About Your Speakers
Peter Arestides manages production support and development for TIAA-CREF’s San Francisco equity trading desk. Peter’s San Francisco group provides 24-by-6 trading operation support, enabling trading in all the major global markets. He previously worked for Linedata Services and Implementation Solutions.
Jeff Brown is senior vice president of Electronic Brokerage Services for Fidelity Capital Markets (FCM), a unit of Fidelity Investments, the largest mutual fund company in the United States, the No. 1 provider of workplace retirement savings plans and a leading online brokerage firm. Mr. Brown is responsible for the oversight, design and development of FCM’s electronic trading products, including the Model Trade Execution (MTRX®) suite of trading algorithms, CrossStream® ATS, and DarkSweep®, Fidelity’s sophisticated trading strategy that aggregates multiple dark pools into a single access point.
Mr. Brown began his career at Fidelity in 1999 as a senior associate in Strategy and Implementation. In this role, he focused on electronic and algorithmic trading initiatives, financial technology and market structure, with responsibility for strategic planning, product design and project management. In 2002, he joined UNX, Inc. as a director of Product Development. In 2005, Mr. Brown returned to Fidelity in his current role. Throughout his career in financial services, he has been an active industry participant on issues related to financial technology, equity market structure and market data.
Mr. Brown is a 1997 graduate of the Wharton School at the University of Pennsylvania and a Chartered Financial Analyst.
Rod Burns, is a Director with Credit Suisse Advanced Execution Services (AES), and is responsible for the Western Region. In marketing direct market access and algorithms, Rod and the West Coast team focus on market microstructure research, pre/post trade analysis and liquidity profiles of individual names and markets.
Rod was previously National Director of Electronic Sales for Knight Capital Group, where he has responsible for Knight Direct and EdgeTrade algorithmic sales. Rod also managed their Knight's Account Origination efforts for their Institututional Sales Trading desk. Rod was also Head of Sales for Direct Trading Institutional, Inc prior to its acquisition by Knight. Rod has experience developing and marketing multi-asset class products ranging from equities, options and futures. Rod has also worked on the buyside for a global money manager.
The AES group designs and builds algorithms and systems capable of fully-automated trading based on client specifications. Algorithms based on thorough execution research and continuous live experimentation, performed by teams of Credit Suisse quantitative analysts and traders located throughout the globe.
Michael J. Carr is the chief market strategist at Dunn Warren Investment Advisors, LLC. He has written extensively about the financial markets for more than ten years. Mike has been the editor of the Market Technicians Association (MTA) monthly newsletter, Technically Speaking, since 2003 and associate editor of the MTA's scholarly publication, Journal of Technical Analysis since 2005. His work has been published in major industry magazines including Stocks, Futures, and Options (SFO), Futures, Technical Analysis of Stocks and Commodities, and Traders. Mike has also written for a number of web sites, including Working Money, Traders.com Online, and Moneynews.com. He is the author of Smarter Investing in Any Economy: The Definitive Guide to Relative Strength Investing.
Mike received a masters degree in management from Webster University and his undergraduate degree in chemistry from Wilkes University. He is a Chartered Market Technician and a board member of the Market Technicians Association Educational Foundation.
Investment experience: 17 years; 17 years with firm Glenn joined the firm in 1991. As head trader, Glenn's responsibilities include execution of all purchases and sales of domestic and foreign securities. He received his BS from Santa Clara University in 1988 and his Chartered Financial Analyst designation in 1995.
About Bailard
Bailard, Inc. is a San Francisco Bay Area-based investment advisory firm that has provided innovative solutions to the unique needs of high net worth and institutional investors for over 38 years. The firm offers single-asset or custom-tailored portfolios comprised of domestic and international equities and bonds, real estate and alternative investments for individuals and institutions.
Gregg Drumma, Vice President, Electronic Trading Product Management at Linedata Services, Inc. is an industry veteran with over ten years experience developing and delivering STP solutions to the investment management community. As Linedata’s chief representative of FIX Protocol Ltd. (FPL), Gregg is an active member of several FIX working groups designed to help shape the future of FIX trading. As the VP of Electronic Trading Product Management, Gregg leads the global electronic trading and STP product development for LongView Trading, including, pre-trade analytics and integrated trading solutions. Gregg’s experience and expertise extends globally across all asset-types and trading destinations.
Gregg has been invited to participate on several industry panels, from FPL’s Electronic Trading conferences to Trade Tech USA, as a thought-leader in the OMS/EMS integration topic.
Prior to joining Linedata Services, Inc in 1998 Gregg held development positions at Motorola, Inc Gregg holds a B.S. in Computer Science from the Watson School of Engineering at Binghamton University in New York.
J. Mark Enriquez is the Founding Managing Partner of Pulse Trading, Inc. Headquartered in Boston, MA, Pulse Trading is one the leading agency institutional brokerage firms focused on electronic trading. In 1999 Pulse pioneered the concept of multi platform / venue trading in a non conflicted agency model. In addition to its execution business, Pulse offers a broad range of research and brokerage commission sharing options. In 2007 Pulse launched BlockCross, a dark pool ATS designed to trade large equity blocks. Prior to Pulse, Mark was the director of electronic trading at State Street Brokerage and held positions at MacGregor and Putnam Investments.
Mark holds series 7, 24, 55 and 63 licenses. He is a gubernatorial appointment to the MA Group Insurance Commission and is a member of the National Organization of Investment Professionals.
Prior to joining Cambria Investment Management, Inc., Mr. Faber served as a Quantitative Research Analyst and Trader at the VTrader Group, a San Francisco based futures broker/dealer. His responsibilities included the creation and implementation of non-discretionary trading systems. The underlying logic of the analysis was based on fundamental, technical, and behavioral factors. Prior to this, Mr. Faber worked as an equity analyst at The Genomics Fund. He researched public equities in the health care sector for inclusion into the portfolio, as well as validating the scientific merit of various companies’ technologies. Mr. Faber graduated from the University of Virginia with a double major in Engineering Science and Biology. In addition, he has completed graduate coursework in biotechnology at the University of Virginia, the Johns Hopkins University, and the University of California at San Francisco. He holds the Series 3, 7, and 66 licenses. Mr. Faber is a Chartered Alternative Investment Analyst (CAIA), and Chartered Market Technician (CMT).
Brian R. Fagen is a Managing Director and Co-Head of Liquid Market Sales, Americas at Barclays Capital.
Prior to joining Barclays Capital in 2008, Mr. Fagen spent two years at Lehman Brothers, most recently as Co-Head of Americas Liquid Market Sales. Prior to that, he held several senior roles at Morgan Stanley, including Head of Program Trading and Sales, Head of Equity Futures and Head of Money Manager Derivative Sales.
Mr. Fagen is a member of the Board of Directors of BIDS Trading, an industry consortium alternative trading system. He is also a board member of the Juvenile Diabetes Research Foundation of Westchester County, NY.
Mr. Fagen holds a BS in accounting from Rutgers University.
Melissa F. Hinmon is a senior equity trader with Turner Investment Partners, a Berwyn, Pennsylvania-based investment firm that manages more than $14 billion in growth, value, and core stocks on behalf of institutions and individuals. Melissa has more than 22 years industry experience, including 15 years on the sell-side in positions such as equity arbitrage trader and senior NASDAQ trader with Merrill Lynch in New York. While in New York, she also held a senior listed trader position with NatWest Markets. Melissa joined Turner in spring 2001, where she became a principal of the firm the following year. She currently manages all aspects of trading Turner’s small- and mid-cap value and core stocks across all market sectors. She is an affiliate member of the Market Technicians Association (MTA) and sits on the steering committee for MTA’s Philadelphia chapter.
Lori has served in various roles in the investment business since 1993 including legal and compliance, product development and operations. A Principal of Cortina Asset Management, Lori is currently responsible for the day to day operations of the firm and also serves as the Chief Compliance Officer. She is also on the firm’s Board of Directors.
Lori joined the firm from M&I Investment Management Corporation where she served as Chief Legal Counsel and Chief Compliance Officer for the investment adviser and the Marshall Funds. While at M&I Lori also managed the IRA Rollover Product Division where she was responsible for all operations, marketing and customer service components of the department. Prior to joining M&I, Lori worked as a securities attorney for two of the largest law firms in the country.
Lori received her BS in Political Science and Finance from the University of Arizona and her JD from the University of Southern California.
Richard Johnson oversees the Product Managers Group at Liquidnet Holdings, Inc. Liquidnet is the world's institutional marketplace that facilitates institutional equities trading for more than 550 asset management firms worldwide, with trading in 29 markets across the globe. Richard, who came to Liquidnet with the acquisition of Miletus Trading, is responsible for integrating that firm's quantitative trading services into Liquidnet.
He joined Miletus Trading in 2004, where he played a significant role in the development of MutliVerse, Miletus' suite of quantitative trading tools that included pre-trade analysis, algorithmic strategy engines, and post-trade analysis.
Prior to joining Miletus, Richard spent four years at ITG focused on selling front-end trading products. Before joining ITG, he was a Senior Consultant at Barra, where his role involved sales of risk model and optimization products and helping clients implement their quantitative strategies.
Richard graduated with a BA in Economics and Statistics from Exeter University, England.
Dan Keegan is responsible for building and managing the Citi Match crossing network product for Citi, and is global head of institutional sales. Mr. Keegan created the original Citi Match crossing network in the United States, and is now responsible for Citi's crossing network capabilities around the world.
Prior to his position at Citi, Mr. Keegan was Head of Institutional Equities at Automated Trading Desk, a trading technology firm that was purchased by Citi in 2007. Mr. Keegan previously held numerous management positions within JP Morgan, where he established JP Morgan's Electronic Execution Services business.
Mike Lindh oversees trading at HydePark. Prior to his current role at HydePark, 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.
Mike earned a bachelor’s degree in economics and accounting from Augustana College, and an MA in economics from Northwestern University. Mike received an MBA from the University of Chicago. He is a former President of the CFA Society of Chicago.
Ms. Lord joined UBS in 2003 and serves as Head, US Legislative and Regulatory Affairs. Previously, Ms. Lord served as Chief Counsel of the United States Senate Committee on Banking, Housing, and Urban Affairs. Prior to joining the Banking Committee in January 1999 as Chief Counsel, Ms. Lord was a partner in the Washington, D.C. office of the Venable law firm. Ms. Lord spent 12 years in the private practice of law in the District of Columbia, representing banking companies in regulatory compliance and transactional matters, including capital restructuring, mergers and acquisitions. Ms. Lord also represented officers and directors in enforcement proceedings before the Federal banking agencies. Prior to joining the Senate Banking, Housing, and Urban Affairs Committee, Ms. Lord also served as an Attorney-Fellow with the Office of General Counsel, United States Securities and Exchange Commission.
During her tenure with the Senate Banking Committee, Ms. Lord was a key participant in the drafting and negotiation of the following measures, which became law:
- The Gramm-Leach-Bliley Act.(P.L. 106-102)
- The Commodity Futures Modernization Act of 2000. (P.L. 106-554)
- The American Homeownership and Economic Opportunity Act of 2000. (P.L. 106-569)
- The Launching Our Communities’ Access to Local Television Act of 2000. (P.L. 106-553)
- The Competitive Market Supervision Act of 2001. (P.L. 107-123)
- The USA Patriot Act (title III of which is the International Money Laundering Abatement and Anti- Terrorist Financing Act of 2001). (P.L. 107-56)
- The Sarbanes-Oxley Act (P.L. 107-204)
- The Terrorism Risk Insurance Act of 2002 (P.L. 107-297)
Ms. Lord serves on the Executive Council of the Federal Bar Association’s Banking Law Section and served as an advisory board member of “To the Contrary,” a national news analysis and public affairs television program produced by an all woman-owned non-profit organization. Ms. Lord also is a member of the Exchequer Club in Washington, DC, for senior officials in the financial industry. Ms. Lord publishes the “Current Issues” Report on a weekly basis and is a frequent speaker on major legislative and regulatory issues and trends, and hosts the monthly Regulatory Dialogue Series of conference calls to discuss significant policy issues with featured guests who serve in senior policymaking roles in Washington, DC.
David Margulies is Head of Algorithmic Execution for Weeden & Co’s Algorithmic Trading Group. David has been in the securities industry for over 15 years and has served in many roles specializing in electronic execution solutions. Prior to joining Weeden & Co. in 2007, David held several senior roles at Susquehanna Financial, Knight Securities, Robertson Stephens, Bridge Trading and Merrin Financial.
Lee manages North American Portfolio and Electronic Trading for Merrill Lynch, and has done so for the last three years. Lee helped build Merrill's portfolio and electronic product suite into a top ranked position and integrated Merrill's highly regarded quantitative research into their electronic product suite. Lee has spoken at many industry conferences and at the prior Tradetech Head Trader Think-Tanks. Prior to Merrill Lynch, Lee was with Credit Suisse for eight years where he managed US Portfolio Trading.
Jim Paulsen is the chief investment strategist at Wells Capital Management. An investment management industry professional since 1983, Jim develops investment strategies that assist in the management of separate institutional account assets as well as mutual and collective investment funds. He joined Norwest Investment Management, Inc., which later became part of Wells Capital Management, as chief investment officer in January 1997. Previously, he was the senior managing director and chief investment strategist for Investors Management Group in Des Moines, Iowa. Earlier, he was president of SCI Capital Management in Cedar Rapids, Iowa. Jim is nationally recognized for his views on the economy. BusinessWeek named him Top Economic Forecaster for 2001. BondWeek has twice named him Interest Rate Forecaster of the Year. For more than 25 years, Jim has published his own commentary assessing economic and market trends through his newsletter, Economic and Market Perspective. Money named his newsletter one of “101 Things Every Investor Should Know” in March 2004. He earned his bachelor’s and doctoral degrees in economics from Iowa State University.
Richard L. Peterson MD works at the intersection of psychology and financial markets, both as a portfolio manager and as a consultant. He is the Managing Director of MarketPsy Capital LLC, a psychology-based asset management firm. Through the education firm MarketPsych Partners, he trains financial professionals to use psychological insights in their daily work, both with clients and in the markets. Dr. Peterson’s financial psychology research has been published in leading academic journals, textbooks, and profiled in the financial media including CNBC, NPR, and the Wall Street Journal. His book, Inside the Investor’s Brain (Wiley, 2007), was praised as “outstanding” by Barrons and a “Best Investing Read of 2007” by Kiplinger’s. Dr. Peterson earned cum laude degrees in Electrical Engineering (BS), Arts (BA), and Medicine (MD) from the University of Texas. He performed post-graduate neuroeconomics research at Stanford University and is Board-certified in psychiatry. He lives in Los Angeles with his wife and two daughters.
Mr. Tullar is the National Sales Manager at JonesTrading. Previously, he was Director of Global Trading. He joined the Executive Committee and became a Managing Director in 2000. He has worked in several JonesTrading regional offices around the country, starting in Los Angeles working under Mr. Mike Hornbuckle and Mr. Packy Jones. Mr. Tullar then went to the New York office and was later instrumental in the opening of the Florida office. Currently, Mr. Tullar heads up new hiring, account management for the firm, and runs the Sales Trader Training Center in Aspen for all trading personnel. Mr. Tullar is an all-season, outdoor enthusiast with a passion for mountain biking, motor crossing and downhill skiing. He resides in Aspen, Colorado with his wife and three children. Mr. Tullar is a 1991 graduate of the University of California, Los Angeles, majoring in Economics and has his Series 7, 24, 55, and 63 industry licenses.
Lee Weiner, a Director, joined Harvest Capital Strategies in 2007. He specializes in managing trading systems and alternative trading.
Prior to joining Harvest Capital, Mr. Weiner designed a multi-asset class trading system and an options market making platform for Newedge, a division of Société Générale. Through 2003, Mr. Weiner managed risk based trading systems for Banc of America Securities. He also founded and was General Partner at Weiner Capital Management, a options market making firm.
Lee received a BS degree from Washington University in Saint Louis.