
Covington & Burling March 2007 - Present
Morrison & Foerster 1999 - 2007
Securities & Exchange Commission August 1994 - August 1999
Skills
Securities Enforcement, Securities Litigation, SEC Investigations, Internal Investigations, White Collar Criminal..., Whistleblower Cases, SEC Appeals, Municipal Securities, Expert Witness, Derivative Litigation, Securities Regulation, SEC, Securities, Competition Law, FCPA, Corporate Governance, FINRA, Arbitration, Trials, Fraud, Commercial Litigation, Appeals, Trade Secrets
Education
University of Chicago Law School
JD with Honors
Oberlin College
BA with High Honors
Cambridge University
PhD
Paul Montoya's Securities & Exchange Commission Experience 1997 - 2007
Job Assistant Director at US Securities and Exchange Commission
Industry Law Enforcement
Experience
US Securities and Exchange Commission March 1997 - Present
Securities & Exchange Commission 1997 - 2007
Education
Loyola University Chicago School of Law 1991 — 1994
JD, Law
Texas Christian University - M.J. Neeley School of Business 1984 — 1988
BBA, Accounting
US Securities and Exchange Commission March 1997 - Present
Securities & Exchange Commission 1997 - 2007
Education
Loyola University Chicago School of Law 1991 — 1994
JD, Law
Texas Christian University - M.J. Neeley School of Business 1984 — 1988
BBA, Accounting
Sonia Gupta Barros's Securities & Exchange Commission Experience March 2013 - June 2014
Job Assistant Director at U.S. Securities and Exchange Commission
Industry Law Practice
Experience
U.S. Securities & Exchange Commission June 2014 - Present
Securities & Exchange Commission March 2013 - June 2014
Securities & Exchange Commission November 2008 - March 2013
Securities & Exchange Commission December 2006 - November 2008
Securities & Exchange Commission January 2004 - December 2006
Hogan & Hartson October 2000 - January 2004
Altheimer & Gray September 1997 - September 2000
Deloitte August 1992 - August 1994
Skills
Securities Offerings, Securities Regulation, Corporate Governance, Corporate Law, Securities, Private Placements, SEC, Private Equity, Venture Capital, IPO, Public Companies, SEC filings
Education
University of Chicago Law School 1994 — 1997
JD
Wright State University 1988 — 1992
Bachelor of Science (B.S.), Accounting and Finance
U.S. Securities & Exchange Commission June 2014 - Present
Securities & Exchange Commission March 2013 - June 2014
Securities & Exchange Commission November 2008 - March 2013
Securities & Exchange Commission December 2006 - November 2008
Securities & Exchange Commission January 2004 - December 2006
Hogan & Hartson October 2000 - January 2004
Altheimer & Gray September 1997 - September 2000
Deloitte August 1992 - August 1994
Skills
Securities Offerings, Securities Regulation, Corporate Governance, Corporate Law, Securities, Private Placements, SEC, Private Equity, Venture Capital, IPO, Public Companies, SEC filings
Education
University of Chicago Law School 1994 — 1997
JD
Wright State University 1988 — 1992
Bachelor of Science (B.S.), Accounting and Finance
Paul Bazil's Securities & Exchange Commission Experience 1990 - 1994
Job partner at Pickard and Djinis LLP
Industry Law Practice
Experience
Pickard and Djinis LLP 1994 - Present
Securities & Exchange Commission 1990 - 1994
Rogers & Wells 1988 - 1990
Skills
Litigation, Civil Litigation, Commercial Litigation, Arbitration, Corporate Governance, Legal Research, Legal Writing, Courts, Corporate Law, Trials, Appeals, Securities Regulation, Securities Litigation, FINRA
Education
Boston University School of Law 1985 — 1988
Juris Doctor, Law
Dartmouth College 1981 — 1985
BA, HIstory
Pickard and Djinis LLP 1994 - Present
Securities & Exchange Commission 1990 - 1994
Rogers & Wells 1988 - 1990
Skills
Litigation, Civil Litigation, Commercial Litigation, Arbitration, Corporate Governance, Legal Research, Legal Writing, Courts, Corporate Law, Trials, Appeals, Securities Regulation, Securities Litigation, FINRA
Education
Boston University School of Law 1985 — 1988
Juris Doctor, Law
Dartmouth College 1981 — 1985
BA, HIstory
Leilani Hall's Securities & Exchange Commission Experience October 2003 - September 2005
Job Head, Professional Conduct at CFA Institute
Industry Investment Management
Experience
CFA Institute April 2014 - Present
FINRA December 2007 - April 2014
AARP Financial September 2005 - December 2007
Securities & Exchange Commission October 2003 - September 2005
Pendragon Asia Advisory January 2002 - October 2003
The Pioneer Group, Inc March 1995 - January 2002
The Enterprise Group, Inc May 1990 - March 1995
Evaluation Associates June 1989 - May 1990
Financial Service Corporation December 1985 - June 1989
Deloitte June 1982 - December 1985
Education
Harvard University 2000 — 2000
Executive Program, Financial
The Tuck School of Business at Dartmouth 1993 — 1993
Summer Program, Strategic Managment
Georgia State University 1979 — 1982
BS, Accounting
CFA Institute April 2014 - Present
FINRA December 2007 - April 2014
AARP Financial September 2005 - December 2007
Securities & Exchange Commission October 2003 - September 2005
Pendragon Asia Advisory January 2002 - October 2003
The Pioneer Group, Inc March 1995 - January 2002
The Enterprise Group, Inc May 1990 - March 1995
Evaluation Associates June 1989 - May 1990
Financial Service Corporation December 1985 - June 1989
Deloitte June 1982 - December 1985
Education
Harvard University 2000 — 2000
Executive Program, Financial
The Tuck School of Business at Dartmouth 1993 — 1993
Summer Program, Strategic Managment
Georgia State University 1979 — 1982
BS, Accounting
Kerby Baden's Securities & Exchange Commission Experience 1998 - 1999
Job Senior Tax Accountant at CRD
Industry Accounting
Experience
Canto, Rausch, Deck & Co., PC August 2014 - Present
Invotex Group November 2002 - January 2014
Allfirst Bank 2000 - 2002
Securities & Exchange Commission 1998 - 1999
Delaware Savings Bank 1993 - 1998
Skills
Financial Reporting, Finance, Analysis, Accounting, Restructuring, Forensic Accounting, Financial Analysis, CPA, Internal Controls, Corporate Finance, Due Diligence, Financial Modeling, Business Strategy, Litigation Support, Tax Preparation, Tax Returns, Tax Accounting, Tax Advisory
Education
University of Baltimore School of Law 2002 — 2006
Doctor of Law (JD)
University of Maryland College Park 1980 — 1984
Bachelor of Arts (B.A.), Communication
Canto, Rausch, Deck & Co., PC August 2014 - Present
Invotex Group November 2002 - January 2014
Allfirst Bank 2000 - 2002
Securities & Exchange Commission 1998 - 1999
Delaware Savings Bank 1993 - 1998
Skills
Financial Reporting, Finance, Analysis, Accounting, Restructuring, Forensic Accounting, Financial Analysis, CPA, Internal Controls, Corporate Finance, Due Diligence, Financial Modeling, Business Strategy, Litigation Support, Tax Preparation, Tax Returns, Tax Accounting, Tax Advisory
Education
University of Baltimore School of Law 2002 — 2006
Doctor of Law (JD)
University of Maryland College Park 1980 — 1984
Bachelor of Arts (B.A.), Communication
Julie Basile's Securities & Exchange Commission Experience March 2010 - May 2012
Job Consultant, Strategist, Arbitrator
Industry Government Administration
Experience
Peridot Solutions, LLC. August 2012 - Present
Securities & Exchange Commission March 2010 - May 2012
J. Basile LLC 2012 - 2012
Office of Management and Budget October 1998 - April 2010
Department of Navy June 1984 - October 1998
Skills
Policy Analysis, Program Management, Federal Government, Strategic Planning, Risk Management, Process Improvement, Contract Management, Change Management, Project Planning, Business Process..., Arbitration, Mediation, Online Dispute..., Requirements Gathering, Contract Negotiation, State Government, Public Speaking, Facilitations, Data Modeling, Policy, Government, Facilitators, Procurement, Government Contracting, Facilitation, Business Process, Government Procurement, Proposal Writing
Education
Walden University
Master's degree, Public Administration
University of Maryland College Park 1979 — 1981
B.A., Political Science
Roanoke College 1977 — 1979
Peridot Solutions, LLC. August 2012 - Present
Securities & Exchange Commission March 2010 - May 2012
J. Basile LLC 2012 - 2012
Office of Management and Budget October 1998 - April 2010
Department of Navy June 1984 - October 1998
Skills
Policy Analysis, Program Management, Federal Government, Strategic Planning, Risk Management, Process Improvement, Contract Management, Change Management, Project Planning, Business Process..., Arbitration, Mediation, Online Dispute..., Requirements Gathering, Contract Negotiation, State Government, Public Speaking, Facilitations, Data Modeling, Policy, Government, Facilitators, Procurement, Government Contracting, Facilitation, Business Process, Government Procurement, Proposal Writing
Education
Walden University
Master's degree, Public Administration
University of Maryland College Park 1979 — 1981
B.A., Political Science
Roanoke College 1977 — 1979
Kevin Clegg's Securities & Exchange Commission Experience March 1994 - January 1997
Job President at Americhip
Industry Marketing and Advertising
Experience
Americhip March 1997 - Present
Securities & Exchange Commission March 1994 - January 1997
Skills
Marketing, Advertising, Leadership, Marketing Strategy, Digital Marketing, Strategic Planning, Integrated Marketing, Strategic Partnerships, Digital Media, Creative Direction, New Business Development
Education
Case Western Reserve University School of Law
J.D, Law
University of Notre Dame
B.A, American Studies
Americhip March 1997 - Present
Securities & Exchange Commission March 1994 - January 1997
Skills
Marketing, Advertising, Leadership, Marketing Strategy, Digital Marketing, Strategic Planning, Integrated Marketing, Strategic Partnerships, Digital Media, Creative Direction, New Business Development
Education
Case Western Reserve University School of Law
J.D, Law
University of Notre Dame
B.A, American Studies
Gutman Skrande's Securities & Exchange Commission Experience September 2010 - December 2010
Job Student at The George Washington University Law School
Industry Law Practice
Experience
Securities & Exchange Commission September 2010 - December 2010
Goldstein & Associates April 2010 - August 2010
Public Justice Advocacy Clinic May 2009 - August 2009
Stitch Corp August 2007 - December 2007
Gibraltar Bank June 2005 - August 2005
Education
The George Washington University Law School 2008 — 2011
Juris Doctor
Washington University in St. Louis - Olin Business School 2003 — 2007
Bachelor of Science, Business Administration; Finance, Marketing, and International Business
Securities & Exchange Commission September 2010 - December 2010
Goldstein & Associates April 2010 - August 2010
Public Justice Advocacy Clinic May 2009 - August 2009
Stitch Corp August 2007 - December 2007
Gibraltar Bank June 2005 - August 2005
Education
The George Washington University Law School 2008 — 2011
Juris Doctor
Washington University in St. Louis - Olin Business School 2003 — 2007
Bachelor of Science, Business Administration; Finance, Marketing, and International Business
Alexander Dill's Securities & Exchange Commission Experience June 1990 - June 1996
Job Educator and Researcher, Financial Institution Regulation and Compliance
Industry Education Management
Experience
University of Chicago, Financial Mathematics Program; IIT Chicago-Kent College of Law January 2015 - Present
Moody's Investors Service October 2006 - April 2015
Moody's Investors Service 2003 - 2006
Moody's Investors Service 1996 - 2003
Securities & Exchange Commission June 1990 - June 1996
Skills
Fixed Income, Derivatives, Structured Finance, Capital Markets, Bloomberg, Corporate Finance, Bonds, Securities, Credit Analysis
Education
Emory University School of Law 1982 — 1985
J.D.
Columbia University in the City of New York 1976 — 1979
Master’s Degree, 19th century Russian intellectual and social history
Harvard College 1971 — 1975
A.B., magna cum laude, Russian imperial history
University of Chicago, Financial Mathematics Program; IIT Chicago-Kent College of Law January 2015 - Present
Moody's Investors Service October 2006 - April 2015
Moody's Investors Service 2003 - 2006
Moody's Investors Service 1996 - 2003
Securities & Exchange Commission June 1990 - June 1996
Skills
Fixed Income, Derivatives, Structured Finance, Capital Markets, Bloomberg, Corporate Finance, Bonds, Securities, Credit Analysis
Education
Emory University School of Law 1982 — 1985
J.D.
Columbia University in the City of New York 1976 — 1979
Master’s Degree, 19th century Russian intellectual and social history
Harvard College 1971 — 1975
A.B., magna cum laude, Russian imperial history
Julie Brimmer's Securities & Exchange Commission Experience 1978 - Present
Job Financial Analyst at Securities & Exchange Commission
Industry Government Relations
Experience
Securities & Exchange Commission 1978 - Present
Education
Rutgers, The State University of New Jersey - Rutgers Business School 1974 — 1975
Master of Business Administration (MBA), Accounting
University of California, Berkeley
Bachelor of Arts (BA)
Securities & Exchange Commission 1978 - Present
Education
Rutgers, The State University of New Jersey - Rutgers Business School 1974 — 1975
Master of Business Administration (MBA), Accounting
University of California, Berkeley
Bachelor of Arts (BA)
John Sturc's Securities & Exchange Commission Experience 1982 - 1990
Job Partner at Gibson, Dunn & Crutcher LLP
Industry Law Practice
Experience
Gibson, Dunn & Crutcher LLP May 1990 - Present
Securities & Exchange Commission 1982 - 1990
Education
Harvard Law School 1972 — 1975
J.D., law
Gibson, Dunn & Crutcher LLP May 1990 - Present
Securities & Exchange Commission 1982 - 1990
Education
Harvard Law School 1972 — 1975
J.D., law
Kevin Rupert's Securities & Exchange Commission Experience September 1992 - August 2013
Job
Industry Investment Management
Experience
Kevin Rupert, CPA, Esq. August 2013 - Present
Securities & Exchange Commission September 1992 - August 2013
Defense Contract Audit Agency January 1990 - September 1992
Skills
Admitted Maryland Bar..., Certified Public..., Auditing, GAAP, Financial Accounting, Financial Analysis, US GAAP, Financial Statements, Corporate Finance, Internal Audit, Securities
Education
University of Baltimore School of Law
Juris Doctor (J.D.)
University of Baltimore
Master of Business Administration (M.B.A.), Business Administration and Management
University of Baltimore
Certificate in Accounting
University of Baltimore
Bachelor's Degree, Political Science
Kevin Rupert, CPA, Esq. August 2013 - Present
Securities & Exchange Commission September 1992 - August 2013
Defense Contract Audit Agency January 1990 - September 1992
Skills
Admitted Maryland Bar..., Certified Public..., Auditing, GAAP, Financial Accounting, Financial Analysis, US GAAP, Financial Statements, Corporate Finance, Internal Audit, Securities
Education
University of Baltimore School of Law
Juris Doctor (J.D.)
University of Baltimore
Master of Business Administration (M.B.A.), Business Administration and Management
University of Baltimore
Certificate in Accounting
University of Baltimore
Bachelor's Degree, Political Science
James A Chan's Securities & Exchange Commission Experience 2000 - Present
Job Deputy Assistant Director Market Oversight at Securities & Exchange Commission
Industry Law Enforcement
Experience
Securities & Exchange Commission 2000 - Present
US Securities and Exchange Commission 2000 - Present
Education
Amercan Unuversity College of Law
Doctor of Law (J.D.)
Boston University
Securities & Exchange Commission 2000 - Present
US Securities and Exchange Commission 2000 - Present
Education
Amercan Unuversity College of Law
Doctor of Law (J.D.)
Boston University
Shelly Schwartlander's Securities & Exchange Commission Experience September 1986 - September 1988
Job Legal Assistant seeking projects, jobs in firms handling disability, or bankruptcy, tax and securities
Industry Government Administration
Experience
legal assistant--Social Security benefits--disability/all entitlements-claims, hearings & appeals May 2011 - June 2011
Retired--Social Security benefits--disability/all entitlements-claims, hearings & appeals January 2001 - May 2011
Self Employed, legal assistant, looking for work and projects January 2000 - May 2011
Social Security Administration January 2000 - May 2011
recent retiree from federal government. seeking legal assistant work September 1986 - May 2011
Internal Revenue Service November 1994 - November 1995
Lindley, Lazar & Scales September 1990 - July 1993
Securities & Exchange Commission September 1986 - September 1988
U.S. Navy July 1983 - September 1985
Skills
written correspondence, finding procedural law, summarizing evidence, Legal Writing, Courts, Written Correspondence, Bankruptcy, Family Law, Pleadings, Legal Assistance
Education
San Diego City College 1997 — 2000
Associate of Science, Legal Assisting/Paralegal, Legal Assisting
City College of San Francisco 1985 — 1988
Legal Assisting, business writing and office management
legal assistant--Social Security benefits--disability/all entitlements-claims, hearings & appeals May 2011 - June 2011
Retired--Social Security benefits--disability/all entitlements-claims, hearings & appeals January 2001 - May 2011
Self Employed, legal assistant, looking for work and projects January 2000 - May 2011
Social Security Administration January 2000 - May 2011
recent retiree from federal government. seeking legal assistant work September 1986 - May 2011
Internal Revenue Service November 1994 - November 1995
Lindley, Lazar & Scales September 1990 - July 1993
Securities & Exchange Commission September 1986 - September 1988
U.S. Navy July 1983 - September 1985
Skills
written correspondence, finding procedural law, summarizing evidence, Legal Writing, Courts, Written Correspondence, Bankruptcy, Family Law, Pleadings, Legal Assistance
Education
San Diego City College 1997 — 2000
Associate of Science, Legal Assisting/Paralegal, Legal Assisting
City College of San Francisco 1985 — 1988
Legal Assisting, business writing and office management
Aviva Grossman's Securities & Exchange Commission Experience 1981 - 1984
Job Financial Services Attorney at Kramer Levin Naftalis & Frankel LLP
Industry Law Practice
Experience
Kramer Levin Naftalis & Frankel LLP 1994 - Present
Securities & Exchange Commission 1981 - 1984
Skills
Investment Company Act..., Investment Company Act, Investment Advisers Act, Mutual Funds, Separately Managed..., Investment Management, SEC filings, Securities Regulation, Investment Advisory..., Registered Investment..., Investment Advisory, Investment Companies, Investment Advisor..., Investment Compliance, Institutional..., Investment Strategies, Fund Of Funds, Hedge Funds
Education
Benjamin N. Cardozo School of Law, Yeshiva University
Doctor of Law (J.D.)
Yeshiva University
Bachelor of Arts (B.A.), cum laude
Kramer Levin Naftalis & Frankel LLP 1994 - Present
Securities & Exchange Commission 1981 - 1984
Skills
Investment Company Act..., Investment Company Act, Investment Advisers Act, Mutual Funds, Separately Managed..., Investment Management, SEC filings, Securities Regulation, Investment Advisory..., Registered Investment..., Investment Advisory, Investment Companies, Investment Advisor..., Investment Compliance, Institutional..., Investment Strategies, Fund Of Funds, Hedge Funds
Education
Benjamin N. Cardozo School of Law, Yeshiva University
Doctor of Law (J.D.)
Yeshiva University
Bachelor of Arts (B.A.), cum laude
Laura Glazier's Securities & Exchange Commission Experience
Job Senior Counsel at Securities & Exchange Commission
Industry Financial Services
Experience
Securities & Exchange Commission
Education
The George Washington University Law School
Doctor of Law (J.D.)
Securities & Exchange Commission
Education
The George Washington University Law School
Doctor of Law (J.D.)
john pasco's Securities & Exchange Commission Experience 1975 - 1983
Job President at Commonwealth Companies
Industry Financial Services
Experience
Commonwealth Companies 1985 - Present
Securities & Exchange Commission 1975 - 1983
General Medical Corporation 1973 - 1974
J. C . Wheat & Copany 1971 - 1973
US Army 1967 - 1969
Skills
Real Estate, Strategic Planning, Public Speaking, Microsoft Office, Retirement Planning, Retirement, Fixed Annuities, Estate Planning, Wealth Management, Mortgage Lending, Disability Insurance, 401k, Alternative Investments, Strategic Financial..., Mortgage Banking, Refinance
Education
Georgia State University 1970 — 1971
Master of Business Administration (MBA) 1971 and MBA Insurance 1972, Finance, General and Insurance
VMI 1963 — 1967
Bachelor of Arts (BA), History
Commonwealth Companies 1985 - Present
Securities & Exchange Commission 1975 - 1983
General Medical Corporation 1973 - 1974
J. C . Wheat & Copany 1971 - 1973
US Army 1967 - 1969
Skills
Real Estate, Strategic Planning, Public Speaking, Microsoft Office, Retirement Planning, Retirement, Fixed Annuities, Estate Planning, Wealth Management, Mortgage Lending, Disability Insurance, 401k, Alternative Investments, Strategic Financial..., Mortgage Banking, Refinance
Education
Georgia State University 1970 — 1971
Master of Business Administration (MBA) 1971 and MBA Insurance 1972, Finance, General and Insurance
VMI 1963 — 1967
Bachelor of Arts (BA), History
Larry B Grimes's Securities & Exchange Commission Experience 1967 - 1975
Job President & CEO at Iris Unmanned LLC
Industry Aviation & Aerospace
Experience
Iris Unmanned LLC 2011 - Present
The National Coal Council 1984 - January 2014
McGuireWoods LLP 1984 - 1997
Westinghouse Electric Corporation 1975 - 1982
Securities & Exchange Commission 1967 - 1975
Skills
Investigation, Litigation, Management, Trials, Securities, Energy, Contract Negotiation, Enforcement, Mergers & Acquisitions, Competition Law, Joint Ventures, Licensing, Corporate Governance, Public Speaking, Leadership, Strategic Planning, Corporate Law, Management Consulting, Business Strategy, Project Management, Unmanned Vehicles, Government, Program Management, Strategy, Start-ups
Education
University of Idaho College of Law 1965 — 1967
Juris Doctor, Banking, Corporate, Finance, and Securities Law
University of Idaho 1958 — 1965
Bachelor of Arts (B.A.), Economics
Iris Unmanned LLC 2011 - Present
The National Coal Council 1984 - January 2014
McGuireWoods LLP 1984 - 1997
Westinghouse Electric Corporation 1975 - 1982
Securities & Exchange Commission 1967 - 1975
Skills
Investigation, Litigation, Management, Trials, Securities, Energy, Contract Negotiation, Enforcement, Mergers & Acquisitions, Competition Law, Joint Ventures, Licensing, Corporate Governance, Public Speaking, Leadership, Strategic Planning, Corporate Law, Management Consulting, Business Strategy, Project Management, Unmanned Vehicles, Government, Program Management, Strategy, Start-ups
Education
University of Idaho College of Law 1965 — 1967
Juris Doctor, Banking, Corporate, Finance, and Securities Law
University of Idaho 1958 — 1965
Bachelor of Arts (B.A.), Economics
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
US Securities and Exchange Commission
USAID
US Fish and Wildlife Service
TSA