have over 30 years of experience in the securities industry as a regulator at the American Stock Exchange, the New York Stock Exchange and at FINRA. I was recently appointed an Interim Advisor to The United States Treasury Department's Office of Technical Assistance. In addition, I am an adjunct ...more

have over 30 years of experience in the securities industry as a regulator at the American Stock Exchange, the New York Stock Exchange and at FINRA. I was recently appointed an Interim Advisor to The United States Treasury Department's Office of Technical Assistance. In addition, I am an adjunct professor/lecturer at Fordham School of Law, Metropolitan College, Wharton Business School, Georgetown Global Education Institute, the Global Financial Markets Institute, Baruch University and the U. S. Army War College, where I teach courses covering: Efficient Market Theory and Modern Portfolio Theory, Capital Markets, IPOs, Exempt Offerings, ADRs, Securities/SRO/Mutual Fund/Investment Adviser/Broker-Dealer Regulation; Broker-Dealer Operations/Net Capital/Customer Protection/Prime Brokerage/Short Selling/Clearance and Settlement; Corporate Governance, Proxy, Activism, Corporate Social Responsibility and Diplomacy, Environmental, Social, Governance/Impact Investing, Climate Change/Sustainability, State Capitalism, Family Firms, Sovereign Wealth Funds, Geopolitics/Geo-economics, Grand Strategy and NATO. I am also a member of the Bretton Woods Committee, the International Institute for Strategic Studies, research affiliate with the Fletcher Network for Sovereign Wealth and Global Capital, and the NGO Committee to Stop Trafficking in Persons.less