Hester M. Peirce
U.S. Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Professor of Law & Former SEC Commissioner
New York University School of Law
Robert J. Jackson, Jr. is the Pierrepont Family Professor of Law, Co-Director of the Institute for Corporate Governance and Finance, and Director of the Program on Corporate Law and Policy at the New York University School of Law. Among other premier publications, his work has been featured in the Journal of Finance, the Journal of Law and Economics, and the Harvard Law Review.
He was nominated and unanimously confirmed by the Senate to be Commissioner of the U.S. Securities and Exchange Commission in 2017 and served in that role until February 2020. He was an outspoken advocate for protecting investors, consistently calling for more transparency in capital markets and championing evidence-driven policymaking. He challenged Silicon Valley insiders on dual-class stock that enables intergenerational transfers of control of America’s largest public companies and called competition economics the “forgotten fourth pillar” of the SEC’s mission. Professor Jackson’s Office helped lead the SEC’s unanimous adoption of a pilot to study effects of stock-exchange payments on market dynamics.
Professor Jackson’s research has consistently produced bipartisan legislation to address the gaps created by application of securities law to modern markets. His paper identifying significant insider trading before the announcement of significant corporate developments led to legislation to outlaw that trading. Another study identifying how SEC systems gave high-speed traders an advantage over ordinary investors led to bipartisan demands for a level playing field. His calls for an insider-trading law for the 21st century produced a bipartisan bill to close gaps in existing law.
Prior to his nomination to the Commission, Professor Jackson taught at Columbia Law School, where students honored him with the Reese Prize for Excellence in Teaching. Before that, he served as a senior policy advisor at the U.S. Treasury Department during the financial crisis and as deputy to Kenneth Feinberg, Treasury’s Special Master on Executive Compensation. Earlier in his career, Professor Jackson practiced law at Wachtell, Lipton, Rosen & Katz and was an investment banker at Bear, Stearns. He holds two undergraduate degrees (one in finance, another in philosophy) from the University of Pennsylvania, an MBA in Finance from the Wharton School of Business, a Master of Public Policy from Harvard’s Kennedy School, and a law degree from the Harvard Law School. He was born in the Bronx, is a lifelong fan of the New York Yankees, and lives in New York with his wife, Bryana.
Congressman Sean Casten
Vice Chair, Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets
House Financial Services Committee
As a scientist, clean energy entrepreneur and CEO, and now as a Member of Congress representing the western suburbs of Chicago, Congressman Sean Casten has dedicated his life to fighting climate change. Rep. Casten draws upon his previous private sector experience in Congress to craft market-based solutions to reduce emissions while creating jobs and spurring economic growth.
Rep. Casten serves on the Science, Space, and Technology Committee, the Select Committee on the Climate Crisis and is the Vice Chair of the House Financial Services Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets. He also serves as Co-Chair on the New Democrat Coalition Climate Change Task Force.
Rep. Casten has a Master of Engineering Management and a Master of Science in Biochemical Engineering from the Thayer School of Engineering at Dartmouth College. While at Dartmouth, he did fundamental research in thermophilic fermentation technology to produce cellulosic ethanol and engineering analyses of integrated ethanol, heat and power plants.
Rep. Casten worked as a clean energy consultant and manager at Arthur D. Little then served as the president and CEO of Turbosteam Corporation, which focused on utilizing energy recycling technologies to reduce greenhouse gas emissions by generating heat and power from previously wasted energy. In 2006, Rep. Casten co-founded Recycled Energy Development (RED), which focused on recycling wasted energy and converting energy facilities to cleaner, more economic uses.
Rep. Casten was a founding chairman of the Northeast CHP Initiative, a nonprofit advocacy organization with a mission to advance policies that favor energy efficiency in the Northeast United States.
While working diligently in Washington on behalf of Illinois’ 6th Congressional District, Rep. Casten is also committed to keeping in close contact with his constituents. To date, he has held over 50 town halls and over 400 community events.
Congressman Warren Davidson
House Financial Services Committee
Warren Davidson represents Ohio’s 8th Congressional District. He is a member of the House Financial Services Committee, where he is focused on policies that help grow our economy, instill fiscal discipline, advance innovation, and limit runaway government expansion that threatens to bankrupt America.
After high school, Congressman Davidson enlisted in the Army as an infantryman. As part of the 3rd Infantry Division, he was stationed in Germany and witnessed the fall of the Berlin Wall. Rep. Davidson’s commanding officers recognized his potential and helped him earn an appointment to the United States Military Academy at West Point. He graduated near the top of his class as a student of American history and mechanical engineering. As an officer, he led in The Old Guard, the 75th Ranger Regiment, and the 101st Airborne Division.
After the Army, Congressman Davidson returned home, worked with his father, earned an MBA from the University of Notre Dame, and spent fifteen years owning and operating manufacturing companies in Ohio. In 2016, he again responded to the call of service, and came to work in the U.S. House of Representatives.
Rep. Davidson and his wife Lisa have been married for 25 years and have two adult children.
Congressman Tom Emmer
House Financial Services Committee
Congressman Tom Emmer was sworn in for his first term in the U.S. House of Representatives on January 6, 2015. He is currently serving his fourth term.
Rep. Emmer was elected by his fellow Republican colleagues to join the House GOP Leadership team as the Chairman of the National Republican Congressional Committee for the 116th Congress and again for the 117th Congress. Currently, he sits on the House Financial Services Committee. He is also a member of the Republican Deputy Whip Team and the House Republican Steering Committee.
Born in 1961, Rep. Emmer grew up in Minnesota and attended St. Thomas Academy. He received his BA in Political Science from the University of Alaska-Fairbanks and his JD from William Mitchell College of Law.
After practicing law for several years, he opened his own law firm. The next 20 years were spent balancing family, business, coaching hockey, and serving on the city councils in Independence and Delano.
Before coming to Congress, he served in the Minnesota House of Representatives from 2004-2008.
Rep. Emmer and his wife Jacquie have been married for over 30 years and have seven children. They reside in Delano.
Congressman Josh Gottheimer
House Financial Services Committee
Josh Gottheimer represents New Jersey’s Fifth Congressional District in the northernmost part of the state, which includes parts of Bergen, Passaic, Sussex, and Warren counties. He was first sworn in on January 3, 2017, and is now in his third term in office.
In Congress, Rep. Gottheimer serves on two Committees, including the House Financial Services Committee, where he is a member of the National Security, International Development and Monetary Policy Subcommittee and the Investor Protection, Entrepreneurship, and Capital Markets Subcommittee. Rep. Gottheimer also serves on the House Homeland Security Committee, where he is a member of the Intelligence and Counterterrorism Subcommittee and the Transportation and Maritime Security Subcommittee.
In January 2017, Rep. Gottheimer was elected Co-Chair of the bipartisan Problem Solvers Caucus, where he works to bring the group of 29 Democrats and 29 Republicans together across party lines to find areas of agreement on key issues including lowering taxes, cutting health insurance premiums, and improving infrastructure to help the American people. He was re-elected Co-Chair of the Problem Solvers Caucus in January 2021.
As a member of the House Homeland Security Committee, Rep. Gottheimer realizes that the safety and security of the nation is at a critical juncture, with rapidly evolving threats from foreign and domestic terrorists, and homegrown violent extremism. He advocated for, and was successful in, the removal of Twitter accounts affiliated with Foreign Terrorist Organizations, including Hamas and Hezbollah.
Josh later served as Senior Counselor to the Chairman at the Federal Communications Commission. During his tenure, he was the first Director of Office of Public-Private Initiatives, partnering with private companies to break through roadblocks and solve national problems. These partnerships saved taxpayers money while helping law enforcement, boosting digital education, and creating jobs. Josh worked on cybersecurity, broadband adoption, combating cell phone theft, creating a new public safety emergency alert system, and expanding wireless spectrum. Josh used that experience to help create a nonprofit, JerseyOn, that has expanded access to high-speed internet for low-income New Jersey students to help them compete in the 21st Century economy.
Before running for Congress, Josh worked at Microsoft as General Manager for Corporate Strategy, where he focused on the company’s expansion into the cloud, e-commerce, and privacy. He was also a member of both the Ridgewood and New Jersey Chambers of Commerce, the Rutgers Business School Advisory Board, and was a visiting fellow at Princeton University’s Center for Information Technology. He also taught history at the University of Pennsylvania.
Josh now lives in Wyckoff, New Jersey with Marla, his wife who was a federal prosecutor, and their two young children, Ellie and Ben.
Congressman Gregory Meeks
House Financial Services Committee
Congressman Gregory W. Meeks, now in his thirteenth term, has devoted his energy and skill to serving one of the most diverse constituencies in the nation. His efforts on behalf of his district, New York City and State, and the nation as a whole have earned Rep. Meeks the respect of his constituents, New Yorkers, and Democrats and Republicans alike. He is known for being an effective, principled, and common sense leader. As a fervent supporter of the Affordable Care Act enacted under President Obama, Congressman Meeks believes that it should be enhanced. Congressman Meeks is part of the forward-thinking, pro-growth Democratic members who comprise the New Democrat Coalition (NDC), the largest ideological caucus in Congress. He co-chairs the NDCC Trade Task Force.
Congressman Meeks is Chairman of the House Foreign Affairs Committee, the first black Member of Congress to serve as Chair of that committee. Meeks is a multilateralist with decades of experience in foreign policy. He believes that the United States should build coalitions around our interests and work with other countries to build a stable and prosperous future.
He is a senior member of the House Financial Services Committee, where he served as the Chairman of the Subcommittee on Consumer Protection and Financial Institutions which oversees all financial regulators such as, FDIC, Federal Reserve and all matters pertaining to consumer credit and the stability of the banking system. Rep. Meeks previously served as a Dodd-Frank conferee. Key provisions in the Wall Street reform law – including its stress testing requirement, the creation of the Office of Minority and Women Inclusion at the financial regulatory agencies, and the requirement that U.S. public companies who use natural resources to report their due diligence in stamping out conflict minerals– were co-authored by Congressman Meeks and remain in the law today. Rep. Meeks introduced a bill that would require government contractors and public companies to submit data on the racial, ethnic, and gender composition of their corporate boards.
Congressman Meeks is a member of the Allen AME Church in St. Albans, New York and a proud member of Alpha Phi Alpha Fraternity. As a huge sports fan, Meeks enjoys watching the New York Knicks, the New York Giants, and the New York Mets. He is married to Simone-Marie Meeks and has three daughters – Ebony, Aja, and Nia-Aiyana.
Congresswoman Ann Wagner
Vice Ranking Member
House Financial Services Committee and House Foreign Affairs Committee
Ann Wagner’s career is both deep and broad in service to her hometown, state and nation with over 30 years of work in the private sector, community and public service, and the political arena.
Rep. Wagner’s public service began at the grassroots level. She served for nine years as a local committeewoman in Lafayette Township and went on to Chair the Missouri Republican Party, delivering historic Republican gains. She also served as Co-Chairman of the Republican National Committee during the first term of President George W. Bush.
In 2005, following nomination by President Bush and confirmation by the U.S. Senate, Rep. Wagner was sworn in as the 19th U.S. Ambassador to Luxembourg by Secretary of State Condoleezza Rice. She served as U.S. Ambassador for four years before returning to her home in Ballwin, Missouri.
Rep. Wagner then decided to put her own name on the ballot and won her first Congressional race with over 60% of the vote, receiving more votes that election cycle than any other Republican Congressional candidate in Missouri. She took office in January of 2013 and was selected by both her freshman and sophomore class to be their representative on the Elected Leadership Committee.
As representative from the 2nd District, Congresswoman Wagner serves as Vice Ranking Member on both the House Financial Services Committee and House Foreign Affairs Committee. She has worked tirelessly to demand transparency and accountability from federal regulators, while continuing to investigate waste, fraud, and abuse. During her time in Congress, Rep. Wagner has been committed to regulatory reform, authoring bills such as the Retail Investor Protection Act which protects access to retirement savings for middle class families.
STA Women in Finance Keynote
Director of Diversity and Inclusion
U.S. House of Representatives Committee on Financial Services
Kylie Patterson serves as Director of Diversity and Inclusion for the U.S. House of Representatives Committee on Financial Services under the leadership of Chairwoman Maxine Waters. As the Diversity and Inclusion Subcommittee Director, Ms. Patterson works to promote diversity and inclusion and increase accountability in our nation’s housing and financial services sectors, and across the federal agencies and programs under the Committee’s jurisdiction, including the U.S. Department of Housing and Urban Development, the Federal Reserve Bank, the Federal Deposit Insurance Corporation, Fannie Mae and Freddie Mac, and international development and finance agencies such as the World Bank and the International Monetary Fund. Ms. Patterson also advises all the Committee’s subcommittees and task forces to center and better support Black, Indigenous and People of Color (BIPOC), women, veterans, individuals with disabilities, and people living in underserved and rural areas. Previously, Ms. Patterson led a similar portfolio as a Professional Staff Member on the U.S. Senate Committee on Small Business and Entrepreneurship.
Prior to serving on Capitol Hill, Ms. Patterson spent more than 10 years directing multi-million dollar programs, investigations, and evaluations to address racial and income inequality at Johns Hopkins University and Health System, Prosperity Now (formerly CFED), management consulting firm BCT Partners, the City of Minneapolis, the Pew Charitable Trusts, the Council of State Governments, and the AFL-CIO.
Ms. Patterson graduated magna cum laude with bachelor’s degrees in African American Studies and Political Science from Temple University, where she was selected as a recipient of the prestigious Truman Scholarship. She holds a master’s degree in public policy from the Hubert H. Humphrey School of Public Affairs at the University of Minnesota-Twin Cities. Ms. Patterson has been a featured guest on Fox News and Sirius XM, and her writing has been published by CNN, The Baltimore Sun, Blavity, HuffPost and NAACP’s The Angle.
In her free time, Ms. Patterson enjoys reading science fiction, chewing bubble gum, and singing poorly along to 90’s R&B music.
Vice President, Government Relations
Jameel Aalim-Johnson is a Vice President in the Government Relations Office of global exchange operator Nasdaq. He has been with the company since January 2008. The Office of Government Relations interacts with the U.S. Congress, Treasury, the SEC and other federal agencies in order to communicate the policy concerns of Nasdaq. He is also responsible for Nasdaq government relations with several states delegations where Nasdaq has a significant presence including New York, New Jersey, Pennsylvania, California and Maryland. Mr. Aalim-Johnson provides support to the Nasdaq Market Technology group by garnering advocacy for international sales through interaction with the U.S. government and the appropriate foreign embassies. He is a former co-lead of the Global Link of Black Employees and the Diversity Steering Committee. He is a member of the Board of Directors of the Nasdaq Foundation.
Before coming to Nasdaq, Mr. Aalim-Johnson served as Chief of Staff for U.S. Congressman Gregory W. Meeks who is currently the Chair of the Foreign Affairs Committee and a senior member of the Financial Services Committee. He is a former President of the bipartisan House Chiefs of Staff Association and a founder and former President of the Congressional Muslim Staffers Association. Prior to coming to Washington, Mr. Aalim-Johnson was the Executive Director of the Rockaway Development and Revitalization Corporation, a multi-faceted, non-profit community development organization. He is currently the President of the Prince George’s County Muslim Council, a civic-political organization in Maryland.
He holds an MBA in International Finance from St. John’s University and a B.A. in Economics from the University of Virginia.
Williams & Jensen
Grant Barbosa joined Williams & Jensen as a Principal in 2021. Known for innovative approaches to complex policy challenges, Mr. Barbosa brings deep knowledge and a wealth of strong bipartisan relationships to Williams and Jensen. Immediately prior to joining Williams and Jensen, Mr. Barbosa worked in-house at a leading biodefense company where he led advocacy efforts before the U.S. Senate and much of the company’s public policy-related work. Before joining the private sector, he worked for the Senate office of Vice President Kamala Harris, leading on health policy and a host of other policy areas. Prior to working in the Senate, he worked for then-Ways and Means Ranking Member Sandy Levin–where he worked hand-in-glove with the Ranking Member’s committee staff. Mr. Barbosa got his start in DC as a Congressional Hispanic Caucus Institute Health Graduate Fellow, where he worked in the congressional office of now-HHS Secretary Becerra and at the American Public Health Association.
Prior to launching his career in Washington, Mr. Barbosa graduated from Harvard Law School, where he was a Presidential Scholar and Harvard Graduate Student Leadership Institute Fellow. His undergraduate degree is from Washington University in St. Louis, where he was a John B. Ervin Scholar and Annika Rodriguez Scholar.
KeyBanc Capital Markets
Josh Beck is a Managing Director, Equity Research Analyst with KeyBanc Capital Markets Inc., and focuses on the broadly defined FinTech & Software ecosystem. Mr. Beck joined KeyBanc Capital Markets Inc. through its acquisition of Pacific Crest Securities. Prior to joining the firm in 2011, he worked in the corporate finance, strategy and development groups at T-Mobile. Mr. Beck was voted #1 stock picker in IT Services by Thomson Reuters in 2018 and recognized as a “Rising Star” by Institutional Investor magazine in 2016. He has been quoted by The Wall Street Journal, New York Times, Barron’s and CNBC.
Mr. Beck holds an M.B.A. from Carnegie Mellon University’s Tepper School of Business and a B.S. in engineering from Virginia Tech.
Chief Executive Officer
The Association for Digital Asset Markets (ADAM)
Prior to joining ADAM as its CEO, Bond has served as the global head of policy and regulatory affairs at two fintech companies, where she developed and executed global regulatory strategy for digital assets, blockchain, and global payments. Bond has also worked at Bloomberg LP, serving as head of global regulatory affairs – and she is an expert in securities, derivatives, banking, and fintech regulation. Bond previously served as international counsel at the U.S. Securities and Exchange Commission for the implementation of the Dodd-Frank Act. Bond was also a subject matter expert on the U.S. Senate Committee on Banking, Housing, and Urban Affairs for the Dodd-Frank Act and its technical corrections bill, as well as the Jumpstart Our Business Startups Act (JOBS Act). Bond launched her legal career at the Financial Industry Regulatory Authority (FINRA) before practicing law at Hogan Lovells and WilmerHale. She has been covered by Fortune’s Most Powerful Women, as well as featured in Forbes, The Wall Street Journal, Financial Times, CNBC, Bloomberg, Business Insider, POLITICO, The Hill, RealClearMarkets, CoinDesk, Traders Magazine, and other leading publications.
Senior Vice President, Chief Policy Officer
Cboe Global Markets
Angelo Evangelou is Senior Vice President, Chief Policy Officer for Cboe Global Markets, Inc. (Cboe).
In this role, Mr. Evangelou leads the company’s Market Policy and Government Affairs group. His focus includes formulating policy positions on matters impacting Cboe, as well as advocating for Cboe to legislators, regulators and other policymakers.
Mr. Evangelou joined Cboe in 1999 as an attorney. He was later promoted to Deputy General Counsel and assisted in overseeing Cboe’s legal division. Mr. Evangelou took on his current role in 2017 and has since helped Cboe define markets by making its voice heard on major issues affecting the industry and markets. Mr. Evangelou has also led Cboe’s increased Environmental Social Governance efforts and has helped Cboe develop a more robust charitable giving program.
Mr. Evangelou holds a Bachelor’s of Arts in Political Science from the University of Michigan and a J.D. from Boston University. He is licensed to practice law and sits on the board of Cboe Europe.
J.P. Morgan Securities
Alex Gorodetsky is an Executive Director at J.P. Morgan Securities within the Equities division. He has been active in the equities markets for over twelve years within both exchange and sell-side roles. Mr. Gorodetsky currently is the head of Americas Liquidity Products and Market Structure Strategy and is involved in the execution services space covering multiple electronic trading products at J.P. Morgan including Direct Market Access offerings, Smart Order Routing and Alternative Trading Systems.
Prior to moving to the firm side, Mr. Gorodetsky was a Manager at the New York Stock Exchange where he participated in the day-to-day management and operation of the NYSE’s trading platform, design and implementation of the NYSE and NYSE Arca’s trading infrastructure and was a member of the NYSE Trading and Product Management teams.
Chief Executive Officer
Jonathan Kellner joined Members Exchange (MEMX) in February 2019 as CEO and the company’s first employee with responsibilities for strategic vision, management and execution. Under his leadership, the company has grown to 50 people, received SEC approval to operate a U.S. equity exchange and, while working remotely, developed a simple, transparent and efficient market model with a goal of serving all investors. MEMX has raised more than $135 million since inception from a diverse and influential group of sell-side, buyside, retail and independent market participants.
Before joining MEMX, Mr. Kellner was CEO at Instinet Inc., leading a global team of 800 people for nearly five years at the institutional agency-only broker and independent equity trading arm owned by Nomura Holdings. He previously served as President for more than six years. Mr. Kellner spent a total of 15 years under the Nomura umbrella, including four years as Head of U.S. Sales Trading at the parent firm before moving to Instinet.
Previously, he held technology and equity trading roles at global financial services firms such as Charles Schwab and Morgan Stanley.
An avid sports fan and basketball player, Mr. Kellner holds a bachelor’s degree in mechanical engineering from the University of Michigan.
Siebert Williams Shank & Co. LLC
Patricia E. Koetzner is Managing Director Equity Trading and Sales for Siebert Williams Shank & Co. LLC, a leading minority owned broker dealer. Patricia’s two primary functions include; driving new revenue growth by expanding revenue generating relationships and facilitating equity trading for the firm. Her equity trading functions include traditional long/short sales trading coverage, implementation of algorithmic strategies, share repurchases, trading and program trading. Ms. Koetzner has served in various capacities in the securities industry for now over 25 years, most recently including her role as Managing Director/Head of Equity Sales & Trading at CastleOak Securities, L.P. Prior to that, Ms. Koetzner served as vice president of Barclays Capital for seven years where she covered cash accounts and repurchased shares for corporations, before becoming a member of its electronic trading group. For the first decade of her career, she was a NASDAQ market maker for firms including Neuberger Berman, LLC, Gruntal & Co. and Dominick & Dominick, Inc. Patricia earned her Bachelor of Science degree from the University of Maine and holds FINRA Series three, seven, 24, 55 and 63.
Global Liquidity Partners
Kate McAllister is in Business Development at Global Liquidity Partners, a technology company focusing on equity electronic execution services. Ms. McAllister has more than 20 years of industry experience in equity trading and sales, including previous work at Virtu Financial (ITG), Citigroup and Merrill Lynch. Ms. McAllister has been involved with STANY and SFSTA for much of her career, and currently serves as Co-Chair of the STA Women in Finance committee.
Ms. McAllister currently holds the FINRA Series 7, 24, 55, and 63 and a BS in finance from The Charles F Dolan School of Business at Fairfield University. She resides in Little Silver, NJ with her husband and three children.
Williams & Jensen
Joel Oswald is a principal at the law and lobbying firm, Williams & Jensen. He specializes in a legislative and regulatory practice focused on financial services policy. With over 20 years of public and private sector experience, Mr. Oswald works with clients on a range of legislative and regulatory policy issues, including securities, banking, consumer finance, and insurance policy.
Prior to joining the firm, Mr. Oswald served on the professional staff of the Subcommittee on International Trade and Finance and later the Subcommittee on Securities and Investment, both of the Senate Committee on Banking, Housing, and Urban Affairs. He is a graduate of Evangel University and received an MBA from Texas A&M University’s Mays Business School.
Managing Director – Head of Risk
JonesTrading Institutional Services LLC
Inessa Ruffman currently serves as Managing Director – Head of Risk at JonesTrading Institutional Services LLC and is based in Los Angeles area. In this role, Mrs. Ruffman is responsible for overseeing and developing the risk framework for the company. She works closely with trading, compliance, IT and operations to identify exposures and manage risk for the firm and its customers. Mrs. Ruffman started her career as an analyst at Merrill Lynch in 2007 in New York City. During her 10 years with Bank of America Merrill Lynch she held various roles within different departments. She has worked in the Client Market Data Department, Compliance Department, ETF’s and most recently, the Electronic Equity/Derivatives Sales Trading Desk. She was responsible for risk management, market access and trading supervision of quant DMA clients. In addition to her professional responsibilities, Mrs. Ruffman was actively involved in Global Banking and Markets Women’s Leadership Council where she served as Chair of the Welcoming Committee. She completed Women in Leadership Certificate Program from Cornell University. She currently serves on “Wall Street Invest in Hope,” St. Jude Children’s Research Hospital charity committee. Previously she served as STALA committee member. Mrs. Ruffman received her BBA from Baruch College Zicklin School of Business in New York City majoring in Finance and Investments. She holds the Series 4, 7, 55, and 24 as well as the IIROC Certified Trader industry licenses.
President and Co-Founder
Ronan Ryan is President and Co-Founder of IEX Group. Mr. Ryan is responsible for the strategic direction and growth of IEX Exchange, including building and strengthening relationships with broker-dealer Members, institutional investors, and other external stakeholders.
Prior to co-founding IEX, Mr. Ryan was the Head of Electronic Trading Strategy at RBC Capital Markets where he used his prior experience in network, hardware, and co-location technology to build client-facing solutions. Mr. Ryan was also the Head of Financial Services Development at Switch and Data, and Head of DMA and Co-location solutions at BT Radianz, a leading network solutions provider. He is the co-host of IEX’s Boxes and Lines podcast, which unpacks topics related to financial market structure, policy, technology and emerging trends in the world of trading.
Chief Legal Officer
Craig Salm is the Chief Legal Officer at Grayscale Investments, the world’s largest digital currency asset manager. In this role, Mr. Salm oversees the daily legal and regulatory operations of the business and its products. Prior to joining Grayscale, Mr. Salm was a corporate associate at Paul Weiss and a member of its Capital Markets & Securities Group – primarily focused on representing issuers, private equity sponsors, investment banks, hedge funds, and other stakeholders in corporate finance transactions, as well as advising on securities law and corporate governance matters. He earned his Bachelor of Science from the University of Michigan and his Juris Doctor from the Benjamin N. Cardozo School of Law. He serves as a board member of the Ethereum Classic Cooperative, as the co-chair of the Securities Law Working Group for the Blockchain Association and is an active member of the Crypto Ratings Council (CRC).
Chief Executive Officer
Travis Schwab is CEO of Austin-based Eventus Systems, Inc., a multi-award-winning global provider of trade surveillance and market risk solutions for financial institutions. For over 25 years, Mr. Schwab has served in chief executive, compliance, sales and financial technology roles across the front, middle and back offices at a diverse set of organizations. Before founding Eventus, Mr. Schwab was the CEO and Chief Compliance Officer (CCO) of RGM Securities, the broker-dealer subsidiary of one of the largest proprietary trading firms in the U.S. before its 2017 acquisition by DRW. Before RGM, he was Managing Director of Global Buyside Sales and CCO at Trading Technologies. Previously, Mr. Schwab was Co-Head of North American eBrokerage Sales at Calyon Financial (currently Societe Generale). Earlier in his career, he had management roles at NYFIX, Inc. (currently Itiviti) and the Chicago Mercantile Exchange (now CME Group).
Mr. Schwab earned a Bachelor of Business Administration degree in Finance from Loyola University in Chicago.
President & CEO
Security Traders Association
Jim Toes is President and CEO of the Security Traders Association (STA), a grassroots trade organization which serves individuals employed in the financial services industry.
In his role, Mr. Toes maintains STA’s relationship with U.S. regulators and congressional policymakers. Since assuming his role in 2011, STA has written more than fifty (50) comment letters on a wide range of issues under the regulatory oversight of the U.S. Securities and Exchange Commission; Department of Treasury; Commodities and Futures Trading Commission; FINRA; and the Senate and House Financial Services Committees.
In addition, Mr. Toes has penned close to 100 articles on current events and human interest stories under STA’s Monthly Newsletter; Taking Stock and Lighthouse columns. Using a combination of data; personal experiences and humor, these articles resonate well with individual members and align with one of STA’s core principles, the relationship matters.
Mr. Toes has over 30 years’ experience in the securities business. Prior to joining STA, Mr. Toes was a Managing Director at Bank of America Merrill Lynch for 18 years where he held various management positions in equity and options sales, trading and clearing while interacting with a broad range of clients that included – institutional and middle market asset managers; broker-dealers; and retail investors. Over the course of his career, Mr. Toes has served on various best execution and market structure committees and has testified before Congress. He was particularly active in the STA’s successful work on Section 31a fees.
Besides possessing a knowledge of market structure and the business models deployed across the industry, as a past President of the Security Traders Association of New York and a former Governor and Secretary of STA Mr. Toes brings has an understanding of the STA organization and the vital role its 24 Affiliate organizations in North America play in the success and mission of the Association.
Head of Digital Assets
Hudson River Trading
Brad Vopni is the Head of Digital Assets for Hudson River Trading, one of the world’s largest quantitative trading firms, where he leads the effort to expand HRT’s presence across the digital assets ecosystem. Mr. Vopni has spent 20 years at the intersection of technology and capital markets in a variety of software development, DevOps and business development roles, originally at Island ECN and ultimately at NASDAQ where he ran the US Equities markets. Mr. Vopni is President of the Board of ADAM, on the Board of Directors of Wall St. Rides FAR (For Autism Research) and earned a BS from the University of Texas.
Managing Director, Co-Head of Electronic Trading
BMO Capital Markets
Joe Wald is responsible for BMO’s Electronic Trading vision and strategic direction. He identifies and executes on growth opportunities and shares responsibility for the overall growth and success of the electronic division. He has a proven track record, years of industry experience, thought leadership, and public speaking. Prior to the sale of Clearpool Group to BMO Capital Markets, Mr. Wald was the CEO and Co-Founder. He was executive vice president at GAIN Capital where he ran GTX, the institutional electronic FX trading business. Before Gain, he was managing director and head of Knight Direct, Knight Capital Group’s institutional electronic trade execution business. Before Knight Capital, he was CEO and co-founder of EdgeTrade Inc., the pioneer developer of agency-only, liquidity seeking algorithms and direct market access technologies for the U.S. equities market. EdgeTrade was sold to Knight Capital Group in 2008. Mr. Wald holds a B.S. in Business, Management and Finance from Brooklyn College.