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 Series 6, 7, 26, 63 (previously held)
LITIGATION EXPERIENCE:
FINRA Dispute Resolution Services - Arbitrator:
• 2021 - present
Consulting Expert for an Investment Management Company:
• Contributed to the Statement of Claim
• Active Case: November 2023
Testifying Witness and Consulting Witness for an Investment Management Company:
• Provided Deposition Testimony
• Prepared an Expert Report
• Prepared a Declaration
• Contributed to the Complaint
• Active Case: November 2023
Expert Witness and Fact Witness for a Global Financial Services Company:
• Prepared a Rebuttal Expert Report
• Prepared an Expert Report
• Prepared a Declaration
• 2020 - 2023
Testifying Witness for an Investment Management Company:
• Case settled prior to FINRA Arbitration
• 2021
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.
SER Associate Member
Curriculum Vitae