The Regulatory Fundamentals Group LLC
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The Regulatory Fundamentals Group LLC Employees
Employee
Years
Job
Industry
Elizabeth Bravo Elizabeth Bravo's The Regulatory Fundamentals Group LLC Experience May 2011 - August 2011
Job Assistant Corporate Counsel at NYK Line (North America) Inc.
Industry Law Practice
Experience
NYK Line (North America) Inc. January 2015 - Present
Simpson Thacher & Bartlett LLP January 2014 - January 2015
Kings County District Attorneys Office September 2013 - December 2013
Brooklyn Law Incubator and Policy Clinic (BLIP) January 2013 - May 2013
NYC Mayor's Office of Special Enforcement August 2012 - November 2012
New York County Civil Court - Honorable Nancy M. Bannon May 2012 - August 2012
Atlantic Records January 2012 - April 2012
The Nielsen Company September 2011 - December 2011
The Regulatory Fundamentals Group LLC May 2011 - August 2011
The Legal Aid Society February 2010 - May 2010
Skills
Appeals, Legal Research, Legal Writing, Licensing, Spanish, Legal Issues, Privacy Law, Copyright Law, Legal Documents, Corporate Law, Civil Litigation, Intellectual Property, Research, Data Privacy, Legal Compliance, Editing, Document Drafting, Criminal Law
Education
Brooklyn Law School 2010 — 2013
Juris Doctor, Law
Montclair State University 2007 — 2010
Bachelor, Justice Studies
NYK Line (North America) Inc. January 2015 - Present
Simpson Thacher & Bartlett LLP January 2014 - January 2015
Kings County District Attorneys Office September 2013 - December 2013
Brooklyn Law Incubator and Policy Clinic (BLIP) January 2013 - May 2013
NYC Mayor's Office of Special Enforcement August 2012 - November 2012
New York County Civil Court - Honorable Nancy M. Bannon May 2012 - August 2012
Atlantic Records January 2012 - April 2012
The Nielsen Company September 2011 - December 2011
The Regulatory Fundamentals Group LLC May 2011 - August 2011
The Legal Aid Society February 2010 - May 2010
Skills
Appeals, Legal Research, Legal Writing, Licensing, Spanish, Legal Issues, Privacy Law, Copyright Law, Legal Documents, Corporate Law, Civil Litigation, Intellectual Property, Research, Data Privacy, Legal Compliance, Editing, Document Drafting, Criminal Law
Education
Brooklyn Law School 2010 — 2013
Juris Doctor, Law
Montclair State University 2007 — 2010
Bachelor, Justice Studies
Gary French Gary French's The Regulatory Fundamentals Group LLC Experience January 2011 - Present
Job Mutual Fund Consultant and Trustee
Industry Financial Services
Experience
JPMorgan Exchange-Traded Fund Trust March 2014 - Present
The China Fund, Inc. September 2013 - Present
The Regulatory Fundamentals Group LLC January 2011 - Present
State Street Bank November 2002 - December 2010
Skills
Mutual Funds, Operations Management, Financial Reporting, Securities, Risk Management, Asset Management, Investments, Investment Management, Fund Accounting, Fund Administration, Leadership, CRM, Trading, Investment Advisory, Management, ETFs, Executive Management, Business Intelligence, Hedge Funds, Corporate Actions, Human Resources, Integration, Derivatives, Capital Markets, Asset Managment
Education
University of Florida 1970 — 1973
Bachelor of Science (B.S.), Business Administration
University of Florida
Bachelor of Science (B.S.), Business Administration
JPMorgan Exchange-Traded Fund Trust March 2014 - Present
The China Fund, Inc. September 2013 - Present
The Regulatory Fundamentals Group LLC January 2011 - Present
State Street Bank November 2002 - December 2010
Skills
Mutual Funds, Operations Management, Financial Reporting, Securities, Risk Management, Asset Management, Investments, Investment Management, Fund Accounting, Fund Administration, Leadership, CRM, Trading, Investment Advisory, Management, ETFs, Executive Management, Business Intelligence, Hedge Funds, Corporate Actions, Human Resources, Integration, Derivatives, Capital Markets, Asset Managment
Education
University of Florida 1970 — 1973
Bachelor of Science (B.S.), Business Administration
University of Florida
Bachelor of Science (B.S.), Business Administration
Charles Feuer Charles Feuer's The Regulatory Fundamentals Group LLC Experience January 2012 - March 2012
Job Banking and Financial Services Regulatory Attorney; Management Consultant
Industry Financial Services
Experience
TechPar Group June 2012 - Present
PwC October 2013 - April 2014
PwC June 2013 - August 2013
PwC June 2012 - December 2012
National Paralegal College April 2012 - August 2012
First City LLC January 2009 - May 2012
The Regulatory Fundamentals Group LLC January 2012 - March 2012
Greystone MultiUnit LLC March 2007 - December 2008
Hemisphere National Bank 2004 - 2007
AmTrust Financial Services, Inc. (AFSI) 2003 - 2004
Skills
Banking, Regulations, Regulatory Requirements, Financial Regulation, Regulatory Analysis, Regulatory Submissions, Compliance, Legal, Legal Writing, Dodd-Frank, AML, KYC, BSA, FATCA, FCPA, Form ADV, SEC Financial Reporting, Management Consulting, Strategic Consulting, SME Banking, Subject Matter Experts, Capital Markets, OCC, CFPB, CFTC, FINRA, SEC, Hedge Funds, Alternative Assets, Private Equity, Federal & State..., Operations Management, Marketing, Advertising Collateral, Financial Services, Mortgage Lending, Risk Management, Corporate Governance, Retail Banking, Securitization, Financial Risk, Strategy, Loans, Commercial Banking, Financial Crimes..., Anti Money Laundering, Bank Secrecy Act, Mortgage Banking
Education
Fordham Law School 1998 — 2001
J.D.
Touro College 1994 — 1997
B.A.
TechPar Group June 2012 - Present
PwC October 2013 - April 2014
PwC June 2013 - August 2013
PwC June 2012 - December 2012
National Paralegal College April 2012 - August 2012
First City LLC January 2009 - May 2012
The Regulatory Fundamentals Group LLC January 2012 - March 2012
Greystone MultiUnit LLC March 2007 - December 2008
Hemisphere National Bank 2004 - 2007
AmTrust Financial Services, Inc. (AFSI) 2003 - 2004
Skills
Banking, Regulations, Regulatory Requirements, Financial Regulation, Regulatory Analysis, Regulatory Submissions, Compliance, Legal, Legal Writing, Dodd-Frank, AML, KYC, BSA, FATCA, FCPA, Form ADV, SEC Financial Reporting, Management Consulting, Strategic Consulting, SME Banking, Subject Matter Experts, Capital Markets, OCC, CFPB, CFTC, FINRA, SEC, Hedge Funds, Alternative Assets, Private Equity, Federal & State..., Operations Management, Marketing, Advertising Collateral, Financial Services, Mortgage Lending, Risk Management, Corporate Governance, Retail Banking, Securitization, Financial Risk, Strategy, Loans, Commercial Banking, Financial Crimes..., Anti Money Laundering, Bank Secrecy Act, Mortgage Banking
Education
Fordham Law School 1998 — 2001
J.D.
Touro College 1994 — 1997
B.A.
Irene Tan Irene Tan's The Regulatory Fundamentals Group LLC Experience September 2011 - December 2012
Job Associate Counsel at AIG
Industry Law Practice
Experience
AIG Property Casualty September 2014 - Present
AIG Property Casualty January 2014 - August 2014
AIG Property Casualty January 2013 - December 2013
The Regulatory Fundamentals Group LLC September 2011 - December 2012
Kings County Supreme Court August 2011 - September 2011
New York City Law Department January 2011 - April 2011
Brooklyn Law School May 2010 - April 2011
Financial Industry Regulatory Authority May 2010 - August 2010
Office of the Attorney General of the State of New York March 2010 - May 2010
NYSE August 2009 - December 2009
Skills
Securities Regulation, Financial Regulation, Securities, Corporate Governance, Corporate Finance, Investment Advisers Act, Legal Compliance, Legal Research, Dodd-Frank, Hedge Funds, CFTC, CFTC Regulation, Insurance Law, Global Regulatory..., Mediation, Compliance, Westlaw, Legal Writing, Commodity Exchange Act, Securities Exchange Act..., Insurance, Risk Management, Risk Assessment, OFAC, Economic Sanctions, Anti-corruption, AML, Anti-bribery, FCPA, Employment Practices..., D&O, E&O, Anti Money Laundering
Education
Brooklyn Law School 2008 — 2011
Juris Doctor, Business Law Certificate
Cornell University 2004 — 2006
Bachelor of Science, Policy Analysis and Management
Binghamton University 2002 — 2004
English Language and Literature, General
Bronx High School of Science 1998 — 2002
High School Diploma
AIG Property Casualty September 2014 - Present
AIG Property Casualty January 2014 - August 2014
AIG Property Casualty January 2013 - December 2013
The Regulatory Fundamentals Group LLC September 2011 - December 2012
Kings County Supreme Court August 2011 - September 2011
New York City Law Department January 2011 - April 2011
Brooklyn Law School May 2010 - April 2011
Financial Industry Regulatory Authority May 2010 - August 2010
Office of the Attorney General of the State of New York March 2010 - May 2010
NYSE August 2009 - December 2009
Skills
Securities Regulation, Financial Regulation, Securities, Corporate Governance, Corporate Finance, Investment Advisers Act, Legal Compliance, Legal Research, Dodd-Frank, Hedge Funds, CFTC, CFTC Regulation, Insurance Law, Global Regulatory..., Mediation, Compliance, Westlaw, Legal Writing, Commodity Exchange Act, Securities Exchange Act..., Insurance, Risk Management, Risk Assessment, OFAC, Economic Sanctions, Anti-corruption, AML, Anti-bribery, FCPA, Employment Practices..., D&O, E&O, Anti Money Laundering
Education
Brooklyn Law School 2008 — 2011
Juris Doctor, Business Law Certificate
Cornell University 2004 — 2006
Bachelor of Science, Policy Analysis and Management
Binghamton University 2002 — 2004
English Language and Literature, General
Bronx High School of Science 1998 — 2002
High School Diploma
John Ramsay John Ramsay's The Regulatory Fundamentals Group LLC Experience January 2009 - September 2010
Job Chief Market Policy Officer at IEX Group, Inc.
Industry Financial Services
Experience
IEX Group, Inc. July 2014 - Present
U.S. Securities and Exchange Commission December 2012 - March 2014
U.S. Securities and Exchange Commission September 2010 - December 2010
The Regulatory Fundamentals Group LLC January 2009 - September 2010
Citigroup Global Markets, Inc. July 2003 - November 2008
The Bond Market Association May 2001 - July 2003
Morgan, Lewis & Bockius LLP October 1999 - May 2001
Financial Industry Regulatory Authority (FINRA) February 1996 - October 1999
Commodity Futures Trading Commission August 1994 - February 1996
U.S. Securities and Exchange Commission August 1989 - August 1994
Skills
Equities, Trading Systems, Capital Markets, Hedge Funds, Derivatives, Securities, Electronic Trading, Financial Markets, Series 7, Equity Trading, Market Data
Education
University of Michigan Law School 1981 — 1984
Juris Doctor (J.D.)
The University of Texas at Austin 1977 — 1981
Bachelor's Degree, Government and Psychology
IEX Group, Inc. July 2014 - Present
U.S. Securities and Exchange Commission December 2012 - March 2014
U.S. Securities and Exchange Commission September 2010 - December 2010
The Regulatory Fundamentals Group LLC January 2009 - September 2010
Citigroup Global Markets, Inc. July 2003 - November 2008
The Bond Market Association May 2001 - July 2003
Morgan, Lewis & Bockius LLP October 1999 - May 2001
Financial Industry Regulatory Authority (FINRA) February 1996 - October 1999
Commodity Futures Trading Commission August 1994 - February 1996
U.S. Securities and Exchange Commission August 1989 - August 1994
Skills
Equities, Trading Systems, Capital Markets, Hedge Funds, Derivatives, Securities, Electronic Trading, Financial Markets, Series 7, Equity Trading, Market Data
Education
University of Michigan Law School 1981 — 1984
Juris Doctor (J.D.)
The University of Texas at Austin 1977 — 1981
Bachelor's Degree, Government and Psychology
Alyssa Lamontagne Alyssa Lamontagne's The Regulatory Fundamentals Group LLC Experience May 2011 - November 2011
Job Technical Operations Manager at ZocDoc
Industry Internet
Experience
ZocDoc January 2015 - Present
ZocDoc November 2013 - January 2015
ZocDoc July 2013 - November 2013
ZocDoc May 2013 - July 2013
ZocDoc February 2012 - May 2013
MyPRGenie November 2011 - February 2012
The Regulatory Fundamentals Group LLC May 2011 - November 2011
Columbia University September 2008 - May 2011
Columbia University Visitor's Center September 2008 - May 2011
C-Spot Magazine, Inc. September 2009 - May 2010
Skills
Blogging, Editing, Press Releases, Microsoft Excel, Research, Photography, Creative Writing, Copy Editing, SQL, Software Deployment, Team Leadership, Stage Management, Appointment Scheduling, EMRs, Customer Service, Technical Support
Education
Columbia University in the City of New York 2007 — 2011
BA, Creative Writing, Philosophy
ZocDoc January 2015 - Present
ZocDoc November 2013 - January 2015
ZocDoc July 2013 - November 2013
ZocDoc May 2013 - July 2013
ZocDoc February 2012 - May 2013
MyPRGenie November 2011 - February 2012
The Regulatory Fundamentals Group LLC May 2011 - November 2011
Columbia University September 2008 - May 2011
Columbia University Visitor's Center September 2008 - May 2011
C-Spot Magazine, Inc. September 2009 - May 2010
Skills
Blogging, Editing, Press Releases, Microsoft Excel, Research, Photography, Creative Writing, Copy Editing, SQL, Software Deployment, Team Leadership, Stage Management, Appointment Scheduling, EMRs, Customer Service, Technical Support
Education
Columbia University in the City of New York 2007 — 2011
BA, Creative Writing, Philosophy
Brian Cingel Brian Cingel's The Regulatory Fundamentals Group LLC Experience 2012 - 2012
Job Director, Fund Tax Services LLC
Industry Financial Services
Experience
Fund Tax Services LLC August 2015 - Present
SS&C GlobeOp January 2013 - July 2015
The Regulatory Fundamentals Group LLC 2012 - 2012
CITCO Bank/CITCO Securities Inc. 2009 - 2011
Brown Brothers Harriman & Co. 2004 - 2009
RR Donnelley 2001 - 2004
Irish Intercontinental Bank 2000 - 2001
St. Edwards High School 1999 - 2000
National City Bank 1999 - 1999
MML Investors 1998 - 1999
Skills
Business Development, Asset Managment, Derivatives, Mutual Funds, Hedge Funds, Investments, Financial Services, Asset Management, Wealth Management, Securities, Equities, Alternative Investments, Fixed Income, Capital Markets, Investment Management, Portfolio Management
Education
John Carroll University 1990 — 1993
Bachelor of Arts (B.A.), Communications
Villanova University 1988 — 1990
Benedictine Bengals 1984 — 1988
Gesu Bulldogs
Fund Tax Services LLC August 2015 - Present
SS&C GlobeOp January 2013 - July 2015
The Regulatory Fundamentals Group LLC 2012 - 2012
CITCO Bank/CITCO Securities Inc. 2009 - 2011
Brown Brothers Harriman & Co. 2004 - 2009
RR Donnelley 2001 - 2004
Irish Intercontinental Bank 2000 - 2001
St. Edwards High School 1999 - 2000
National City Bank 1999 - 1999
MML Investors 1998 - 1999
Skills
Business Development, Asset Managment, Derivatives, Mutual Funds, Hedge Funds, Investments, Financial Services, Asset Management, Wealth Management, Securities, Equities, Alternative Investments, Fixed Income, Capital Markets, Investment Management, Portfolio Management
Education
John Carroll University 1990 — 1993
Bachelor of Arts (B.A.), Communications
Villanova University 1988 — 1990
Benedictine Bengals 1984 — 1988
Gesu Bulldogs
Stacey Tyler Stacey Tyler's The Regulatory Fundamentals Group LLC Experience April 2011 - August 2011
Job Associate in Real Estate Finance and Investment at Alston & Bird LLP
Industry Legal Services
Experience
Alston & Bird LLP September 2013 - Present
Safe Harbor Asylum Clinic January 2013 - June 2013
Alston & Bird LLP May 2012 - July 2012
VF Corporation January 2012 - April 2012
Supreme Court, Commercial Division, Kings County, Judge Demarest September 2011 - December 2011
The Regulatory Fundamentals Group LLC April 2011 - August 2011
Raritan High School August 2008 - June 2010
Nautica August 2006 - December 2009
Skills
Corporate Law, Editing, Legal Research, Research, Legal Writing, Teaching
Education
Brooklyn Law School 2010 — 2013
JD, International Business Law
Douglass College, Rutgers University 2003 — 2007
Bachelor of Arts, Romance Languages, High Honors
Università per Stranieri di Siena 2003 — 2003
Summer Program, Italian Language
Raritan High School 1999 — 2003
Alston & Bird LLP September 2013 - Present
Safe Harbor Asylum Clinic January 2013 - June 2013
Alston & Bird LLP May 2012 - July 2012
VF Corporation January 2012 - April 2012
Supreme Court, Commercial Division, Kings County, Judge Demarest September 2011 - December 2011
The Regulatory Fundamentals Group LLC April 2011 - August 2011
Raritan High School August 2008 - June 2010
Nautica August 2006 - December 2009
Skills
Corporate Law, Editing, Legal Research, Research, Legal Writing, Teaching
Education
Brooklyn Law School 2010 — 2013
JD, International Business Law
Douglass College, Rutgers University 2003 — 2007
Bachelor of Arts, Romance Languages, High Honors
Università per Stranieri di Siena 2003 — 2003
Summer Program, Italian Language
Raritan High School 1999 — 2003
Jeffrey Martell Jeffrey Martell's The Regulatory Fundamentals Group LLC Experience November 2010 - December 2010
Job Compliance Manager at Prudential Financial
Industry Financial Services
Experience
Prudential Financial January 2012 - Present
RIA IN A BOX April 2011 - January 2012
Prudential Financial January 2011 - April 2011
The Regulatory Fundamentals Group LLC November 2010 - December 2010
Jacko Law Group June 2009 - August 2009
Wayne County Prosecutors Office June 2008 - August 2008
Fried Saperstein Abbatt P.C. 2005 - 2007
Skills
Securities Law, Compliance, Corporate Law, International Trade, Securities, Securities Regulation, AML
Education
New York Law School 2010 — 2011
LLM, Financial Services
Michigan State University College of Law 2007 — 2010
J.D.
Madonna University 2003 — 2007
B.A., History
Prudential Financial January 2012 - Present
RIA IN A BOX April 2011 - January 2012
Prudential Financial January 2011 - April 2011
The Regulatory Fundamentals Group LLC November 2010 - December 2010
Jacko Law Group June 2009 - August 2009
Wayne County Prosecutors Office June 2008 - August 2008
Fried Saperstein Abbatt P.C. 2005 - 2007
Skills
Securities Law, Compliance, Corporate Law, International Trade, Securities, Securities Regulation, AML
Education
New York Law School 2010 — 2011
LLM, Financial Services
Michigan State University College of Law 2007 — 2010
J.D.
Madonna University 2003 — 2007
B.A., History
Andrew Ceppos Andrew Ceppos's The Regulatory Fundamentals Group LLC Experience May 2012 - August 2012
Job Associate at Vedder Price PC
Industry Legal Services
Experience
Vedder Price PC September 2014 - Present
Vedder Price P.C. May 2013 - August 2013
SDNY August 2012 - December 2012
The Regulatory Fundamentals Group LLC May 2012 - August 2012
American Realty Capital October 2010 - August 2011
The Catholic Schools of Madrid October 2009 - June 2010
Skills
Legal Writing, Legal Research, Corporate Law, Editing, Spanish, Public Policy, Corporate Governance, PowerPoint, Public Speaking, Community Outreach, International Relations
Education
Brooklyn Law School 2011 — 2014
Juris Doctor (J.D.)
Tufts University 2005 — 2009
Bachelor of Arts, International Relations and Chinese
Zhejiang University 2007 — 2007
Vedder Price PC September 2014 - Present
Vedder Price P.C. May 2013 - August 2013
SDNY August 2012 - December 2012
The Regulatory Fundamentals Group LLC May 2012 - August 2012
American Realty Capital October 2010 - August 2011
The Catholic Schools of Madrid October 2009 - June 2010
Skills
Legal Writing, Legal Research, Corporate Law, Editing, Spanish, Public Policy, Corporate Governance, PowerPoint, Public Speaking, Community Outreach, International Relations
Education
Brooklyn Law School 2011 — 2014
Juris Doctor (J.D.)
Tufts University 2005 — 2009
Bachelor of Arts, International Relations and Chinese
Zhejiang University 2007 — 2007
Sherri Venokur Sherri Venokur's The Regulatory Fundamentals Group LLC Experience September 2011 - Present
Job SVENOKUR LLC
Industry Law Practice
Experience
SVENOKUR LLC August 2010 - Present
The Regulatory Fundamentals Group LLC September 2011 - Present
Lowenstein Sandler PC 2007 - 2010
Stroock & Stroock & Lavan 2001 - 2007
Lehman Brothers 1993 - 2001
European American Bank 1986 - 1989
Skills
Derivatives, Compliance, Swaps, Contract Negotiation, Negotiation, Hedge Funds, Risk Management, Writing, Public Speaking, Dodd-Frank, Corporate Law, ISDA, Capital Markets, Fixed Income, Asset Management, Equities, Structured Products, Securities, Litigation, Foreign Exchange, Financial Structuring, Securities Regulation, Cross-border..., Legal Writing, Prime Brokerage, Credit, Commodity
Education
Brooklyn Law School
JD
Brooklyn College, City University of New York
BA, Magna Cum Laude
Midwood High School
SVENOKUR LLC August 2010 - Present
The Regulatory Fundamentals Group LLC September 2011 - Present
Lowenstein Sandler PC 2007 - 2010
Stroock & Stroock & Lavan 2001 - 2007
Lehman Brothers 1993 - 2001
European American Bank 1986 - 1989
Skills
Derivatives, Compliance, Swaps, Contract Negotiation, Negotiation, Hedge Funds, Risk Management, Writing, Public Speaking, Dodd-Frank, Corporate Law, ISDA, Capital Markets, Fixed Income, Asset Management, Equities, Structured Products, Securities, Litigation, Foreign Exchange, Financial Structuring, Securities Regulation, Cross-border..., Legal Writing, Prime Brokerage, Credit, Commodity
Education
Brooklyn Law School
JD
Brooklyn College, City University of New York
BA, Magna Cum Laude
Midwood High School
Lou Morrell's The Regulatory Fundamentals Group LLC Experience 2009 - 2013
Job Chair Board of Directors at American Birding Association
Industry Philanthropy
Experience
American Birding Association June 2008 - Present
The Regulatory Fundamentals Group LLC 2009 - 2013
Emerging Artists Theatre 2006 - 2011
Emerging Artists Theatre 2006 - 2011
JPMorgan Chase 1970 - 2006
One Stop for Coorodinated Senior Services, Inc 1990 - 2003
Partita 1992 - 1995
Skills
Due Diligence, Risk Management, Mergers & Acquisitions, Capital Markets, Non-profits, Financial Risk, Asset Management, Corporate Finance, Financial Modeling, Strategic Planning, Management, Nonprofits, Financial Analysis, Leadership, Finance, Financial Services, Fundraising, Business Strategy, Investment Banking
Education
Universityof Rochester 1968 — 1970
MBA, Finance
Carnegie Mellon University 1964 — 1968
BS, Management Science
American Birding Association June 2008 - Present
The Regulatory Fundamentals Group LLC 2009 - 2013
Emerging Artists Theatre 2006 - 2011
Emerging Artists Theatre 2006 - 2011
JPMorgan Chase 1970 - 2006
One Stop for Coorodinated Senior Services, Inc 1990 - 2003
Partita 1992 - 1995
Skills
Due Diligence, Risk Management, Mergers & Acquisitions, Capital Markets, Non-profits, Financial Risk, Asset Management, Corporate Finance, Financial Modeling, Strategic Planning, Management, Nonprofits, Financial Analysis, Leadership, Finance, Financial Services, Fundraising, Business Strategy, Investment Banking
Education
Universityof Rochester 1968 — 1970
MBA, Finance
Carnegie Mellon University 1964 — 1968
BS, Management Science
Kenneth Seiler's The Regulatory Fundamentals Group LLC Experience July 2011 - March 2012
Job Compliance Officer and Counsel at Prosiris Capital Management LP
Industry Financial Services
Experience
Prosiris Capital Management LP April 2014 - Present
Saiers Capital, LLC (Manager of the Alphabet Funds) April 2012 - April 2014
The Regulatory Fundamentals Group LLC July 2011 - March 2012
Anderson Kill & Olick, P.C. September 2009 - October 2010
Education
Fordham University School of Law 2006 — 2009
JD, Law
Rutgers, The State University of New Jersey-New Brunswick 2000 — 2004
Prosiris Capital Management LP April 2014 - Present
Saiers Capital, LLC (Manager of the Alphabet Funds) April 2012 - April 2014
The Regulatory Fundamentals Group LLC July 2011 - March 2012
Anderson Kill & Olick, P.C. September 2009 - October 2010
Education
Fordham University School of Law 2006 — 2009
JD, Law
Rutgers, The State University of New Jersey-New Brunswick 2000 — 2004
Al Schultheis's The Regulatory Fundamentals Group LLC Experience 2009 - Present
Job Independent Banking Professional
Industry Banking
Experience
The Regulatory Fundamentals Group LLC 2009 - Present
CLS Bank 2001 - 2003
CLS Bank International 2000 - 2003
Swiss Bank Corporation (Now UBS) 1969 - 1999
Swiss Bank Corporation, New York Branch 1968 - 1998
Skills
Capital Markets, Corporate Finance, Due Diligence, Risk Management
Education
University of Pennsylvania Law School 1960 — 1963
JD
Wittenberg University 1956 — 1960
BA
The Regulatory Fundamentals Group LLC 2009 - Present
CLS Bank 2001 - 2003
CLS Bank International 2000 - 2003
Swiss Bank Corporation (Now UBS) 1969 - 1999
Swiss Bank Corporation, New York Branch 1968 - 1998
Skills
Capital Markets, Corporate Finance, Due Diligence, Risk Management
Education
University of Pennsylvania Law School 1960 — 1963
JD
Wittenberg University 1956 — 1960
BA
Nancy Quaife's The Regulatory Fundamentals Group LLC Experience February 2009 - Present
Job at The Regulatory Fundamentals Group
Industry Financial Services
Experience
The Regulatory Fundamentals Group LLC February 2009 - Present
JPMorgan Chase Bank, N.A. 1982 - 2009
JPMorgan Chase Bank, N.A. 1982 - 2009
JPMorgan Chase 1982 - 2009
JP Morgan Chase 1982 - 2009
Milbank Tweed Hadley & McCloy September 1978 - September 1982
Education
University of Michigan Law School 1975 — 1978
B.A., M.A., J.D.
The Regulatory Fundamentals Group LLC February 2009 - Present
JPMorgan Chase Bank, N.A. 1982 - 2009
JPMorgan Chase Bank, N.A. 1982 - 2009
JPMorgan Chase 1982 - 2009
JP Morgan Chase 1982 - 2009
Milbank Tweed Hadley & McCloy September 1978 - September 1982
Education
University of Michigan Law School 1975 — 1978
B.A., M.A., J.D.
Chuhan Luo's The Regulatory Fundamentals Group LLC Experience May 2012 - December 2012
Job Consultant
Industry International Trade and Development
Experience
Due West Education June 2013 - June 2015
Tiandao Education January 2013 - June 2013
The Regulatory Fundamentals Group LLC May 2012 - December 2012
Warner Partners, P.C. January 2012 - May 2012
Skills
Data Analysis, Research, Microsoft Excel, International..., PowerPoint, Westlaw, Legal Research, Social Media, Chinese, Chinese Culture
Education
New York University 2008 — 2011
Bachelor of Arts (B.A.), Psychology and Economics, 3.4
Due West Education June 2013 - June 2015
Tiandao Education January 2013 - June 2013
The Regulatory Fundamentals Group LLC May 2012 - December 2012
Warner Partners, P.C. January 2012 - May 2012
Skills
Data Analysis, Research, Microsoft Excel, International..., PowerPoint, Westlaw, Legal Research, Social Media, Chinese, Chinese Culture
Education
New York University 2008 — 2011
Bachelor of Arts (B.A.), Psychology and Economics, 3.4
Bailey Somers's The Regulatory Fundamentals Group LLC Experience August 2011 - December 2011
Job Counsel at Two Sigma Investments
Industry Financial Services
Experience
Two Sigma Investments January 2014 - Present
Two Sigma Investments March 2012 - Present
The Regulatory Fundamentals Group LLC August 2011 - December 2011
Brooklyn Law School Investor Rights Clinic August 2010 - May 2011
U.S. Securities and Exchange Commission, Division of Corporation Finance June 2010 - August 2010
Conway & Conway January 2010 - May 2010
Judge Robert E. Gerber, U.S. Bankruptcy Court for the Southern District of New York June 2009 - August 2009
Portfolio Media, Publishers of the Law360 Newswire September 2005 - August 2008
Education
Brooklyn Law School 2008 — 2011
J.D.
Georgetown University 2001 — 2005
B.S., International Relations
Two Sigma Investments January 2014 - Present
Two Sigma Investments March 2012 - Present
The Regulatory Fundamentals Group LLC August 2011 - December 2011
Brooklyn Law School Investor Rights Clinic August 2010 - May 2011
U.S. Securities and Exchange Commission, Division of Corporation Finance June 2010 - August 2010
Conway & Conway January 2010 - May 2010
Judge Robert E. Gerber, U.S. Bankruptcy Court for the Southern District of New York June 2009 - August 2009
Portfolio Media, Publishers of the Law360 Newswire September 2005 - August 2008
Education
Brooklyn Law School 2008 — 2011
J.D.
Georgetown University 2001 — 2005
B.S., International Relations