Bio
Experience
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United States
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Financial Services
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700 & Above Employee
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Lead Investigator
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Mar 2022 - Present
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Senior Investigator
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Jan 2019 - Mar 2022
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Financial Industry Regulatory Authority (FINRA)
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Chicago, Il
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Principal Investigator/Analyst
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Dec 2014 - Jan 2019
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Chicago, Il
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CBOE
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Greater Chicago Area
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Chief Investigator/Department of Market Regulation
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Jul 2011 - Dec 2014
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Greater Chicago Area
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Proprietary Trader
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Jan 2010 - Jul 2010
Traded US Treasuries and Treasury futures, global currencies, and crude oil and energy products. Designed and implemented risk analysis, market research, and trade strategy for proprietary trading account. Responsible for personal P&L and expenses.
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Proprietary Trader
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Jul 2002 - Dec 2009
Proprietary trader in interest rate, currency and commodity futures. Traded US Treasuries and Treasury futures, global currencies, and crude oil and energy products. Responsible for risk analysis, market research, market execution and trade strategy implementation for proprietary trading account. Responsible for personal P&L and expenses.
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Vice President/Futures Broker
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Jan 2001 - Oct 2001
Provided price & risk analysis, risk management and sales to global corporate investors trading in the U.S. Financial Markets. Executed trading strategies for an institutional client base consisting of hedge funds, mortgage and insurance companies, mutual fund companies, primary dealers and proprietary trading units. Produced daily market commentary (technical and fundamental analysis) that analyzed trading ranges, options pricing and volatility, and recommended trading strategies to clients. Provided direct customer access to global financial markets, account management, and real-time market analysis.
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Assistant Vice President/Investment Officer
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Oct 1988 - Jan 2001
Provided price, risk analysis, risk management and sales to global corporate investors trading in the U.S. Financial Markets. Executed trading strategies for an institutional client base. Produced daily market commentary, real-time market analysis and recommended trading strategies to clients. Member of sales team that averaged a 15% volume and revenue increase on a yearly basis.
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Futures Marketer/Assistant Desk Manager
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Oct 1986 - Oct 1988
Executed trading strategies for large institutional accounts. Provided clients with daily market analysis and commentary. Also managed accounting functions of execution desk including trade resolution.
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University of New Hampshire
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Durham, NH
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Graduate Teaching Assistant
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Aug 1984 - Aug 1986
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Durham, NH
Supported university mathematic students to attain their academic goals. Graded exams, led study groups and taught college level mathematics courses.
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Secondary Teacher/ Mathematics
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Oct 1982 - May 1983
Instructed and mentored high school students.
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Education
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1984 - 1986University of New Hampshire
Master of Science (M.S.), Mathematics -
1978 - 1982Marquette University
Bachelor of Science (B.S.), Mathematics
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