Rep. Bill Huizenga
Capital Markets, Securities, and Investment Subcommittee
Congressman Bill Huizenga represents Michigan’s 2nd Congressional District which stretches from Kentwood to the lakeshore and up the coast of Lake Michigan from Holland to Ludington. He was first elected to Congress in 2010 and is currently serving in his fifth term.
As a member of the prestigious House Financial Services Committee, Congressman Huizenga has focused on removing government-imposed barriers to private sector job creation and increasing transparency across the federal government. Because of his steadfast leadership, Congressman Huizenga has been selected to serve as Ranking Member on the Investor Protection, Entrepreneurship, and Capital Markets Subcommittee for the 116th Congress.
Congressman Huizenga has focused oversight efforts pertaining to the Securities and Exchange Commission’s (SEC) operations, activities, and initiatives to ensure that it fulfills its congressional mandate to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. This subcommittee also has jurisdiction pertaining to credit rating agencies, investment advisers, mutual funds, accounting standards, equity/option market structure, and fixed-income market structure. For the first time, he is serving on the Housing, Community Development, and Insurance Subcommittee in the 116th Congress. Previously, he served as a member of the Monetary Policy and Trade Subcommittee where he focused on restoring accountability and transparency to the Federal Reserve.
Allison Herren Lee
U.S. Securities and Exchange Commission
Allison Herren Lee was appointed by President Donald Trump to the U.S. Securities and Exchange Commission, unanimously confirmed by the U.S. Senate, and sworn into office on July 8, 2019. Ms. Lee was designated Acting Chair of the Commission by President Joseph R. Biden, Jr., on January 21, 2021.
Commissioner Lee brings to the SEC over two decades of experience as a securities law practitioner. Most recently, she has written, lectured, and taught courses internationally in Spain and Italy on financial regulation and corporate law. Commissioner Lee served for over a decade in various roles at the SEC, including as counsel to Commissioner Kara Stein, and as Senior Counsel in the Division of Enforcement’s Complex Financial Instruments Unit. In addition, she has served as a Special Assistant U.S. Attorney, was a member of the American Bar Association’s former Committee on Public Company Disclosure, and participated on a USAID project in Armenia, assisting in the drafting of periodic reporting and disclosure provisions for a comprehensive law of the Republic of Armenia on Securities Market Regulation.
Prior to government service, Commissioner Lee was a partner at Sherman & Howard LLC, focusing on securities, antitrust, and commercial litigation. A member of the Colorado bar, she holds a bachelor’s degree in Business from the University of Colorado and a JD from the University of Denver College of Law, where she was salutatorian, a Chancellor’s Scholar, and served on the Law Review.
Hon. J. Christopher Giancarlo
Senior Counsel, Willkie Farr & Gallagher LLP
Former Chairman, U.S. CFTC
Dubbed “CryptoDad” for his celebrated call on the US Congress to respect a new generation’s interest in cryptocurrency, the Honorable J. Christopher Giancarlo served as 13th Chairman of the United States Commodity Futures Trading Commission.
Considered one of “the most influential individuals in financial regulation,” Mr. Giancarlo also served as a member of the U.S. Financial Stability Oversight Committee, the President’s Working Group on Financial Markets, and the Executive Board of the International Organization of Securities Commissions.
Mr. Giancarlo is the author of “CryptoDad – The Fight for the Future of Money,” an account of his oversight of the world’s first regulated market for Bitcoin derivatives and the coming transformation of financial services, including the most valuable thing of all: money. It will be released in October 2021 by John Wiley & Sons.
Mr. Giancarlo is Senior Counsel to the international law firm, Willkie Farr & Gallagher. He is also a board director, advisor and angel investor in numerous technology and financial services companies. In addition, Mr. Giancarlo is a co-founder of the Digital Dollar Project, a not-for-profit initiative to advance exploration of a US Central Bank Digital Currency. Twitter: GiancarloMKTS
Milken Institute Center for Financial Markets
Michael S. Piwowar is the executive director of the Milken Institute Center for Financial Markets. Dr. Piwowar served as a Commissioner at the U.S. Securities and Exchange Commission from August 15, 2013 to July 6, 2018. He was first appointed to the SEC by President Barack Obama and was designated Acting Chairman of the Commission by President Donald Trump from January 23, 2017 to May 4, 2017. He was previously the Republican chief economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs under Senators Mike Crapo (R-ID) and Richard Shelby (R-AL) and served as the lead Republican economist on the four SEC-related titles of the Dodd-Frank Act and the JOBS Act. During the financial crisis and its immediate aftermath, Dr. Piwowar served in a one-year fixed-term position at the White House as a senior economist at the President’s Council of Economic Advisers (CEA) in both the George W. Bush and Barack Obama Administrations. Before joining the White House, Dr. Piwowar worked as a Principal at the Securities Litigation and Consulting Group (SLCG). He received a B.A. in Foreign Service and International Politics from the Pennsylvania State University, an M.B.A. from Georgetown University, and a Ph.D. in Finance from the Pennsylvania State University.
Chief Executive Officer
Douglas Cifu is the Chief Executive Officer of Virtu Financial and was a co-founder of Virtu in 2008. Previously, he was a partner at the international law firm Paul, Weiss, Rifkind, Wharton & Garrison. At Paul Weiss, Mr. Cifu served as a member of the Management Committee, Deputy Chair of the Corporate Department and co-head of the Private Equity Group.
He is recognized in Chambers USA and Legal 500 as a leading mergers and acquisitions lawyer for buyouts and private equity transactions. In 2006, Private Equity International listed him among the 30 most influential lawyers currently working in global private equity, citing his expertise in technology-driven sectors. He has been recognized by Crain’s New York Business in its “Technology 100,” a listing of the top 100 people working in technology in the New York area. In 2020, he was recognized as the #3 top FinTech CEO by The Financial Technology Report.
He serves on the board of directors of the U.S. Chamber of Commerce and the board of visitors of Columbia College at Columbia University.
Mr. Cifu earned his J.D. at Columbia Law School in 1990 and his B.A. magna cum laude from Columbia University in 1987 where he was also elected as a member of Phi Beta Kappa.
Stacey Cunningham is the President 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). She is the 67th President and the first woman to lead the NYSE Group in its 226 year history.
Ms. Cunningham is a respected equities industry veteran having held senior positions in global exchanges throughout her career. Most recently, she was the NYSE Chief Operating Officer where she was responsible for NYSE’s four equity markets and two options markets. In this capacity she led the company’s strategy for its equities, equity derivatives and exchange-traded funds businesses. She also spearheaded the roll-out of NYSE’s state-of-the-art trading platform NYSE Pillar, one of the most ambitious technology programs ever completed by a global exchange.
Prior to serving as COO, Ms. Cunningham was President of NYSE Governance Services, a provider of governance, compliance, and education solutions for companies and their boards. Ms. 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, Ms. Cunningham held several senior positions at Nasdaq.
Ms. Cunningham began her career on the NYSE trading floor where she served as a specialist. She earned her B.S. in Industrial Engineering from Lehigh University.
CEO & President
Diamond Hill Capital Management
Heather Brilliant serves as Chief Executive Officer and President for Diamond Hill Capital Management, an independent active asset manager based in Columbus, OH, with significant employee ownership and $30.6 billion in assets under management as of March 31, 2021. Diamond Hill provides valuation-driven investment management services across a range of asset classes. Ms. Brilliant joined the firm in 2019 bringing more than 20 years of domestic and international investment industry experience to the role.
Previously, Ms. Brilliant served as Chief Executive Officer, Americas with First State Investments. Prior to that role, she spent nearly 14 years with Morningstar where she served as Global Head of Equity & Credit Research before advancing to Chief Executive Officer, Morningstar Australasia. Earlier in her career, she held several roles analyzing both credit and equity at firms including Bank of America and Driehaus Capital Management.
Ms. Brilliant is a long-standing member of the CFA Institute, a global credentialing organization for the investment industry. She served on the board of the CFA Institute from 2013 to 2020 and was chair of the board from 2018 to 2019. As chair she provided leadership and governance to a board of 15 senior investment management executives. She is also a member of the CFA Society of Columbus.
She is on the board of Future Ready Columbus, a nonprofit collective impact organization whose goal is to ensure that 100% of Franklin County children demonstrate readiness for kindergarten by 2030. She is a member of the Columbus Partnership, a nonprofit, membership-based organization of more than 70 CEOs from Columbus’ leading businesses and institutions focused on improving the economic vitality of the Columbus Region, and YPO (Young President’s Organization), a global leadership community of chief executives that are committed to lifelong learning and idea exchange.
Ms. Brilliant is on the executive committee of the Ohio chapter of the International Women’s Forum (IWF), an invitation-only membership organization made up of more than 7,000 diverse and accomplished women from 33 nations. IWF’s mission is to support women leaders and build better leadership across careers, continents and cultures by connecting accomplished women both locally and globally.
She is a frequent speaker at industry conferences and is a volunteer teacher for Rock the Street, Wall Street, a nonprofit organization that aims to spark interest in finance among high school girls. Ms. Brilliant was recently named a 2021 Women WELDing the Way® honoree by Women for Economic and Leadership Development (WELD) for supporting the leadership development of other women and women-owned businesses in the community.
She earned her MBA from the University of Chicago Booth School of Business and has a degree in economics from Northwestern University.
Executive Vice President and Head of North American Markets
Tal Cohen is Executive Vice President and Head of North American Market Services at Nasdaq. He is responsible for client relations and driving growth across cash equities, derivatives, commodities, clearing and trade management services across Nasdaq’s U.S. and Canadian businesses.
Prior to joining Nasdaq in April 2016 as the Senior Vice President of North American Equities, Mr. Cohen was the Chief Executive Officer of Chi‐X Global Holdings, LLC from 2010 – 2016. From 2008 – 2010, he served as CEO of Chi‐X Americas.
Prior to joining Chi‐X, Mr. Cohen held several senior leadership roles at Instinet, including Senior Vice President of Business Development and Product Strategy, and Co‐head of electronic trading for North America, from 1999 – 2008. Before joining Instinet, he served as M&A Manager at American Express; building out its strategic investment portfolio. He started his career at Arthur Andersen as an Auditor and Senior Business Advisor focused on the Financial Services and Telecom industries.
From 2009 – 2016, Mr. Cohen served as a Director on the Investment Industry Regulatory Organization of Canada (IIROC) Board. He additionally served as a Director on the Canadian Depository for Securities (CDS) Board from 2013‐2016.
Mr. Cohen holds a B.A. from SUNY Albany, an M.B.A. from New York University’s Stern School of Business, and is a Certified Public Accountant. He also holds FINRA Series 24, 7 and 63 licenses, the CSI Partners, Directors, and Senior Officers Designation (PDO) and Senior Officers Designation (PDO).
Executive Vice President, Market Regulation & Transparency Services
Stephanie Dumont is Executive Vice President, Market Regulation & Transparency Services. Working closely with the SEC and the exchanges, FINRA’s Market Regulation & Transparency Services Department conducts extensive oversight of the securities markets to protect investors and preserve market integrity. In addition to FINRA’s regulatory responsibilities for the entire over-the-counter market, its cross-market program covers 100 percent of U.S. equity market activity and approximately 45 percent of options contract volume. The Department combines examinations of member firms and innovative automated surveillance that assesses billions of market events each day to identify potential manipulation or fraud, and to supervise firms’ compliance with FINRA rules and federal securities laws. The Department also brings transparency to the equity and bond markets to help investors make informed investment decisions and improve supervision by regulators and firms. FINRA operates facilities that create the foundation of the regulatory audit trail in the securities markets and provides investors with timely quote and trade information, including TRACE (the Trade Reporting and Compliance Engine), the Trade Reporting Facilities, the Alternative Display Facility and the Over-the-Counter Reporting Facility.
Previously, Ms. Dumont was Senior Vice President and Director of Capital Markets Policy for FINRA’s Office of General Counsel, where she was responsible for leading the development and interpretation of FINRA rules for market regulation, and providing legal and policy advice to FINRA management and staff. Among other areas, she was responsible for leading the policy and rulemaking legal team addressing trading and customer order handling practices, order audit trails and market structure for equity, options and fixed income securities. Ms. Dumont also supported the policy, rulemaking and regulatory reporting functions relating to FINRA’s market transparency facilities, including the Trade Reporting Facilities, the OTC Reporting Facility, the Alternative Display Facility and Trade Reporting and Compliance Engine (TRACE). In addition, she provided legal counsel for FINRA’s participation in various National Market System Plans, including the Consolidated Audit Trail (CAT), the Securities Information Processors and the Limit Up/Limit Down Plans.
Prior to joining FINRA’s Office of General Counsel, 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.
Chief Legal Officer
Dan Gallagher is the Chief Legal Officer of Robinhood, a fast-growing brokerage giving millions of people access to its financial system. Before joining Robinhood, he was Partner and Deputy Chair of the Securities Department at international law firm WilmerHale where he advised corporate boards and management on the full range of legal and strategic issues, and counseled financial services and accounting firms in investigations, regulatory proceedings and policy matters.
Mr. Gallagher has an extensive background in financial markets and regulatory matters, including serving as a Commissioner of the U.S. Securities and Exchange Commission (SEC) from 2011 to 2015. He held several other positions on the SEC staff prior to being appointed commissioner, including deputy director and co-acting director of the division of trading and markets. He also previously served as the Chief Legal Officer at Mylan N.V., a leading global pharmaceutical company, and as the president of a financial services consulting firm.
Mr. Gallagher serves on the boards of the National Association of Corporate Directors (NACD) and Symbiont, and was formerly a non-executive director of the Irish Stock Exchange. He is also on the advisory boards for the Institute for Law and Economics at the University of Pennsylvania and the Center for Corporate Governance, part of the Raj & Kamla Gupta Governance Institute in Drexel University’s LeBow College of Business. Mr. Gallagher holds a J.D. from Catholic University of America, Columbus School of Law, and B.A. from Georgetown University.
Panelists, Speakers & Moderators
Vice President, Institutional Equity Sales Trading
KeyBanc Capital Markets
Julie Andress is a Vice President, Institutional Equity Sales Trading at KeyBanc Capital Markets Inc. She is responsible for managing institutional investor, accounts, providing research commentary and overseeing best execution trading. Prior to joining KBCM in 2011, she served as a senior account manager with Bloomberg LP.
Ms. Andress has been an active member of STA for more than a decade. She has served on the board of the Ohio Security Traders Association since 2014, she has held the roles of Treasurer, Vice President, and is a current Governor. In 2016, she was named “Rising Star” by Markets Media. Ms. Andress is Co-Chair of the STA Women in Finance initiative, joining as an affiliate member in 2015 and committee member since 2016. She is a member of Key Women’s Network.
Ms. Andress is a very involved community member. In 2015, she was recognized for her fundraising efforts for the Cystic Fibrosis Foundation being named Northeastern Ohio’s “Young Professional of the Year” and nationally “CF Finest.” In 2016, she co-founded the associate board of The Transplant House of Cleveland, an organization that provides temporary housing and supportive community to organ transplant patients and their families. She is a graduate of John Carroll University.
Senior Vice President, Trading Services
Two Sigma Securities
Matt Billings began his career on the exchange floors in Chicago more than 30 years ago. His long-standing and hands-on experience in the mechanics of trading, coupled with extensive industry engagement and regulatory insight, fuel his unique perspective on how the markets operate and impact traders and investors.
Today, Mr. Billings works in Two Sigma Securities, LLC’s Wholesale Market Making team. In this role, his areas of oversight include the trade/service desks as well as client relationships. He also focuses on market structure, and in particular market data. Prior to coming to Two Sigma Securities, Mr. Billings led the team overseeing market data at TD Ameritrade. He managed all aspects of the firm’s market data strategy as well as contributed in the areas of government relations and market structure. Before TD Ameritrade, he managed Trading Services for Scottrade for over 10 years, accountable for several areas including order routing and execution quality, and market data.
Mr. Billings is an active member of several trade organizations including STA, FIF and SIFMA. He maintains his Series 7, 4, 24, 57 and 63 registrations, completed an Executive Leadership Development course through Washington University, completed the three-year Securities Industry Institute course sponsored by SIFMA and The Wharton School, and earned a Bachelor’s degree from Saint Norbert College in De Pere, Wis., and a Masters of Business Administration degree from DePaul University in Chicago.
Jeff Bell is the President and Head of Client Success at Eventus. Jeff brings over 20 years of experience and has a unique combination of strong management and deep experience in technology from his previous roles as CEO of Lime Brokerage and EVP of Clearing and Technology at Wedbush Securities.
As a Principal of GTS, Reginald Browne oversees Transaction Services for the firm. Mr. Browne has been at the forefront of the ETF markets since 1996, and he has played a major role in developing the ETF industry by launching early ETF funds for nearly all ETF sponsors, and by engaging institutional clients globally.
A native Philadelphian, Mr. Browne earned a Bachelor of Science in Business Administration from La Salle University where he serves as chair of the university advancement committee. Mr. Browne currently serves as Chairman of the ETF Fund Board at American Century Investments in Kansas City, and he serves as Vice-Chairman of the Board at the Pennsylvania Academy of Fine Arts, and the New York City Boy Scouts Board of Directors. Mr. Browne has served on several industry committees related to equity market structure, regulations and client experience.
Chief Executive Officer
Thomas Chippas is the CEO of ErisX, a single, innovative platform offering access to the crypto spot and futures market. Mr. Chippas is an outspoken advocate for bringing reliability and transparency to the crypto marketplace. He partners with leading industry participants and regulators to enhance the trading experience in the crypto space for both institutions and individual investors.
Prior to joining ErisX, Mr. Chippas was Managing Director and Global Head of Quantitative Prime Brokerage at Citi and held the same position at Barclays. Quantitative Prime Brokerage is a combined execution and financing platform built for systematic investment managers. In addition to leading electronic trading roles on the sell side, Mr. Chippas was CEO of Citadel Technology and COO of Axoni, a leading distributed ledger technology firm focused on derivatives processing.
Mr. Chippas holds a B.S in Accounting from the University of Illinois and has served on multiple boards and advisory groups of fintech firms and exchanges.
Global Head of Equities Product Management
With over 25 years of product management experience in financial services, Robert is now the Global Head of Equities Product Management for ION Markets. He came to ION with extensive experience in leveraging technology to meet business objectives, along with a deep understanding of both low touch and high touch trading workflows.
Before joining ION, Robert spent 15 years at UBS Investment Bank, most recently in the role of Executive Director and Product Manager of Securities eCommerce. During his tenure, Robert led the Cash EQ Product Management team and spent time in product management for the award-winning UBS Neo Platform.
Robert earned a degree in Economics and initially pursued a career as a trader. While working as a trader for Tokai Bank, he developed an interest in Financial Technology. He has a passion for user experience and optimizing the software development process.
Managing Director, Head of Market Structure for the Americas
Doug Clark is Managing Director, Head of Market Structure for the Americas for Credit Suisse. Prior to his role at Credit Suisse, Mr. Clark has held a variety of increasingly senior roles in Trading and Research for both bank and independent firms. He is a former chairman of both the Canadian Security Traders Association and the Security Traders Association, and sits on a variety of exchange and regulatory advisory panels.
Head of Derivatives and Global Client Services
Cboe Global Markets
Arianne Criqui is Senior Vice President, Head of Derivatives and Global Client Services at Cboe Global Markets, Inc. Ms. Criqui oversees the options business and leads Cboe’s client services team, which identifies and educates new investors, in addition to supporting existing clients. In her role, she also focuses on strategy surrounding Cboe’s propriety products.
Before joining Cboe, Ms. Criqui was Vice President, Head of Electronic Options Sales Distribution on the Equity Derivatives Sales team at Goldman Sachs, where she led a team focused on distributing electronic options products and working with prominent institutions and large asset managers. Ms. Criqui also held roles at Capstone Investment Advisors and Merrill Lynch, where she started her career.
Previously, Ms. Criqui served on several industry committees, including the Options Market Structure Committee, STA Options Committee and the Options Industry Council (OIC) Advisory Board.
Ms. Criqui attended Pennsylvania State University, where she earned a B.S. in Finance and was co-captain of the school’s varsity women’s swimming team. She holds NASD Series 3, 7, 63 and 55 and Principal NASD Series 4, 9 and 10 licenses.
Head of Americas Market Structure & Liquidity Strategy
Jessica D’Alton is the Head of Americas Market Structure and Liquidity Strategy at UBS, based in New York. She advises both clients and internal groups on market structure, liquidity trends and regulatory changes.
Prior to her current role, Ms. D’Alton was on the Equities Advisory Compliance team where she provided real-time guidance to trading desks on regulatory requirements, rule changes and interpretations. Before that, she was on the Trade Surveillance team where she monitored post trade exception reports for potential breaches of securities laws. She joined UBS in 2011 from Alliance Bernstein where she spent four years at the firm. There she worked in Client Services where she acted as a liaison between portfolio managers and advisors to ensure client investment objectives were met and Trade Compliance where she was responsible for monitoring guidelines for 1940 act mutual funds.
Andrew D’Amore has more than 20 years of industry experience in equity trading and sales. Most recently he worked for Virtu, Broker-Dealer Sales, tasked with managing multiple retail equity relationships. Mr. D’Amore has been involved with Security Traders Association of Chicago (STAC) for more than 15 years, serving in various capacities including President in 2014. One of his main priorities in 2014 for the STAC Board and was to increase charitable giving. This will also be a main focus area in 2021 for the Security Traders Association team. Mr. D’Amore holds a BS in International Business from St. Joseph’s College and a MBA from Keller Graduate School of Management.
Away from work, Mr. D’Amore enjoys spending time with his family, traveling, golf and baseball. He resides in Gurnee, IL with his wife and three children.
V&S Strategic Consulting
Silvia Davi is a seasoned global marketing, corporate communications, business development executive, advisor, and board member with over 20 years of experience. She is an established leader in reputation management, branding, strategic communications, media relations, public affairs, content/digital strategy, and thought leadership. Ms. Davi is a recognized expert in capital markets, turnarounds, corporate and product development with an emphasis on innovation, strategic partnerships/M&A’s, and developing social responsibility, citizenship and ESG programs. In addition, she has a specialty in relationship management, with a respected influencer network across key markets and industry sectors.
Ms. Davi’s expertise stems from global communications agencies, in-house Fortune 500 corporations, start-ups, nonprofits and her own boutique consultancy. A multilingual and multifaceted professional, she has an expertise in financial/professional services and technology, having held global leadership roles at leading organizations such as Nasdaq, Instinet, Marsh & McLennan, and Edelman while advising and establishing the profile for some of the fastest growing fintech organizations across asset classes.
A recipient of industry accolades such as Innovation Finance’s “Women in Fintech Power List” and Market’s Media “Reputation Management” award, Ms. Davi has also served as an Adjunct Professor at Hofstra University’s School of Journalism, Media Studies, and Public Relations. She currently sits on the Board of Directors for national non-profit Tuesday’s Children.
Over his 20+ year career, Mark Dowd has worked with a wide swath of institutional fintech brands on projects spanning the marketing and communications spectrum. Prior to founding Forefront, a strategic communications firm focused on the capital markets and fintech, Mr. Dowd built REDI’s marketing platform following its spinout from Goldman Sachs. Before that he spent nearly a decade as global head of marketing and communications for Nomura’s Instinet subsidiary, helping reposition its brand from ECN to technology-enabled agency broker. Along the way he also helped launch the firm’s Chi-X exchange businesses globally. Mr. Dowd is a graduate of Boston University.
Global Head of Electronic Trading
Troy Draizen is JonesTrading’s Managing Director, Global Head of Electronic Trading in the firm’s New York office. Mr. Draizen has over fifteen years of experience helping clients outperform their trading objectives by delivering electronic trading excellence through customizing next-generation algorithms, and providing data-driven recommendations to support decision-making. Prior to joining JonesTrading, he was a Managing Director at Cowen in Global Equity Trading and previously held Managing Director roles at Convergex and KCG.
Global Head of Corporate Responsibility
Kate Faraday joined the firm in 2007 and is the firm’s Global Head of Corporate Responsibility. In this role, Ms. Faraday oversees the firm’s corporate responsibility strategy and execution of key initiatives working closely with PineBridge’s Corporate Responsibility Steering Committee and subcommittees to ensure alignment, collaboration and sharing of best practices across the firm. She is also accountable for measuring and reporting the firm’s progress versus key objectives, as well as industry benchmarks. Prior to this role, Ms. Faraday was Head of Client Portfolio Management, Americas Equities and Portfolio Manager for the Research Enhanced quantitative equities strategies. Previously, she was a global equity trader responsible for trading domestic, global, and emerging market portfolios. Prior to joining PineBridge, Ms. Faraday was an equity trader at KR Capital Advisors, an investment advisory firm. She holds an Executive MBA degree from the Zarb School of Business at Hofstra University and a Bachelor of Science degree from Nazareth College of Rochester. She is Co-Chair of the Board of Directors and member of the National Organization of Investment Professionals (NOIP) and a Board member of W!SE-Working In Support of Education.
Deborah A. Fuhr
Managing Partner & Founder
Deborah Fuhr is the owner, managing partner and founder of ETFGI, an independent research events and consultancy firm launched in 2012 in London. The firm offers paid for subscription research, consulting and events. She is a partner and founder of ETF TV, a show to provide a monthly insight into the ETF ecosystem across Europe, the Americas and Asia Pacific markets for ETFs professionals and investors. Ms. Fuhr is a founder and board member of Women in ETFs a non-profit in the United States. She is a founder, board member and co-president of Women in ETFs EMEA a limited company in England.
Previously, she served as global head of ETF research and implementation strategy and as a managing director at BlackRock/Barclays Global Investors from 2008 – 2011. Ms. Fuhr also worked as a managing director and head of the investment strategy team at Morgan Stanley in London from 1997 – 2008, and as an associate at Greenwich Associates.
Ms. Fuhr was made a Fellow of CFA UK in January 2020, was the recipient of the ETF.com 2018 lifetime achievement award, 100 Women in Finance’s 2017 European Industry Leadership Award, the 2014 William F. Sharpe Lifetime Achievement Award for outstanding and lasting contributions to the field of index investing, and several other industry awards.
Ms. Fuhr frequently writes articles for various publications including: Financial News, ETFI Asia, CityWire, FT Advisor, Pensions and Investments, IPE: Investments and Pensions Europe, Focus -World Federation of Exchanges and the Financial Times.
Ms. Fuhr is one of the founders and on the board of Women in ETFs as well as Women in ETFs EMEA chapter, is on the board of Cancer Research UK’s ‘Women of Influence’ initiative to support female scientists. Ms. Fuhr has served on the editorial board of the Journal of Indexes (United States), Journal of Indexes (Europe), and Money Management Executive; the advisory board for the Journal of Index Investing; and the investment panel of experts for Portfolio Adviser, the FTSE ICB Advisory Committee, the International Advisory Committee for the Egyptian Exchange, and the University of Connecticut School of Business International Advisory Board. She holds a BS degree from the University of Connecticut and an MBA from the Kellogg School of Management at Northwestern University.
Founder & CEO
Dmitri Galinov is a proven financial technology entrepreneur and senior executive who has launched and built several successful FinTech platforms and companies over the past two decades. He is a passionate advocate for innovative information technologies that enhance financial industry transparency and accessibility.
Mr. Galinov is the founder and CEO of 24 Exchange, the world’s first 24/7 trading platform that since 2019 has been providing institutional customers with access to reliable, cost-efficient trading of a growing set of asset classes.
Prior to his founding of 24 Exchange, he served as founder and CEO of FastMatch, the fastest-growing electronic communication network for spot foreign exchange trading. Over the course of his six-year tenure, he grew FastMatch into a company valued at $160 million at the time of its acquisition by Euronext in 2017. FastMatch was named the best foreign exchange trading platform by Financial News and the best E-FX trading venue by FX Week.
As head of the Crossfinder dark pool at Credit Suisse, Mr. Galinov grew Crossfinder into the largest dark pool in the U.S., double the size of the next largest competitor. He also served as Director of Strategy of Direct Edge and as the Global Head of Buy Side DMA for Lava Trading.
Mr. Galinov serves on the board of FICC Markets Standards with the goal of developing industry standards for FICC markets. In 2018, he was invited to serve on the board of the Federal Reserve Foreign Exchange Committee’s working group on Global Code of Conduct. He has served as a member of both the NYSE’s Electronic Trading Advisory Committee and Security Traders Association of New York.
He received an MBA in Finance from the Leonard N. Stern School of Business at New York University and a B.B.A. in Finance from Baruch College. He also has an M.S. degree in Information Technology from New York University.
Managing Director, Head of U.S. Equities
Adam Gould is a Managing Director and Head of U.S. Equities at Tradeweb, overseeing the Americas institutional Equities electronic trading platform for ETFs, Options and Convertible Bonds, and the Dealerweb Equity Derivatives, dealer-to-dealer platform. He played an integral role in the launch of Tradeweb’s Americas ETF and Options platforms, and leads day-to-day operations. Previously, he served as Senior Vice President of ETF Sales and Business Development at Direxionshares, where he helped launch ETF trading, building and managing client relationships among institutional investors to support the expansion of the business. Prior to that, Mr. Gould was a Portfolio Manager and trader in the Index Fund Asset Management group at the Bank of New York, helping to manage index funds and separately managed accounts. In that role, he also oversaw all trading activity and investment decisions for his portfolios.
Mr. Gould received a B.Sc. in Behavioral Science and Law from the University of Wisconsin and an MBA from Georgetown University. He current holds licenses for the FINRA Series 3, 7, 24, 55 and 63.
Executive Vice President, Head of Markets Division
Cboe Global Markets
Bryan Harkins is President of BIDS Trading L.P., a wholly-owned subsidiary of Cboe Global Markets, Inc. (Cboe). In this role, Mr. Harkins oversees the operation and strategic direction of BIDS Trading and is leading the business in its expansion into new asset classes and geographies.
Previously, Mr. Harkins was Executive Vice President, Head of Markets at Cboe, where he led the sales, product development and competitive strategy for the company’s U.S. equities, futures, options and global foreign exchange businesses, its suite of market data and access services products, as well as the firm’s growing ETP listings business. Based in New York, he joined Cboe in 2017 as part of the Bats acquisition.
At Bats, he led the competitive strategy and thought leadership of the equities business and built and grew the ETF listings business into a major industry player, bringing competition and innovations that benefited ETF issuers and investors. Also, U.S. Options market share more than tripled under his leadership, increasing to over 11 percent at the time of its acquisition by Cboe. He also guided the Bats FX business’ rapid growth to become one of the largest institutional spot FX platforms in the world.
Mr. Harkins joined Bats in January 2014 when it acquired Direct Edge Holdings, creating the largest U.S. equities stock exchange operator (excluding auctions). As a founding employee and Chief Operating Officer at Direct Edge, he led the firm’s growth into one of the largest players in the U.S. equities market. He also was responsible for operations, product development, sales and the day-to-day activities of the EDGX and EDGA stock exchanges, which continue to operate under Cboe’s current equities franchise.
During his nearly 20 years in the electronic trading space, Mr. Harkins has held numerous technical, operational, product and senior sales positions at Instinet, Brut and Nasdaq.
He is active in the community. He co-founded and hosts the annual Wall Street Rides FAR cycling event that supports autism research, and sits on the Board of Directors of Project Hospitality, which provides food, shelter and services for the needy in Staten Island, New York. His industry colleagues recently recognized his philanthropic efforts with the 2019 Markets Media award for philanthropy.
Mr. Harkins holds a Bachelor of Arts from the University of Notre Dame and an MBA from New York University’s Stern School of Business. He holds Series 7, 24, 55 and 63 licenses.
Fidelity Digital Assets
Tom Jessop is president of Fidelity Digital Assets. In this role, he is responsible for daily business operations while directing the company’s long-term vision to create a full-service institutional brokerage capability for native digital assets like Bitcoin and tokenized securities.
Mr. Jessop joined Fidelity in January 2018 as Head of Corporate Business Development. In this role, he led a team focused on identifying and executing strategic opportunities including acquisitions, divestitures, strategic investments and partnerships.
He joined Fidelity from Chain, a leading provider of enterprise blockchain solutions to global financial institutions. In his role as president, Mr. Jessop was responsible for all facets of Chain’s commercial strategy including sales, marketing, and strategic business development.
Prior to joining Chain, he was global head of Technology Business Development at Goldman Sachs where he led efforts to invest in and partner with early stage technology companies across several enterprise domains including blockchain, artificial intelligence and cybersecurity.
Mr. Jessop was also a founding member of and senior leader in Goldman’s Principal Strategic Investments (PSI) group. In this role he managed a global team focused on investments in exchanges, e-trading platforms, post-trade networks, and other fintech solutions across the fixed-income, currency, commodity, and equity markets. From 2008 to 2012 he built and led PSI’s Asia-Pacific efforts out of Hong Kong. In 2015 he was named to Institutional Investor’s inaugural “Fintech Finance 35” list.
Prior to joining Goldman Sachs, he held a variety of business and product leadership roles at Standard & Poor’s.
Mr. Jessop holds an MBA from New York University and a BA in Economics from The College of the Holy Cross. He is a member of the Holy Cross Leadership Council of New York and serves as an advisor to the Digital Dollar Project. He is also a CFA charterholder.
Managing Director – Business Development & Market Structure Strategy
Paul Jiganti is the Managing Director of Business Development & Market Structure Strategy of IMC, and is responsible for facilitating IMC’s options business expansion by building new partnerships and emerging into new areas. Prior to joining IMC in 2015, Mr. Jiganti worked as an independent market maker on the CBOE floor for 6 years and, over the next 16 years, worked in various roles at Susquehanna Investment Group including 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 from 2012-2015.
Today, Mr. Jiganti shares his business knowledge in various communities including, Member Representative Director MIAX and MIAX Emerald, chairing the Listed Options Market Structure Working Group and past chairman and current member of SIFMA Listed Options Committee, SIFMA Equities Markets and Trading Committee and serves on the CBOE Advisory Committee. Previously, he 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, as well as Co-Chaired CBOE’s PAC. Mr. Jiganti has an Economics degree from University of San Diego and is Series 7 and 24 licensed.
Co-Founder & President
Bio to come…
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.
Chief Policy Officer
Manisha Kimmel is Chief Policy Officer for MayStreet. Ms. Kimmel is responsible for leading MayStreet’s regulatory policy efforts, leveraging her deep relationships within target markets including regulators and financial institutions to do so. She joined MayStreet from the SEC where she served as Senior Policy Advisor to the SEC Chair coordinating the SEC’s oversight of the self-regulatory organizations’ (SROs) creation and implementation of the Consolidated Audit Trail (CAT). Prior to the SEC, Ms. Kimmel served as Head of Regulatory and Compliance, Wealth Management, at Refinitiv. While at Refinitiv she also served on the CAT NMS Advisory Committee and as a member of the SEC’s Equity Market Structure Advisory Committee (EMSAC). Prior to her time at Refinitiv, Ms. Kimmel served as Managing Director of the Financial Information Forum, where she worked with broker dealers, exchanges, and vendors on issues involving regulatory and market data technology issues. She has also held positions at Jordan & Jordan and Automatic Data Processing.
Ms. Kimmel holds a B.S. in Economics from the Wharton School of Business at the University of Pennsylvania and a B.S. in Engineering from Penn’s School of Engineering and Applied Sciences.
Chief Market Strategist
MD Trading and Education
TD Ameritrade Holding Corporation
JJ Kinahan is a more than 30-year industry veteran who 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 and was Managing Director of Option Trading for Van Der Moolen, USA. In 2006, Mr. Kinahan joined the thinkorswim Group, which was eventually acquired by TD Ameritrade. TD Ameritrade was acquired by Charles Schwab in 2020.
Mr. Kinahan ‘s responsibilities include overseeing the thinkorswim platforms, including the downloadable, web and mobile trading platforms. He is responsible for market structure at TD Ameritrade, which includes the firm’s client advocacy efforts on Capitol Hill, where he voices the needs of retail investors. He was instrumental in starting the TD Ameritrade Network.
Prior to this, Mr. Kinahan has served in several roles in the Trading, Education and Product Groups. He is also a CNBC regular, a Forbes contributor and is frequently quoted in many other respected media outlets. He has authored a Book, Essential Options Strategies. He is an OCC Board Member, a CBOE Advisory Board Member, and MEMX Board member. His licenses include the 3, 4, 7, 24 and 66.
Chief Executive Officer
Group One Trading
John Kinahan has worked for Group One since 1998, starting out at the firm as a trader on the floor of the CBOE. After spending four years on the firm’s Risk Management Desk, he was promoted to the firm’s Chief Executive Officer in 2014. Mr. Kinahan represents Group One on STA’s Listed Option Committee, as well as SIFMA’s Listed Option Committee. He also serves on the Board of Directors of MIAX Options.
Mr. Kinahan has an undergraduate degree in Finance from the University of Michigan, and an MBA from the University of Chicago.
Greg Lee is the Managing Director, Securities Business Development for Paxos. Throughout his career he has led innovation in change in the financial industry. Starting at Tibco in the 1990’s bringing electronic trading innovation to the FX, Bond, and Equities world, before moving into the investment bank trading world to transform and grow electronic trading businesses.
Former CEO, BIDS Trading
2021 DMP Award Recipient
Tim Mahoney is the former CEO of BIDS Trading, a New York-based alternative trading system for U.S. equity block trading. He was named BIDS CEO in October 2006.
Mr. Mahoney’s experiences reflect a strong commitment to strengthening our markets and improving outcomes for all kinds of investors. He has been a member of the New York Stock Exchange’s institutional advisory committee and market performance committee. He also served on advisory committees at Nasdaq Stock Market, the Boston Stock Exchange and the Investment Company Institute. He is also an active Board Member of the National Organization of Industry Professionals (NOIP).
Before he joined BIDS Trading, Mr. Mahoney spent seven years as Head of Equity Trading for Merrill Lynch Investment Managers, where he oversaw a 24-hour trading desk that traded more than $100 billion in equities. He also worked in Merrill’s Unit Investment Trust Department for 16 years, where he held a number of positions, including Head of Equity Trading and Chief Investment Officer.
While at Merrill Lynch, he helped create the “Dogs of the Dow” series of investments. He started his career at Merrill Lynch in 1979 as a summer intern on the floor of the American Stock Exchange.
Mr. Mahoney is a graduate of the College of the Holy Cross (BA) and New York University’s Stern School of Business (MBA). He is a CFA.
Analytical Sales Professional
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.
Head of Execution Services
Joseph Mecane is Head of Execution Services at Citadel Securities. In this role, he is responsible for the firm’s client-facing equity, options, FX, and ETF businesses.
Prior to joining the firm, Mr. Mecane was Global Head of Electronic Equities at Barclays. Previously, he worked for the New York Stock Exchange (NYSE) for six years, most recently serving as the Head of U.S. Equities. His earlier career included roles at UBS Securities, Schwab Capital Markets, Knight Capital Group and Price Waterhouse.
Mr. Mecane is involved with numerous industry organizations, currently serving as Chairman of the Nasdaq Quality of Markets Committee and serving on the FINRA Board of Governors and the Board of Trustees for the Museum of American Finance. He is also a member of the National Organization of Investment Professionals and the SIFMA Advisory Council. He was previously a member of the SEC’s Equity Market Structure Advisory Committee and a member of the Nasdaq Exchange Board and BATS Exchange Board.
Mr. Mecane received an MBA, with honors, from the Wharton school of the University of Pennsylvania and a bachelor’s degree from Pace University.
Financial Information Forum
Howard Meyerson is the Managing Director of Financial Information Forum (FIF). FIF is an industry association for broker-dealers, exchanges and technology vendors in the securities industry that is focused on implementation, operations, technology, compliance and reporting issues. Prior to FIF, Mr. Meyerson was General Counsel and Chief Compliance Officer at Liquidnet. Before Liquidnet, he worked at the Morgan Lewis law firm focused on transactional, compliance and regulatory matters for broker-dealers and other firms in the financial services industry.
Mr. Meyerson has a B.A. from Columbia College, a J.D. from Harvard Law School, and a Certificate in Analysis and Design of Information Systems from the Columbia University Computer Technology and Applications Program.
Head of Institutional Strategy
Jane Street Capital
Mina Nguyen is Head of Institutional Strategy at Jane Street Capital. With a global team of product specialists, Ms. Nguyen leads Jane Street’s business growth initiatives and strategic coverage of diverse and growing asset classes including ETFs, fixed income, crypto assets, and options.
For over 20 years, Ms. Nguyen has worked with executives in financial services and leaders in the U.S. government. She recently served on the U.S. Securities and Exchange Commission’s Investor Advisory Committee, where she advised the Commission on regulatory priorities, trading strategies, and initiatives to promote investor confidence and marketplace integrity. Previously, Ms. Nguyen was Managing Director and Senior Advisor to the CEO at AQR Capital Management, and earlier she was deputy assistant secretary of Business Affairs at the US Treasury Department. Throughout her career, Ms. Nguyen has focused in particular on private pools of capital regulation, retirement security, and investment fund use of leverage and derivatives.
Ms. Nguyen currently serves on the board of the World Health Ambassadors organization and Board of Advisors of Geneses Capital Management. She also recently completed two terms on the Girl Scouts of the USA board as a member of the national board and investment committee. She has an MBA from Harvard Business School and a BS in Business Administration from the University of California Berkeley.
Co-Chief Operating Officer, Head of Regulatory Affairs
DASH Financial Technologies
Venu Palaparthi is responsible for the management of DASH’s non-trading operations as well as regulatory affairs. In this role, he also leads DASH Regulatory Technologies. Prior to joining DASH, he was a Managing Director at Tagomi, a digital-asset broker that was acquired by Coinbase.
Between 2014 and 2017, Mr. Palaparthi was a member of the management team at Virtu Financial. At Virtu, he was responsible for compliance, government, and regulatory affairs, and oversaw the company’s market-making activities at various U.S. exchanges and non-exchange venues. Between 2011 and 2014, he was Vice President at Nasdaq. In this role, he oversaw many of Nasdaq’s regulatory and post-execution initiatives and was CEO of Nasdaq’s routing brokers as well as eSpeed. Before joining Nasdaq, he was the CCO at Instinet.
Mr. Palaparthi served on the SEC Equity Market Structure Advisory Committee’s subcommittee on Market Quality. Between 2016 and 2017, he served as an International Advisor to the Shanghai Gold Exchange. He graduated with dual degrees in Economics and Computer Science from Birla Institute of Technology and Science, Pilani. He obtained his MBA from the University of Texas in Arlington in 1994. Beginning in 2017, he has been a Distinguished Fellow at the Center for Financial Markets and Policy at Georgetown University.
Global Head of ETF Capital Markets
Eric Pollackov is the Global Head of ETF Capital Markets for Invesco ETFs. In this role, Mr. Pollackov proactively develops relationships with sell-side trading desks and Exchanges, implements capital markets strategies for Invesco’s ETFs, and develops and measures the success of client business plans.
Before joining Invesco in 2016, Mr. Pollackov was head of ETF capital markets for Charles Schwab Investment Management. Previously, he served as managing director of exchange-traded products
at NYSE Euronext. He began his career as a derivatives trader for Susquehanna International
Group (SIG), specializing in ETFs, options and futures trading.
Mr. Pollackov earned a bachelor’s degree from The State University of New York at Buffalo and
holds the Series 7 and 24 registrations. Mr. Pollackov is also chair of the Security Traders Association ETP Working Group and actively mentors post 9/11 veterans looking to enter the financial industry via American Corporate Partners (ACP).
Managing Director, Operations Technology & BCP
Bio to come…
Vice President, ETF Capital Markets
State Street Global Advisors
Kimberly Russell is a Vice President and Market Structure Specialist in the ETF Capital Markets Group at State Street Global Advisors. Based in New York, she is responsible for business development with exchanges, evaluating market structure and regulatory developments, and providing analysis on aspects of equity market structure that impact ETF liquidity.
Prior to joining State Street, Ms. Russell was a Director at Barclays Capital Inc., where she held various roles in the Equities division from 2008-2017. Ms. Russell started her career at Lehman Brothers as an investment banking intern in the Global Real Estate Group.
Ms. Russell holds a BA with Honors from Cornell University. She is a member of the Security Traders Association’s Market Structure Analyst Committee, Nasdaq’s Institutional Traders Advisory Council (ITAC), and Limit Up-Limit Down Advisory Committee. Outside of the securities industry, she serves as an officer of the Cornell Rowing Association’s Board of Trustees.
Associate General Counsel
OTC Markets Group
Cass Sanford supports regulatory and policy making initiatives at OTC Markets Group. She represents the company on public panels and before industry and regulatory groups, focusing on equity market structure, online capital raising and emerging FinTech and RegTech trends. Ms. Sanford currently serves on the Board of Governors of the Security Traders Association. Prior to joining OTC Markets Group, she represented issuers, broker-dealers and individuals in securities litigation and in regulatory matters.
Ms. Sanford received her J.D. from Hofstra University School of Law and her B.A. from Mount Holyoke College. She is a member of the New York Bar.
Jamie Selway is a Partner at Sophron Advisors. He advises clients on strategy and capital formation, with a focus on emerging financial technology opportunities. He is an investor, board member, and advisor to financial infrastructure projects innovating in both traditional and digital assets across a broad array of market functions.
Mr. Selway was previously Head of Electronic Brokerage and US Head of Execution Services at Investment Technology Group (ITG), a global agency broker-dealer and trading technology provider. During his tenure at ITG, he was responsible for the firm’s global electronic products, including the POSIT® crossing network, and the US electronic, single-stock, and portfolio execution businesses. In addition, he was a member of ITG’s Executive Committee and provided the firm’s clients with analysis of market structure and regulatory developments on a global basis. Before joining ITG, Mr. Selway was the Managing Director at White Cap Trading, an institutional agency brokerage that he co-founded in 2003. He previously served as Chief Economist at Archipelago and worked in equity derivatives research at Goldman Sachs.
Mr. Selway currently serves as Chairman of the National Organization of Investment Professionals and is a member of the Investment Traders Association of Philadelphia. In the past, he has served as a Director of the BATS Exchange, as Associate Editor of the Journal of Trading, and as a member of SIFMA’s Equity Markets and Trading Committee, the IEX Quality of Markets Committee, the Nasdaq Quality of Markets Committee, and the NYSE Euronext Market Structure Advisory Committee. A widely respected expert on electronic trading and market structure, he has testified before the U.S. House of Representatives and U.S. Securities and Exchange Commission and is frequently quoted in the media.
Head of Equities Practice, Market Structure and Technology
Shane Swanson is Senior Analyst, Head of Equities Practice, Market Structure and Technology at Coalition Greenwich. He is an equities and financial technology expert in the Firm’s Market Structure and Technology practice and has over 20 years of industry experience.
Prior to joining Coalition Greenwich, Mr. Swanson was the Chief Compliance Officer (CCO) of Thesys CAT LLC, the Plan Processor for the Consolidated Audit Trail (CAT), as well as CCO of CAT NMS, LLC, the exchange and FINRA consortium responsible for the CAT.
Mr. Swanson began his career as outside counsel for Automated Trading Desk, LLC (ATD) and soon joined ATD as General Counsel, eventually becoming Director of Compliance, and, after its acquisition by Citigroup Global Markets, Inc., its CEO. He also ran Lava Trading from 2008 – 2010 during his tenure at Citi. In addition, he also held the position of Director of Equity Market Structure at Citadel Securities, LLC.
Mr. Swanson is a graduate of the University of South Carolina and the University of South Carolina School of Law.
Chief Compliance Officer
Gigi Szekely has more than 20 years of experience as a senior compliance executive. She currently oversees the compliance efforts for the StoneX Group Inc. retail and institutional registered investment adviser and broker dealers and is the Chief Compliance Officer for StoneX Financial Inc., a leader in marketing making and institutional trading. She also chairs the firms Governance Committee. Prior to joining StoneX Group she was the SVP of Enterprise Risk Management and Chief Compliance Officer for Newport Group, Inc., where she managed and oversaw the Enterprise Risk Management and Compliance efforts for the organization. Prior to joining Newport, she was Managing Director at IMP Consulting, responsible for managing and growing the compliance practice that supports asset managers. Formerly she was the Vice President, Chief Compliance Officer at Eaton Vance Distributors, Inc. and Deutsche Asset Management and worked in a senior compliance management position at JP Morgan. She is a member of the National Society of Compliance Professionals, Security Traders Association of Florida and a frequent speaker at conferences on compliance related topics. Ms. Szekely holds a FINRA series 7, 24, 63, 79 licenses, a BA in Economics from the University of Massachusetts – Amherst and an MBA from Simmons University, School of Management in Boston.
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.
Vice President, Institutional Product
Greg Tusar serves as VP, Institutional Product for Coinbase, leading the development of the firm’s efforts in areas such as Prime Brokerage and Custody, Financing, and its Exchange. He joined from Tagomi Systems, where he was co-founder and CTO. Coinbase acquired Tagomi in August, 2020 to expand its Institutional offerings.
Prior to founding Tagomi in 2017, Mr. Tusar was Head of Global Execution Services and Platforms at KCG Holdings, responsible for its Retail Market Making and Institutional efforts. Mr. Tusar joined KCG in August 2013 from Goldman Sachs, where he spent 13 years, most recently as a Partner and global head of the firm’s equities electronic trading business. Mr. Tusar helped Goldman Sachs expand its electronic trading franchise working closely with Institutions to help improve their execution costs, and also helping the firm invest in and shape industry infrastructure including several exchanges and technology providers.
Mr. Tusar was previously a limited partner at Spear, Leeds and Kellogg (“SLK”), when Goldman Sachs acquired the firm in 2000. He also worked for seven years at TLW Securities, most recently as its Chief Executive Officer, before it was acquired by SLK in 1999. He began his career at Mentor Graphics, an electronic design automation firm.
He is a Managing Trustee of the Liberty Science Center in Jersey City NJ, and a Trustee and Treasurer of the Raptor Trust in Stirling, NJ.
Mark T. Uyeda
Senate Committee on Banking, Housing, and Urban Affairs
Mark T. Uyeda currently serves as securities counsel to Ranking Member Pat Toomey of the Senate Banking Committee, where he is on detail from the Division of Investment Management at the U.S. Securities and Exchange Commission.
Previously, Mr. Uyeda was detailed in 2020 to the U.S. Department of Labor, where he advised Secretary Eugene Scalia on financial services regulatory matters related to ERISA. In 2017-2018, he was detailed to Domestic Finance in the U.S. Department of the Treasury, where he contributed to reports on the capital markets, asset management and insurance, and fintech in response to Executive Order 13772.
Mr. Uyeda joined the SEC in 2006 and has worked in various capacities, including as senior advisor to Chairman Jay Clayton and Acting Chairman Michael S. Piwowar and as counsel to Commissioner Paul S. Atkins. Mr. Uyeda has also served as assistant director and senior special counsel in the Division of Investment Management. He is a past recipient of the SEC Capital Markets Award and the SEC Law and Policy Award.
From 2004 to 2006, Mr. Uyeda served as chief advisor to the California Corporations Commissioner, after being appointed to that position by Governor Arnold Schwarzenegger. Before entering public service, Mr. Uyeda was in private practice with O’Melveny & Myers LLP in Los Angeles and Kirkpatrick & Lockhart LLP in Washington, D.C. He received his undergraduate degree in business administration from Georgetown University and his law degree with honors from Duke University, where he served as note editor on the Duke Law Journal.
Managing Director, Co-Head of Electronic Trading
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.
Bio to come…
Head of Global Trading
T. Rowe Price
Marc is head of Global Trading at T. Rowe Price and a member of the firm’s Global Trading, Best Execution, Ethics and Risk and Operational Steering Committees. He is responsible for trading desks in the U.S., Europe, and Asia. These teams execute transactions across multiple asset classes, including equity, fixed income, foreign exchange, and derivatives. In addition, he oversees the Investment and Trading Solutions, Systematic Trading and Market Structure, Derivatives and Multi-Asset Trading Solutions, and Trading Analytics. He is a vice president of T. Rowe Price Associates, Inc., and T. Rowe Price Group, Inc.
Mr. Wyatt has over 30 years of investment experience, four of which have been with T. Rowe Price. Prior to joining the firm in 2017, he was the director of the SEC’s Office of Compliance Inspections and Examinations, where he oversaw examinations of investment advisors, investment companies, broker-dealers, and other financial companies. Before the SEC, he was a partner and senior portfolio manager in the London office of Stark Investments, a multi-strategy hedge fund where his responsibilities included oversight of portfolio construction, trading and risk management.
He is President of the Board of Directors for the Baltimore Lab School which serves students with unique strengths and diverse learning needs. He is also a Board Member of Catholic Charities of Baltimore.
Mr. Wyatt earned a bachelor’s degree in economics from the University of Delaware and an M.B.A. from Duke University, The Fuqua School of Business. He also has earned the Chartered Financial Analyst designation.