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Robert E. Rubin served as our nation’s 70th Secretary of the Treasury from 1995-1999. As Secretary, Rubin played a leading role in many of the nation’s most important policy debates. He was involved in balancing the federal budget; opening trade policy to further globalization; acting to stem financial crises in Mexico, Asia and Russia; helping to resolve the impasse over the public debt limit; safeguarding the nation’s currency against counterfeiting and guiding sensible reforms at the Internal Revenue Service.
Long active in public affairs, Rubin first joined the Clinton Administration in 1993 as Assistant to the President for Economic Policy and as director of the newly-created National Economic Council. Under Rubin’s guidance, the NEC oversaw the administration’s domestic and international economic policymaking process, coordinated economic policy recommendations to the President and monitored the implementation of the President’s economic policy goals.
Rubin began his career in finance at Goldman, Sachs & Company in New York City in 1966. Rubin served as vice-chairman and co-chief operating officer from 1987-1990 and as co-senior partner and co-chairman from 1990-1992. Before joining Goldman, he was an attorney at the firm of Cleary, Gottlieb, Steen & Hamilton in New York City from 1964-1966.
From 1999 to 2009, Rubin served as a member of the board of directors at Citigroup and as a senior advisor to the company. In addition, he worked extensively with the firm’s clients around the world.
Rubin joined Centerview Partners in 2010 as a counselor of the firm. In his role at Centerview, he serves as a sounding board and advisor to clients across the firm’s various activities, bringing years of experience in finance and public policy.
Bart Chilton was first nominated by President Bush and confirmed as Commissioner by the U.S. Senate in 2007. In 2009, he was re-nominated by President Obama and reconfirmed by the Senate. Commissioner Chilton has been a vocal consumer advocate and proponent of thoughtful regulatory reform. He has often been a lone voice on the Commission for policies to rein in speculative interests and impose position limits to avoid excessive trading concentration. Many of the issues he fought for over the years became law as part of the Wall Street Reform and Consumer Protection Act signed by President Obama in July of 2010. Chilton has been an outspoken advocate of the need for greater regulation of large commodity speculators that he calls “massive passives,” and of high-speed, computerized “cheetah” traders.
Lou Dobbs, currently the host of Fox Business News’ Lou Dobbs Tonight, is a legendary broadcaster, best-selling author and one of the most respected and insightful voices on politics, economics, society and business. For three decades, Dobbs has brought an unwavering American perspective to the most important issues of our day, whether national security, sustainable economic growth and prosperity, global business, finance and trade, or education and public investment.
Provocative and fearless in his analysis and criticism of leaders and institutions that have failed the United States and American society, Dobbs challenges the status quo at home and abroad. He lays out solutions for moving America forward, and restoring the American dream for millions of middle class working men and women. He offers prescriptions to rejuvenate the nation’s manufacturing sector, invigorate education and innovation, secure our nation’s borders and ports, and resolve our immigration crisis rationally, humanely and in the national interest. Dobbs says our strength of will and independence of mind assure America’s return to prosperity, so long as we elect leaders of like spirit who preserve our great national values and ideals.
Dobbs hosts a daily nationally syndicated radio program and anchors three financial radio reports daily. He has also written important examinations of the American political economy that in some instances anticipated by years many of the issues that challenge our nation today. Dobbs is the author of Exporting America, War on the Middle Class and Independents Day: Awakening the American Spirit.
Alex Hagmeyer is a Vice President at Markit and currently manages Markit’s suite of trading analytics products. Alex worked at Quantitative Services Group (QSG) for over four years before the acquisition by Markit in November of 2011. He currently specializes in developing Markit’s global trading analysis product and consulting clients on trading cost research, process improvement and performance-based order routing in the equities and foreign exchange markets.
Alison Graham is Chief Investment Officer of Voltan Capital Management and portfolio manager of Voltan Frontier Markets Fund. Alison has over seventeen years’ experience in emerging and frontier markets finance. Until 1998, she was a partner and senior analyst for Latin American equities at the investment bank Caspian Securities. In 1998, she moved to Moscow to join United Financial Group where she was responsible for equity analysis and corporate due diligence on the Russian power sector. Since 2000, Alison has managed Voltan's frontier markets advisory business including trading across the fund's universe of sixty early-stage emerging markets. She holds a Master's degree from the University of California at Berkeley, is a Chartered Financial Analyst and is fluent in six languages.
Adam Honoré is the research director of the institutional securities practice at Aite Group. He specializes in financial services technology, focusing on strategic technology initiatives associated with high performance trading, market data, machine-readable content, smart order routing, technology services, complex event processing (CEP), straight-through processing (STP), and risk management issues. Adam has conducted consulting engagements for global exchanges, Fortune 500 technology and brokerage companies, as well as routine work in trading technology advising on partnerships, M&A, competitive positioning, product roadmaps, market entrance, marketing, and thought leadership.
Adam co-manages the Goldman Sachs Electronic Trading Business Development Group and is responsible for executing business objectives across platforms, products, asset classes and regions. He has been associated with electronic trading in various capacities since he joined Goldman Sachs in 1999 as part of the Equities E-commerce team. Adam was named managing director in 2008.
Adam earned a BEng in Electrical and Electronic Engineering from Canterbury University, New Zealand, in 1991.
Alex Gurvich is a Managing Partner and Portfolio Manager at The Rockledge Group, a firm managing funds for US and European investors. He is the portfolio manager of the AdvisorShares Rockledge SectorSAM ETF Fund (NYSE: SSAM). Prior to joining Rockledge, Alex was a venture capitalist with General Electric's GE Capital. He began his business career as a management consultant with Bain & Company. Alex Gurvich is an Adjunct Professor of Finance at Pace University.
Dr. Alexander D. Wissner-Gross is a Research Affiliate at the MIT Media Laboratory and an incoming Institute Fellow at the Harvard University Institute for Applied Computational Science. He has received 102 major distinctions, authored 14 publications, been granted 9 issued, pending, and provisional patents, and founded, managed, and advised 5 technology companies. In 1998, he won the U.S.A. Computer Olympiad and represented the U.S. at the International Olympiad in Informatics. In 2003, he became the last person in MIT history to receive a triple major, with bachelors in Physics, Electrical Science and Engineering, and Mathematics, while graduating first in his class from the MIT School of Engineering. In 2007, he completed his Ph.D. in Physics at Harvard University, where his research on smart matter, pervasive computing, and machine learning was awarded the Hertz Doctoral Thesis Prize. Following his Ph.D., he was named a Ziff Fellow in Computer Science at Harvard University.
Anthony is a Senior Equity Trader with Aberdeen Asset Management. Mr. Godonis is responsible for trading in the Americas, located in Philadelphia. He joined Aberdeen in 2007 through the acquisition of NWD Investments/Gartmore, where he was a senior trader responsible for Small Cap and Program trading. Prior to joining Gartmore, Mr. Godonis was a Senior Trader and Vice President with Glenmede Trust. He has over 13 years of trading experience.
Mr. Godonis graduated from Shippensburg University with a BS in Finance and received his MBA with a concentration in International Business from Drexel University.
Throughout his 15-year career in financial technology, Ary Khatchikian has been at the forefront of the electronic trading movement. In 1995, Ary founded Indigo-Solutions, where he developed and marketed NeuronXT, an order management system targeting small and mid-size investment firms. In January 2000, after founding Portware with Eric Goldberg, Ary transformed NeuronXT into Portware Enterprise, the leading automated and algorithmic trade management system on the market today. Working with more than 130 clients worldwide, Ary continues to improve Portware through frequent product enhancements and new functionality. Ary has become a leading voice in the electronic and algorithmic trading community.
Bernard Donefer enjoyed a 35-year career in the international financial services industry, working with banks, exchanges and securities firms in the US, Europe and Asia, before beginning his teaching career in 2003. He is currently Distinguished Lecturer and Associate Director of the Subotnick Financial Services Center at the Zicklin School at Baruch College, CUNY and Adjunct Associate Professor and Fellow, Center for Digital Economy Research at NYU Stern and was previously Adjunct Assistant Professor at Fordham. Bernard is principal of Conatum Consulting LLC. He teaches “Risk Management for Non-Quants”, “Capital Markets Bootcamp” and the “New Equity Markets” at public seminars and to corporate clients such as the SEC, FRB, DTCC, Alliance Bernstein, ITG, etc. in the US, Canada and Europe. He has been an expert witness in financial software patent and fraud cases, testifying in federal court.
Brian Suth is Managing Director and Co-Head of Global Electronic Sales and Trading at RBC Capital Markets. Brian joined RBC in September 2009 as Managing Director and Head of U.S. Electronic Sales. He has over 14 years of electronic sales and technology experience and previously spent four years as a senior salesperson on the Global Electronic Sales Desk at Merrill Lynch. Prior to Merrill Lynch, Brian spent seven years as a senior salesperson selling electronic trading at Archipelago/Wave Securities, where he established long-standing relationships with over 100 buyside institutions.
Bryan Harkins is the Chief Operating Officer of Direct Edge, the fourth largest U.S. stock exchange operator. He joined the company as Head of Sales and Strategy in March 2007, where his industry knowledge and effective leadership skills were instrumental to the company capturing over 10% of the US equity market. He is now responsible for operations, product development, sales, and overseeing the day-to-day activities of the Exchanges.
Mr. Harkins is an industry veteran, having held a variety of technical, operational, and senior sales positions at MarketXT, Instinet, BRUT LLC, and NASDAQ OMX. He holds a B.A. from the University of Notre Dame and is a fitness enthusiast who has completed eight marathons and two Ironmans.
Cameron Smith has served since 2007 as Executive Vice President and General Counsel for Quantlab Financial, a Houston based quantitative technology and trading company. Prior to joining Quantlab, Cameron served as Executive Vice President and General Counsel of Instinet Incorporated. Cameron’s other professional experiences include serving as Chief Strategy Officer for INET ATS, Inc., and General Counsel for the Island ECN where he was involved in many of the key market structure debates. In addition, he has served as a consultant to emerging financial markets in Moldova and Romania, and as Senior Counsel in the Securities and Exchange Commission’s Division of Market Regulation.
Chris Bartlett has 10+ years experience of developing and trading automated systems. He has been on the buy and sell side including JP Morgan, Goldman Sachs and Swiss Bank. Chris has researched, developed and traded a broad range of automated trading strategies and is currently at Nobilis Capital focused on high frequency US equities trading.
Christopher Willox is the Director of Trading at Fenimore Asset Management, a value-oriented equity manager with $1.5 billion in assets under management. He handles all the trading for the two mutual funds, FAM Value and FAM Equity Income as well as the 500+ client accounts. For the past 14 years, while at Fenimore, Christopher has overseen the transition of the trading desk there from a traditional, high touch approach to a technology based liquidity integrator. Prior to joining Fenimore in 1996, Chris held various sell-side sales and trading positions at BT (Bankers Trust) Brokerage, Brown Brothers Harriman and Salomon Brothers. He received his MBA from Pace University in 1983. Chris is also an adjunct professor in the School of Business at SUNY Cobleskill.
Chuck Garcia is Global Head of Sales for TradingScreen’s traditional asset management business. An accomplished industry veteran with more than 25 years experience in financial services, he was previously Director of Business Development at BlackRock Solutions and spearheaded the Order Management System product and sales strategy for TradeWeb. He also spent 14 years at Bloomberg Financial Markets, where he held a number of sales management roles including the growth of Bloomberg's Straight Through Processing Solutions and Bloomberg’s expansion into Latin America.
Craig Jensen is a Principal & Co- Head of Trading with Armstrong Shaw Associates Inc., located in New Canaan, Connecticut. In addition to overseeing the firms trading operations, he also concentrates on managing compliance, strategic development, and technology. Craig joined the firm as a senior trader in 1999 and became Co- Head of Trading in 2004. Prior to joining Armstrong Shaw, he worked at Ark Asset Management in New York. Craig is an affiliate member of the New York Society of Security Analysts and earned a B.S. in Pre-Law from Western Connecticut State University.
David DeVito is Vice President and Head of Trading at Madison Investment Advisors. Prior to joining Madison in 2006, he was Director of Trading at Curian Capital in Denver and has held trading positions with Citigroup and Brown Brothers Harriman & Company in New York City.
David Leinweber, author of "Nerds on Wall Street: Math, Machines and Wired Markets"(Wiley 2009) combines the expertise of an computer scientist from MIT, Harvard and the RAND Corporation with the financial experience of a pioneering practitioner in electronic markets and computer driven investing. Leinweber’s professional interests focus on modern information technologies in trading and investing. As the founder of two financial technology companies, in trading and “quantextual” investing. At the RAND Corporation his research on real-time applications of artificial intelligence led to the founding of Integrated Analytics Corporation. IAC was acquired by the Investment Technology Group, its product became QuantEx, an electronic execution system used for millions of institutional equity transactions daily for over a decade. He is known for a practical approach to financial technology innovation honed by eight years successfully managing $6 billion of institutional quantitative global equity portfolios at First Quadrant.
Des Gallacher is Director, Product Management for Charles River Development, where he is responsible for the Equity and FX trading components of the Charles River Investment Management System. Des has over 12 years of industry experience focused on front- and middle-office platforms and solutions. Prior to joining Charles River, Des was head of Global Product, Data Management & Analytics at DST Global Solutions. Previously, Des held positions at Aberdeen Asset Managers, Abu Dhabi Investment Authority, and Murray Johnstone Fund Management.
Edward Doyle is a senior equity trader at Pioneer Investments in Boston. Ed has been involved in equity trading since 1993, when he took a job at the Boston Stock Exchange in compliance. Shortly thereafter, he joined Pershing Trading Co. at the BSE and was promoted to specialist, where he made markets from 1996 until 2005. After a one-year stint as a sales trader, Ed joined Pioneer Investments in 2006.
As Managing Director, Garrett is responsible for the firm’s “super” high-touch trading division, a successful, specialty niche of their global operations. He has more than 20 years of extensive experience in portfolio management and trading, corporate, operative, and management experience, and has been deeply involved in trading-execution infrastructure and technology as well as overall market structure since 1997. Prior to joining Momentum Trading Partners, Garrett built the original trading desk and managed a large high-volume quantitative stat-arb portfolio at Millennium Partners LP, a multibillion-dollar New York hedge fund. Later, he was recruited by Lehman Brothers to work on further institutionalizing the RealTick EMS for high-volume fundamental and quantitative clients across the U.S., Europe, Asia and Brazil.
Georgios Petropoulos is a Vice President at Barclays Capital. Based in New York, he works on liquidity seeking strategies and smart order routing products for the firm. Mr. Petropoulos joined Barclays Capital in August 2010. He received a PhD in Engineering from the University of California at Berkeley.
Gordon Gary, Head Trader, has ten years of investment industry experience. Gordon is also a Partner of Philadelphia International Partners, the entity that, along with The Glenmede Trust Company, owns Philadelphia International Advisors, LP. Gordon oversees PIA’s 24-hour global trading desk. His team consists of two traders and one desk assistant who divide their market responsibilities by region. He officially joined the trading team in January 2002. He has been trading Europe/UK for PIA for the past 5 years. Prior to this, he had been solely responsible for trading their Japan/Asia portfolio. Gordon began his investment career in 2001 as an Account Administrator in the Portfolio Administration Department at The Glenmede Trust Company.
Gregory Treacy is a Director in the Global Execution Services business at Bank of America Merrill Lynch. In this role, he manages the electronic trading of U.S. based accounts in international markets. He has over twelve years of account management, trading and equity operations experience. Prior to joining Merrill Lynch in June 2010, Treacy was Director of Sales at NeoNet, a global agency brokerage firm and technology provider, where he led the business development and sales efforts across North America. Treacy moved to this role from the trading side of the business, where he was Head of U.S. Trading for NeoNet. Before that, Treacy was Head of Trading in the London office of Lexit Capital, which was subsequently purchased by NeoNet AB in late 2003. Mr. Treacy holds a Bachelor of Arts in Economics from Rutgers College.
Jason B. McLean, Vice President and Director of Trading, is responsible for equity trading for both large- and mid-capitalization value equity portfolios, as well as hedge fund products. Prior to joining Iridian in December 2004, he previously worked six years as an equity trader, as well as almost three years in financial services at AIM Investments.
Tim has over 14 years creating and providing cutting edge and effective electronic trading solutions to traders. Additionally, Tim has experience as an equity and options trader which has aided in the creation, development and management of customer driven trading platforms. Tim currently works directly with Moxy clients to determine their needs for trading connectivity. As a Product Manager for Advent Software, he leverages this client insight, and market insight to drive new, improved, and innovative solutions for the Advent Moxy trading community. Tim works closely with the development teams at Advent to create the critical tools traders need in Moxy as well as working with key top tier providers in the trading marketplace to connect traders to the technology necessary to achieve their goals. In 2011 Tim added a focus on the needs of clients and the marketplace in the compliance space with the rapidly growing Advent Rules Manager – a compliance tool suited to complex compliance management for a broad range of institutional money managers.
Joseph Wald is a Managing Director at Knight Execution & Clearing Services, L.P. and is head of Knight’s institutional electronic trade execution services. In this role, Mr. Wald oversees strategy, development and implementation of the firm’s sophisticated electronic products and services. Mr. Wald joined Knight in 2008 following the firm’s acquisition of EdgeTrade, a leading developer of agency-only algorithmic trading strategies and direct market access software, which he co-founded and led as Chief Executive Officer. Prior to EdgeTrade, he held various positions at Datek Securities. Additionally, Mr. Wald serves as a speaker and panelist for numerous high profile industry events and conferences. Mr. Wald has a bachelor of science in business management and finance from Brooklyn College.
Joel Steinmetz is Head of Electronic Equity Sales for Citadel Securities. He is responsible for leading the electronic trading efforts and Citadel’s delivery of algorithms and dark pool solutions to the institutional community. Prior to joining Citadel in 2010, Joel was Head of US Sales and Trading at Liquidnet Holdings. Previously, he was Head of Electronic Trading at Citigroup Inc. and Senior Vice President of Sales, Trading, and Corporate Strategy at Instinet.
John F. Malitzis is an Executive Vice President in the Market Regulation Department of the Financial Industry Regulatory Authority (“FINRA”). John oversees surveillance of the New York Stock Exchange and American Stock Exchange equity markets. John is also responsible for both the equity trading and options markets trading examination programs. Immediately prior to joining FINRA, John was Executive Vice President for the Division of Market Surveillance, for NYSE Regulation. In this capacity, John oversaw the surveillance of trading in NYSE and Amex-listed securities by member firms, and monitored for compliance by member firms with NYSE and Amex rules as well as the federal securities laws. John joined the NYSE Regulation in October 2004.
John Shrewsberry is President and Head of Wells Fargo Securities, LCC, based in San Francisco, Calif. He is responsible for investment banking, capital markets, institutional fixed income, equity, and derivatives sales and trading, investment research, and a credit-intensive principal investment portfolio of more than $50 billion. Wells Fargo Securities has offices in the U.S., Europe and Asia. John is also a member of the Wells Fargo Management Committee. With more than 20 years of experience in banking and investing, John assumed his current role in 2006. From 2001 through 2005, he was the group head of Wells Fargo Commercial Capital, the successor to a commercial finance company he co-founded that became part of Wells Fargo in 2001. Previously, John worked at Goldman Sachs and Credit Suisse First Boston in the principal finance areas.
John earned his B.A. in economics from Claremont McKenna College, in Claremont, Calif., and an M.B.A from the Yale School of Management. John is committed to the community and serves on the boards of The Robert Day School of Economics and Finance, the American Bankers Association Securities Association, and the San Francisco Chapter of the Juvenile Diabetes Research Foundation.
Jordan A. Thomas is a partner at Labaton Sucharow and Chairs its Whistleblower Representation Practice. Previously, he served as a senior attorney with the Securities and Exchange Commission and the US Department of Justice. At the SEC, Jordan played a leadership role drafting the Whistleblower provisions enacted under the Dodd-Frank Act.
Karim Taleb is the Principal of Robust Methods LLC, a New York based money manager specializing in quantitative trading and absolute returns strategies. He oversees all operational aspects of the firm including portfolio management, risk management, computing systems, and research. Prior to founding Robust Methods, Karim worked for Applied Materials in the semiconductors industry, and prior to that, he dedicated himself to developing a framework for a green industrial evolution with a solid contribution in the field. A CFA Charterholder and a Cornell University graduate, Dr. Taleb draws from a multi-disciplinary experience covering the areas of Operations Research, Industrial Engineering, & Applied Statistics.
Mr. Ross is Chief Executive Officer of PDQ ATS. Keith brings thirty years of experience in the securities industry to PDQ. Prior to joining PDQ at CEO, Mr. Ross was the CEO of Getco from 2002 to 2005, having been instrumental in mapping their high frequency equity trading algos to fixed income and FX. Upon his leave, Getco was trading in all three asset classes: equity, fixed income and foreign exchange. Mr. Ross's experiences have included floor trading, off floor trading, risk arbitrage, options, futures and cash markets. He has managed several different sized firms ranging from 15-75 employees, having been focused on electronic trading for well over a decade. Mr. Ross began his career as an options analyst in 1976.In 1979, Mr. Ross became a member of the American Stock Exchange and a registered options trader on the floor of the exchange. In 1983, Mr. Ross formed Ceres Partners which was a small trading firm specializing in risk arbitrage and options market making. In 1988, Mr. Ross became a member of tCBOE and was a market maker until 1999. Mr. Ross has spent the last several years focused on electronic trading. Mr. Ross joined PDQ ATS in 2005 and serves as CEO. Mr. Ross is a graduate of Princeton University and resides in Chicago.
Mr. Barnes is responsible for general management of the Platform Services product line, inclusive of cloud computing products and services, as well as the company’s PaaS and application ecosystem development strategy.
After having spent a dozen years in business development, product marketing and trading facilitations roles at Salomon Brothers, Reuters, and NextSet Software, Mr. Barnes joined Wombat in 2005. As head of Business & Planning, he helped the company quintuple revenue in two years and launched the company’s high performance middleware products, positioning it for acquisition by NYSE in 2008. Most recently, Mr Barnes oversaw the company’s SFTI and colocation business in the US, and launched the US Liquidity Center in Mahwah NJ.
Mr. Barnes earned a Bachelors degree in international marketing from the University of Vermont, attended the University of Grenoble, France and holds an MBA from New York University’s Stern School of Business.
Kevin joins DirectMarkets as an industry veteran at bringing innovative and disruptive technologies to the financial services marketplace. Prior to DirectMarkets, Kevin was a founding employee at Liquidnet and served as the Global Head of Technology and Chief Information Officer. He helped the firm grow from its launch in a single market (US) with 37 members, to operating in 39 markets globally with over 600 members in 2011. Kevin has also served as CIO and Global Head of Technology at FX Alliance Inc. (FXall). Kevin has spent much of his career developing technology infrastructure solutions within the financial services industry with an eye toward achieving Straight-Through Processing. He started his career in financial services as a development manager at Merrin Financial, where he helped develop the first pre-trade compliance engine and money market trading platform for institutional investors.
Kurt Brungardt joined MSD in October 2000 as Director of Technology, and he became Chief Information Officer in January 2003. From 1994 to 2000, he was the COO/CTO for Digital Power Networks. Prior to that, Mr. Brungardt was a Special Projects Manager for General Dynamics Electric Boat Division in Connecticut, designing and testing advanced quieting systems for the Seawolf, Trident and Los Angeles class submarines. Mr. Brungardt received a B.S. in Mechanical Engineering from the University of Minnesota, Institute of Technology in 1988 and an M.S. in Electrical Engineering from Rensselaer Polytechnic Institute in 1992. He is the co-founder of the Hedge Fund Technology Group (HFTG), a select group of CIO’s and CTO’s from many of the largest and most successful hedge funds in the United States. In the aggregate, HFTG member firms manage nearly half a trillion dollars. Mr. Brungardt currently serves on the board of the New York Chapter of the Society for Information Management.
Lance A. Zinman is Head of the Chicago Financial Services Practice at Katten Muchin Rosenman. Mr. Zinman has a broad range of experience within the corporate and financial regulatory fields. He focuses his practice on representing hedge funds, commodity pools, proprietary trading firms, private equity funds and investment advisors with respect to their corporate, transactional and regulatory matters. He also counsels clients in other sectors of the financial services industry, including domestic and foreign exchanges, brokerage firms, swap counterparties and other participants in over-the-counter transactions. Mr. Zinman not only represents clients in connection with futures, derivatives and securities matters, he also has substantial experience handling complex transactions such as equity and debt financings, mergers and acquisitions, joint ventures and strategic alliances.
Mr. Zinman also represents clients, including the Chicago Bulls, the Chicago White Sox and the Oakland Athletics, in the sports, music and entertainment industries in connection with a variety of matters such as player agreements, promotional and sponsorship agreements, television, radio and Internet rights agreements, stadium matters and management agreements.
Mr. Zinman was named one of the “40 Illinois Attorneys Under Forty to Watch” for 2008 by Law Bulletin Publishing Company, publishers of Chicago Lawyer magazine and the Chicago Daily Law Bulletin. In selecting Mr. Zinman for this honor, Law Bulletin Publishing noted that his “breadth and depth of experience have led his clients to describe him as one of the city’s top business lawyers.”
Mr. Zinman has spoken at numerous seminars and events on topics relating to hedge funds and proprietary trading firms. He is a member of the American Bar Association, the Chicago Bar Association, the Futures Industry Association and the Managed Funds Association. He is also a member of the Hedge Funds Care Global Board of Directors and its Midwest Committee of Hearts, and is a member of the Editorial Board of the Journal of Alternative Investments, an Institutional Investor Journal.
Mr. Zinman earned his B.A., with high honors, in business administration – prelaw, from the Honors College of Michigan State University (1995), and his J.D., cum laude, from Northwestern University School of Law (1998). He is admitted to practice in Illinois (1998).
Lloyd Altman is the Global Front Office Lead for Accenture Core Trading and Settlement Services. Lloyd has more than 20 years of experience in the Capital Markets industry, the first 10 of which were spent on Wall Street as a department head, project manager, and developer. Starting in 1999, Lloyd became head of Consulting and Sales for Random Walk Computing, which was acquired by Accenture in 2006. He has been involved in the delivery of solutions for a wide range of buy-side and sell-side products and functions, including Credit Default Swaps, Program Trading, Fixed Income Trading and Risk Management.
Marc Rieffel has a Ph.D. in CS from California Institute of Technology, where he wrote his dissertation on concurrent particle simulations for aerospace and semiconductor manufacturing applications. From 1998-2004, he worked At Paracel Inc. on hardware and software products for searching large DNA, protein, and text databases. In 2005 Marc shifted his focus to the investment field - to apply his skills and understanding of high performance computing, software development and technology management. Marc is proud to be a part of the WorldQuant team and its growth since inception in 2007.
Mark Standish is President and Co-CEO of RBC Capital Markets; Co-Group Head, Capital Markets Division and is a member of the Group Executive of RBC. As President and Co-CEO of RBC Capital Markets, Mr. Standish is responsible for sales and trading, financing and balance sheet management. Mr. Standish's tenure with RBC began in 1995 as head of proprietary and structured trading within the Global Equity Derivatives group of RBC Dominion Securities. From 1993 until 1995, Mr. Standish was a managing director at Kidder Peabody & Company. Preceding Kidder Peabody, Mr. Standish was with Lehman Brothers in New York responsible for equity derivatives, commodity derivatives and commodity financing. During the 1980's, he was with Bankers Trust in London involved with fixed income derivatives and proprietary arbitrage trading. He started his career in retail banking with National Westminster Bank in 1977. He studied banking and finance at Croydon College in England, being an Associate member, Chartered Institute of Bankers (1983). He is also actively involved with numerous charities in both New York and New Jersey, including being on the board of The Bachmann-Strauss Dystonia and Parkinson Foundation, Inc.
Matthew Andresen is co-CEO of Headlands, a global quantitative proprietary trading firm headquartered in San Francisco and Chicago.Before joining Headlands, Matt was co-CEO of Citadel Derivatives Group (""CDG""). During his five years running CDG, he helped build the world’s premier market making firm, accounting for almost 10% of US stock volume and over 30% of US option trading volume. Prior to Citadel, Matthew was CEO of Island ECN, the largest electronic stock market in the United States. Under his leadership, Island grew from a start-up into the largest market for the trading of Nasdaq-listed stocks. In 2002, he sold Island to its largest competitor, Instinet, for $568 million. After the merger, he served as COO of the combined market. Matthew has appeared as an expert before many U.S. Congressional Committees on subjects as diverse as Venture Capital in Biotechnology, the Future of Electronic Markets, the Impact of Technology on Commodity Markets, and the Effect of September 11 on Financial Markets.
Michael Kurzrok is Director of Equities at Woodbine Associates, Inc. His expertise lies in analysis of strategic, business, regulatory, market structure, trading and trading technology issues and how these influences impact firms in the global equity markets. He is an advisor to investment firms, stock exchanges, brokerages, and technology firms. His professional career spans two decades with eleven years in the financial industry. He spent nearly a decade on a buy side trading desk where in addition to trading, he focused on strategic and tactical aspects of trading desk organization and evaluated industry factors such as regulation and market structure, and regularly assessed trading methods and comparative venue performance with an eye toward enhancing desk profitability. He has been closely tied to the financial industry throughout the past twenty years.
Michael J. Levas has been in the investment management business for over twenty years and is the founder, senior managing principal & director of trading at the Olympian Group of Investment Management Co's. Prior to Olympian, he was a VP and Portfolio Manager in the Private Client Group at Lehman Brothers Inc. Prior to that, he was a VP with SG Cowen, UBS PaineWebber, and Bear Stearns where he managed in excess of $250 million in both institutional and retail portfolios.
Mike Lindh has been a senior trader at Nuveen since 2007 and at Richards & Tierney from 2002-7. Prior to this, Mike was a principal and senior quantitative research analyst at Harris Investment Management. During his 20 years of investment research management experience with the Harris Bank, he was involved in the development of quantitative risk models, portfolio construction, portfolio management, equity and fixed income analytical systems, and asset allocation strategies. Prior to this position, Mike was responsible for investment accounting systems at Chicago Title & Trust Company.
A 20-year veteran of business and technology innovation, Mohammad Darwish is the Founder and CEO leading AdvancedIO Systems, a company providing programmable Ethernet cards built for real-time performance in the financial and defense markets. In 2004, he launched AdvancedIO focused on leveraging 10GE and FPGA technologies, a prescient innovation that beat the general market by five years. Mohammad excels in design and innovation in the field of real-time systems with focus on FPGA technologies. He has developed real-time software defined radio products at Spectrum Signal Processing and digital image quality processors at Ward Labs. He took his real-time expertise into the classroom teaching senior classes at the University of British Columbia and he has been published in prestigious conferences on VLSI and parallel systems. Mohammad followed his BSc degree in Computer Engineering with a MASc degree in Electrical and Computer Engineering at the University of British Columbia, specializing in high-speed digital design.
Nick Ciarleglio is currently a Senior Systems Engineer and Financial Services Product Manager at Arista Networks. Nick arrived at Arista Networks in 2008 as the company’s first Systems Engineer. In his current role, Nick is responsible for network architecture consulting in the financial services vertical, and has specifically focused on low-latency network and application architectures. Nick also provides field feedback and "real world" expertise to the Arista development teams. Prior to his arrival at Arista, Nick was a Senior Technical Consultant for Hewlett Packard.
Nick joined Marshall Wace LLP in 2008 and is Head of Trading in London. Prior to this, he was at Citadel Investment Group in London and Chicago. He started his career in high frequency trading at Goldman Sach's Hull Group in the US. Nick has a BS in Finance from the Massachusetts Institute of Technology.
Nitin Gambhir is the founder and CEO of Tethys Technology, Inc., an industry-leading provider of broker-neutral execution management systems, algorithmic trading analytics and transaction cost analysis solutions. Before founding Tethys in 2001, Mr. Gambhir worked at JP Morgan and Bear Stearns in their respective proprietary trading groups during the early part of his career. Thereafter, he was a quantitative portfolio manager at SAC Capital in Connecticut and Altus Asset Management, LLC in New York. Mr. Gambhir obtained a Masters from Yale University and an undergraduate degree, in Engineering, from the Indian Institute of Technology.
Oliver Sung is head of Americas Execution Consulting at Bank of America Merrill Lynch, where he oversees a team of professionals that delivers customized electronic trading, TCA and algorithmic trading advisory, as well as macro research and market structure perspective. With more than a decade of industry experience, Mr. Sung joined the company in 2008. Before that he was a member of the market structure group at Bear Stearns in New York. Prior to that, he spent three years at UBS Securities in several increasingly senior analytics and strategy roles. He holds a BS in Economics from Carnegie Mellon.
Patrick focuses and directs the product vision of MayStreet using key insight gained from years of experience with the financial markets and its customers. He creates and strengthens strategic partnerships with clients to help keep MayStreet a vital contributor in today’s market ecosystem. His extensive experience comes from over a decade of building advanced trading technology and developing highly scalable low latency applications for the equity and equity derivative markets. Serving tenures at two highly successful New York electronic trading firms, he was the first technology specialist at each. Sumo Capital, an equity options market maker, was one of these firms where he held the position of Director of Engineering. Prior to that he worked as Senior Software Engineer and the interim CTO at Volant Trading. His background includes working in a variety of roles across the financial sector ranging from exchange connectivity to pricing and risk management systems. Originally from Milwaukee, WI, he earned his BS in Computer Science from the University of Colorado at Boulder.
Since joining Allston in early 2004, Peter has had experiences in all technical aspects of the company. In his first two years he started the automation of back office processes and built a state of the art real-time operations desk that supported trading activities across all asset classes on 50+ endpoints. After being the Technical Lead on the Money Market, Fixed Income and Energy desks, Peter became the CTO of Allston Trading in September of 2008. In January of 2011, he was named Executive Vice President of Allston. While he still stays close to the technical side of trading he is now involved in everything ranging from regulatory concerns to trading decisions.
Scott Parsons moved to Washington, DC, in 1997 to work for newly-elected Congressman Chip Pickering from Mississippi. He was the lead staff member for all agricultural and agricultural-related issues. Scott was eventually promoted to Legislative Director. After serving Mr. Pickering for two years, he was hired as the Policy Advisor to newly-appointed Commissioner James E. Newsome at the Commodity Futures Trading Commission (CFTC). Two years later, Commissioner Newsome was named Chairman of the CFTC. Scott was then named Chief of Staff and Chief Operating Officer for the Commission. At 27 years of age, he became the youngest person to carry the Chief of Staff title at the CFTC and the first COO in the agency’s history. After six years of CFTC service, Parsons left the federal government to become Executive Vice President at the Managed Funds Association (MFA), a Washington-based trade association representing the interests of hedge funds/hedge fund managers. In July of 2006, Parsons left MFA to form his own government affairs company, Parsons Strategies. With the addition of Jim Newsome, former NYMEX CEO and CFTC Chairman in early 2010, Delta Strategy Group was formed.
Rich Steiner is Head of Market Structure Strategy. Rich joined RBC in July 2009 and was one of the key founding members of RBCs THOR. Rich was previously the Head of Product Development at BNP Paribas and prior to that was a Program Trader at ITG. Rich is member of the NYSE Market Structure Advisory Committee.
Richard is currently the TCA Product Specialist for the Americas at Bloomberg; his role is to ensure clients can extract all the potential information value from their equity trading data in BTCA. He has a long history in trading analytics in his various roles at Wilshire Associates, as head of equity trading for the Asset Management division, at Plexus Group, as a senior consultant to equity investment manager clients, at the IBM Retirement Fund, as the head of the internal equity index team, at Instinet, as the manager of the portfolio transition business, and, most recently, at ITG, as a key account manager for the Analytical Products & Research business. His main interests are quantitative equity and equity derivative trading for institutional investors and improving their performance figures by improving their trading results.
Richard Johnson is the Head of Quantitative Electronic Services for the Americas at Societe Generale Corporate & Investment Banking, responsible for sales and product development of Societe Generale’s electronic trading business in the region. Prior to Societe Generale he was at Liquidnet where he was responsible for product management and marketing of electronic trading. He came to Liquidnet through the acquisition of Miletus Trading where he was a founding employee of this innovative algorithmic trading boutique. He has also worked at ITG and Barra, a provider of quantitative analytics and models.
Rick focuses his practice on the representation of financial institutions and their employees who are the subject of investigations by the SEC, US Attorneys, FINRA, and state securities regulators. Rick also counsels broker-dealers, investment companies and investment advisers on regulatory issues, particularly relating to SEC and FINRA regulation. Rick also frequently counsels clients on compliance and risk management issues and handling of SEC inspections. Prior to entering private practice, Rick worked for several years for the Securities and Exchange Commission as both a branch chief in the Division of Enforcement in Washington DC and as Senior Associate Regional Administrator in the SEC’s New York Office, where he supervised a staff of 70 that conducted inspections of investment companies and investment advisers and instituted enforcement actions against those entities.
Robert Shapiro joined Bloomberg Tradebook in 2010 as the Global Head of Trading and Execution Consulting. Prior to joining Bloomberg Tradebook, Rob was COO of global trading for Morgan Stanley Investment Management (2007–2010) where he was responsible for factors related to trade optimization, including trading technology, trade analytics, execution strategy, and performance measurement. Rob joined Morgan Stanley Investment Management from Abel Noser, Inc., where he served as senior vice president of advanced trading strategies (2005–2007). Earlier, he had been head trader of Iridian Asset Management (1999–2004). Rob began his Wall Street career as an international equity proprietary trader and sales trader at Arnhold and S. Bleichroeder, Inc. (1986–1997); he also served as an institutional research salesperson at Kempen & Co USA (1998) and SEB Enskilda Securities, Inc. (1999). Rob received a Bachelor of Business Administration from the University of Michigan, Ann Arbor. He proudly serves on the Board of GOAL (Giving Open Access to Learning).
Roji Oommen, Senior Director, Business Development, Financial Services, is currently responsible for product strategy, alliances and partnerships within Savvis’ Financial Services business segment, working very closely with the 500+ customers that make up this vertical to deliver purpose-built IT infrastructure and connectivity solutions. Savvis is a global leader in cloud infrastructure and hosted IT solutions for enterprises. Roji has more than 15 years of experience, at organizations such as Thomson Reuters, IBM and Bridge Information Systems, specializing in information technology for financial services firms.
Scott Sullivan is a Senior Analyst in Celent’s Securities & Investments group and is based in the firm’s Boston Office.
Mr. Sullivan has over a decade of experience in sell side trading, buy side quantitative risk analysis, software solution integration, and asset management IT experience. His areas of expertise have been in derivatives, structured finance, and financial rules and regulation, including, ALM, Basel II and III, EMIR, and Dodd-Frank.
Before joining Celent, Mr. Sullivan spent more than five years as a senior business analyst and manager focusing on fixed income, currencies, and commodities at Eaton Vance Management and Sapient Global Markets. He evaluated and implemented numerous software packages to support complex investment strategies and risk management practices.
He has also had roles as a senior quantitative analyst for Mellon Private Wealth Management, an implementation consultant at SunGard, an associate at Bear Stearns, and an analyst at Deloitte and Touche’s IPO Center of Excellence.
Mr. Sullivan received his BA in Economics from Holy Cross College. He holds the Financial Risk Manager (FRM) designation, an international professional certification offered by the Global Association of Risk Professionals. He has also participated in the CFA Institute’s CFA Program, passing the Level I exam. In addition, he held the FINRA licenses Series 3, 7, 63, 65, 86, and 87.
As General Counsel, Shane is responsible for overseeing all legal and regulatory aspects of Eladian's businesses. Prior to Eladian Partners, Shane was General Counsel and Director of Compliance at Automated Trading Desk (ATD). In this role, Shane was responsible for helping ATD develop its business from pure proprietary trading, to becoming a fully automated market maker. Shane is very involved with industry committees and market structure analysis, also serving as Vice Chairman of the SIFMA Markets and Trading Committee. After ATD's acquisition by Citigroup in 2007, Shane became the business head at Citi's Lava Trading subsidiary.
A Wall Street Journal profile has called him a "computer whiz", and the New York Post has referred to him as a "math guru". Spencer Greenberg is a mathematician with an education in applied mathematics and computer science from Columbia University's School of Engineering and NYU's Courant Institute of Mathematical Sciences. Seth is the Chief Executive Officer of Rebellion Research, the quantitative hedge fund he co-founded in 2005 at the age of 22. Rebellion applies machine learning technology that he developed to invest in the stock market. Prior to founding Rebellion, Seth designed software for a leading counter-terrorism think tank, worked on projects in pure and applied math with Columbia professors, and performed software development work for Neuberger Berman, LLC. Seth has spoken about artificial intelligence and investing on Bloomberg Television, Bloomberg Radio, CNN Radio, CNBC Television, Canada's Business News Network, China's Phoenix TV, and in the Wall Street Journal.
Sri joined Guardian Capital in 2001 and is the architect and founding portfolio manager of the global equity process. His background in portfolio management, accounting, and applied finance were key elements to his work in the field of Global convergence and in building a Global integrated alpha/risk system. Prior to Guardian, Sri worked in Princeton, New Jersey from 1993 to 2001 for Global Value Investors, a quantitative firm specializing in Global Tactical Allocation. Sri graduated from the University of Bombay, is a Chartered Accountant, Cost and Works (India), and received his Masters and subsequent MBA in Applied Finance from Rutgers Graduate School of Management.
Tereck is a member of Chicago Equity Partners’ trading team. He has more than eighteen years of industry experience. Prior to joining the firm, he worked with the corporate finance group of Bank of America. He holds the Chartered Financial Analyst (CFA) designation, and is a member of the CFA Institute the CFA Society of Chicago, and the Security Traders Association of Chicago.
Tim Bevan worked at the London Stock Exchange for 8 years where he managed the Exchange Traded Fund, Exchange Traded Commodity and Securitised Derivatives segments on the LSE. Tim was also heavily involved in the launch of Russian DR derivatives on EDX. He then worked at RenCap, initially in delta-1 structuring and later in equity sales. Tim joined Otkritie in 2009 as DMA sales and is now a Director in the Global Electronic Trading Services division.
Victor Lebreton manages the strategies and the electronic trading platform for the prop-trading company Quant Hedge. He has a background in IT management and consulting firm. Since 2005 he has developed automated strategies for his own and in 2008 he moved to electronic trading to deploy its trading strategies based on cutting edge approach. Today, he is also a teacher for electronic markets for ECE, a major engineer school in Paris. His investment research is based on FX/Future/Index systematic trading and algorithmic trading. He shares a passion for contemporary art and cultural asset investment for which he has published an article “The Online art selling / La vente en ligne d’oeuvres d’arts. Paris : 2008”. He is also working on Art fund project.
William O'Brien joined Direct Edge as Chief Executive Officer in July 2007. Prior to his appointment to Direct Edge, Mr. O'Brien was Senior Vice President at The NASDAQ Stock Market, having held senior management positions in NASDAQ’s New Listings and Market Data units. Mr. O'Brien joined Nasdaq in 2004 by way of Brut, LLC, where he had been Chief Operating Officer since 2002, helping lead the company through a period of significant growth and its acquisition by NASDAQ. He originally joined Brut as Senior Vice President and General Counsel in 2000. Mr. O'Brien was an attorney in the Legal Department of Goldman Sachs from 1998 to 2000 and at Orrick LLP from 1995 to 1998. He has a B.A. from the University of Notre Dame and a J.D. from the University of Pennsylvania School of Law.
Yvonne I. Pytlik is a senior executive and one of industry’s most highly regarded strategists in compliance risk management and corporate governance for financial institutions. Prior to joining Dreman, she was the Deputy Head of Global Compliance, Risk Management, and Strategic Planning at Deutsche Bank AG. Yvonne was responsible for global compliance risk management across all business lines, including capital markets, investment banking, asset management, and private wealth management. During her eight years at Deutsche Bank, she made significant contributions to the firm’s overall compliance organization, including the development and implementation of global compliance risk management functions in the Americas, Europe, and Asia-Pacific regions. Yvonne developed and implemented the Chief Compliance Officer Program Oversight initiatives for the asset management division. Prior to joining Deutsche Bank, Yvonne was a Lead Senior Consultant in the Advisory and Information Risk Management Practice at KPMG, LLP. She was managing and supervising strategic business/ information risk assessment and process reengineering engagements for KPMG clients. Her experience also includes over 10 years in Internal Audit at major financial institutions, with a focus on the asset management and investment management business. Yvonne has MBA from Suffolk University and BS in Management from University of Massachusetts. She is a Certified Public Accountant in MA and member of AICPA. She is also a member of numerous professional risk and compliance organizations. Yvonne currently serves on the Risk Governance Committee at the Risk Management Association in NYC, she is the Founder of the Global Compliance Risk Management Corp. where she currently serves on the Board of Directors. Her recent compliance expert opinions were published: ”New technologies to stop insider trading”, “Insider Trading – can it be stopped?” in the Wall Street & Technology and “Compliance Risk: a critical business risk for asset managers” in the Journal of Securities Laws, Regulations & Compliance by Henry Stewart Publications in UK.