| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
Director - CFO Compliance |
Wells Fargo |
|
May 2019–Present |
2 yrs 1 mo |
| 2 |
Director, Global Banking and Markets Compliance - Regulatory Change and Policy Mgmt. |
Bank of America |
New York, NY |
Feb 2014–Apr 2019 |
5 yrs 3 mos |
| 3 |
General Counsel |
Direct Edge Exchanges (now BATS Global Markets, Inc.) |
Jersey City, NJ |
Feb 2009–Feb 2014 |
5 yrs 1 mo |
| 4 |
Corporate Counsel & VP |
Piper Jaffray |
|
Jun 2006–Dec 2008 |
2 yrs 7 mos |
| 5 |
Principal Rule Counsel |
NYSE |
|
Jan 2000–Jun 2006 |
6 yrs 6 mos |
| 6 |
Reg. Affairs |
Guardian Life |
|
1997–1999 |
2 yrs |