Expertise includes: ✔ SEC / FINRA, NYSE / Nasdaq, & Other Exchanges Rules.✔ Front-running, Intraday Manipulation, Spoofing the Open, Marking the Close, Pre-Block✔ OATS, Blue Sheets, & ISG Equity Audit Trail✔ Direct Market Access (SEC Rule 15c3-5 / NYSE Rule 5210.01)✔ Quote Stuffing ✔ Microsoft Office Suite, & SQL Conduct routine reviews and investigations of unusual market activity for evidence of violations of relevant FINRA rules and federal securities laws: • Review Cross-Market manipulation patterns, identifying Front-running, Intraday Manipulation, Spoofing the Open, and Marking the Close, and Pre-Bock Trades.• Develop investigations, authored detailed memorandum, and composed formal findings, referring matters to FINRA Enforcement and SEC. • Utilize external and FINRA data sources, including OATS, Cross-Market data model, Exchange-Specific data sets, Blue Sheets, ISG Equity Audit Trail, SIP Quotes and news, assisting with reconstructing trade details, as well as order origination information.• Reconstruct trading using various automated tools, and accounting methods, applying automated matching of Blue Sheet data to Cross-Market data model and linkage to additional data sets. • Investigate Quote Stuffing under SEC Rule 15c3-5 (Direct Market Access) and NYSE Rule 5210.01, and Odd Lots trading. Streamlined Quote Stuffing investigations. Created Best Practices guidelines for compliance with Direct Market Access rules.• Prepare requests for information from member-firms, requesting and reviewing member firm WSPs for potential gaps in procedures, market access issues, and completeness.• Analyze FINRA, SEC, and exchange-specific rules, presenting investigative findings and recommendations to management and FINRA Legal Department.• Train new hires and contractors in new patterns, mechanisms of connecting underlying market participants, Microsoft Excel, and development tools. Prepare policies, procedures, guidelines, and training materials.

• Benchmarked sponsor-finance multi-borrower credit agreements; created database of negotiated sponsor-finance terms in lending agreements. Assisted outside counsels.• Drafted guidelines for compliance with antitrust competition laws.• Mastered sponsor-finance FTC guidelines; drafted disclaimers for GE products and services; improved internal disclaimer protocols, advertising and marketing rules.

• Drafted pleadings in FINRA arbitration, and responses to inquiries and exams.• Investigated customer complaints, drafted responses to sales and non-sales violations. • Provided quarterly reports under NASD & NYSE Rules.• Monitored and enforced collections from customers and former employees.• Conducted internal surveillance in Insider Trading investigations.• Supervised Legal and Compliance due-diligence for the Ryan Beck-Stifel Nicolaus merger.