U.S. 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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U.S. SECURITIES & EXCHANGE COMMISSION Employees
Simpson Thacher & Bartlett LLP September 2011 - Present
American Journal of Law & Medicine September 2009 - May 2011
U.S. Securities & Exchange Commission January 2011 - April 2011
U.S. District Court for the District of Massachussetts May 2010 - August 2010
Boston University School of Law June 2009 - April 2010
Education
Boston University School of Law 2008 — 2011
J.D., cum laude, Business Organizations & Finance Law
State University of New York College at Geneseo 2004 — 2008
B.A., summa cum laude, Political Science
U.S. Securities & Exchange Commission July 2008 - Present
Polk & Berke 2006 - 2008
Reich & Tang Funds 2001 - 2003
Skills
Strategic Planning, New Business Development, Product Development, Online Advertising, Microsoft Excel, Marketing Strategy, Mergers & Acquisitions, Business Strategy, Due Diligence, Investments, Financial Analysis, Entrepreneurship, Legal Research, Private Equity, Civil Litigation, Hedge Funds, Investment Advisory, Finance, Securities Regulation, Alternative Investments
Education
Loyola Law School, Loyola Marymount University 2003 — 2006
Juris Doctor
Boston University 1997 — 2001
BS in Business Administration, Finance
Hueston Hennigan LLP January 2015 - Present
Irell & Manella LLP September 2013 - January 2015
Irell & Manella LLP May 2012 - July 2012
New York University School of Law June 2011 - May 2012
U.S. Securities & Exchange Commission June 2011 - August 2011
Skills
Legal Writing, Legal Research, Securities, Civil Litigation
Education
New York University School of Law 2010 — 2013
JD
Brown University 2006 — 2010
Bachelor of Arts (B.A.), Political Science; Public Policy & American Institutions
LPL Financial November 2014 - Present
Florida International University January 2013 - June 2014
Financial Industry Regulatory Authority May 2013 - August 2013
Greenspoon Marder, P.A. January 2013 - May 2013
United States Bankruptcy Court July 2012 - July 2012
U.S. Securities & Exchange Commission August 2011 - November 2011
American Securities Group March 2008 - August 2009
Morgan Stanley Smith Barney September 2007 - March 2008
Centurion Alliance, Inc. February 2005 - August 2007
Morgan Stanley Smith Barney May 2004 - February 2005
Education
Florida International University - College of Law 2010 — 2013
Doctor of Law (J.D.)
Saint Mary's College 1999 — 2003
B.A., Economics
Westminster Academy 1985 — 1999
O'Melveny & Myers LLP May 2013 - Present
Cadwalader, Wickersham & Taft LLP September 2012 - May 2013
U.S. Attorney's Office, S.D.N.Y. August 2011 - December 2011
Cadwalader, Wickersham & Taft LLP May 2011 - August 2011
U.S. Securities & Exchange Commission January 2011 - May 2011
Professor Arthur R. Pinto September 2010 - January 2011
Honorable Jed S. Rakoff, U.S. District Judge, S.D.N.Y. May 2010 - August 2010
U.S. Senator Hillary Rodham Clinton May 2008 - August 2008
Education
Brooklyn Law School 2009 — 2012
Doctor of Law (J.D.), magna cum laude
University of Delaware 2005 — 2009
Bachelor of Arts (B.A.), cum laude, Economics & Political Science
Evergreen Point Capital, L.L.C. February 2009 - Present
Natixis Capital Markets, Inc. June 2007 - February 2009
Societe Generale June 2002 - June 2007
Gen Re Securities March 2001 - June 2002
Societe Generale September 1997 - March 2001
KPMG, LLP June 1996 - September 1997
Genentech, Inc. 1993 - June 1996
U.S. District Court, Ninth Circuit June 1992 - August 1992
U.S. Securities & Exchange Commission June 1991 - August 1991
Coopers & Lybrand December 1988 - August 1990
Skills
Derivatives, Structured Products, Financial Engineering, Structured Finance, Mergers, Finance, Financial Structuring, Private Equity, Hedging, Capital Markets, Equities, Valuation, Project Finance, Financial Modeling, Entrepreneurship, Start-ups, Business Strategy, Restructuring, Due Diligence, Financial Analysis
Education
Seattle Preparatory School
University of California, Berkeley
B.A.
University of California, Hastings College of the Law
J.D.
Northern Trust Asset Management September 1998 - November 2014
Zurich Kemper Investments, Inc. August 1996 - August 1998
Stein Roe & Farnham Incorporated July 1994 - July 1996
U.S. Securities & Exchange Commission September 1982 - June 1994
Skills
Asset Management, Mutual Funds, Equities, Securities, Hedge Funds, Fixed Income, Alternative Investments, Risk Management, Financial Services, Portfolio Management, Investments, Investment Strategies, Asset Allocation, Investment Management, Due Diligence, Regulatory Compliance, Board Relations, Board Governance
Education
DePaul University College of Law 1979 — 1982
Doctor of Law (J.D.) with honors
University of Illinois at Urbana-Champaign 1975 — 1979
Bachelor of Arts (B.A.) with distinction, History
Manatt Health Solutions July 2014 - Present
TruLogix Analytics, Inc. April 2013 - Present
Ascension June 2013 - July 2014
DiscoveryTel International 2005 - May 2013
The Rendon Group 2001 - 2005
FundsXpress 1998 - 2001
Logical Design Solutions 1997 - 1998
Aetna Health Plans 1993 - 1996
U.S. Food & Drug Administration 1992 - 1993
U.S. Securities & Exchange Commission 1991 - 1992
Skills
Strategic Communications, Public Affairs, Media Relations, Message Development, Event Management, Corporate Communications, Leadership, Crisis Management, Community Development, Political Communication, Reputation Management, Policy, Strategic Partnerships, Government, Start-ups, Digital Media, Marketing Strategy, Management, Strategy, Communication Training, Spokesperson, Campaigns, Communications Planning, International Relations, Crisis Communications, Public Relations, Event Planning, Marketing Communications, Politics
Education
The University of Texas at Austin 1976 — 1980
BJ, Communications
CNH Industrial October 2009 - Present
Caterpillar Inc. June 2007 - October 2009
Caterpillar Logistics Services, Inc. June 2003 - June 2007
Caterpillar Inc. (United Kingdom) June 2000 - June 2003
Caterpillar Inc. June 1993 - June 2000
U.S. Securities & Exchange Commission May 1987 - June 1993
Skills
Litigation, Corporate Governance, Corporate Law, Mergers, Policy, Legal Writing, Corporate Finance, Joint Ventures, Litigation Management, Intellectual Property, Securities Regulation, Legal Advice, Securities, Licensing, Mergers & Acquisitions, Commercial Litigation, Employment Law, Trademarks, FCPA, Legal Compliance, Patent Litigation, Trade Secrets, Patents, Copyright Law
Education
Georgetown University Law Center 1987 — 1990
L.L.M, Securities Regulation
University of Toledo College of Law 1983 — 1986
Juris Doctor
The Ohio State University 1979 — 1983
B.A., English
U.S. Securities & Exchange Commission August 2010 - Present
US Securities and Exchange Commission June 2009 - July 2010
Florida International University January 2009 - December 2009
U.S. Securities & Exchange Commission April 2003 - June 2009
U.S. Securities & Exchange Commission April 1999 - April 2003
Merrill Lynch March 1998 - April 1999
Kelley Drye & Warren LLP December 1996 - January 1998
Assurant Solutions 1992 - 1994
Deloitte 1991 - 1992
Skills
Fluent in Spanish, Internal Investigations, Fraud, Compliance, SEC reporting, SEC filings, Securities Regulation, Securities, Corporate Governance, Legal Research
Education
Georgetown University Law Center 2013 — 2014
Securities and Financial Regulation Certificate Program
University of Miami School of Law 1993 — 1996
Juris Doctor, Law, Cum Laude
Florida International University 1993 — 1995
Masters, Taxation, Honors
Florida International University 1987 — 1991
Bachelors, Accounting
U.S. Securities & Exchange Commission November 2007 - Present
Deloitte Financial Advisory Services September 2002 - October 2007
Arthur Andersen September 1999 - August 2002
Skills
CPA, Internal Controls, Forensic Accounting, SEC filings, US GAAP, Sarbanes-Oxley Act, Due Diligence, Financial Analysis, Auditing, Accounting
Education
College of the Holy Cross 1995 — 1999
Economics/Accounting
Smith Anderson September 2013 - Present
North Carolina Commission on the Administration of Law and Justice September 2015 - Present
Office of the Comptroller of the Currency September 2012 - September 2013
Supreme Court of North Carolina August 2011 - August 2012
North Carolina Center for Banking and Finance March 2010 - March 2012
Wake County District Attorney's Office August 2010 - November 2010
U.S. Securities & Exchange Commission June 2010 - August 2010
University of North Carolina School of Law May 2009 - May 2010
Skills
Legal Writing, Legal Research, Banking Law, Appeals, Legal Issues, Government Enforcement, Legal Ethics, Consumer Compliance, Corporate Governance, Construction Law, Commercial Litigation, Litigation, Construction Litigation, Arbitration, Mediation, Administrative Law
Education
University of North Carolina School of Law 2008 — 2011
JD with High Honors
University of North Carolina at Chapel Hill 2005 — 2008
BA with Highest Distinction, Political Science (Honors), Economics, Spanish (Minor)
Paragon Real Estate Group April 2013 - Present
Sotheby's International Realty June 2011 - 2013
RE/MAX Downtown January 2001 - October 2011
Coldwell Banker Residential Brokerage January 1998 - January 2001
Otsuka Couture January 1994 - January 1998
U.S. Securities & Exchange Commission May 1989 - March 1994
Skills
Luxury Real Estate, Short Sales, Foreclosures, International Real..., Real Estate, Real Estate Transactions, Relocation, Buyers, Referrals, Selling, SFR, Seller Representation, Income Properties, New Home Sales, Move Up Buyers, Townhomes, First Time Home Buyers, Waterfront, Real Property, e-PRO, Vacation Homes, Sales
Education
Georgetown University Law Center
LL.M., Securities Law
University of California, Davis
B.A., Political Science/German
University of San Francisco School of Law
J.D., Law
Sefton Family Law Group, PC November 2014 - Present
Schiff Hardin LLP 2006 - August 2013
Morrison & Foerster LLP 2005 - 2006
U.S. Securities & Exchange Commission 2005 - 2005
Morrison & Foerster LLP 2004 - 2004
Hon. Faith S. Hochberg (U.S. District Court, D.N.J.) 2003 - 2003
Davidson Capital Group 2001 - 2002
Wit SoundView / E*Offering 1999 - 2001
Skills
Litigation, Securities Litigation, Appeals, Class Actions, Commercial Litigation, Courts, Trade Secrets, Intellectual Property, Securities Regulation, Mediation, Civil Litigation, Legal Research, Legal Writing, Trials, Trademarks, Arbitration, Trademark Infringement, Patent Litigation, Corporate Law, Corporate Governance, Enforcement, Licensing, Administrative Law, Family Law
Education
University of Pennsylvania Law School 2002 — 2005
Doctor of Law (JD)
Bowdoin College 1992 — 1996
Bachelor of Arts (B.A.), Psychology
US Department of Homeland Security February 2015 - Present
Peace Corps March 2010 - February 2015
OBAMA FOR AMERICA 2008 PRESIDENTIAL CAMPAIGN May 2007 - November 2008
CORY BOOKER and BOOKER TEAM FOR Newark, NJ 2005 - June 2006
U.S. SECURITIES & EXCHANGE COMMISSION 1998 - 2000
UNITED STATES DISTRICT COURT 1996 - 1998
Curtis, Mallet-Prevost, Colt & Mosle LLP 1991 - 1996
Skills
Public Policy, Politics, International..., International Relations, Grassroots Organizing, Grants, Political Campaigns, Political Science, Capacity Building, Community Development, Nonprofits, Economic Development, Program Evaluation, Community Outreach, Government, Grant Writing, Volunteer Management, Program Development, Fundraising, Litigation, NGOs, Foreign Policy
Education
Columbia Law School 1987 — 1991
Doctor of Law (J.D.)
Barnard College 1981 — 1985
Bachelor's degree, Political Science and Government
KPMG August 2015 - Present
State Street December 2013 - July 2015
The Blackstone Group January 2013 - August 2013
U.S. Securities & Exchange Commission September 2012 - December 2012
New York City Business Integrity Commission June 2012 - August 2012
Condè Nast Publications January 2012 - May 2012
Live Nation Entertainment, Inc May 2008 - August 2011
Skills
Microsoft Excel, Accounting, Microsoft Office, Pivot Tables, Bloomberg Terminal, Financial Reporting, Analysis, Outlook, Cash Flow Reconciliation, Financial Statements, Investments, Fund Reconciliation, auditing, Financial Accounting, Auditing
Education
City University of New York-Baruch College 2010 — 2012
Bachelor of Business Administration (B.B.A.), Accounting
Wantagh High School 2004 — 2008
Anderson & Karrenberg April 2003 - Present
U.S. Securities & Exchange Commission May 2001 - August 2001
Third District Court May 2000 - August 2000
Skills
Torts, Class Actions, Commercial Litigation, Trade Secrets, Intellectual Property, Business Litigation, Litigation, Legal Research, Civil Litigation, Legal Writing, Trials
Education
University of Utah S.J. Quinney College of Law 1999 — 2002
Juris Doctor
Brown University 1995 — 1999
Bachelor of Arts
University of Utah 1997 — 1998
The Waterford School 1991 — 1995
Law Offices of Anne Dufour Zuckerman P.A. December 2012 - Present
Real World Mentoring for Women December 2010 - Present
Imperial Finance & Trading September 2008 - November 2010
Office Depot, Inc. January 2000 - August 2008
Lewis Babcock April 1994 - December 1999
Verrill Dana, LLP August 1989 - April 1994
U.S. Securities & Exchange Commission August 1987 - August 1989
Connecticut Attorney General's Office August 1986 - August 1987
Brewer Junior High School September 1982 - August 1983
Education
Quinnipiac University School of Law 1983 — 1986
JD, Law
University of Maine 1978 — 1982
Bachelor of Science (B.S.), Secondary Education and Teaching
Public Company Accounting Oversight Board June 2011 - Present
FTI Consulting June 2007 - May 2011
McGladrey & Pullen 2005 - 2007
U.S. Securities & Exchange Commission 2003 - 2005
Arthur Andersen 1997 - 2003
Cooper Industries 1994 - 1997
Arthur Andersen 1985 - 1994
Skills
Financial Analysis, Due Diligence, Internal Controls, Financial Reporting, Sarbanes-Oxley Act, SEC filings, Forensic Accounting, Auditing, Mergers & Acquisitions, CPA, Accounting, Business Process..., Fraud, Corporate Governance, SEC, Business Valuation, Change Management, Process Improvement, Litigation Support, Sarbanes-Oxley, GAAP, FCPA, Financial Modeling, Revenue Recognition, Management, Restructuring, US GAAP, IPO, Consolidation, Financial Audits, Corporate Tax, Internal Audit, Litigation Consulting, Tax, IFRS, Financial Accounting, Certified Fraud Examiner, Corporate Finance, Private Equity, Big 4, Valuation, Enterprise Risk..., Tax Accounting, Finance, External Audit, Public Companies, Assurance, Acquisition Integration, Managerial Finance, Strategic Financial...
Education
Rice University - Jesse H. Jones Graduate School of Management 1983 — 1985
MBPM/MACCO
Rice University 1979 — 1983
B.A.
Escuela Campo Verde
Foxcroft
Northeastern University September 2013 - Present
Northeastern University School of Law September 1991 - Present
American Society of International Law April 2010 - April 2013
U.S. Securities & Exchange Commission September 1988 - June 1991
US Securities and Exchange Commission 1988 - 1991
TransAfrica Forum September 1986 - August 1988
Skills
Human Rights, International Law, Legal Writing, Legal Research, International Human..., Policy, International Relations, Research, Public Policy, Foreign Policy, Public International Law, Politics, Policy Analysis, Mediation, Political Science, International..., International Criminal..., Constitutional Law
Education
Harvard Law School 1983 — 1986
J.D., International Law
Harvard University 1979 — 1983
A.B., cum laude, English & American Literature and Language
Commercial Real Estate Broker August 1979 - Present
U.S. Securities & Exchange Commission September 1972 - June 1978
Skills
Property Management, Brokerage, Disposition, Real Estate Development, Real Estate, Leases, Real Estate Transactions, Investment Properties, Real Estate Economics, Negotiation, Location Intelligence, Commercial Real Estate, Marketing, Restaurants, Lease Negotiations, Sellers, Asset Management, Mergers & Acquisitions, Tenant, Investors, Luxury, Property, Landlords, 1031 Exchanges, Real Estate Financing
Education
Loyola University Chicago 1968 — 1971
JD, Law
University of Denver - Daniels College of Business 1965 — 1966
BSBA, Accounting, Finance
University of Wisconsin-Madison 1961 — 1964
Accounting, Finance
Boston College Law School January 2015 - Present
Northeastern University College of Engineering May 2013 - January 2015
Real World Machine LLC May 2009 - January 2015
Codman Academy Charter Public School August 2012 - May 2013
University of Virginia School of Law March 2010 - August 2012
Blue Ridge Legal Services, Inc. May 2011 - August 2011
U.S. Securities & Exchange Commission May 2007 - August 2008
Bard College at Simon's Rock May 2006 - May 2007
Education
Harvard University Graduate School of Education 2012 — 2013
Master of Education (EdM), Higher Education
University of Virginia School of Law 2009 — 2012
Juris Doctor (JD), Law
Vanderbilt University 2007 — 2009
Bachelor of Arts (BA) summa cum laude, Political Science with high honors
Bard College at Simon's Rock 2005 — 2007
Associate of Arts (AA) with distinction
Deutsche Bank October 2014 - Present
U.S. Securities & Exchange Commission June 2012 - October 2014
Milbank, Tweed, Hadley & McCloy LLP October 2009 - June 2012
U.S. District Court, S.D.N.Y. September 2008 - September 2009
Milbank, Tweed, Hadley & McCloy LLP October 2006 - September 2008
Education
Hofstra University School of Law 2003 — 2006
J.D.
SUNY Stony Brook
B.A., English
Aon Hewitt September 2015 - Present
Laurus Strategies / HUB International 2013 - August 2015
U.S. Securities & Exchange Commission 2011 - 2011
Skills
Employee Benefits, Health Insurance, Affordable Care Act, Underwriting, Insurance, Microsoft Office, Visual Basic, Microsoft Excel, Research, Public Speaking
Education
Indiana University Bloomington
Bachelor’s Degree, Policy Analysis, Public Financial Management
Good Life Project January 2012 - Present
JonathanFields.com September 2007 - Present
Sonic Yoga NYC November 2001 - December 2008
Sedona Wellness Center August 1997 - March 2000
Debevoise & Plimpton March 1996 - April 1997
U.S. Securities & Exchange Commission August 1992 - March 1995
Skills
Marketing, Strategy, Entrepreneurship, Leadership, Public Speaking, Digital Media, Blogging, Social Media Marketing, Small Business, Social Networking, Social Media, Writing, Copywriting, Online Advertising, Creativity, Personal Development, Innovation, Inspiring Leadership, Blog, Inspiration
Education
Benjamin N. Cardozo School of Law, Yeshiva University 1989 — 1992
JD, Law
Chevron Phillips Chemical Company 2012 - Present
Southern Union Company 2009 - 2012
Baker Botts LLP 2006 - 2009
U.S. Securities & Exchange Commission 2003 - 2006
Baron & Budd, P.C. 1997 - 2003
Akin Gump Strauss Hauer & Feld LLP 1992 - 1997
Skills
Litigation, Legal Writing, Trials, Litigation Support, Lexis, Corporate Law, Intellectual Property, Mediation, Trademarks, Civil Litigation, Dispute Resolution
Education
St. Edward's University
Bachelor's degree, Psychology
The University of Texas at Austin
Legal Assistant/Paralegal, Graduate with Honors
Self-Employed May 2015 - Present
SunGard Brokerage & Securities Services LLC September 2014 - May 2015
PNC Financial Services February 2011 - September 2014
Prudential Investment Management Services LLC 2005 - 2010
Philadelphia Stock Exchange 2001 - 2005
U.S. Securities & Exchange Commission 1994 - 1998
U.S. Court of Appeals for the Third Circuit 1991 - 1992
Skills
Securities Regulation, FINRA, Broker-Dealer, Hedge Funds, Mutual Funds, Social Media, Volcker Rule, ERISA, Title I, New Product Development, Asset Management, Product Development, Strategic Planning, Investments, Securities, Corporate Law, Legal Writing, ETFs, Insurance, Options
Education
Northeastern University School of Law 1988 — 1991
J.D., Law
Bucknell University 1982 — 1986
B.A., Philosophy
Don Bosco Preparatory H.S. 1978 — 1982
College preparatory
NVIDIA Corporation July 2007 - Present
Electronic Arts, Inc. May 2002 - July 2007
Arthur Andersen LLP July 1999 - May 2002
U.S. Securities & Exchange Commission September 1994 - July 1996
Skills
International Tax, Sarbanes-Oxley Act, Financial Reporting, Corporate Tax, US GAAP
Education
UC Davis School of Law
JD, Law
UCLA
BA, Accounting
Dimensional Fund Advisors December 2012 - Present
Hilltop Consulting LLC May 2012 - December 2012
Wellington Management Company November 2004 - December 2011
Charles Schwab August 2000 - October 2004
Bank of America April 1994 - August 2000
U.S. Securities & Exchange Commission 1987 - 1994
Skills
Securities, Asset Managment, Financial Services, Investments, Banking, Legal Advice, Investment Company Act, FINRA, AML, Broker-Dealer, Securities Regulation, Investment Advisers Act, Hedge Funds, Operational Risk...
Education
Georgetown University Law Center 1992 — 1994
LL.M., Securities
University of Florida - Fredric G. Levin College of Law 1983 — 1986
JD, Law
University of Florida 1979 — 1983
BA, Political Science
Orrick, Herrington & Sutcliffe LLP July 2013 - Present
Morrison & Foerster LLP 2005 - July 2013
U.S. Securities & Exchange Commission 2001 - 2005
U.S. Securities & Exchange Commission 1999 - 2001
Skills
Securities Regulation, Corporate Law, Corporate Governance, Securities Offerings, Corporate Finance, Joint Ventures, Patents, Mergers & Acquisitions, Due Diligence, Commercial Litigation, Securities, Cross-border..., Licensing, Intellectual Property
Education
Washington University in St. Louis School of Law 1996 — 1999
JD, Law
Thunderbird School of Global Management 1995 — 1996
MBA, Corporate Finance
Emory University 1991 — 1995
BA, Econimics
Glenbrook North
Mewborn & DeSelms August 2013 - Present
Space Systems Loral May 2012 - June 2012
Hogan Lovells March 2012 - April 2012
Weinberger Law Offices November 2010 - June 2011
King, Krebs & Jurgens, PLLC July 2009 - August 2009
U.S. Securities & Exchange Commission January 2009 - May 2009
RAM Capital Resources, LLC. May 2008 - August 2008
Skills
Microsoft Office, Research, Customer Relations, Customer Service, Contract Negotiation, Microsoft Excel, Financial Analysis, Public Speaking, Data Analysis, Legal Research, Nonprofits, Legal Writing, Strategic Planning, Project Management, Negotiation, Sales, Team Building, Marketing Strategy, Account Management
Education
University of Denver - Daniels College of Business 2007 — 2009
Master of Science in Finance, Finance/Investments, Held top GPA of all graduating students
University of Denver - Sturm College of Law 2006 — 2009
Juris Doctorate, Corporate/Securities Law
Louisiana State University 2002 — 2005
BS, Finance
New York University 2001 — 2002
Bachelor's Degree, Biology/Biological Sciences, General
Major, Lindsey & Africa October 2014 - Present
Mallow Consulting March 2013 - Present
The Shannon Group March 2007 - March 2013
Proskauer Rose LLP 2013 - 2013
MALLOWSOSSIN LLC, Legal Career Consultants June 2005 - March 2007
UCLA School of Law September 1996 - June 2005
Georgetown University Law Center August 1994 - September 1996
U.S. Securities & Exchange Commission 1992 - 1994
Kirkland & Ellis LLP 1988 - 1992
Skills
Talent Management, Career Development, Coaching, Career Counseling, Recruiting, Interviews, Leadership Development, Training, Job Search, Interview Preparation, Career Assessment, Job Search Strategies, Job Coaching, Executive Coaching, Executive Search, MBTI, Career Management, Leadership, Resume Writing, Cover Letters, Team Building, Outplacement, Outplacement/Transition..., Strong Interest...
Education
Georgetown University Law Center 1985 — 1988
J.D, cum laude, Law
Franklin & Marshall College 1981 — 1985
B.A, magna cum laude, Psychology
PwC March 2015 - Present
Gannett August 2012 - February 2015
U.S. Securities & Exchange Commission May 2011 - August 2011
Associates in Oncology May 2009 - August 2009
Skills
Procurement, Data Analysis, Policy Writing, SharePoint, Data Modeling, Microsoft Excel, Valuation Modeling, Data Manipulation, Financial Analysis, Corporate Finance, Financial Modeling, Microsoft Office, PowerPoint, Microsoft Word, Analysis, RFP, Negotiation
Education
Syracuse University 2008 — 2012
Bachelor of Science (B.S.), Economics
Self-employed September 2001 - Present
Morgan, Lewis & Bockius LLP September 1972 - September 2001
U.S. Securities & Exchange Commission January 1970 - September 1972
Skills
Corporate Law, Board of Directors, Nonprofits, Investment Management, Business Strategy, Securities Law, Mergers & Acquisitions, Corporate Governance, Finance, Securities Regulation, Venture Capital, Start-ups, Due Diligence, Joint Ventures, Corporate Finance, IPO
Education
Princeton University 1958 — 1962
BSE, Basic Engineering
University of Virginia School of Law 1962 — 1965
LLB
Georgetown University Law Center 1970 — 1972
Master of Laws (LL.M.), Corporate Taxation
Locke Lord LLP 2012 - Present
Georgetown University Law Center 2008 - Present
Inter American Development Bank July 2010 - September 2012
U.S. Securities & Exchange Commission 2004 - 2010
Grant & Eisenhofer PA 2002 - 2004
Morris James LLP - A Delaware Law Firm 2001 - 2002
Paul, Hastings, Janofsky & Walker 1999 - 2001
Education
Georgetown University Law Center 2004 — 2008
LL.M, Securities & Financial Regulation
University of Pennsylvania Law School 1996 — 1999
Juris Doctor
Wesleyan University 1994 — 1996
MA, Liberal Studies
Trinity College-Hartford 1990 — 1994
BA, Philosophy
Cardinal Hayes High School 1987 — 1990
KPMG, Federal Advisory, Forensic May 2010 - Present
George Mason University June 2013 - Present
Communities in Schools Atlanta April 2013 - Present
Westlaw Business September 2009 - September 2011
The Brookings Institution December 2009 - April 2010
XO Communications May 2008 - August 2008
U.S. Securities & Exchange Commission May 2007 - August 2007
Various Internal Audit/Consulting Firms February 2004 - August 2006
KPMG, LLP August 2002 - February 2004
Skills
Internal Investigations, Fraud Detection, Corporate Fraud..., Corporate Fraud, Securities Fraud, Compliance, Legal Compliance, Litigation Support, Litigation Consulting, Risk Management, Risk Assessment, Financial Services, Alternative Investments, Hedge Funds, Private Equity, Investment Banking, Mortgage Banking, Private Banking, Securities Regulation, Regulatory Requirements, Financial Regulation, Investment Management, Corporate Law, Due Diligence, Auditing, Analysis, Internal Controls, Sarbanes-Oxley Act, Corporate Governance, Fraud, Finance, Internal Audit, Banking, Forensic Accounting, Governance, Financial Risk, Restructuring, Private Investigations, Accounting
Education
University of Cambridge 2008 — 2009
LL.M., Law
University of Richmond School of Law 2005 — 2008
J.D, Law
University of Maryland - Robert H. Smith School of Business 1999 — 2002
B.S, Accounting; Economics
Heritage Seedlings, Inc. July 2010 - Present
Day Law Group, P.C. May 2014 - January 2015
Self-Employed, Legal January 2012 - March 2014
Martin Bischoff Templeton Langslet & Hoffman September 2008 - January 2010
U.S. Securities & Exchange Commission June 2007 - August 2007
Skills
Proficient in Spanish, Legal Research, Legal Writing, Legal Compliance, Employment Law, Litigation, Courts, Civil Litigation, Corporate Law, Commercial Litigation, Pleadings, Legal Issues, Mergers & Acquisitions, Product Liability, Arbitration, Mediation, Trials, Legal Advice, Creditors' Rights
Education
University of Notre Dame Law School 2005 — 2008
JD, Law
Princeton University 2000 — 2005
B.A., Economics
McCarter & English, LLP August 2015 - Present
Morgan, Lewis & Bockius LLP October 2012 - August 2015
Mortgage Foreclosure & Bankruptcy Clinic, January 2012 - May 2012
ABA Law Student Division June 2011 - May 2012
United States District Court - Hon. Laura Taylor Swain September 2011 - December 2011
Morgan, Lewis & Bockius LLP May 2011 - August 2011
U.S. Securities & Exchange Commission January 2011 - April 2011
Financial Industry Regulatory Authority (FINRA), August 2010 - December 2010
Morgan Stanley Smith Barney May 2010 - July 2010
The New York Times Company June 2007 - August 2009
Education
Touro College Jacob D. Fuchsberg Law Center 2009 — 2012
JD, magna cum laude
Northeastern University 2001 — 2006
Bachelor of Science, Criminal Justice
South Shore Christian School
U.S. Securities & Exchange Commission 2010 - Present
Georgetown University Law Center 2005 - 2012
U.S. Securities & Exchange Commission 2000 - 2010
Skills
Securities Regulation, Corporate Governance, Securities Offerings, Capital Markets, Corporate Law, Corporate Finance, Securities, SEC Filings
Education
The University of Texas at Austin 1987 — 1990
Doctor of Law (J.D.)
Dartmouth College 1982 — 1986
Bachelor of Arts (B.A.), Government
Mosaic-Virginia (formerly 1st Choice Women's Health Center) December 2012 - Present
Autumnal Designs January 2009 - October 2014
HomeInLoudoun.com February 2006 - April 2012
Connemara Woods Homeowners Association March 2002 - March 2004
U.S Department of Transportation, Eastern Federal Lands June 1998 - June 2000
U.S. Securities & Exchange Commission June 1989 - April 1998
Skills
Real Estate, Customer Service, Budgets, Strategic Planning, Referrals, Selling, Social Media, Project Coordination, Wordpress, Microsoft Excel, PowerPoint, Facebook, Twitter, Instagram, Jewelry Design, Microsoft Office, Microsoft Word, Leadership, Program Management, Editing, Management, Team Building
Education
James Madison University 1985 — 1989
BBA, Information Systems
Oakton High School
SAP December 2011 - Present
Dell November 2010 - August 2011
Boomi August 2008 - November 2010
Aria Systems 2006 - 2008
Skadden, Arps, Slate, Meagher & Flom LLP 2004 - 2005
U.S. Securities & Exchange Commission 2003 - 2004
Silicon Genetics 2001 - 2003
Skills
Marketing Automation, Marketing Communications, Website Copy, Event Marketing, Event Management, Copy Editing, Copywriting, Corporate Communications, Speech Writing, Electronic Newsletters, Demand Generation, Social Media Marketing, Public Relations, Survey Design, Customer Engagement, Customer Reference..., Organizational..., Google Adwords, Salesforce.com, Marketing Copy, SaaS, Marketo, Lead Generation, Email Marketing, CRM, B2B Marketing, Go-to-market Strategy, Cloud Computing, Content Marketing, Content Strategy, Digital Marketing, Start-ups
Education
The George Washington University 2003 — 2005
MEd HD, Adult Education & Organizational Development
University of Michigan 1996 — 2000
BA, Organizational Psychology
U.S. Securities & Exchange Commission June 2013 - Present
US Securities and Exchange Commission April 2010 - May 2013
Barnes & Noble March 2006 - April 2006
Michaels Stores, Inc. August 2005 - April 2006
Skills
Data Entry, Outlook, Customer Service, File Management, PowerPoint, Microsoft Word, Microsoft Excel, Microsoft Office, Spreadsheets, Research, Office Management, Teamwork, Filing, Time Management, Organization, Lexis Nexis, EDGAR, Westlaw, Project Management, Adobe Professional, Concordance 9.0, Case Map 8, Microsoft Publisher, Legal Research, Event Planning, Charity Work, Legal Writing, Critical Thinking, Records Management, Government, Data Analysis, Litigation Support, Document Review, Event Management, Legal Assistance, Legal Documents, Analysis, Policy, Bloomberg Law, CRD, CLEAR, Suspicious Activity..., Private Investigations, Social Networking
Education
La Salle University 2014 — 2016
Master of Science (M.S.), Economic Crimes
La Salle University 2014 — 2015
Master's Certificate, Fraud & Forensic Accounting
Tarleton State University 2011 — 2013
Masters of Science, Criminal Justice
Texas Woman's University 2009 — 2011
Bachelor of Arts, Government & Business
Tarrant County College 2008 — 2009
Associates of Arts, General Studies
Brown Advisory May 2013 - Present
JP Morgan June 2010 - May 2013
U.S. SECURITIES & EXCHANGE COMMISSION May 2009 - August 2009
Skills
Series 7, Series 63, Wealth Management, Investment Management, Superior Client Service, Asset Managment, Banking, Equities, Trading, Asset Allocation, Institutional...
Education
Loyola University Maryland 2014 — 2016
Master of Business Administration (MBA), Finance, General
Loyola University Maryland 2006 — 2010
BBA, Finance, Accounting, 3.7
Chaminade High School 2002 — 2006
ACA Compliance Group July 2014 - Present
ACA Compliance Group August 2013 - July 2014
U.S. Securities & Exchange Commission November 2007 - August 2013
Deutsche Bank AG June 2006 - November 2007
DialAmerica Marketing, Inc. (DMI) November 2003 - June 2006
University of Maryland Department of Intercollegiate Athletics May 2002 - June 2003
Education
Iona College 2004 — 2006
MBA, Financial Management
University of Maryland - Robert H. Smith School of Business 1999 — 2003
BS, Marketing
University of Maryland College Park 1999 — 2003
BA, Government & Politics
Deloitte March 2009 - Present
SpecTal September 2004 - March 2009
SAIC May 2004 - September 2004
U.S. Securities & Exchange Commission August 2003 - May 2004
Skills
Management Consulting, Program Management, Intelligence Analysis, National Security, Business Process..., Strategy, Project Management, Business Transformation, Business Analysis, Change Management, Organizational Design, Business Intelligence, Analysis, Business Strategy, Data Analysis, Government, International Relations, Risk Management, Strategic Planning
Education
George Mason University - School of Management 2006 — 2009
MBA
Georgia Institute of Technology 1999 — 2003
B.S., International Affairs
Greenberg Traurig, LLP June 2013 - Present
Jorden Burt LLP March 2013 - May 2013
Center for Food Safety October 2012 - February 2013
PHI May 2011 - April 2012
U.S. Securities & Exchange Commission June 2010 - August 2010
RAND July 2008 - July 2009
Hughes Hubbard and Reed LLP August 2007 - July 2008
Skills
Legal Research, Legal Writing, Litigation, Administrative Law, Public Policy, Policy Analysis, Westlaw, International Law, Courts, Civil Litigation
Education
Georgetown University Law Center 2010 — 2012
JD
Emory University School of Law 2009 — 2010
JD, Law
Emory University 2004 — 2007
BA, Political Science, Global Health
Ridge High School, Basking Ridge, NJ 2000 — 2004
High School
AOL May 2006 - Present
Linda Townsend Managment September 2006 - Present
Law Office of Chellis Neal Gonzalez 2003 - 2006
Venable LLP September 1997 - December 2002
Finnegan, Henderson, Farabow, Garrett & Dunner, LLP May 1995 - July 1997
Freelance Writer & Textbook Editor January 1995 - May 1995
U.S. Securities & Exchange Commission February 1992 - December 1994
Hon. Lawrence Rodowsky -- MD Court of Appeals August 1990 - July 1991
Johns Hopkins Hospital August 1980 - January 1987
University of Mississippi Medical Center 1978 - 1979
Skills
Intellectual Property, Patents, Patent Litigation, Licensing, Negotiation, Litigation, Trademarks, Copyright Law, Cyberlaw, Trademark Infringement, Public Speaking, Entertainment Law, Joint Ventures, Digital Media, Software Licensing, Prosecution, Privacy Law, Legal Opinions, Trade Secrets, Patentability, Patent Prosecution, Carrying messages to..., Biotechnology, Bachata, Motorcycling, Legal Writing, Registered Patent..., Legal Research, Mediation, Krav Maga, Latin Dance, Marksmanship, Scaling Large Obstacles, Moving Mountains, Internet, Registered Nurse, Nursing, Operating Room, Pediatric Intensive Care, Management, Media Law, Civil Litigation
Education
University of Baltimore School of Law 1986 — 1990
J.D., Law
University of Maryland Baltimore County 1981 — 1985
Bachelor’s Degree, Biology/Molecular Biology
Frederick Community College 1976 — 1978
Associate’s Degree, Registered Nursing/Registered Nurse
University of Maryland University College
Master’s Degree, Biotechnology
King & Spalding LLP August 2014 - Present
King & Spalding LLP May 2013 - July 2013
U.S. Securities & Exchange Commission January 2013 - May 2013
Maynard, Cooper & Gale, P.C. June 2012 - August 2012
Bradley Arant Boult Cummings LLP May 2012 - June 2012
GNI Capital, Inc. May 2011 - August 2011
UBS AG January 2011 - May 2011
Dunlop Sports Group Americas June 2009 - August 2009
Tennis Academy of the South May 2007 - August 2008
Education
University of Georgia School of Law 2011 — 2014
J.D.
Furman University 2007 — 2011
B.A.
Westminster 2002 — 2007
Accenture July 2011 - Present
PDI Ninth House February 2011 - May 2011
Columbia Business School February 2011 - May 2011
Retensa - Talent Management Strategies June 2010 - February 2011
Baton Rouge Crisis Intervention Center April 2007 - January 2009
U.S. Securities & Exchange Commission June 2008 - August 2008
Skills
Corporations, Change Management, Leadership, Leadership Development, Technology Needs..., Business Transformation, Business Process..., Organizational..., Management Consulting, Organizational..., Organizational Design, Strategy, Management, Data Analysis, Business Analysis, Performance Improvement, Consulting, Workshop Facilitation, Research, Training, Team Building, Program Management
Education
Columbia University in the City of New York
M.A, Organizational Psychology: Organization Leadership & Change
Louisiana State University
B.S, Psychology, Minor Business
Markun, Zusman, Freniere & Compton LLP April 2013 - Present
Freniere Law Group PLLC October 2012 - April 2013
LPL Financial LLC October 1992 - September 2012
U.S. Securities & Exchange Commission 1989 - 1992
Apollo Computer Inc. 1987 - 1989
Skills
Member of Massachusetts..., Series 7, 24 and 63..., FINRA District..., SIFMA Arbitration &..., Martindale Hubbell AV..., Securities, FINRA, Securities Regulation, Arbitration, Corporate Governance, Fraud, Mediation, Series 7, SEC, Securities Litigation, Mutual Funds, Alternative Dispute..., Alternative Investments, Asset Management, Broker-Dealer, Dispute Resolution, ERISA, Due Diligence, Equities, Finance, Financial Regulation, Financial Services, Internal Investigations, Investment Advisory, Licensing, Litigation, Private Placements, Series 24, Variable Annuities, Investments
Education
Suffolk University Law School 1985 — 1988
JD, Law
Providence College 1981 — 1985
B.A. with Honors, Political Science
U.S. Securities & Exchange Commission 2012 - Present
Ropes & Gray LLP 2008 - 2011
Nutter McClennen & Fish LLP 2006 - 2008
Ropes & Gray LLP 2005 - 2006
Testa, Hurwitz & Thibeault, LLP 2000 - 2005
Skills
Litigation, Securities Litigation, Business Litigation, Class Actions, Civil Litigation, Legal Writing
Education
Harvard Law School 1997 — 2000
J.D., Law
Boston College 1993 — 1997
B.A., Psychology
Office of the Director of National Intelligence June 2013 - June 2015
NNSA January 2010 - June 2013
Department of the Interior July 2006 - January 2010
US Department of Homeland Security December 2000 - July 2006
U.S. Securities & Exchange Commission March 1992 - November 1998
Skills
Enterprise Architecture, Cloud Computing, Program Management, SOA, IT Strategy, Integration, Government, Architecture, Information Assurance, Security, System Architecture, Systems Engineering, Information Security, ITIL, Solution Architecture, Governance, Business Intelligence, DoD, Analysis, Computer Security, Risk Management, Process Improvement, Requirements Analysis, SaaS, Enterprise Software, Security Clearance, Business Process, Leadership, Strategy, Information Technology, Virtualization, Business Continuity, CRM, Change Management, Architectures, ERP, PMP, Management, Identity Management
Education
The George Washington University 2006 — 2009
Master's of Science in Engineering Management
Potomac College-Washington 1999 — 2001
Bachelor of Applied Science (B.A.Sc.)
Covington & Burling 2013 - Present
Cravath, Swaine & Moore LLP 2011 - 2013
U.S. Securities & Exchange Commission October 2009 - December 2009
Cravath, Swaine & Moore LLP May 2009 - July 2009
U.S. Attorney's Office, Central District of California June 2008 - August 2008
Oldaker, Biden & Belair, LLP 2004 - 2007
Education
University of Pennsylvania Law School 2007 — 2010
J.D.
The George Washington University 2000 — 2004
B.A., Political Science
University of Oxford 2002 — 2003
Visiting Student, Politics, Philosophy & Economics
ATT General Attorney & Associate General CounselAT&T Services, Inc.February 2002 - Present
Kansas Human Rights Commission 2009 - 2009
Gordon & Glickson LLC May 1998 - February 2002
Chicago Stock Exchange September 1986 - May 1998
Finley, Kumble, Wagner, Heine, Underberg, Manley & Casey September 1984 - September 1986
U.S. Securities & Exchange Commission September 1982 - September 1984
Manhattan District Attorney August 1981 - September 1982
Skills
Joint Ventures, Legal Compliance, Westlaw, Arbitration, Cyberlaw, Corporations, Telecommunications, Privacy Issues
Education
New York University School of Law 1982 — 1984
LL.M. (in Corporations), (Antitrust; Corporations; Corporate Finance; Securities; Bankruptcy/Reorganizations)
Rutgers University School of Law - Newark 1974 — 1978
J.D., Law
Southern Illinois University, Carbondale 1974 — 1978
Bachelor of Arts (B.A.)-Political Science
U.S. Securities & Exchange Commission September 2004 - Present
Deloitte January 2000 - August 2004
Skills
SEC filings, US GAAP, IFRS, CPA, Public Companies, Revenue Recognition, Big 4, Financial Statements, Financial Reporting, Sarbanes-Oxley Act, IPO
Education
Weatherhead School of Management at Case Western Reserve University 1998 — 1999
Master of Accountancy, Reporting & Assurance Services, Corporate Finance, Policy & Strategy
Stetson University 1994 — 1998
Bachelor of Business Administration (B.B.A.), Accounting
Federal Reserve System February 2015 - Present
U.S. Securities and Exchange Commission September 2014 - February 2015
U.S. Securities & Exchange Commission January 2013 - September 2014
Kirkland & Ellis LLP March 2004 - January 2013
Bell Boyd & Lloyd September 2002 - March 2004
Lakotra Trading LLC May 1993 - September 2001
Skills
Litigation, Trials, Class Actions, Product Liability, Securities, Healthcare, Securities Regulation, False Claims, Courts, Securities Litigation, FCPA, Alternative Dispute..., Mediation, Sarbanes-Oxley Act, Trial Practice, Fraud, Corporate Law, Antitrust Law, Mergers & Acquisitions, Strategic Negotiations, Contract Law, Banking Law
Education
Loyola University Chicago School of Law 1999 — 2002
Doctor of Law (J.D.)
Loyola University of Chicago 1989 — 1993
Bachelor of Arts (B.A.), Economics & Political Science
US Securities and Exchange Commission September 2009 - Present
Plymouth State University 2011 - 2013
Financial Crisis Inquiry Commission February 2010 - December 2010
Poulin Consulting May 2008 - September 2009
Corning Incorporated September 2005 - March 2008
Polaris 2002 - 2008
U.S. Securities & Exchange Commission 2000 - 2005
Duro Industries 1998 - 2000
Ernst & Young LLP 1988 - 1998
Old Stone Bank 1986 - 1988
Skills
Executive Management, SEC reporting, Corporate Governance, Accounting, Auditing, Internal Controls, Financial Accounting, GAAP, IFRS, Sarbanes-Oxley Act, Finance, Cost Accounting, Consolidation, Financial Statements, Internal Audit
Education
American University - Kogod School of Business 2001 — 2003
Masters
Plymouth State University 1980 — 1984
BS
Oyster River High School 1976 — 1980
Buckley Beal, LLP, Law Firm April 2010 - Present
Qivliq April 2008 - April 2011
Clements & Sweet, PC June 2008 - May 2010
Kramer & Patel, LLC May 1997 - June 2008
Georgia Association of Educators November 1998 - May 2007
Zimring & Ellin, PC May 1992 - April 1997
U.S. Securities & Exchange Commission March 1984 - June 1985
Skills
Workers Compensation, Employment Law, Education Law, Litigation, Appeals, Arbitration, Mediation, Strategic Planning, Non-profits, Public Pensions, Contract Negotiation, Collective Bargaining, Litigation Management, Nonprofits, Trials, Legal Research, Commercial Litigation, Intellectual Property, Class Actions, Legal Assistance, Hearings, Dispute Resolution, Product Liability, Legal Writing, Securities Regulation
Education
Emory University - Goizueta Business School 1989 — 1990
MBA
University of California, Davis - School of Law 1976 — 1980
JD
Oberlin College 1973 — 1976
B.A., Government (Political Philosophy)
B-CC High School 1969 — 1972
Accenture June 2000 - Present
Venable LLP January 1997 - June 2000
U.S. Securities & Exchange Commission September 1991 - January 1997
IBM January 1984 - August 1988
Skills
Business Transactions, Licensing, Contract Negotiation, Intellectual Property, Corporate Law, Mergers & Acquisitions, Legal Writing, Corporate Governance, Litigation, Commercial Litigation, Due Diligence, Patents, Privacy Law
Education
University of Maryland School of Law 1988 — 1991
Juris Doctor (J.D.), Law
Louisiana State University, Paul M. Hebert Law Center
Summer Law Program, Aix-en-Provence, France
Syracuse University
Master's Degree, Computer Science
University of Maryland College Park
Bachelor's Degree, Computer Science, Chemistry
Reed Smith LLP August 2014 - Present
DLA Piper October 2012 - August 2014
DLA Piper June 2011 - August 2011
United States District Court for the Northern District of Illinois January 2011 - April 2011
U.S. Securities & Exchange Commission September 2010 - December 2010
ITW May 2010 - August 2010
McMaster-Carr May 2008 - June 2009
McMaster-Carr August 2007 - April 2008
McMaster-Carr August 2006 - July 2007
Skills
Legal Writing, Legal Research, Commercial Litigation, Appeals, Mediation, Westlaw, Litigation, Employment Law, Civil Litigation, Policy Analysis, Due Diligence, Arbitration
Education
Northwestern University School of Law 2009 — 2012
Doctor of Law (J.D.), Law
Howard University 2002 — 2006
Bachelor of Arts (B.A.), English
U.S. Securities & Exchange Commission January 2001 - December 2006
Pricewaterhouse Coopers -Dublin, IRELAND January 2000 - September 2000
Birnberg & Asscociates September 1997 - March 1998
Education
Trinity College Dublin 1999 — 2000
LL.M
Santa Clara University School of Law 1992 — 1995
JD
University of California, Davis 1987 — 1991
B.A.
Morgan, Lewis & Bockius LLP February 2012 - Present
Orrick, Herrington & Sutcliffe LLP March 2005 - February 2012
U.S. Securities & Exchange Commission 1992 - 1995
Skills
Securities Litigation, Securities Regulation, White Collar Criminal..., FCPA, Internal Investigations, Class Actions, Corporate Governance, Litigation, Securities, Commercial Litigation, Arbitration, Corporate Law, Civil Litigation, Criminal Law, Fraud, Legal Research, Enforcement, Licensing, Securities Offerings, Private Investigations
Education
Pepperdine University School of Law 1989 — 1992
JD
Whirlpool Corporation November 2013 - Present
Loyola University Chicago - School of Law September 2008 - December 2013
Aon November 2011 - November 2013
U.S. Securities & Exchange Commission May 2010 - November 2011
Winston & Strawn September 2004 - May 2010
Miller Johnson 2002 - 2003
Skills
Litigation, Legal Research, Civil Litigation, Commercial Litigation, Internal Investigations, Appellate Practice, Briefs, Litigation Management, Appeals, Class Actions, Securities Regulation, White Collar Criminal..., Product Liability, Legal Writing, Administrative Law
Education
University of Michigan Law School 2001 — 2004
Juris Doctor, Law
Calvin College 1997 — 2001
B.A., Political Science
The Lynch Charles Law Group, P.C. January 2014 - Present
Lynch Law Group, P.C. April 1998 - Present
JOHNSON, PRIOULEAU, LYNCH & KENISON, LLC September 1995 - April 1998
ALEMBIK, FINE April 1995 - September 1995
UNITED STATES DISTRCIT COURT - NORTHERN DISTRICT OF GEORGIA June 1994 - April 1995
SOUTH CAROLINA COURT OF APPEALS August 1993 - June 1994
CIRCUIT SOLICITOR'S OFFICE October 1991 - May 1993
UNIVERSITY of SOUTH CAROLINA SCHOOL OF LAW August 1991 - May 1993
U.S. SECURITIES & EXCHANGE COMMISSION July 1992 - September 1992
Skills
Litigation, Commercial Litigation, Legal Writing, Civil Litigation, Corporate Law, Courts, Trials, Product Liability, Personal Injury, Licensing, Criminal Law, Family Law, Class Actions, Legal Advice, Hearings, Litigation Support, Trademarks, Depositions, Mergers & Acquisitions, Copyright Law
Education
University of South Carolina School of Law 1990 — 1993
Juris Doctorate, Business
University of South Carolina-College of Business 1986 — 1990
Bachelor of Science, Accounting
U.S. Securities & Exchange Commission September 2007 - Present
Municipal Mortgage & Equity, LLC ("MuniMae") 2006 - 2007
U.S. Securities & Exchange Commission April 2004 - October 2006
Ernst & Young August 2002 - April 2004
Arthur Andersen May 1998 - March 2002
Skills
Auditing, SEC filings, Financial Reporting, Accounting, GAAP, Financial Analysis, Sarbanes-Oxley Act, US GAAP, CPA
Education
University of Delaware - Lerner College of Business and Economics 1994 — 1998
BS, Accounting
Wells Fargo November 2010 - Present
Oppenheimer & Co September 2009 - November 2010
Revolution Partners, A Division of Morgan Keegan February 2009 - August 2009
JP Morgan 1999 - 2008
Gray Cary Ware & Freidenrich 1997 - 1999
U.S. Securities & Exchange Commission 1994 - 1997
Education
University of Colorado School of Law 1991 — 1994
Juris Doctor, Law
University of Missouri-Columbia
B.S.B.A., Finance
Sullivan & Cromwell LLP September 2008 - Present
U.S. Department of Justice July 2007 - August 2007
U.S. Securities & Exchange Commission May 2006 - August 2006
Time Warner Inc. March 2001 - March 2004
Morgan Stanley April 2000 - March 2001
Raymond James & Associates July 1999 - April 2000
Education
Duke University 2004 — 2008
JD/MBA
Harvard University 1995 — 1999
AB, Economics
Deloitte Touche Tohmatsu Limited January 2015 - Present
PCAOB January 2013 - December 2014
U.S. Securities and Exchange Commission March 2009 - January 2013
U.S. Securities & Exchange Commission May 2004 - March 2009
Hogan & Hartson LLP 2002 - 2004
Simpson Thacher & Bartlett 1999 - 2002
U.S. District Court for the Eastern District of New York August 1998 - August 1999
Skills
Enforcement, Securities, Securities Regulation, SEC, Commercial Litigation, Private Investigations, Securities Litigation, Government, Corporate Law
Education
The Johns Hopkins University 2008 — 2011
M.A., Writing
Columbia Law School 1995 — 1998
JD, Law
Northwestern University 1990 — 1994
BA, Philosophy and History
Chicago Board Options Exchange (CBOE) April 2012 - Present
Kirkland & Ellis, LLP January 2007 - April 2012
U.S. Securities & Exchange Commission July 2001 - December 2006
Skills
Securities Litigation, Securities, Securities Regulation, Corporate Law, Corporate Governance, Legal Writing, Legal Research, Commercial Litigation, Securities Offerings, Civil Litigation, Internal Investigations, Private Equity, Compliance, Legal Compliance, Banking Law
Education
Chicago-Kent College of Law, Illinois Institute of Technology 1999 — 2001
LL.M., Financial Services Law
University of Denver - Sturm College of Law 1996 — 1999
J.D.
Tulane University 1989 — 1993
B.A., Philosphy
U.S. Securities & Exchange Commission Assistant General CounselTosco Corp.1993 - 2001
Education
University of Houston Law Center 1977 — 1980
J.D., Law
University of Virginia 1971 — 1975
B.A., Liberal Arts
Federal Energy Regulatory Commission December 2008 - Present
Federal Energy Regulatory Commission September 2008 - December 2008
U.S. Securities & Exchange Commission 2007 - 2007
NASD 2006 - 2006
West Financial Services 2004 - 2005
Capitol Securities Management, Inc. 2001 - 2004
Skills
Legal Writing, Administrative Law, Legal Research, Energy, Research, Energy Law, Energy Policy, Energy Markets, Appeals, Electric Power
Education
The Catholic University of America, Columbus School of Law 2005 — 2008
J.D., Securities & Corporate Law Concentration
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1996 — 2000
BSBA, Business, Chemistry Minor
ABR Investment Strategy, LLC March 2011 - Present
Lateef Investment Management September 2008 - January 2011
Standard Pacific Capital June 2006 - August 2008
U.S. Securities & Exchange Commission May 2005 - June 2006
Banc of America Securities, LLC December 2000 - May 2005
Paul Hastings Janofsky & Walker PC August 1998 - December 2000
Skills
Compliance, Securities Regulation, Venture Capital, Private Equity, Hedge Funds, Investment Advisory, Operations Management, Alternative Investments, Due Diligence, Investment Management, Prime Brokerage, Corporate Finance, Investments, Investment Banking, Mutual Funds, Financial Services, Securities, Asset Management, Equities, Series 7, Series 63, Capital Markets, Portfolio Management, Equity Research, Investor Relations, Fund Administration, AML, FINRA, Series 24, Anti Money Laundering, Fixed Income, Fund Of Funds, Trading
Education
Tulane University Law School
JD, Common Law Curriculum
University of California, Los Angeles
BA, Political Science, Business Administration
U.S. Securities & Exchange Commission January 2013 - Present
US Securities and Exchange Commission September 2004 - January 2013
Skills
Commercial Litigation, Corporate Law, Legal Writing, Litigation, Securities Regulation
Education
Seton Hall University School of Law 2000 — 2003
Doctor of Law (JD)
Rutgers University-New Brunswick 1997 — 2000
BA, Economics & Political Science
University of Maryland College Park 1996 — 1997
U.S. Securities & Exchange Commission May 2004 - Present
Perry Ellis International 2002 - 2004
PricewaterhouseCoopers 1998 - 2002
Skills
Financial Reporting, Accounting, US GAAP, GAAP, Auditing, SEC Filings, Financial Accounting, Financial Analysis, Internal Controls, Sarbanes-Oxley Act
Education
Florida International University
Master's degree, Accounting
Florida International University - College of Business 1993 — 1997
Bachelor's degree, Accounting
-- April 2013 - Present
U.S. Securities & Exchange Commission September 2007 - Present
JPMorgan Chase August 2001 - August 2003
Skills
Securities Regulation, Litigation, Civil Litigation, Corporate Law
Education
Northwestern University School of Law 2004 — 2007
University of Illinois at Urbana-Champaign
U.S. Securities and Exchange Commission May 2013 - Present
U.S. Securities and Exchange Commission (SEC), OHR, Talent Mngt Branch, Recruitment Team March 2012 - Present
With These Hands August 2008 - Present
U.S. Securities & Exchange Commission March 2004 - Present
U.S. Securities & Exchange Commission, Office of Human Resources June 2011 - March 2012
The Arc Prince Georges County, MD 2009 - 2012
U.S. Department of Education September 1989 - March 2004
Skills
Change Management, Entrepreneur, Organizational..., Leadership, Talent Management, Career Development..., Program Development, Career Development, Advocate, Entrepreneurship, Program Management, Public Speaking, Coaching, Recruiting, Executive Coaching, Staff Development, Government, Human Resources
Education
Trinity University-Washington 2005 — 2008
MSA, Organizational Management/Organizational Development
Trinity University-Washington 1999 — 2005
B.A. w/Honors, Human Relations/Business Administration
MentorCoach, LLC
Leadership & Career Coaching
Literacy Council of Prince Georges County, MD
Adult Literacy Tutor Training Program
Sci-Tek Consultants, Inc. September 2014 - Present
Solvaire Technologies July 2014 - August 2014
KuKu-iT LLC December 2013 - July 2014
Orrick, Herrington & Sutcliffe LLP October 2011 - November 2013
Choice Counsel October 2011 - October 2011
Rothman Gordon August 2010 - June 2011
Special Counsel June 2010 - August 2010
Eckert, Seamans, Cherin & Mellott October 2009 - December 2009
Dewey & LeBoeuf September 2007 - January 2009
U.S. Securities & Exchange Commission May 2006 - August 2006
Skills
Mergers, Securities, Corporate Governance, Due Diligence, Securities Law, Corporate Law, Research, Corporate Finance, Capital Markets, Commercial Litigation, Legal Research, Litigation Support, Securities Regulation, Litigation, Legal Writing, Mergers & Acquisitions, Joint Ventures, Mediation, Intellectual Property, Courts, Civil Litigation, Political Strategy, Political Campaigns
Education
University of Pennsylvania Law School 2004 — 2007
J.D., Law
University of Pittsburgh 1995 — 1999
B.S., Mechanical Engineering
Canevin Catholic High School 1991 — 1995
Kramer Van Kirk Credit Strategies L.P. December 2011 - Present
Harris Associates L.P. May 2000 - January 2011
Heller Financial July 1998 - April 2000
U.S. District Court for the Southern District of California June 1997 - June 1998
U.S. Department of Justice Northern District of Ohio August 1996 - May 1997
U.S. Securities & Exchange Commission July 1993 - May 1997
Education
Marquette University Law School 1990 — 1993
JD
Saint Mary's College 1985 — 1989
BBA, Finance
U.S. Securities & Exchange Commission Attorney AdvisorUS Securities and Exchange CommissionAugust 2013 - Present
Securities and Exchange Commission 1994 - Present
Verner Liipfert Bernhard McPherson & Hand 1992 - 1994
Skills
Securities Regulation, Investment Advisers Act, Broker-Dealer, Investment Company Act, Due Diligence, Corporate Governance, Mediation, Securities Litigation, Commercial Litigation, Legal Compliance, Securities Offerings, Corporate Law, Internal Investigations, Securities, Trade Secrets, Class Actions
Education
Duke University School of Law 1987 — 1990
JD, Law
Duke University 1983 — 1987
Duke University 1983 — 1987
Holton-Arms 1974 — 1983
U.S. Securities & Exchange Commission July 2010 - Present
Citigroup/Lava Trading April 2006 - June 2010
WR Hambrecht + Co October 2000 - February 2006
Skills
Securities, Capital Markets, Equities, Trading, Hedge Funds, Fixed Income, FINRA, Series 7, Investments, Mutual Funds, Equity Trading, Options, Series 24
Education
San Francisco State University
MBA
University of Colorado Boulder
BA, Mathematics
P.R. Herzig & Co., Inc. 1994 - Present
U.S. Securities & Exchange Commission 1988 - 1994
Education
University of Michigan - Stephen M. Ross School of Business 1985 — 1987
MBA, Finance
Cornell University 1981 — 1985
BS, Business
U.S. Securities & Exchange Commission April 2005 - Present
State Street August 2001 - April 2005
State Street August 2000 - August 2001
State Street April 1998 - August 2000
State Street March 1996 - April 1998
Colonial Mutual Funds October 1995 - March 1996
Skills
Securities Regulation, SEC, FINRA, Investment Advisers Act, Financial Regulation, Securities, Financial Analysis, Financial Services, Investments, Mutual Funds, Fixed Income, Risk Management, Hedge Funds, Equities, Due Diligence, Finance
Education
Boston University 2001 — 2003
MS, Concentration: Financial Economics
New York University - Leonard N. Stern School of Business 1990 — 1995
AA, BS, Liberal Arts, Business
Bucks County Community College September 2007 - Present
Aronson+Johnson+Ortiz November 2003 - Present
Deutsche Asset Management February 2001 - November 2003
U.S. Securities & Exchange Commission February 1994 - February 2001
Education
Philadelphia University 1995 — 1998
M.B.A., Finance
The College of New Jersey 1991 — 1993
B.S., Accounting
BlackRock February 2012 - Present
BlackRock April 2006 - February 2012
SEI Investments 2004 - 2006
PNC Financial Services Group (Formerly PFPC) 2001 - 2004
Brandywine Asset Management 1998 - 2001
PricewaterhouseCoopers 1996 - 1998
U.S. Securities & Exchange Commission 1992 - 1994
Skills
Alternative Investments, Hedge Funds, Structured Finance, Financial Reporting, Compliance, Accounting, Investment Operations, SEC reporting, Fund Of Funds, Regulatory Reporting, Form PF, CDO, Investments, Capital Markets, Asset Managment, SEC filings, Equities, Securities, Valuation, Due Diligence, Fund Accounting, Fund Administration, Internal Controls, Commodity Pools, Asset Management, Form PQR, AIFMD, Public Speaking, Mutual Funds, Fixed Income, Portfolio Management, Bloomberg, Financial Services, Financial Modeling, Investment Management, Investment Strategies
Education
Cornell University - Johnson Graduate School of Management 1994 — 1996
MBA, Finance, Accounting
American University 1988 — 1992
BSBA, Finance
American University - Kogod School of Business 1988 — 1992
BSBA, Finance
Robert Wayne Pearce, P.A. January 2000 - Present
Lerner & Pearce, P.A. January 1990 - December 1999
Lerner, Harris, Pearce, P.A. February 1983 - December 1989
U.S. Securities & Exchange Commission May 1980 - February 1983
Skills
Arbitration, Litigation, Dispute Resolution, Courts, Mediation, Securities Law, Commodities Law, Spanish-speaking, Securities Regulation, Federal Law, Class Actions, Product Liability, Employment Law, Securities, FINRA, Trials, Legal Research, Torts, Dispute, Corporate Governance, Estate Planning, Litigation Support, Personal Injury..., Legal Writing, Securities Litigation, Breach Of Contract, Bankruptcy, Wrongful Death, Medical Malpractice, Trade Secrets
Education
Hofstra University School of Law 1977 — 1980
Juris Doctor/Masters of Business Administration, Law and Business
Hofstra University School of Business 1977 — 1980
Masters in Business Administration, Banking, Corporate Finance, and Securities Law
Florida Institute of Technology 1969 — 1973
Bachelor of Science (B.S.), Pre-Medicine/Pre-Medical Studies
U.S. Securities & Exchange Commission May 2010 - Present
Winston & Strawn LLP September 2001 - May 2010
Skills
Civil Litigation, Commercial Litigation, Legal Writing, Trials, Courts, Securities Regulation, Securities Litigation, Corporate Internal..., White Collar Criminal...
Education
University of Illinois College of Law 1998 — 2001
Juris Doctor
Georgia Southern University 1995 — 1998
Bachelor of Arts (B.A.), Political Science
Bingham McCutchen LLP May 2002 - Present
U.S. Securities & Exchange Commission 1997 - 2000
SEC 1997 - 2000
Education
St. John's University School of Law 1994 — 1997
J.D.
Georgetown University 1989 — 1993
B.A., Psychology, Philosophy
U.S. Securities and Exchange Commission November 2013 - February 2015
U.S. Securities & Exchange Commission February 2005 - October 2013
Sherman & Howard L.L.C. 1998 - 2005
Colorado Supreme Court 1997 - 1998
Skills
Securities Regulation, Corporate Law
Education
University of Denver - Sturm College of Law
J.D.
Barge Consulting LLC October 2007 - February 2008
U.S. Securities & Exchange Commission 1978 - 2007
Education
Clark Atlanta University 1966 — 1970
BA, Business Administration/Accounting
Holland & Knight LLP January 2007 - Present
Akerman Senterfitt August 1999 - December 2006
US Securities and Exchange Commission August 1988 - July 1999
U.S. Securities & Exchange Commission 1988 - 1999
Skills
Venture Capital, Mergers & Acquisitions, Mergers, Securities Regulation, Corporate Finance, Corporate Law, Corporate Governance, Litigation
Education
Nova Southeastern University—Shepard Broad Law Center 1985 — 1988
jd, Law
shartsis friese LLP June 1975 - Present
Shartsis Friese LLP June 1975 - Present
Shartsis Friese LLP June 1975 - Present
U.S. Securities & Exchange Commission June 1971 - June 1975
U.S. Securities and Exchange Commission 1971 - 1975
Skills
Securities Litigation, Securities Regulation, Arbitration, Litigation, Class Actions, White Collar Criminal..., Commercial Litigation, Business Litigation, Trade Secrets, Mediation, Appeals, Product Liability, Trial Practice, Trials, Torts, Civil Litigation, Dispute, Breach Of Contract, Alternative Dispute..., Competition Law, Construction Law, Dispute Resolution
Education
Northwestern University 1967 — 1970
Doctor of Law (JD)
Stanford University 1960 — 1964
Bachelor of Arts (B.A.)
Stanford University A.B. 1960 — 1964
Bachelor of Arts (B.A.)
U.S. Securities and Exchange Commission July 2015 - Present
U.S. Securities & Exchange Commission November 2013 - July 2015
Internal Revenue Service March 2013 - November 2013
Internal Revenue Service October 2009 - March 2013
Internal Revenue Service October 2006 - October 2009
Fannie Mae October 2005 - October 2006
Accenture June 1998 - September 2005
Skills
Program Management, SDLC, Integration, Requirements Gathering, Software Development, Business Development, Management, Leadership, Analysis, Budgets, CRM, Consulting, Government, Microsoft Office, PMP, Process Improvement, Project Management, Public Speaking, Strategic Planning, Team Building, Training
Education
Hampton University 1993 — 1998
Bachelor's of Science, Computer Science
U.S. Securities & Exchange Commission 2009 - Present
JP Morgan, Bear Stearns Asset Management 2007 - 2009
Euclid Financial Group, Inc. 2003 - 2007
Skills
Securities, Hedge Funds, Asset Management, Investment Advisory, Private Equity, Legal Compliance, Regulatory Compliance, Legal Opinions, Transactional Law, Regulatory Filings, Alternative Investments, Venture Capital, Angel Investing, Early Stage Ventures, Early-stage Startups, Early Stage Companies, Capital Markets, Management, Fixed Income, Asset Managment, Corporate Law, Due Diligence, Securities Regulation, Equities, Investments, SEC, Mutual Funds, Derivatives, Corporate Governance, Financial Services, Investment Management
Education
Tulane University Law School 1993 — 1996
J.D., Law
New York University - Leonard N. Stern School of Business 1988 — 1992
B.S., Business
O'Melveny & Myers LLP October 2012 - Present
U.S. Securities & Exchange Commission May 2011 - August 2011
Cline Davis & Mann June 2008 - June 2009
Skills
Legal Research, Westlaw
Education
Fordham University School of Law 2009 — 2012
JD
University of Pennsylvania 2004 — 2008
Bachelor of Arts (B.A.), Political Science
University of Pennsylvania - The Wharton School 2004 — 2008
BA, Political Science, Italian Studies
Morgan, Lewis & Bockius LLP 1995 - Present
US Securities and Exchange Commission 1984 - 1995
U.S. Securities & Exchange Commission 1984 - 1995
Education
Georgetown University Law Center 1971 — 1974
Doctor of Law (JD)
Wright State University 1968 — 1971
Master of Business Administration (MBA)
Oberlin College 1960 — 1964
A.B., cum laude, Mathematics and Economics
Rosetta Stone January 2015 - Present
Keurig Green Mountain, Inc. 2012 - 2014
Bill & Melinda Gates Foundation 2008 - 2011
McCormick & Company, Inc. 2005 - 2008
Whiteford, Taylor & Preston 2002 - 2005
Blank Rome LLP 1999 - 2002
U.S. Securities & Exchange Commission 1996 - 1999
Skills
Corporate Governance, Corporate Law, Securities Regulation, Employment Law, Mergers & Acquisitions, Securities, Due Diligence, Contract Negotiation, Governance, Executive Pay, Mergers, Venture Capital, Joint Ventures, Legal Writing, Policy, Legal Research, Management, Employee Benefits, Legal Advice, Legal Compliance, Sarbanes-Oxley Act, Risk Management, Negotiation, Privacy Law, IPO, Finance, Strategy, Private Equity, Business, Acquisitions, SEC filings, Divestitures
Education
The John Marshall Law School 1992 — 1995
Juris Doctorate
Hood College 1986 — 1989
BA & BS, Finance & Economics
BATS Global Markets, Inc. May 2013 - Present
National Stock Exchange, Inc. October 2012 - May 2013
Credit Suisse Securities (USA) LLC April 2006 - October 2012
Morgan Stanley November 2004 - April 2006
U.S. Securities & Exchange Commission August 2001 - October 2004
Skills
Broker Dealer, Equities, Securities Law, Securities Regulation, Securities, Equity Capital Markets, Trading, Equity Trading, Control..., Equity Research, Restricted Securities..., Broker Dealer Compliance, Equity Market Structure, Self Regulatory..., Investment Banking, FINRA, Broker-Dealer, SEC, Due Diligence, Financial Services
Education
New York Law School 1997 — 2001
JD
City University of New York-John Jay College of Criminal Justice 1995 — 1997
BS, Criminal Justice
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Securities & Exchange Commission May 2012 - Present
National Archives II College Park MD January 2011 - June 2012
Preservation Consultant May 2008 - January 2011
Northeast Document Conservation Center May 2005 - May 2008
Massachusetts Historical Society January 2003 - June 2005
Education
Simmons College 2002 — 2006
M.A., American History
Simmons College 2002 — 2004
M.S., Library and Information Science, concentration in Archives
Millsaps College 1994 — 1998
B.A., English Literature
Law Offices of G. Y. Alexis, Esq. August 1985 - Present
Suffolk University Law School February 1982 - June 1983
U.S. Securities & Exchange Commission January 1978 - August 1979
U.S. Embassy, Copenhagen, Denmark September 1976 - December 1977
Skills
Trusts, Research, Estate Planning, Litigation, Legal Writing, Legal Research, Civil Litigation, Commercial Litigation, Personal Injury, Mediation, Courts, Corporate Law, Appeals, Product Liability, Securities Regulation, Trials, Hearings
Education
Harvard Law School 1969 — 1972
J.D., Law
Yale University Divinity School 1996 — 1998
M.A.R., Ethics
New School for Social Research 1999 — 2003
Ph.D., Sociology and Historical Studies
University of Southern California
B.S., Business
Kalorama Partners, LLC April 2003 - Present
U.S. Securities & Exchange Commission 2001 - 2003
Fried, Frank, Harris, Shriver & Jacobson 1978 - 2001
Fried Frank 1978 - 2001
Fried Frank 1978 - 2001
Fried Frank 1978 - 2001
US Securities and Exchange Commission 1975 - 1978
U.S. Securities and Exchange Commission 1973 - 1975
U.S. Securities and Exchange Commission 1972 - 1973
Skills
Corporate Governance, Securities, Corporate Law, Mergers & Acquisitions, Litigation, Internal Investigations, Private Equity, Due Diligence, Commercial Litigation, Legal Research, Hedge Funds, Capital Markets, Securities Regulation, Arbitration, Private Placements, International Law, Joint Ventures, Corporate Finance, Civil Litigation, Legal Writing, Fraud, Privacy Law, Mergers, Private Investigations, IPO, Investments, Forensic Accounting, FCPA, Risk Management, Securities Litigation, Venture Capital
Education
St. John's University School of Law
LL.D (Hon.) (2002)
St. John's University School of Law 1965 — 1968
Juris Doctor (J.D.)
City University of New York-Brooklyn College 1961 — 1965
BA, Political Science, Urbanism
Willkie Farr & Gallagher LLP October 2014 - Present
Willkie Farr & Gallagher LLP January 2014 - April 2014
US Securities and Exchange Commission September 2013 - November 2013
Willkie Farr & Gallagher LLP May 2013 - August 2013
U.S. Securities & Exchange Commission January 2013 - April 2013
United States District Court of the District of Columbia September 2012 - January 2013
Erickson Retirement May 2008 - November 2012
Court of Appeals of Maryland May 2012 - August 2012
University of Maryland School of Law June 2011 - August 2011
Lane Company 2007 - 2008
Skills
Financial Analysis, Financial Modeling
Education
The George Washington University Law School 2011 — 2014
JD with Highest Honors, Order of the Coif
University of Maryland School of Law 2010 — 2011
University of Massachusetts at Amherst - Isenberg School of Management 2005 — 2007
MBA
University of Maryland College Park 2000 — 2004
BA
U.S. Securities and Exchange Commission November 2014 - Present
US Securities and Exchange Commission March 2013 - November 2014
U.S. Securities & Exchange Commission March 2007 - March 2013
SEC June 1999 - March 2007
Education
Old Dominion University 1996 — 1999
BS, 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
American Express January 2015 - Present
Paul, Weiss, Rifkind, Wharton & Garrison LLP March 2013 - January 2015
Fried, Frank, Harris, Shriver & Jacobson LLP January 2010 - February 2013
Highbridge Principal Strategies April 2012 - November 2012
Fried, Frank, Harris, Shriver & Jacobson LLP May 2008 - July 2008
U.S. Securities & Exchange Commission 2008 - 2008
Dechert LLP May 2007 - August 2007
Office of the Inspector General of Philadelphia June 2006 - August 2006
Georgetown University 2002 - 2006
HTH Worldwide 2005 - 2005
Skills
Mergers & Acquisitions, Private Equity, Corporate Law, Legal Research, Legal Writing, Due Diligence, Tax, Mergers, Corporate Governance, Securities, Securities Regulation
Education
Georgetown University Law Center 2007 — 2009
LL.M., Taxation, With Distinction
Georgetown University Law Center 2006 — 2009
J.D.
Georgetown University - The McDonough School of Business 2002 — 2005
B.S.B.A., summa cum laude, Finance and International Business, Minor in Spanish
Georgetown University
Pennsylvania Governor's School
Pennsylvania Governor's School
Pennsylvania Governor's School
UNSW Australia
Upper Dublin
Compliance Consultants, Inc. January 1998 - Present
U.S. Securities & Exchange Commission January 1988 - August 1996
Education
Purdue University Calumet 1996 — 1998
Certificate, Computer Programming/Systems
DePaul University - Charles H. Kellstadt Graduate School of Business 1975 — 1978
MBA, Finance
Indiana University Bloomington 1969 — 1973
BS, Finance
Zeiders Enterprises, Inc. October 2012 - April 2014
U.S. Securities & Exchange Commission 2008 - 2008
Fidelity Investments 2000 - 2005
Skills
Investments, Process Improvement, Microsoft Excel, Business Analysis, Microsoft Office, Strategy, PowerPoint, Strategic Planning, Financial Analysis, Corporate Actions, Budgets, Mutual Funds, Securities, Financial Modeling
Education
California Western School of Law 2005 — 2008
JD
Trinity College-Hartford 1996 — 2000
BA, Economics
Canandaigua National Bank & Trust April 2012 - Present
freelance consulting July 2010 - Present
vFinance May 2006 - July 2010
Sterling Financial Investment Group 2003 - 2005
U.S. Securities & Exchange Commission September 2002 - January 2003
Valhalla Partners/GlobalNet Securities May 1998 - June 2000
Skills
Securities, Series 7, Equities, Due Diligence, Investments, Series 24, Securities Regulation, Fixed Income, Capital Markets, Series 63, Investment Banking, Financial Services, Risk Management, Executive Management, Legal Compliance, Investment Advisory, Corporate Governance, Mutual Funds, Hedge Funds, AML, Alternative Investments, Private Equity, Portfolio Management, Wealth Management, Finance, Bloomberg, Bonds, Strategic Financial..., FINRA, Trading, Asset Management, Asset Allocation, Derivatives, Financial Markets, Investor Relations, Investment Management, Options, Banking, Structured Products
Education
Cannon Financial Institute 2013 — 2015
Certified Fiduciary Investment Risk Specialist, Trust Administration, Compliance and Risk Management
Nova Southeastern University—Shepard Broad Law Center 2001 — 2004
JD
City University of New York-Hunter College 1997 — 1999
BA, English
City of Colorado Springs August 2015 - Present
City of Colorado Springs November 2013 - August 2015
Bingham & Lea, P.C. November 2006 - March 2013
U.S. Securities & Exchange Commission May 2005 - August 2005
Wells Fargo Bank, N.A. March 2000 - January 2002
Skills
Litigation, Bankruptcy, Collections, Trial Practice, Jury Trials, Arbitration, Securities Litigation, Commercial Litigation, Employment Law, Estate Planning, Wills, Chapter 7, Chapter 13 Bankruptcy
Education
Texas Tech University School of Law 2003 — 2006
J.D., Top 6%, summa cum laude
Texas Tech University 1999 — 2002
B.B.A., Finance, Economics, GPA 4.0, summa cum laude
Brooklyn Law School July 2013 - Present
U.S. Securities and Exchange Commission September 2014 - November 2014
FINRA May 2014 - July 2014
U.S. Securities & Exchange Commission January 2014 - April 2014
Supreme Court of the State of New York, Appellate Division, 2d Dept. May 2013 - July 2013
Ann Taylor November 2009 - July 2012
ANN INC. September 2011 - October 2011
Lucky magazine November 2008 - November 2010
Dolce & Gabbana February 2009 - May 2009
Skills
PowerPoint, Outlook, Excel, Microsoft Office, Writing, Legal Writing, Legal Research, Westlaw, LexisNexis, Customer Service, Time Management, Marketing, Microsoft Excel, Microsoft Word
Education
Brooklyn Law School 2012 — 2015
Doctor of Law (J.D.)
Fordham University 2008 — 2011
B.S., Business Administration, Concentration in Marketing, Minor in Legal and Ethical Studies
U.S. Securities & Exchange Commission 2010 - Present
Nigerian Lawyers Association 2010 - 2011
Simpson Thacher & Bartlett LLP 2007 - 2010
Baker Botts LLP September 2004 - June 2007
Cravath, Swaine & Moore LLP June 2003 - August 2003
Skills
Legal Assistance, Securities Regulation, Corporate Law, Legal Advice, Nonprofits, Legal Research, Securities, Capital Markets, Commercial Litigation, Corporate Finance, Cross-border..., Legal Writing, International Law, Litigation, Bankruptcy, Corporate Governance, Privacy Law, Banking Law, Arbitration, Leadership, Westlaw, Due Diligence, Intellectual Property, Private Equity, Joint Ventures, Mergers & Acquisitions
Education
Columbia University School of Law 2001 — 2004
JD/LLM, Law, Harlan Fiske Stone Scholar
University College London, U. of London 1997 — 2000
LLB, Law, Upper Class Honors (magna cum laude)
U.S. Securities & Exchange Commission 2006 - Present
U.S. Securities & Exchange Commission 2000 - 2006
U.S. Securities & Exchange Commission 1996 - 2000
U.S. Securities & Exchange Commission 1992 - 1996
U.S. Securities & Exchange Commission 1981 - 1992
Georgia Legal Services Program 1978 - 1981
Skills
Corporate Governance, Securities, Broker-Dealer, Broker-Dealer Compliance, Investment Company Act, Investment Advisers Act, Investment Advisor..., Securities Offerings, Securities Regulation, Securities Exchange Act..., Securities Act of 1933, Fund Governance, Transfer Agents, Freedom of Information..., Investments, SEC, Hedge Funds, Rule 144, Fraud, FINRA, IPO, Financial Regulation
Education
University of Georgia School of Law
JD
University of Wyoming School of Law
Isaacman, Kaufman & Painter, P.C. 2008 - 2009
Blecher & Collins 2000 - 2006
U.S. Securities & Exchange Commission 2000 - 2000
Morris Polich & Purdy LLP 1997 - 1999
Perkins Coie 1994 - 1996
Rogers & Wells 1988 - 1994
Kelley Drye & Warren LLP 1986 - 1988
Skills
Litigation, Business Litigation, Commercial Litigation, Japanese Electronic..., Legal Writing, Legal Research, Arbitration, Mediation, Intellectual Property, Competition Law, International Law, Courts, Appeals
Education
USC Gould School of Law 1981 — 1984
J.D., Law
University of California, Los Angeles 1979 — 1981
B.A., Economics & Political Science
Pomona College 1976 — 1978
International School of the Sacred Heart, Tokyo, Japan
Cuesta College August 2012 - Present
Orange Coast College January 2012 - September 2012
Irvine Valley College September 2010 - May 2012
U.S. Securities & Exchange Commission June 2009 - August 2009
University of California, Irvine September 2005 - June 2009
Pomona Unified School District February 2004 - April 2008
Barclays Capital July 2002 - August 2003
Morgan Stanley June 1999 - September 1999
Skills
SAS, Stata, Economics, Research, Teaching, Microeconomics, Data Analysis, Lecturing, Statistical Modeling, Higher Education, Macroeconomics, Policy Analysis, Qualitative Research, SPSS, University Teaching, Quantitative Analytics, Research Design, Quantitative Research
Education
UC Irvine 2005 — 2009
M.A, Economics
Pace University 2000 — 2002
BBA, Finance
The NASDAQ Private Market, LLC August 2013 - Present
U.S. Securities & Exchange Commission December 2012 - August 2013
U.S. Securities & Exchange Commission July 2009 - December 2012
U.S. Securities & Exchange Commission February 2001 - July 2009
U.S. Securities & Exchange Commission August 2008 - February 2009
Jenkens & Gilchrist, P.C. August 1999 - February 2001
Education
The University of Texas School of Law 1996 — 1999
JD, Law
The University of Texas at Austin 1992 — 1996
BA, Plan II Honors Program
U.S. Securities & Exchange Commission September 2012 - Present
FINRA June 2000 - August 2003
Public Accounting Firm 1998 - June 2000
Skills
Securities and Futures..., AML, Accounting, Anti Money Laundering, Auditing, Due Diligence, Equities, Financial Analysis
Education
City University of New York-Brooklyn College 1972 — 1978
Bachelor's Science in Acccounting, Accounting and Economics
Canarsie High School Brooklyn New York 1969 — 1972
Accademic Diploma
Drummond & Associates 1996 - Present
Law Office of Christina R. Pfirrman January 1994 - Present
Armstrong Miller, LLC (formerly Hartman & Armstrong, LLP) 1994 - 2002
Brobeck Phleger & Harrison 1985 - 1991
U.S. Securities & Exchange Commission 1980 - 1985
Skills
Litigation, Civil Litigation, Arbitration, Commercial Litigation
Education
Boston University School of Law
Doctor of Law (J.D.)
California State University-Long Beach
Bachelor of Arts (B.A.), Economics
Baker & Hostetler LLP November 2011 - Present
U.S. Securities & Exchange Commission June 2008 - August 2008
Tantlinger and Associates August 2006 - August 2006
Spectrum Global Fund Administration June 2005 - January 2006
Skills
Securities, Legal Research, Legal Writing, Accounting, Commercial Litigation, Appeals, Document Review, Litigation Support
Education
Cleveland-Marshall College of Law, Cleveland State University 2006 — 2009
J.D., Business Law
Loyola University of Chicago 2002 — 2006
B.B.A, Accounting and Finance
Beaumont School 1998 — 2002
High School
Carrington Legal, LLC January 2008 - Present
CompliGlobe Limited April 2013 - July 2014
State Street Bank March 2006 - August 2007
U.S. Securities & Exchange Commission September 1999 - March 2006
Skills
Securities Regulation, Securities, Private Equity, Corporate Law, Hedge Funds, Private Placements, SEC filings, Mutual Funds, Investments, Legal Writing, Corporate Governance, Due Diligence, SEC, Financial Regulation, Legal Compliance, Start-ups, Investment Advisor..., Joint Ventures, Mergers & Acquisitions, Securities Law, Software Licensing, Compliance, ETFs, Asset Management, AML, Investment Advisory, Banking, Non-profits, Investment Company Act, Investment Advisers Act, Financial Services, Venture Capital, Investment Management, FINRA, Legal Advice, Broker-Dealer
Education
Boston University School of Law
LL.M., Graduate Program in Banking and Financial Law
New England School of Law
J.D., Law
The Johns Hopkins University
B.A., international relations
Boston Latin Academy
high school diploma, college prep
Prince George's Child Support Enforcement Administration August 2014 - Present
District Leadership Program 2014 - 2014
District Leadership Program 2014 - 2014
District Leadership Program 2014 - 2014
Washington Regional Threat Analysis Center May 2013 - 2014
U.S. Securities & Exchange Commission May 2012 - August 2012
Veteran’s Hospital Inpatient Pharmacy June 2010 - August 2010
Washington Hospital Center Pharmacy October 2008 - August 2009
World Bank Group - Audit Department June 2008 - August 2008
Youth Employment Summer Jobs June 2007 - August 2007
Skills
Research, Analysis, Microsoft Office, PowerPoint, Homeland Security, Microsoft Word, Teamwork, Customer Service, Biotechnology, English, Child Support..., SharePoint
Education
University of the District of Columbia 2012 — 2014
Master of Homeland Security, Homeland Security
University of Maryland Eastern Shore 2009 — 2013
Bachelor of Arts (B.A.), Criminal Justice
University of Maryland of Maryland Eastern Shore (UMES) 2009 — 2012
Bachelor's Degree, Criminal Justice
Patterson Belknap Webb & Tyler LLP November 2014 - Present
U.S. Court of Appeals September 2013 - September 2014
U.S. Attorneys Office September 2012 - November 2012
Kirkland & Ellis LLP May 2012 - July 2012
U.S. Securities & Exchange Commission January 2012 - April 2012
Emory University School of Law June 2011 - January 2012
U.S. District Court for the Southern District of New York June 2011 - August 2011
Teach for America 2007 - 2009
Education
Emory University School of Law 2010 — 2013
Doctor of Law (J.D.) with High Honors, Law
Harvard College 2003 — 2007
Bachelor of Arts (B.A.), Social Studies
U.S. Securities & Exchange Commission October 1990 - September 2010
White House, Office of White House Counsel 2000 - 2000
Morgan, Lewis & Bockius LLP 1988 - 1990
U.S. Court of Appeals for the D.C. Circuit 1986 - 1988
Skills
Public Speaking, Legal Research, Government, Editing, Litigation, Legal Writing, Internal Investigations
Education
University of Iowa College of Law 1982 — 1985
Doctor of Law (J.D.), Law Review Articles Editor
University of Pennsylvania 1972 — 1976
Bachelor of Arts (B.A.), Sociology
FTI Consulting April 2015 - Present
FTI Consulting September 2012 - March 2015
U.S. Securities & Exchange Commission January 2012 - April 2012
Law Offices of Kenneth S. Grau June 2010 - January 2012
Andrew Cuomo 2010 January 2009 - January 2010
Skills
Microsoft SQL Server, Microsoft Access, Microsoft Excel, Crystal Reports, Eviews, Econometric analysis, Microsoft Office, Legal Research, Data Analysis, Access, Research, Financial Modeling, Public Speaking, Social Media
Education
New York University 2008 — 2012
Bachelor of Arts (B.A.), Economics
White Plains Senior High School 2004 — 2008
Gunderson Dettmer March 2014 - Present
Simpson Thacher & Bartlett LLP September 2011 - February 2014
Morgan Stanley Investment Management September 2012 - March 2013
U.S. Securities & Exchange Commission May 2010 - July 2010
East Bay Community Law Center May 2009 - July 2009
Sanford, Wittels & Heisler LLP May 2007 - August 2007
Salomon Smith Barney June 2004 - August 2004
Skills
Legal Writing, Courts, Corporate Law, Criminal Law, Legal Research, Public Policy, Securities Regulation, Class Actions, Legal Assistance, Corporate Governance, Research, Employment Law, Editing, Mergers, Event Planning, Intellectual Property, Mergers & Acquisitions
Education
University of California, Berkeley - School of Law 2008 — 2011
Doctor of Law (J.D.)
Brown University 2005 — 2008
B.A., Cognitive & Linguistic Sciences
Phillips Exeter Academy 2000 — 2004
Law Offices of Phillip B. Ochs, Esq. June 2012 - Present
U.S. Securities & Exchange Commission May 2011 - August 2011
Financial Industry Regulation Authority January 2011 - May 2011
U.S. Securities & Exchange Commission January 2010 - May 2010
Investors Bank & Trust / State Street Bank May 2006 - August 2008
Skills
Legal Writing, Legal Research, Litigation
Education
American University Washington College of Law 2008 — 2011
Juris Doctor (J.D.), Law, Cum Laude
Fairfield University 2001 — 2005
Bachelor's Degree, Business Administration and Management, General
Warner Norcross & Judd LLP January 2010 - Present
State of Michigan January 1973 - December 1977
U.S. Securities & Exchange Commission September 1966 - January 1972
Skills
Corporate Law, Commercial Litigation, Litigation, Intellectual Property, Legal Research, Arbitration, Licensing, Trademarks, Patent Prosecution, Securities Litigation, Copyright Law, Civil Litigation
Education
Northwestern University School of Law 1961 — 1964
Doctor of Law (J.D.), Law
Michigan Technological University 1957 — 1961
Bachelor of Science (B.S.), Accounting
Kirkland & Ellis LLP 2012 - Present
Delaware Court of Chancery 2010 - 2011
Morris, Manning & Martin, LLP June 2010 - July 2010
U.S. Securities & Exchange Commission January 2010 - June 2010
New York County District Attorney's Office June 2009 - August 2009
Cravath, Swaine & Moore LLP 2006 - 2008
Education
University of Pennsylvania Law School 2010 — 2011
Law
University of Georgia School of Law 2008 — 2010
J.D., Law
University of North Carolina at Chapel Hill 2002 — 2006
B.A., English
US Securities and Exchange Commission October 2012 - Present
Thomson Reuters November 2011 - October 2012
U.S. Securities & Exchange Commission January 2011 - April 2011
American University Washington College of Law May 2010 - April 2011
Bavarian Nordic A/S January 2010 - April 2010
Berliner, Corcoran & Rowe, LLP August 2009 - December 2009
Raoul Wallenberg Institute of Human Rights and Humanitarian Law May 2009 - July 2009
Chateau Marmont April 2008 - August 2008
Shakespeare & Company May 2007 - October 2007
City Lights Booksellers and Publishers November 2004 - December 2006
Skills
Legal Writing, Legal Research
Education
American University Washington College of Law 2008 — 2011
JD, Law
Linköpings universitet 2007 — 2008
MA, Language & Culture in Europe
University of California, San Diego 1999 — 2003
BA, Literature/Writing
U.S. Securities & Exchange Commission March 2003 - Present
Fried Frank September 2000 - March 2003
Supreme Court of Missouri September 1999 - August 2000
Skills
Investigations, Securities Law, Enforcement, Internal Investigations, Investment Advisers Act, Investment Advisor..., Federal Law Enforcement, Fraud, Securities Regulation, Government..., Legal Compliance, White Collar Criminal..., White Collar, Compliance, FCPA, SEC, Legal Writing, Administrative Law, Hedge Funds, Private Equity Firms, Alternative Investments, Securities, Securities Litigation, Investments, Corporate Governance, Civil Litigation, Corporate Law
Education
The George Washington University Law School 1996 — 1999
Juris Doctor, Law, Juris Doctor with Highest Honors; Order of the Coif; Class rank: 8 of 408; G.P.A
University of Michigan 1991 — 1995
Bachelor of Arts (B.A.), Political Science & Near Eastern Studies, 3.7/4.0
U.S. Securities & Exchange Commission March 2013 - Present
Akin Gump Strauss Hauer & Feld LLP August 2012 - March 2013
Akin Gump Strauss Hauer & Feld LLP October 2007 - August 2012
Honorable Frank S. Maas, U.S. Magistrate Judge for Southern District of New York September 2006 - September 2007
DLA Piper September 2005 - August 2006
Education
Brooklyn Law School 2002 — 2005
Doctor of Law (J.D.), Law
University of Michigan 1997 — 2001
Bachelor of Arts (B.A.), Political Science and Government
Credit Suisse January 2015 - Present
H. Beck, Inc. November 2012 - December 2014
E*TRADE Securities LLC September 2008 - November 2012
U.S. Securities & Exchange Commission May 2005 - August 2005
Skills
Series 7, Series 4, Series 24, Series 63
Education
St. John's University School of Law 2003 — 2006
Doctor of Law (JD)
Georgetown University 1998 — 2002
Bachelor of Arts (B.A.), English (Writing Concentration)
Taiber Kosmala & Associates June 2012 - Present
Lowery Asset Consulting November 2003 - June 2012
DiMeo Schneider & Associates July 1999 - September 2003
U.S. Securities & Exchange Commission 1994 - 1999
Education
DePaul University 1989 — 1993
U.S. Securities & Exchange Commission July 2008 - Present
U.S. Securities & Exchange Commission August 2004 - July 2008
U.S. Securities & Exchange Commission August 1996 - August 2004
U.S. Securities & Exchange Commission May 1992 - August 1996
Montgomery Bancorp, Inc. November 1989 - May 1992
Citizens Bancorp (of MD) November 1986 - November 1989
PwC (formerly Coopers & Lybrand) September 1985 - November 1986
Skills
Accounting, Financial Reporting, Financial Analysis, Auditing, Internal Controls, US GAAP, Management, Strategic Planning, Finance, Sarbanes-Oxley Act, GAAP, Corporate Finance, Financial Accounting, SEC Filings, Internal Audit, Project Management, Analysis, Mergers & Acquisitions
Education
American University 1989 — 1991
Master of Business Administration (M.B.A.), Finance
University of Maryland College Park 1981 — 1985
Bachelor of Science (BS), Accounting, Magna Cum Laude Graduate
Paint Branch
U.S. Securities & Exchange Commission September 2009 - Present
U.S. Securities & Exchange Commission August 2007 - September 2009
US Securities and Exchange Commission May 2004 - September 2007
Skills
Securities Regulation, Broker-Dealer Compliance, Capital Markets, FINRA, AML, Corporate Governance, Internal Investigations, FCPA, Hedge Funds, Mutual Funds, Investment Advisory, Alternative Investments, Financial Regulation, Corporate Law, OFAC, International Law, Fraud, Private Equity
Education
Fordham University School of Law 1995 — 1998
Doctor of Law (JD), cum laude
Fordham University 1991 — 1995
BA, magna cum laude, Political Science
Chaminade High School 1987 — 1991
Academic high school diploma