• Securities Markets Consultant
  September 1999 to Present
  
  Operating as an independent consultant in the areas of arbitration/litigation support & securities markets regulation, & specializing in expert testimony; case evaluations; trading analysis; market reconstructions; & market surveillance & enforcement issues.
  The following are a few consulting highlights:
  • Provided case analysis & expert testimony in the areas of insider trading & manipulation.
  • Provided expert testimony in federal court cases.
  • Provided expert testimony in an NASD disciplinary proceeding.
  • Advised an Eastern European exchange on the upgrading of its market surveillance program.
  • Provided assistance to a U.S. exchange in areas of surveillance & general regulation.
  • Providing ongoing regulatory services to U.S. broker/dealers.
  
  
  
• Pacific Exchange
  Vice President, Regulation - 1988 to September 1999
  
  

  Responsible for the Regulation Division, which was comprised of the following departments: Equities & Options Surveillance; Equities & Options Enforcement; Member Examinations (financial compliance); Securities Qualification (listings); Regulatory Policy; & Regulatory Development & Oversight. Total staff in Regulation Division: 34. Annual operating budget of Division: approximately $3,000,000. Have reported to a variety of executive officers including the CEO, General Counsel, CFO, & CRO.
  
  Administered & provided counsel to key PCX member committees including the Ethics & Business Conduct, Equity Floor Trading, & Options Floor Trading Committees. Provided direct support to the PCX's Board of Governors & a variety of Board committees including the Oversight Committee & the Regulatory Oversight Committee. Provided regulatory support to the PCX's new product development, special projects, & other competitive initiatives.
  
  Directed the PCX's regulatory programs & processes including oversight of trading on its Los Angeles & San Francisco trading floors. Represented the PCX in regulatory interaction with the SEC, which included rule formulation, investigations, enforcement actions, & SEC audits of the PCX's regulatory programs. Worked closely with state securities jurisdictions in Blue Sky matters & overhauled & upgraded the PCX's listings program.
  
  Represented the PCX on the Intermarket Surveillance Group (ISG), which is an international surveillance organization that is comprised of over 25 domestic & foreign securities & futures exchanges (served as ISG chairman in 1995/96, & served as chairman of the ISG's Technology Subgroup in 1999), & North American Securities Administrators Association (served on NASAA's "Exchanges & Municipal Securities Committee"). Also represented the PCX on the Options Self-Regulatory Council; International Organization of Securities Commissions (IOSCO); International Federation of Stock Exchanges (FIBV); & International Options Markets Assoc. (IOMA).
  
  Negotiated regulatory agreements with numerous foreign exchanges & regulatory authorities, & worked closely with the Taiwan Stock Exchange in developing a joint-exchange venture.
  
  Worked with the CFTC in developing a futures product for the proposed Pacific Futures Exchange (a subsidiary of the PCX).

• Pacific Exchange
  1978 to 1988
  
  

  Served as Director of Market Surveillance; Manager of Options Surveillance; Manager of Equities Surveillance; & a variety of analytical positions.

• Member of the Compliance & Legal Division of the Securities Industry Association.
• Currently serving on the advisory board of InvestmentCare Consulting Group, a provider of compliance & regulatory products & services to the securities industry.
• In 2000 & 2001, served on the advisory board of a Silicon Valley pre-startup, which was developing a revolutionary product distribution management system.

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