Financial services executive who served as a global leader in numerous aspects of the investment process at both MFS Investment Management and Putnam Investments. Extensive experience in global equity trading, investment operations, risk management, securities market structure, public policy, global regulation, and the implementation of technology efficiencies. Proven success steering organizations, hiring, developing and mentoring cohesive teams. Build efficient infrastructure and implement sound operational policies that mitigate risk exposure while integrating creative solutions. Regarded both internally and externally for dedication to continuous improvement and the ability to motivate both small and large culturally diverse teams to deliver results. Recognized for integrity, strong work ethic, and teamwork.
FINRA Arbitrator
FINRA Series 6, 7, 26, 63 (previously held)
LITIGATION EXPERIENCE:
Expert Witness and Fact Witness for a Global Financial Services Company:
• An integral part of the legal team formulating, testing, and documenting arguments
• Prepared an Expert Report
• Prepared a Written Declaration
• Active Case: January 2023
Consulting Expert for a Global Investment Management Company:
• An integral part of the legal team formulating, testing, and documenting arguments
• Contributed to the filed Complaint
• Active Case: January 2023
Testifying Witness for an Investment Management Company:
• Part of the legal analytical research team
• Case settled prior to FINRA Arbitration
Key Witness in the MFS Investments SEC Enforcement Action (Firm Failed To Adequately Disclose Use of Mutual Fund Brokerage Commissions To Pay for "Shelf Space" at Brokerage Firms):
• Deposed and offered in-person testimony at the SEC (Division of Enforcement) in Washington, D.C.
• Link to full SEC Order: https://www.sec.gov/litigation/admin/ia-2224.htm
• Link to SEC Press Release: https://www.sec.gov/news/press/2004-44.htm
Curriculum Vitae