Michael P. Wright Email & Phone Number

Manalapan, NJ

Marlboro, NJ

Greater New York City Area

-Performed reviews of proprietary, institutional and retail option accounts for standardized and conventional option strategies. -Responsible for the review and approval of all option and commodities accounts. -Interacted directly with the AML Group in connection with the opening of certain international option accounts. -Developed and implemented an.

Greater New York City Area

-Managed and motivated a staff of twelve individuals -Retooled policies and procedures to develop risk control documentation and testing methodologies to ensure compliance with stated procedures. -Conducted special projects and internal investigations at the request of senior management.-Provided advice and guidance to correspondent firms and prime broker.

Greater New York City Area

-Responsible for total compliance programs and regulatory policies.-Established policies and procedures for institutional direct access trading to the floor of the NYSE.-Reviewed all new account documentation, trade corrections and trade errors. -Developed daily trading exception reports for institutional customer accounts. -Responsible for quarterly NYSE.

-Investigated and assisted in the prosecution of NYSE members, member organizations and associated persons in connection with NYSE disciplinary proceedings involving possible violations of NYSE Rules, Federal Securities Laws involving Securities and Exchange Act of -1934 issues and the regulations promulgated there under. -Participated in joint assignments.

Greater New York City Area

Conducted investigations involving all AMEX and CBOE products, including the XMI, OEX and all listed securities. Assisted in the prosecution of AMEX members, member organizations and persons associated with them in AMEX disciplinary proceedings involving violations of AMEX Constitutions and Rules. Testified as an expert witness before the AMEX's hearing.

-Supervised all operational personnel and sales assistants within the branch office. -Reviewed and approved all daily institutional and retail trading activity including commodities, equities, options and fixed income vehicles for excessive and unsuitable trading activity, day trading, cross trading and concentrations. -Responded to all regulatory inquires.

-Performed branch audits throughout the United States for, among other things, order trade execution, cashiering, unsuitable and excessive trading, error handling, funds received and funds disbursed and securities handling.

Bs, Accounting

Fixed Income Products

Activities and Societies: *Licenses expired