2016 Speakers & Moderators


Mary Jo White
Chair, U.S. Securities and Exchange Commission

Chair Mary Jo White was sworn in as the 31st Chair of the SEC on April 10, 2013. She was nominated to be SEC Chair by President Barack Obama on Feb. 7, 2013, and confirmed by the U.S. Senate on April 8, 2013.

Chair White arrived at the SEC with decades of experience as a federal prosecutor and securities lawyer. As the U.S. Attorney for the Southern District of New York from 1993 to 2002, she specialized in prosecuting complex securities and financial institution frauds and international terrorism cases. Under her leadership, the office earned convictions against the terrorists responsible for the 1993 bombing of the World Trade Center and the bombings of American embassies in Africa. She is the only woman to hold the top position in the 200-year-plus history of that office.

Prior to becoming the U.S. Attorney for the Southern District of New York, Chair White served as the First Assistant U.S. Attorney and later Acting U.S. Attorney for the Eastern District of New York from 1990 to 1993. She previously served as an Assistant U.S. Attorney for the Southern District of New York from 1978 to 1981 and became Chief Appellate Attorney of the Criminal Division.

After leaving her U.S. Attorney post, Chair White became chair of the litigation department at Debevoise & Plimpton in New York, where she led a team of more than 200 lawyers. Chair White previously was a litigation partner at the firm from 1983 to 1990 and worked as an associate from 1976 to 1978.

Chair White earned her undergraduate degree, Phi Beta Kappa, from William & Mary in 1970, and her master’s degree in psychology from The New School for Social Research in 1971. She earned her law degree in 1974 at Columbia Law School, where she was an officer of the Law Review. She served as a law clerk to the Honorable Marvin E. Frankel of the U.S. District Court for the Southern District of New York.

Chair White has won numerous awards in recognition of her outstanding work both as a prosecutor and a securities lawyer. The 2012 Chambers USA Women in Law Awards named her Regulatory Lawyer of the Year. Among other honors she has received are the Margaret Brent Women Lawyers of Achievement Award, the George W. Bush Award for Excellence in Counterterrorism, the Sandra Day O’Connor Award for Distinction in Public Service, and the “Women of Power and Influence Award” given by the National Organization for Women.

Chair White is a fellow in the American College of Trial Lawyers and the International College of Trial Lawyers. She also has served as a director of The NASDAQ Stock Exchange and on its executive, audit, and policy committees. Chair White is a member of the Council on Foreign Relations.

Senator Ben Sasse
U.S. Senate (R-NE)

Senator Ben Sasse is a U.S. senator representing the great state of Nebraska. A fifth-generation Nebraskan, Ben grew up walking beans and detasseling corn, experiences that taught him the value of hard work. He comes to the Senate having spent the previous five years as a college president. When he was recruited to take over the failing Midland University, Ben was just 37 years old, making him one of the youngest college presidents in the nation. The 130-year-old Lutheran college was on the verge of bankruptcy when he arrived, but became one of the fastest-growing higher education institutions in the country by the time of his departure. Most of Ben’s career has been spent guiding companies and institutions through times of crisis with straight talk about the core issues. He has worked with the Boston Consulting Group and McKinsey and Company, as well as private equity firms and not-for-profit organizations, to tackle failing strategies across a broad array of sectors and nations.

Congressman Randy Hultgren
U.S. Congress (R-IL)

Congressman Randy Hultgren was born and raised in Illinois, and having spent more than 15 years serving Illinois and its citizens at multiple levels of government, Congressman Randy Hultgren represents the state’s 14th Congressional District. The district is comprised of seven suburban counties including McHenry, Lake, Kendall, Kane, DuPage, DeKalb and Will.

In Washington, Congressman Hultgren has committed himself to working for fiscal sanity, real healthcare reform, and pro-growth policies that will put Americans back to work. In the current 114th Congress, Randy serves on the Financial Services and Science, Space & Technology Committees.

Randy was elected to the DuPage County Board and County Forest Preserve Board in 1994, to the Illinois House of Representatives in 1999, and to the Illinois Senate in 2007. At every level, he has fought for prosperity and free enterprise and for smaller, smarter government.

Randy served on the Financial Institutions Committees in the Illinois House and Senate and is credentialed in FINRA Series 7, 6 and 63. He later became a Vice President at Performance Trust Investment Advisors in Chicago.

Randy was born March 1, 1966 in Park Ridge, Illinois. He graduated from Bethel College in 1988 and later attended Chicago-Kent College of Law, graduating in 1993. He currently resides in Plano with his wife, Christy, and four children.

Len Amoruso
Murphy & McGonicle

Len Amoruso has over 27 years of financial industry experience, specifically in the legal, compliance, regulatory policy arenas. From 1989-1999, he was with the New York District office of the Financial Industry Regulatory Authority (FINRA), having served as Chief Counsel and, subsequently, Deputy Director. After FINRA, Len spent more than 14 years at Knight Capital Group, Inc. (now, KCG Holdings, Inc.) – initially, as the Chief Compliance Officer of its broker-dealer, and subsequently as the General Counsel for the parent public company – managing the firm’s legal, compliance, internal audit, regulatory affairs, and government relations.

Upon joining Murphy & McGonigle, Len has focused his practice on securities compliance, regulation, market structure matters, as well as counseling broker-dealers and financial institutions on a wide array of legal, compliance and regulatory matters – including, regulatory requirements and controls, examinations, investigations, litigation, enforcement proceedings, and corporate governance.

Len has served on the board of the Nasdaq Exchanges (Nasdaq Stock Market, PHLX and BX), the board of the Direct Edge Exchanges, and is a current member of the STA Regulation & Compliance Committee.

Eleanor Beaton
President & CEO
Impact & Influence for Women

Eleanor Beaton is the President and CEO of Impact & Influence for Women, a global training and development company that helps high potential women reach the top. She is an award-winning journalist, international speaker, coach and expert in high performance for women.

Eleanor is the host of Fierce Feminine Leadership, a top-ranked podcast for ambitious women in business. And she is the creator of Bold Women Thought Leaders, an exclusive business coaching program for women thought leaders.

Eleanor is one of 8 global advisors to the Visiting Women’s Executive Exchange Program at the Yale School of Management has been recognized by entrepreneurial expert Ali Brown as “one to watch in the women’s leadership space”. She is the go-to coach for highly accomplished executive and entrepreneurial women who are looking to dial up their impact, results and love the process.

As a consultant, coach and entrepreneur, she has worked closely with celebrity entrepreneurs, leaders of major corporations, and founders of international movements. In addition to her work with established leaders, Eleanor trains up-and-coming professional women to position themselves as credible leaders that others will follow, listen to, promote and buy from.

A former journalist and speechwriter, Eleanor won numerous top journalism prizes for her coverage of fast growing, women-led companies and has co-written several best-selling books.

Matt-Billings WEB
Matt Billings
Senior Vice President of Trading Services

Matt Billings is the Senior Vice President of Trading Services at Scottrade, Inc., a leading investing services company and subsidiary of Scottrade Financial Services, Inc. With more than 20 years of experience, Matt began his career on the exchange floors in Chicago. In his current role, Matt oversees the routing and execution of equity and option order flow. He manages the company’s branch trading support by directing all aspects of the execution process and working regularly with the company’s extensive branch network. He also serves as Chairman of Scottrade’s Best Execution Committee and manages the Fixed Income Department.

Shelly Bohlin
Vice President, Quality of Markets

Shelly Bohlin is a Vice President in the Quality of Markets Section of FINRA’s Market Regulation Department. She oversees the Market Analysis and Audit Trail Group which is responsible for monitoring member firm compliance with FINRA Rules and federal securities laws related to market making, order handling, trade reporting and FINRA’s Order Audit Trail System (OATS). Ms. Bohlin has worked in FINRA’s Market Regulation Department for the past 22 years in various surveillance areas, including insider trading, anti-competitive practices, alternative trading systems, and fixed income securities. She is a C.P.A. and has a B.S.B.A. in Finance and Accounting from the University of Arkansas.

Ari Burstein
Head of US Regulatory Affairs

Ari Burstein is the Head of US Regulatory Affairs for Kreab, a global advisory firm with consultants of 40 nationalities in over 25 countries. In his role, Mr. Burstein is responsible for regulatory and policy issues across the equities, fixed-income and derivatives markets, in the U.S. and globally, impacting a wide range of firms including investment companies, investment advisers, hedge funds, private equity firms, broker-dealers, and securities exchanges.

Mr. Burstein joined Kreab in 2015. Prior to joining Kreab, Mr. Burstein was Senior Counsel for capital markets issues for the Investment Company Institute and ICI Global, the global trade associations for the regulated fund industry. In his role as Senior Counsel, Mr. Burstein was responsible for issues impacting investment companies and investment advisers, particularly trading, market structure and brokerage related issues.

Mr. Burstein joined the Investment Company Institute in 1998 and provided additional counsel to ICI Global since its inception in 2011. Prior to joining the Institute, Mr. Burstein was an attorney in the U.S. Securities and Exchange Commission’s Division of Investment Management from 1997 to 1998 and the Division of Market Regulation from 1992 to 1997.

Mr. Burstein graduated from The George Washington University National Law Center in Washington, D.C. in 1992. He received his undergraduate degree from Queens College in New York and also attended the University of Pennsylvania’s Wharton School of Business.

Doug Cifu
Chief Executive Officer
Virtu Financial

Doug Cifu has been Virtu Financial’s Chief Executive Officer and a member of the board of directors of Virtu Financial, Inc. since November 2013. He previously served as Virtu Financial’s President and Chief Operating Officer and has served on its board of directors since co-founding the firm in April 2008.
Prior to co-founding Virtu, Mr. Cifu was a partner at the international law firm of Paul, Weiss, Rifkind, Wharton & Garrison LLP, where he practiced corporate law from 1990 to 2008. Mr. Cifu also serves on the board of directors of Independent Bank Group, Inc., a regional bank holding company.
Mr. Cifu completed his J.D. at Columbia Law School in 1990 and received his B.A. from Columbia University in 1987, from which he graduated magna cum laude.

Debbie Cohen
Division Director, Head of Audit – Americas
Macquarie Group

Debbie Cohen joined Macquarie in August 2011 from JPMorgan’s Investment Bank audit team where she was the North America’s Team Lead (Audit Manager) for Prime Services. Prior to joining JPMorgan Debbie was a Capital Markets Bank Examiner at the New York State Banking Department. Post graduate school (1986 – 2000) Debbie traded U.S. Treasuries at First Interstate Bank of California and Lloyds Bank, and foreign exchange and interest rate derivatives at Credit Suisse.
Debbie has a B.S. from California State University, Northridge and an MBA from Wharton.

Chris Concannon
President & CEO
Bats Global Markets

Chris Concannon is President and Chief Executive Officer of Bats Global Markets, a leading operator of exchanges and provider of services for financial markets around the world. Mr. Concannon joined the company as President in December 2014 and immediately made an impact by playing a lead role in the acquisition of the Hotspot FX market. Appointed CEO on March 31, 2015, he has more than 20 years of experience as an exchange executive, trading participant and regulator.
A noted global market structure expert, Mr. Concannon previously spent six years at Nasdaq as executive vice president, transaction services. During his influential tenure from 2003 to 2009, he helped to transform the company. He was responsible for Nasdaq’s U.S. equity and options markets and also led numerous acquisitions and integrations, including Brut, Inet and the Philadelphia and Boston Stock Exchanges. A chief liaison with customers and regulators, he also directed the launch of the Nasdaq Options Market.

Immediately prior to joining Bats, Mr. Concannon was president and chief operating officer of Virtu Financial, a global electronic market maker, from 2009 to 2014. He was instrumental in growing Virtu into one of the world’s most influential market makers, providing liquidity on over 200 different exchanges and market centers in more than 30 countries in equities, fixed income, currencies and commodities.

Mr. Concannon served as a director on the Bats Exchange board from March 2012 to November 2014 and the Depository Trust & Clearing Corp.’s board from April 2010 to November 2014. Early in his career, he was a staff attorney at the Securities and Exchange Commission in the Division of Market Regulation from 1994 to 1997 before joining the law firm of Morgan, Lewis and Bockius LLP. In 1999, he moved to Island ECN, one of the innovative firms that dramatically changed the U.S. market landscape, as special counsel and vice president of business development. From Island, he became president of Instinet Clearing Services before joining Nasdaq in 2003.

Mr. Concannon holds a bachelor’s degree from Catholic University, an MBA from St. John’s University and a JD from Catholic University’s Columbus School of Law. He also holds Series 7 and 24 licenses.

Cromwell Coulson
President & CEO
OTC Markets

Cromwell Coulson has transformed this previously opaque and inefficient phone-based marked into fully modern, electronic and transparent financial marketplaces over the past two decades. Today, OTC Markets Group operates three marketplaces that organize securities based on the quality and quantity of disclosure they provide to investors – OTCQX®, The Best Marketplace for established, investor-focused U.S. and international companies; OTCQB®, The Venture Marketplace for entrepreneurial and development stage companies; and OTC Pink®, The Open Marketplace for brokers to trade all types of securities.
The 10,000 U.S. and global securities traded on these marketplaces include: 3,100+ American Depositary Receipts (ADRs) and foreign ordinary shares of global exchange-traded companies like Roche Holding AG, adidas AG and Volkswagen AG; large-cap distressed companies such as Fannie Mae and Freddie Mac; 650+ community and regional banks; 2,500+ SEC reporting companies; 1,400+ large- and mid-cap companies; and 2,000+ smaller and growth companies.
OTC Link® ATS, OTC Markets Group’s FINRA regulated and SEC registered Alternative Trading System, directly links a diverse network of leading U.S. broker-dealers that provide liquidity and execution services. OTC Markets Group sets the best price standard for OTCQX, OTCQB and OTC Pink securities by broadly distributing its market data to major market data redistributors, including Bloomberg and Thomson Reuters.
Cromwell is a strong advocate of improving access to capital for small companies and trading transparency. He has testified before Congress and spoken on these and other issues at numerous industry conferences. He also supports diverse choice and competition among trading venues that leverage the power of networks to efficiently connect consumers and suppliers of liquidity.
Prior to OTC Markets Group, Cromwell was an institutional trader and portfolio manager specializing in distressed and value-oriented investments at Carr Securities Corporation, an institutional broker-dealer. He received a Bachelor of Business Administration from Southern Methodist University in Dallas and graduated from the Owner/President Management Program at Harvard Business School.

Tom Conigliaro
Managing Director
Markit Brokerage and Research Services

Tom Conigliaro is head of Brokerage and Research Services group. Mr. Conigliaro has responsibility for IHS Markit’s Commission Manager, Vote, Calendar and HUB offerings. He is regularly cited in the press on regulatory developments around research evaluation and payment. Prior to joining Markit in 2013, Mr. Conigliaro worked at investment banking boutique Marlin & Associates where he advised clients on their M&A activities in financial technology, information services, healthcare and media. He has over 25 years’ experience on Wall Street, holding senior roles in sales and trading, sales management and securities services at Goldman Sachs and Merrill Lynch. Mr. Conigliaro holds an MBA from the University of South Florida and a BS from Widener University. He also holds the CFA designation.

Kevin Cronin
Global Head of Trading

Kevin Cronin is the Global Head of Trading for Invesco and is responsible for trading desks in Asia Pacific, Europe and the Americas.

Mr. Cronin joined Invesco in 1997 as the Head of Listed Equity Trading for AIM Investments and later became director of Equity Trading. In January 2007, Invesco named Mr. Cronin the Global Head of Equity Trading. Before joining Invesco, he was director of Equity Trading for First Union Capital Management in Charlotte, North Carolina, and served as the lead fund manager of the Evergreen Enhanced Equity Fund.

Mr. Cronin is a member of the newly formed SEC Equity Market Structure Advisory Committee (EMSAC), Chairman of the NMS Subcommittee of the EMSAC, a member of Board of Directors of Luminex LLC, a member of ICI’s Equity Markets Committee, the BATS Exchange Institutional Advisory Committee, the Georgia Securities Association, and the Atlanta Society of Financial Analysts. He is the former Chairman of the NYSE Institutional Traders Advisory Committee and a former member of the NASDAQ Quality of Markets Committee.

Mr. Cronin received a Bachelor of Arts from Indiana University and an Master of Business Administration from Vanderbilt University. He is also a CFA charterholder.

Stacey Cunningham
Chief Operating Officer
NYSE Group

Stacey Cunningham is Chief Operating Officer of the NYSE Group which includes the New York Stock Exchange and a diverse range of equity and equity options exchanges, all wholly owned subsidiaries of Intercontinental Exchange (NYSE: ICE). Cunningham oversees the equities, equities derivatives and exchange-traded products businesses, as well as NYSE Governance Services. In this capacity, Cunningham has responsibility for the product management, sales and strategy of NYSE’s three equity markets and two options markets.

Prior to serving as COO, Cunningham was President of NYSE Governance Services, a provider of governance, compliance, and education solutions for companies and their boards. Cunningham also served as Head of Sales & Relationship Management at NYSE, where she managed the sales team for U.S. cash equities and options markets. Before joining NYSE, Cunningham held several senior positions at Nasdaq. Cunningham began her career on the NYSE trading floor where she served as a specialist for Bank of America Securities.

Cunningham earned her B.S. in Industrial Engineering from Lehigh University.

Danielle DiMartino-Booth
Money Strong LLC

Danielle DiMartino-Booth is an Internationally known speaker, writer and financial market authority who makes bold predictions based on meticulous research and her years of experience in central banking and on Wall Street. As President of Money Strong, LLC., Danielle offers a unique perspective to audiences seeking expertise in the financial markets, the economy, and the intersection of central banking and politics.

Danielle spent nine years as an Advisor on monetary policy to Dallas Federal Reserve President Richard W. Fisher until his retirement. Fisher called on Danielle to serve at the Fed after becoming a loyal reader of her financial column in the Dallas Morning News. In a recent profile, Fisher said DiMartino Booth “performed superbly, and helped me and the Dallas Fed provide a fresh perspective at FOMC meetings. I attribute some of our success in putting the Dallas Fed on the map to Danielle.”

Now at the helm of Money Strong, Danielle comments, writes and speaks to educate national and international audiences on how Fed policy allows our politicians to abdicate their commitment to make the hard decisions that would keep the country on a sustainable path to prosperity. She covers topics ranging from public pension systems at risk, unaffordable housing, rampant financial engineering by America’s companies and skyrocketing student debt to stagnant wages and the millions who have dropped out of the labor force. Her ability to translate the arcane language of Wall Street thinkers and Fed insiders to the man on the street drives her to continue spreading her message. She is frequently called upon by the media and is regularly featured on Bloomberg, CNBC and Fox Business News.

Danielle’s first book, Fed Up: How the Federal Reserve Protects Wall Street and Bankrupts the Rest of U.S. is due out in February, 2017.

Danielle began her career in New York at Credit Suisse and Donaldson, Lufkin & Jenrette where she worked in the fixed income, public equity and private equity markets. Danielle earned her BBA as a College of Business Scholar at the University of Texas at San Antonio. She holds an MBA in Finance and International Business from the University of Texas at Austin and an MS in Journalism from Columbia University.

Stephanie Dumont
 Senior Vice President & Head of Capital Markets Policy

Stephanie Dumont is Senior Vice President and Director of Capital Markets Policy for FINRA’s Office of General Counsel, where she is responsible for developing and interpreting FINRA rules and providing legal and policy advice to FINRA management and staff. In particular, Ms. Dumont is responsible for managing the policy and rulemaking legal team in areas relating to trading practices, market integrity, order audit trails, and market structure for equity, options and fixed income securities. This includes order and trade reporting requirements, order handling and display rules, market-making requirements, trading halts, circuit breakers, SEC Rule 17d-2 agreements, Regulation NMS and short selling. In this role, she also supports the policy, rulemaking and regulatory reporting (e.g, Regulation SCI compliance) functions relating to FINRA’s quoting and trading mechanisms including the Alternative Display Facility (ADF), Trade Reporting Facilities (TRFs), the OTC Bulletin Board (OTCBB), the OTC Reporting Facility (ORF) and Trade Reporting and Compliance Engine (TRACE). With respect to the operation of these facilities, she also provides legal support for FINRA’s participation in several NMS Plans, including Limit Up/Limit Down and Tick-Size Pilot Plans.

Prior to joining FINRA’s Office of General Counsel in 1999, Ms. Dumont was Director of Compliance for a broker-dealer compliance consulting firm. Prior to that position, Ms. Dumont conducted investigations for NASD’s Market Regulation Department in areas such as insider trading, fraud, short selling and options. Ms. Dumont earned her B.S. in Finance and Management from the University of Virginia and her J.D. from the University of Virginia School of Law. She also earned her LL.M, with distinction, in Securities and Financial Regulation from Georgetown University Law Center.

Curt Engler
 Head of Equity Trading
J.P. Morgan Asset Management

Curt Engler is the Head of Equity Trading for the Americas at JP Morgan Asset Management. He has 19 years of experience in the investment management industry. Prior to joining J.P. Morgan, Curt was at BlackRock as part of their quantitative equity team in New York.

Curt is a CFA charter holder and received his BS from the University of Notre Dame and his MBA from Northwestern University.

Nat Evarts
 Managing Director
State Street Global Advisors

Nat Evarts is a Managing Director of State Street Global Advisors and has been with the firm since 1998. He has wide experience in a variety of trading settings on both the buy and sell side as well as across regions. Nat is a member of the firm’s Senior Leadership Team (SLT) and manages the Americas trading desk which executes equities, futures, SWAPs, options and foreign exchange. He provides internal market commentary on multiple asset classes, partakes in sales & due diligence meetings, industry presentations and market structure related initiatives throughout the year.

Nat is a graduate of Paul Smith’s College, a former Governor of the Boston Securities Traders Association, and a current member of both the NYSE Institutional Trader Advisory Committee (ITAC) and National Organization of Investment Professionals (NOIP).

Eric Frait
 Vice President of Business Analysis

Eric Frait is Vice President of Business Analysis for Chicago Board Options Exchange (CBOE).

In this role, he is responsible for conducting ongoing strategic and competitive analysis, identifying and monitoring key industry and competitive trends, coordinating business development initiatives and exchange pricing, and oversight of special initiatives such as the Extended Trading Hours (ETH) initiative. He manages CBOE’s Statistical Analysis, Market Data Sales and Trading Permit Holder Administration Departments.

Frait joined CBOE in 1996 as an Investigator in the Regulatory Division, and in 1998, left his position as a Senior Investigator to join The Options Institute, the educational arm of the CBOE, as a Senior Instructor, where he taught options fundamentals and strategy to retail and institutional investors. In 2000, he was named Director of Strategic Planning, was named a Vice President in 2004, and has been in his current role since 2013.

Frait began his career in the industry working in the Futures and Securities Division of Harris Bank in 1994. In 1995, he moved to Hull Trading Company, LLC, where he was an Assistant Trader on the Chicago Mercantile Exchange, Chicago Board of Trade and CBOE trading floors.

Frait has a Bachelor of Arts degree in Political Science and Russian Studies from the University of Iowa and an MBA with honors from Loyola University Chicago with specializations in Finance, Economics and Financial Derivatives. He resides in Naperville, Illinois.

Jennifer Hadiaris
 Head of U.S. Market Structure
Deutsche Bank

Jennifer Hadiaris is the Head of U.S. Market Structure within the Corporate Banking & Securities division at Deutsche Bank. She joined Deutsche Bank in June 2015. In this role, she is responsible for researching liquidity dynamics, exchanges, dark pools, and regulation. She works with clients and internal partners to incorporate market structure trends into trading strategies. Prior to Deutsche Bank, Jennifer was the Global Head of Market Structure at RBC Capital Markets. Ms. Hadiaris received her Bachelor of Arts from Harvard University in 2005.

Suni Harford
Managing Director & Regional Head

Suni Harford is a Managing Director and Citigroup’s Regional Head of Markets for North America. In this capacity, Suni oversees the North American sales, trading, and origination businesses of Citi’s securities and banking franchise. Suni is a member of Citi’s Pension Plan Investment Committee, and a Director on the Board of Citibank Canada. From 2010 – 2015, Suni was the co head of Citigroup’s global women’s initiative, Citi Women.

Prior to her current assignment, Ms. Harford held a variety of senior positions at Citi/Salomon Brothers including the Global Head of Fixed Income Research and the Co-Head of Fixed Income Capital Markets Origination where she led an advisory team focused on financial institutions.

Ms. Harford serves on the Board of Directors of the Securities Industry and Financial Markets Association (SIFMA), the financial services industry advocacy group, as well as the Board of Directors of The Depository Trust & Clearing Corporation (DTCC), the world’s largest post-trade financial services company. Suni also serves on several non-profit Boards, including Friends of Hudson River Park, Taproot Foundation, and recently finished her second term with The Forte Foundation, a national, non-profit organization dedicated to increasing the number of women leaders in business. Ms. Harford is also passionate about awareness and support for our veteran community, and is involved in many organizations in this regard. In addition to serving on the US Chamber of Commerce Veteran’s Employment Advisory Council, Suni has worked with First Lady Michele Obama’s Joining Forces initiative. She represents Citi as a founding member of Veterans on Wall Street, a coalition of major financial services firms established in 2010 to engage the broader industry in efforts to support our transitioning veterans. Having helped formalize Citi’s very successful Veterans Initiative, CitiSalutes, in 2009, Ms. Harford remains the senior business sponsor for the initiative. For those efforts Ms. Harford recently received the Outstanding Civilian Service Award from the US Army.

Ms. Harford joined the Markets division of Salomon Brothers, after five years with Merrill Lynch & Co. where she worked in Investment Banking. She joined Merrill upon graduation from the Amos Tuck School of Business at Dartmouth College. Suni received her Bachelor of Science degree from Denison University, where she majored in physics and math.

Suni lives in Connecticut with her husband Woody, three children (Devon (18), Jenna (14) and Liam (11)) and their dogs, Sully and Mike Wazowski.

Alan Hill

Alan Hill joined JonesTrading in July 2006 as Chief Financial Officer. Mr. Hill’s immediate responsibility at JonesTrading was to manage its $50MM private placement. Previously, Mr. Hill was Vice President of Finance and Corporate Controller at Korn/Ferry International where he had day-to-day responsibility over the company’s finance, tax and accounting operations across 35 countries, in addition to SEC public financial reporting and Corporate Development roles. Mr. Hill previously served as Vice President of Finance at Jefferies where he participated in spinning off ITG Inc. and worked on Jefferies’ private placement of $60MM senior secured debt. As the Senior Director of Finance at Guidance Solutions, a privately held consulting firm, Mr. Hill managed their $52MM private placement. Mr. Hill began his career at KPMG LLP. Mr. Hill earned an MBA with honors from the Anderson School at UCLA and a BS in Accounting from Loyola Marymount University. Mr. Hill is qualified as a CPA in the State of California, and has his Series 7, 24, 27, 55, and 63 licenses.

Paul Jiganti
Managing Director
IMC Financial Markets

Paul Jiganti joined IMC as Managing Director of Business Development last September. He is responsible for facilitating IMC’s options business expansion by building new partnerships and expanding into new areas. Mr. Jiganti began his career as an independent market maker on the CBOE floor before spending 16 years at Susquehanna Investment Group in many roles eventually as Associate Director in charge of the Chicago office. He spent a year as a consultant to NASDAQ before joining TD Ameritrade where he was Managing Director in charge of market structure and retail client advocacy.

Mr. Jiganti previously served on the Board of Directors of both the CBOE and Direct Edge, NASDAQ Quality of Markets Committee, FINRA’s Limit up Limit down Advisory Committee, and Co-Chaired CBOE’s PAC. Today he chairs the SIFMA Listed Options Committee, serves on Miami International Securities Exchange Board of Directors, CBOE Advisory Committee, and Amex/Arca Advisory Group. Mr. Jiganti has an Economics degree from University of San Diego and is series 7 and 24 licensed.

Brad Katsuyama
CEO & Co-founder

Brad Katsuyama is the CEO and co-founder of IEX: a stock exchange dedicated to investor protection. IEX is owned by world-class venture funds, mutual funds, hedge funds, family offices and entrepreneurs such as Jim Clark and Steve Wynn. Prior to co-founding IEX, Brad was a 12-year employee of the Royal Bank of Canada where his most recent management roles included Global Head of Electronic Sales and Trading and Head of US Risk Trading.

Jonathan Kellner
Instinet Incorporated

Jonathan Kellner is the CEO of Instinet Incorporated, and is responsible for managing the firm’s brokerage operations globally. Prior to being named CEO, Mr. Kellner served as Head of Instinet’s Americas businesses. He joined the Nomura Group in 2003 and moved to Instinet in 2007 following its acquisition of the company. Mr. Kellner previously held senior trading and technology positions at Charles Schwab, Investment Technology Group and Morgan Stanley.

Richard Ketchum
Chief Executive Officer

Richard Ketchum is Chairman and CEO of FINRA. Prior to becoming CEO of FINRA, Mr. Ketchum was CEO of NYSE Regulation from March 2006 to March 2009. He served as the first chief regulatory officer of the New York Stock Exchange, a position he began in March 2004. From June 2003 to March 2004, Mr. Ketchum was General Counsel of the Corporate and Investment Bank of Citigroup Inc., and a member of the unit’s planning group, Business Practices Committee and Risk Management Committee. Previously, he spent 12 years at NASD and The Nasdaq Stock Market, Inc., where he served as president of both organizations. Prior to working at NASD and NASDAQ, Mr. Ketchum was at the Securities and Exchange Commission (SEC) for 14 years, with eight of those years as director of the division of Market Regulation.

Vlad Khandros
Americas Head of Market Structure & Liquidity Strategy
UBS Investment Bank

Vlad Khandros advises clients and internal groups on market structure issues and focuses extensively on UBS’s liquidity strategy, particularly on exchange and alternative venue analysis, as well as order routing decisions. Vlad is a member of several industry committees on equity markets and electronic trading, and was Forbes’ featured 2011 Rising Star of Finance.

Manisha Kimmel
Chief Regulatory Officer
Thomson Reuters

Manisha Kimmel is the Chief Regulatory Officer, Wealth Management at Thomson Reuters. Manisha focuses on identifying regulatory upstream risk and influencing strategic regulatory initiatives by acting as a regulatory liaison on behalf of Thomson Reuters and our customers. Manisha formerly worked as the Managing Director of the Financial Information Forum (FIF). She spearheaded FIF’s response to market structure initiatives by identifying and driving industry issues to successful resolution. Manisha is a member of the Security and Exchange Commission’s Equity Market Structure Advisory Committee (EMSAC) where she chairs the Customer Issues Subcommittee. Additionally, she serves on the Consolidated Audit Trail (CAT) Development Advisory Group.

Prior to her work at FIF, Manisha worked on numerous engagements assisting firms in strategic and technology decisions in her capacity as Senior Industry Consultant for Jordan & Jordan. She also held positions at ADP in their Strategic Investments group within their brokerage division. In addition to completing coursework at Stanford University’s Learning, Design and Technology program, Manisha has a BS in Finance and Information Systems from the Wharton School and a BS in Systems Engineering with a focus in Telecommunications from the University of Pennsylvania.

Joe (JJ) Kinahan
Managing Director
Client Advocacy & Market Structure
TD Ameritrade

Joe (JJ) Kinahan, Managing Director of Client Advocacy and Market Structure, began his career as a Chicago Board Options Exchange (CBOE) market maker in 1985, trading primarily in the S&P 100 (OEX) and S&P 500 (SPX) pits. While spending his time there primarily as an independent market maker, he also worked for ING Bank, Blue Capital and was Managing Director of Option Trading for Van Der Moolen, USA. In 2006, Kinahan joined the thinkorswim Group, which was eventually acquired by TD Ameritrade.

Kinahan, a 30-year trading veteran, is a CNBC regular, a Forbes Contributor and is frequently quoted in the Wall Street Journal, Financial Times and Reuters News, along with many other respected media outlets. He is also a member of the Advisory Board at CBOE and the OIC Rountable. His licenses include the 3, 4, 7, 24 and 66.

George “Sonny Lennon
Dictum Meum Pactum
Award Recipient 2016

George “Sonny” Lennon, after growing up in Montreal, began working in the investment sector. Sonny established himself as a successful securities trader for 49 years. During his career, he worked mainly in the International Security Trading, with 22 years at CIBC Wood Gundy Inc., Director, Global Trading; 15 years at Dundee Capital Markets, heading up the International Trading group. Then he spent 7 years as the President of the Canadian Security Traders Assn.

Now “retired”, he devotes much of his time to community work in Warkworth, Municipality of Trent Hills, Northumberland County. Sonny served two terms as President of the Warkworth Community Service Club; Chair of the Warkworth Community Medical Centre; Project Manager of The Bridge Hospice. He currently is on the Board of Directors for the Northumberland Canadian Futures Development Corp.; Chair of the Warkworth Betterment Committee; sits on the Hastings Fieldhouse Committee, as well as the Doctor Retention Committee of the Campbellford Memorial Hospital. He is also a member of the Warkworth Foundation.
In the past he was a member of the Adam Beck Community Centre Committee; volunteered at the Toronto East General Hospital; worked on a Habitat for Humanity project. He was a Boy Scout Leader, and served as the Group Committee Chair for the 4th Toronto Boy Scouts. Sonny also chaired the Funding and Refurbishing Committee for the Warkworth Community Memorial Hall.

When not busy volunteering, he enjoys spending days at his cottage, working on his model railroad, or enjoying a game of golf.

Throughout Sonny’s life, his professional successes have only been outdone by what he has done in his personal life as a husband to Maureen for 48 years, and as a father to Kim & Jordy.

David A. Lewis
SVP, Head of Americas Trading Global Equity Trading
Franklin Templeton

David A. Lewis, Senior Vice President and Head of Americas Equity Trading for Franklin Templeton, is also a trader covering the media sector for the Global Equity and Emerging Markets Research groups. Mr. Lewis joined Franklin Templeton in 1997 and has been a member of the Ft. Lauderdale trading team since 1998. Prior to joining the Trading desk in 1998, Mr. Lewis worked in Franklin Templeton’s Global Settlements department. Mr. Lewis received his B.A. from the University of Florida in 1996. He is a past President of The Security Traders Association of Florida.

Doug Borden
Co-Head of Equities Client Market Making

Doug Borden is Co-Head of Equities Client Market Making at KCG, which provides liquidity directly to our retail broker and professional investor clients, as well as exchanges, ECNs, and non-displayed liquidity venues.
Doug joined the firm (then Knight Capital Group) in 2009. He was previously with Goldman Sachs, where his responsibilities ranged from commodities and equities trading to derivatives and quant trading.
Doug holds a Bachelor of Arts and a Master’s degree from Dartmouth College and a Ph.D. in Physics from UC Santa Barbara.

Jennifer Litwin
Senior Director
Head of Relationship Management
Greenwich Associates

Jennifer Litwin is responsible for spearheading the Firm’s relationship management and marketing initiatives with key decision-makers at select priority buy-side institutions and is a frequent speaker at industry and investor conferences. Prior to joining the firm in 2007, Jennifer was a senior sales-trader on the Synthetic GIC desk at UBS Investment Bank. She began her career as an Associate in the Operations Group at AIG Financial Products Corp. Jennifer is a recipient of Traders Magazine Wall Street Women, A Celebration of Excellence 2012 – Crystal Ladder Award. Jennifer is also a professional opera singer and earned her Bachelor and Master of Music Degrees at Oberlin College Conservatory of Music and Yale University School of Music, respectively.

Matt Lyons
Global Trading Manager
The Capital Group

Matt Lyons has worked in the equity trading area for The Capital Group since 1995. Currently, he is the Global Equity Trading Manager with responsibility for trading operations in the US, Europe and Asia. Matt began trading in 1987. Prior to Capital, he worked on the sell side. He has worked on the FIX protocol U.S. steering committee, STALA board of directors, NYSE Institutional Trading Advisory, and is currently the chair of the ICI equity markets advisory committee. Matt holds the degrees of Bachelor of Science in Economics from the University of California, Riverside and Masters of Business Administration from the University of Southern California’s Marshall School of Business. Matt is a CFA charter holder.

Raj Mahajan
 co-head of Global Execution Services
Goldman Sachs

Raj Mahajan is co-head of Global Execution Services.
Previously, he was the
global head of Equities Electronic Execution Services. He first started his career at Goldman Sachs in 1996 as an analyst in the firm’s commodities business. Raj later rejoined the firm as a partner in 2015.
Prior to rejoining the firm, Raj served as chief executive officer of Allston Trading, a Chicago-based market making firm. Previously, he was the president of global trading at SunGard, which he joined in 2004 after the firm acquired Kiodex, the commodities trading technology company that Raj co-founded in 2000.
A recipient of a Ford Foundation Fellowship, Raj earned an MPA with an emphasis on Economics and Public Policy from Princeton University and a BA in Economics from the University of California, Berkeley.

Peter Maragos
Dash Financial

Peter Maragos is a Partner of Dash Financial Holdings LLC and is the Co-Founder and CEO of Dash Financial LLC. Mr. Maragos has been responsible for the architecture design and development of the firm’s product and trading technology systems. Prior to Dash, Mr. Maragos was co-founder and CEO of LiquidityPort LLC, which offered a fully electronic OTC brokerage platform for all NYMEX ClearPort products including Blocks, EFPs, EFSs, and options. Prior to LiquidityPort, he was CEO of SDS Financial Technologies, Inc, where he built and operated various OTC ATSs in the U.S. Treasury Repo, European Government Bond (EGB), EGB Repo, CD/Money Markets, Mortgage and ADR to ORD segments as well as building a Futures and Options Exchange Platform for the Chicago Climate Futures Exchange (CCFE). He started his career at Tahoe Trading LLC as a market maker in U.S. listed Equity Options. Peter is a former member of the Chicago Board Options Exchange (CBOE) and the American Stock Exchange (AMEX) and holds a B.S. in Resource Economics from the University of Massachusetts at Amherst.

Jamil Nazarali
Head of Citadel Execution Services

Jamil Nazarali is Head of Citadel Execution Services (CES). Mr. Nazarali oversees Citadel Securities’ client market making offerings in Equities, Options and FX.
Prior to joining Citadel Securities in 2011, Mr. Nazarali was Global Head of Electronic Trading at Knight Capital Group. Previously, he was a management consultant at both Ernst and Young and Bain and Company.

Mr. Nazarali serves on the Board of Directors of BATS Global Markets. He is also a member of the SEC Equity Market Structure Advisory Committee, Nasdaq Quality of Markets Committee and the SIFMA Market Response Committee.

Mr. Nazarali received a bachelor’s degree from the University of Western Ontario and a Master of Business Administration from the University of Chicago.

Ann Neidenbach
Chief Information Officer

Ann Neidenbach is the Chief Information Officer of Convergex and serves as a member of the firm’s Executive Committee. As Convergex CIO, Ann leads all of Convergex’s software development, information services, business processes and technical infrastructure. A well-known technology expert with more than twenty-five years of experience in the global financial industry, Ms. Neidenbach executes on a technology vision supporting the firm’s agency-focused model.
Prior to joining Convergex, Ann served as Senior Vice President of Market Systems at NASDAQ, where she led a team of expert architects and engineers developing electronic trading, clearing, market data, and index solutions. Earlier at NASDAQ, she served as Senior Vice President of Global Products and Services, and as the COO/CIO of Nasdaq Europe. Ms. Neidenbach has also held senior positions at Citibank, including Managing Director of Electronic Trading Technology, where she was responsible for overseeing the technology for equity and options electronic execution, algorithmic trading and electronic market making. She also served as Chief Operating Officer for Lava Trading.

Eric W. Noll
President & CEO

Eric W. Noll is President and Chief Executive Officer of Convergex, a leading provider of global brokerage and trading-related services. Convergex companies provide products and services that include global execution and clearing, commission management, independent research, commission recapture, options technologies, prime services and outsourced connectivity.

Prior to joining ConvergEx, Mr. Noll was, from 2009 to 2013, Executive Vice President, Transaction Services, NASDAQ OMX, Inc. in the U.S. and U.K where he was responsible for all US/UK equity, options and futures exchanges – NASDAQ, NOM, PHLX, PSX, BX, BX Options, NFX and NLX. In this role, he helped manage and grow all relationships with broker-dealers and investors (buy side) for equities, options and futures including technology, market structure, functionality, order types and pricing.

From 1994-2009, Mr. Noll was Managing Director with Susquehanna International Group, where he managed external and exchange relationships and was responsible for strategic planning and new product development.

From 1993-1994, Mr. Noll was with the Philadelphia Stock Exchange, where he was Assistant Vice President – Strategic Planning and New Product Development, and from 1990-1993, he was Manager, Strategic Planning at the Chicago Board Options Exchange.

Mr. Noll holds a Series 7, 63 and 24. He earned his Masters of Business Administration from Owen Graduate School of Management, Vanderbilt University, with a finance concentration. He received his A.B. from Franklin and Marshall College, with a double major in government and economics. Mr. Noll is a member of the Board of Trustees of Franklin and Marshall College. He is also a member of the Board of Visitors, Owen Graduate School of Management and a member of the Board of Trustees, Springside Chestnut Hill Academy.

Andy Nybo
Principal, Head of Derviatives
TABB Group

Andy Nybo, a Principal and Head of Derivatives at TABB Group, has more than 20 years’ experience in research and technology in global capital markets. He joined TABB Group in August 2006 and currently focuses on listed derivatives markets, examining how technology is playing an increasingly integral role on both buy- and sell-side desktops.

Troy A. Paredes
Paredes Strategies LLC

Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, Paredes was a Commissioner of the U.S. Securities and Exchange Commission, having been appointed by President George W. Bush. At the SEC, Paredes was a strong advocate for small business and the JOBS Act, for solving the information overload problem of securities law disclosure, and for rigorous cost-benefit analysis. He also consistently expressed concerns about the overregulation and overreach of the Dodd-Frank Act. Since leaving government, Paredes has had an active consulting practice. Paredes advises on financial regulation, corporate governance, compliance, and governmental and regulatory affairs. He also serves as an expert and adviser in regulatory enforcement matters and in private litigation involving securities law and corporate law, and he has been an independent compliance consultant/monitor. Before becoming an SEC Commissioner, Paredes was a professor of law at Washington University in St. Louis and a professor of business (by courtesy) at Washington University’s Olin Business School.

Sapna Patel
Sapna C. Patel
Head of Market Structure and Liquidity Strategy
Morgan Stanley for the Americas

Sapna C. Patel is the head of market structure and liquidity strategy at Morgan Stanley for the Americas and is an executive director on the Morgan Stanley Electronic Trading (MSET) desk.  In her current role, Sapna focuses on market structure issues, regulatory developments, order routing and liquidity strategies, as well as business development.  Prior to joining MSET in 2008, Sapna spent three years as an institutional equities sales and trading coverage attorney in the Morgan Stanley Legal and Compliance Division.  Sapna began her career at the U.S. Securities and Exchange Commission in the Division of Trading and Markets (formerly the Division of Market Regulation), and held various positions during her five years at the agency.

Brett W. Redfearn
Global Head of Equity Market Structure
J.P. Morgan

Brett W. Redfearn is J.P. Morgan Securities’ global head of equity market structure. In this role, Brett examines how technologies, regulations & business trends are changing equities, options & futures trading across the Americas, Europe and Asia. His responsibilities include addressing market structure implications for electronic trading products, developing policy positions on regulatory issues, advocating for positive market structure policy changes, managing relationships with exchanges, and educating clients on market structure developments. Brett publishes market structure commentary on a regular basis, including a monthly Market Structure Update that is widely read and highly regarded by institutional traders and investors globally.

Previously, Brett was J.P. Morgan’s global head of liquidity, where he managed smart order routing, internal crossing and algorithmic trading. He also held similar positions at Bear Stearns and, before that, managed the transactions business for the American Stock Exchange.
Brett is Chairman of SIFMA’s Equity Markets & Trading Committee and is a participant on the Security Traders Association (STA) Market Structure Analysts Committee and the Canadian STA (CSTA’s) Trading Issues Committee (TIC). Previously, Brett has served on the boards of Bats Global Markets, BATS Exchange, the Chicago Stock Exchange, and BIDS Trading.

Brett is a frequent speaker at major financial industry events.

Kimberly Russell
Vice President, Equities Market Structure

Kimberly Russell is a Vice President in the Equities execution division at Barclays where she leads the Market Structure strategy and analysis efforts. Based in New York, she is responsible for evaluating market structure and regulatory developments, providing analysis to Barclays clients and internal teams, and developing policy positions on current issues.

Kimberly joined Barclays in September 2008 from Lehman Brothers, where she began her career as an intern in the Global Real Estate Group. Kimberly holds a bachelor’s degree from Cornell University. She is a member of the Security Traders Association’s Market Structure Analyst Committee and serves on the board of the Cornell Rowing Association.

Krista Ryan
Fidelity Investments

Krista Ryan is an attorney in the legal department of Fidelity Investments, a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and other financial products and services to more than 20 million individuals, institutions and financial intermediaries. In her current role, Krista is responsible for, among other items, regulatory issues affecting Fidelity’s broker-dealers and asset managers. She is a graduate of the University of Massachusetts and Brooklyn Law School.

Christine Sandler
STA Women in Finance

Christine Sandler is a former Managing Director and Head of Equities Electronic Sales, Americas. Based in New York, Ms. Sandler is responsible for leading the delivery of Barclays Equities electronic execution offering to new and existing clients. Ms. Sandler joined Barclays in 2014 from NYSE Euronext where she was responsible for all aspects of the company’s sales and marketing efforts. Prior to that, she was previously Managing Director, Head of US Electronic Sales for Merrill Lynch and Managing Director, Head of Sales at Wave Securities and Archipelago LLC. Ms. Sandler began her career with sales and trading positions at Bloomberg Tradebook, Spear Leeds and Kellogg and WH Reaves and Co. Ms. Sandler is a founding member of the Women’s Leadership Action Forum and has received industry awards as a woman leader on Wall Street. She has been a Board Member and past President of the Securities Traders Association of New York.

David Shillman
Associate Director
Securities and Exchange Commission, Division of Trading & Markets

David Shillman is an Associate Director in the SEC’s Division of Trading and Markets, where he is responsible for oversight of the U.S. equity, options and fixed income markets. Prior to that time, he served in a variety of positions in the Division, including Counsel to the Director and International Counsel. Mr. Shillman was in private practice in New York and Washington, D.C. before joining the SEC in 1995. He is a graduate of Northwestern University and the University of Michigan Law School.

Jatin Suryawanshi
Head of Global Quantitative Strategies

Jatin Suryawanshi is the Head of Global Quantitative Strategies at Jefferies. He has been with Jefferies in this capacity for over five years and is responsible for the Global Algorithmic Trading product. His prior experience in the field of Electronic Trading includes being the Head Strategist of the Goldman Sachs Algorithmic Trading (GSAT) team of which he was a part of from the year 2000 to 2006 and also the Head of Algorithmic Trading, North Americas at UBS from the year 2006 to 2009. Jatin was also an FX trader at BNP Paribas for a period of five years from 1994 to 1999.

Larry Tabb
Founder & CEO
TABB Group

Larry Tabb is the founder and CEO of TABB Group, the financial markets’ strategic advisory and research firm. Since 2003 TABB Group has helped senior industry leaders make critical business decisions by accurately assessing their customer base, competition, and evaluating key market opportunities.
TABB Group interviews hundreds of key senior financial markets leaders on a number of topics such as equity, fixed income, and derivatives trading as well as topics such as hedge fund trends, market data, and various technologies that enable the global financial markets participants to gain competitive advantage.
Larry sits on the US Commodity Futures Trading Commission Technical Advisory Committee, following a two year appointment as a member of its Subcommittee of Automated and High Frequency Trading (HFT). In September 2012 he was invited by the US Senate Committee on Banking, Housing, and Urban Affairs to testify at the Senate Subcommittee on Securities, Insurance and Investment session on computerized trading.
Before founding TABB Group, Larry was vice president and founder of TowerGroup’s Securities & Investments practice. Prior to TowerGroup, he managed business analysis for Lehman Brothers’ Trading Services Division and was responsible for overseeing the specification, testing and implementation of dozens of major systems. Larry began his career managing various fixed income operations for Citi’s North American Investment Bank.

Andrew Upward
Head of Market Structure
Weeden & Co.

Andrew Upward is Head of Market Structure at Weeden & Co. LP. Andrew tracks global market structure developments and provides insight to Weeden & Co. and its clients. Prior to joining Weeden & Co., Upward was a Vice President and Analyst at Rosenblatt Securities where he focused on US, Canadian and European market structure. Prior to Rosenblatt, Andrew was a macro strategist and market structure analyst at Fidelity Capital Markets. Andrew has authored in-depth reports on IEX, US exchange order types, conditional order venues, the tick-size pilot, and Nasdaq’s access-fee experiment, among many other topics. Andrew also heads up Weeden & Co.’s Execution Consulting Group, which was launched to help clients evaluate their trading processes and achieve best execution.

Mary Lou Von Kaenel is the Managing Director of Financial Information Forum (FIF), an industry group focused on critical implementation issues that impact financial services and technology firms. FIF brings together broker-dealers, exchanges, trading and back office service bureaus, and market data vendors to discuss operations, compliance, and market data technology and solutions. Previously, Lou led the Management Consulting and Regulatory Compliance practice at Jordan & Jordan where she managed a wide range of projects to support clients in their efforts to meet the challenges presented by a changing market environment, competitive landscape and the impacts of regulation. These included key industry undertakings such as projects related to OTC Derivatives Reform (Dodd-Frank Title VII), Tri-party Reform (TMPG recommendations) and various FIX initiatives to support post-trade activities. Lou’s experience as a consultant and broad knowledge of securities trading and processing in a variety of asset classes has been beneficial in her role at FIF. Prior to joining Jordan & Jordan, Lou held senior positions and was responsible for Strategic Planning and Business Development for divisions within Thomson Financial and Standard & Poor’s. She also has experience on the dealer side of the business having been in fixed income trading in previous years. Lou is a graduate of Marymount College, Tarrytown, NY, and holds an MBA from New York University.

Joseph Wald
Chief Executive Officer
Clearpool Trading Group

Joseph Wald has more than 20 years of experience in building and managing innovative trading technologies, platforms and execution systems for institutional market participants. As CEO of Clearpool Group, Joe’s trusted reputation and vast industry relationships are helping to grow the firm’s business. He is focused on Clearpool’s vision of transforming market integrity, compliance and risk into competitive strengths within a new electronic trading frontier.

Mee Warren, CFA, CAIA
Portfolio Strategist
Two Sigma Securities

Mee Warren is currently a portfolio strategist at Two Sigma Investments LP, an investment management firm focused on a scientific approach to investing. She leverages her expertise in investments, market structure, and trading to develop new strategies, increase capacity, and enhance returns. In her previous role, she was the Lead US & Americas Equities Trader and covered the Europe and Asia desks. She executed equities, futures, hard & soft commodities, bonds, currencies, and derivatives. Since joining the firm in 2003, she has had the privilege of working with talented people who inspire her.

In 2015, Mee received two industry awards: “Women in Finance Outstanding Contributions” award from Markets Media and “Women on Wall Street Trailblazer” award from Traders Magazine.

Mee is a trustee on the board of directors for Narcolepsy Network Inc., a national non-profit organization, co-chair of the FWA International Conference committee, and a member of National Organization of Investment Professionals (NOIP), FWA of New York, NYSSA, Women’s Bond Club, Women in ETFs and 100 Women in Hedge Funds. She graduated with a B.S. degree from the University of Minnesota’s Carlson School of Management in 2002 with majors in Finance, International Business, and Risk Management, and minors in Latin, Chinese, and East Asian Studies.

Werts 2012.jpg
Jon Werts
Head of Midwest Equities & Fixed Income
Bank of America Merrill Lynch

Jon Werts is Managing Director and head of Midwest Equities and Fixed Income at Bank of America Merrill Lynch. In this role, he is responsible for all Sales and Relationship Management for the Midwest Region. He is based in Chicago.

Prior to being named to this role in early 2016, Jon was head of Broker Dealer Execution and Electronic Derivatives in the Global Equities Electronic Division. Jon joined the firm in August 2007.

Previously, Jon was vice president of Derivative Products for the New York Stock Exchange in Chicago, where he served as head of the U.S. Options business. From 2001 to 2005, Jon was vice president of Client and Trading Support at the Pacific Exchange in San Francisco, where he oversaw the creation of the exchange’s new electronic options trading platform and managed the customer service and system support departments. Earlier in his career, Jon worked at Pershing Trading as an equity specialist and managed the west coast equity market making division.

Jon serves on the Board of Directors of the Options Clearing Corporation, of Redi Technologies and of the American Red Cross of Greater Chicago. He has also previously served on the Board of Directors of the Chicago Board Options Exchange and of the East Bay Regional Parks Foundation.

Tom Wittman
Executive Vice President

Thomas (Tom) Wittman is Executive Vice President of Nasdaq and Global Head of Equities, a division of the company’s Global Trading & Market Services business. Based in Philadelphia, Mr. Wittman oversees the global cash equities and equity derivatives businesses. Specifically, Mr. Wittman is responsible for the management and strategy of Nasdaq’s three U.S. equities markets, three U.S. options markets, the equity and equity derivatives trading in Copenhagen, Helsinki and Stockholm as well as Nasdaq’s investment in TOM. The TOM MTF is a Multilateral Trading Facility located in Amsterdam, The Netherlands. TOM MTF offers trading in shares, derivatives and ETFs. Mr. Wittman also serves as CEO and President of The Nasdaq Stock Market (Nasdaq), Nasdaq PHLX LLC (PHLX) and Nasdaq BX Inc (BX).

Mr. Wittman was recently Senior Vice President, Head of U.S. Equities and Derivatives and President of PHLX. In this role, he was responsible for the management and operations of Nasdaq’s U.S. equities and options markets, and the de novo futures business. Formerly Vice President of U.S. Options, Mr. Wittman led the team in transitioning the PHLX platform from an open outcry, floor-based specialist system to an electronic, hybrid system. He also drove the development of the Nasdaq Options Market (NOM) and the launch of Nasdaq BX Options (BX Options). With these advancements, the group was able to attract new liquidity and order flow providers, resulting in Nasdaq’s leading position in U.S. equity options market share since 2010.

Mr. Wittman began his exchange career in 1987 as a software developer for The Philadelphia Stock Exchange (currently known as PHLX). During his career at The Philadelphia Stock Exchange, he oversaw the software development division that was the backbone of the equity trading business, listed options business, PBOT futures business and the supporting surveillance and back office systems. He was instrumental in guiding The Philadelphia Stock Exchange into the electronic age of exchange trading. Mr. Wittman joined Nasdaq in 2008 after Nasdaq acquired The Philadelphia Stock Exchange.

Simon Yates
Two Sigma Securities

Simon Yates joined Two Sigma Securities as CEO in September 2014. Prior to joining, Simon was Global Head of Equity Derivatives Sales and Trading at Citibank (2010 to 2014). From 1997 to 2010, he held a number of positions at Credit Suisse, including Co-Head of European Equities and Global Head of Equity Derivative Sales and Trading. He started his career at JP Morgan in 1992 where he worked in areas ranging from Corporate Finance to Insurance Derivatives. Simon holds an M.A. in Mathematics from Cambridge University (1992). He serves on the board of the Metropolitan Opera of New York.