Tags: DMP Award

2020 Dictum Meum Pactum Award Recipient

Press Releases

On October 8, 2020, STA announced Tom Gira as the 2020 Dictum Meum Pactum Award recipient, posthumously. The award was accepted by FINRA President & CEO Robert Cook. Mr. Gira’s longstanding career in securities market regulation exemplified the ideals the DMP seeks to recognize. His service to the industry and the investors we serve will not be forgotten.

Tom Gira oversaw FINRA’s Market Regulation Department, which provides regulatory services to U.S. exchanges, including, among others, NASDAQ’s family of U.S. markets, New York Stock Exchange’s family of U.S. markets, Cboe’s family of U.S. markets, the BOX Options Market, Individual Investors Exchange, and Miami Securities Exchange’s family of markets. Market Regulation also regulates Trade Reporting Facilities, FINRA’s Alternative Display Facility, the over-the-counter market, and corporate and municipal bonds.

Mr. Gira also oversaw FINRA’s Transparency Services Department, which is responsible for the operation of FINRA’s trade reporting facilities. These facilities include the Trade Reporting and Compliance Engine (TRACE), the FINRA facility for reporting and disseminating corporate bond, agency debenture and securitized product transactions; the Alternative Display Facility, FINRA’s listed equity quote and trade reporting vehicle; the trade reporting facilities, FINRA’s joint ventures with the exchanges for printing listed equity trades; and the over-the-counter equity transparency facilities, including the OTC Bulletin Board.

Before joining FINRA in 1992, Mr. Gira was an Associate General Counsel of The NASDAQ Stock Market, Inc. Prior to that, he was Branch Chief for Options and Derivative Products Regulation within the Division of Market Regulation at the SEC.

Mr. Gira was a graduate of Wake Forest University, where he received a bachelor’s degree in economics. He received his law degree from the University of Maryland.

The Dictum Meum Pactum Award

Recognizes those individuals who have demonstrated an unwavering commitment to the betterment of the financial services industry, and have exhibited acts of integrity at the highest level consistent with the ideal STA has supported since its inception, dictum meum pactum, or My Word is My Bond.

2019 Dictum Meum Pactum Award Recipient

Press Releases

STA’s 2019 Dictum Meum Pactum Award Recipient is Ms. Peggy Bowie. She is also the President of the Canadian Security Traders Association. The CSTA was formed in 2000 to serve as a national voice for affiliate trading organizations in Canada. Comprised of over 850 equity traders nationwide, the CSTA is led by Governors from each of the three distinct regions. The CSTA comments on industry issues and forms opinions on trading issues based on input from its members.

Peggy Bowie began her career in Toronto in January, 1969 and traded for several companies including Corporate Investors Marketing, AGF Management, Dominion Securities, Toronto Investment Management, Richardson Greenshields, United Bond And Share, Confederation Life, E.J. McConnell & Associates, Barclays McConnell, Jones Heward Investment Council, Canadian Pacific Investment Management and Manulife Global Investment Management.

The Dictum Meum Pactum Award

Recognizes those individuals who have demonstrated an unwavering commitment to the betterment of the financial services industry, and have exhibited acts of integrity at the highest level consistent with the ideal STA has supported since its inception, dictum meum pactum, or My Word is My Bond.

2018 Dictum Meum Pactum Award Recipient

Press Releases

STA is pleased to announce Kevin Parks as the 2018 Dictum Meum Pactum Award recipient. Over the course of his decade in the financial services industry, Mr. Parks’ tremendous advocacy for children impacted by tragedy has exemplified the ideals the DMP award seeks to recognize.

In 2010, while employed at a NY-based hedge fund, Mr. Parks began working with Tuesday’s Children, a nonprofit organization founded by family and friends of 9/11 victims in the days following the September 11 attacks. Tuesday’s Children provides lifelong support to people affected by terrorism and other forms of traumatic loss. The organization’s work has special significance for Mr. Parks, as the September 11 attacks claimed the life of his father, Bob Parks, who worked at Cantor Fitzgerald. Kevin was 14 years old at the time.

Today, Mr. Parks is the Founder and CIO of Parks Capital Management, an SEC-registered adviser which specializes in community bank investments. He also serves as a member of the Tuesday’s Children Board of Directors and co-founded the charity’s Junior Board. He received his MBA from NYU’s Stern School of Business and graduated from Syracuse University with a BS in Finance.

The Dictum Meum Pactum Award

Recognizes those individuals who have demonstrated an unwavering commitment to the betterment of the financial services industry, and have exhibited acts of integrity at the highest level consistent with the ideal STA has supported since its inception, dictum meum pactum, or My Word is My Bond.

2017 Dictum Meum Pactum Award Recipient

Press Releases

STA is pleased to announce Andy Brooks as the recipient of the 2017 Dictum Meum Pactum Award. Over the course of his 37-year career, Mr. Brooks has exemplified the ideals the DMP seeks to recognize. His service to the securities industry and the investors we serve is something we should all aspire to emulate.

Andy Brooks is a vice president of T. Rowe Price Group and T. Rowe Price Associates, having joined the firm in 1980. He works in the firm’s Corporate Social Responsibility group focusing on Community Engagement and Partnership. Prior to his current role, he spent 37 years on the Equity Trading Desk and was Head of Equity Trading 1992–2017. He serves on the firm’s Ethics Committee, and is the Chair of the National Organization of Investment Professionals (NOIP). Mr. Brooks is a Trustee of Gilman School, serves on the board of WYPR, the Maryland Historical Society, and is Board Chair of the Baltimore Chesapeake Bay Outward Bound School. He earned a BA in History from Union College.

The Dictum Meum Pactum Award

Recognizes those individuals who have demonstrated an unwavering commitment to the betterment of the financial services industry, and have exhibited acts of integrity at the highest level consistent with the ideal STA has supported since its inception, dictum meum pactum, or My Word is My Bond.

2015 Dictum Meum Pactum Award Recipient

Press Releases

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The STA is pleased to announce our 2015 Dictum Meum Pactum (DMP) Award Recipient, Ralph Acampora.

Ralph Acampora is a pioneer in the development of market analytics and has a global reputation as a market historian and a technical analyst, providing unique insights on market timing and related investment strategy issues. Ralph was previously the New York Institute of Finance’s Director of Technical Analysis Studies. Ralph Acampora taught at the institute for nearly 40 years.

Before joining NYIF, he was Director of Technical Research at Knight Equity Markets. Prior to this, he worked for 15 years at Prudential Equity Groups as its Director of Technical Analysis. Ralph Acampora is one of Wall Street’s most respected technical analysts and has been consistently ranked by Institutional Investor for more than ten years. He is regularly consulted for his market opinion by the major business news networks as well as national financial publications.

He is a Chartered Market Technician (CMT), a designation he helped create and which is now recognized by the National Association of Securities Dealers as the equivalent of a Chartered Financial Analyst (CFA).

The STA will honor Ralph Acampora on Thursday, October 1, 2015 at its 82nd
Annual Market Structure Conference.

About the dictum meum pactum Award
The Dictum Meum Pactum Award was established in 2002 to recognize individuals whose contributions to the industry, their firms, STA and their communities are consistent with the ideals that STA has supported since its inception.