Decision Makers
| Name (plus bio) |
Position |
| William J. Brodsky |
Chief Executive Officer |
| Edward J. Joyce |
President & COO |
| Alan J. Dean |
CFO & Executive Vice President |
| Gerald T. O'Connell |
CIO & Executive Vice President |
| Mark S. Novak |
CTO, Sys Dev & Vice President |
| Timothy H. Thompson |
Senior Vice President & Chief Regulatory Officer |
| Edward L. Provost |
Executive Vice President, Business Dev |
| Joanne Moffic-Silver |
General Counsel, Secretary & Executive Vice President |
| Richard G. DuFour |
Executive Vice President |
| Donald R. Patton |
Controller & Vice President, Accounting |
| Eric J Frait |
Vice President of Strategic Planning |
| Gautam Roy |
Vice President of Software |
| Joseph Levin |
Vice President, Res & Product Dev |
| Lawrence J. Bresnahan |
Vice President, Finance & Sales Practice Compliance |
| Matthew T. Moran |
Vice President, Institutional Marketing |
| Thomas A. Brady |
Vice President, Member Trading Services |
| William J. White |
Vice President, Member Trading Services |
| Ben Londergan |
Director, Floor |
| Howard S. Suskin |
Arbitrator |
| James Corydon |
|
| Kyoshi Martha Fourt |
Software Engineer |
| Marlene Arteta |
|
| Michael Mollet |
|
| John S Stafford |
Member |
Board of Directors
Eric J. Frait is Vice President of Strategic Planning for the Chicago Board Options Exchange, and also serves as the liaison to the Floor Directors Committee, the senior advisory committee to the Board, and as an aide to the CEO and Office of the Chairman. Mr. Frait has been a key figure in the development and implementation of several CBOE initiatives, including the Hybrid 2.0 market model. Prior to his current role at the CBOE, he served as a Senior Staff Instructor with the educational arm of the CBOE and as an Investigator in the Regulatory Division. Before joining the CBOE, Mr. Frait was employed by Hull Trading Company, LLC as well as the futures and securities division of Harris Bank Chicago. Mr. Frait has a Bachelors of Arts in Political Science and Russian Studies from the University of Iowa and an MBA with honors from Loyola University Chicago.
| Organization |
Position |
Status |
| Chicago Board Options Exchange |
Vice President of Strategic Planning |
Current |
| Hedgestreet, Inc. |
Co-Chairman |
Current |
| CBOE |
Senior Staff Instructor |
Former |
| Loyola University |
MBA With Honors |
Former |
| Organization |
Position |
Status |
| Chicago Board Options Exchange |
Vice President of Software |
Current |
| Chicago Red Cross |
Board of Directors |
Current |
| The Habitat Company Inc. |
Board Member |
Current |
| Kellogg School of Management at Northwestern University |
Master's In Business Administration |
Former |
| Bowie State University |
Bachelor's Degree In Mathematics |
Former |
| University of Maryland |
Degree |
Former |
Howard S. Suskin is a partner in Jenner & Block LLPs Chicago office and is a member of the firm's Litigation Department. He is chair of the firm's Class Action Litigation Practice and co-chair of the firm's Securities Litigation Practice. He has substantial first-chair experience representing individuals and business entities in civil and criminal securities matters, including securities fraud and misrepresentation claims, derivative actions claiming breach of fiduciary duty, contests for corporate control, insider trading investigations, broker-dealer issues, and arbitrations. He serves as arbitrator and mediator for F1NRA and as arbitrator for the American Arbitration Association, Chicago Board Options Exchange, Circuit Court of Cook County, and the National Futures Association. Mr. Suskin is an active member of the ABA Securities Law Committee, including serving as co-chair of the Class and Derivative Actions Subcommittee. He has served as chairman of the Chicago Bar Association's Bench & Bar Committee, Class Action Committee, Financial and Investment Services Committee, and Securities Law Committee. He is a frequent author and speaker on issues relating to class actions and securities law, including serving as editor and co-author of the West Publishing Illinois Civil Litigation Guide (1998-2008 editions) and the ABA's Annual Survey of State Class Action Litigation, and serves as a faculty member of the Practicing Law Institute. Mr. Suskin graduated from Northwestern University with distinction, where he was elected to Phi Beta Kappa, and obtained his J.D. degree with honors from the University of Michigan Law School, where he was a member of the Michigan Law Review.
Kyoshi Martha holds a 5th degree black belt in Seido Karate. She has taught in the adult Seido Karate program since 1988. A software engineer at Chicago Board Options Exchange, she holds a BA from the University of Chicago. I was one of the very first students in 1985 in the karate program that became Thousand Waves. I fell in love with it and never stopped. At various times in my life I have also studied other arts including aikido, kyudo, and tai chi; but Thousand Waves is my martial arts home and family. When I teach, my most important goals are always to communicate to my students my own love of karate, and to try to help each one, regardless of athletic ability, feel that he or she can learn this art and find it rewarding. Teaching brings me out of myself, lets me enjoy my students' progress, and compels me to deepen and articulate my understanding of my art.
| Organization |
Position |
Status |
| Epitome Marketing |
President |
Current |
| Banker Exchange LLC |
Vice President, Marketing |
Current |
| Tic Properties, LLC |
Vice President, Marketing |
Current |
| The Rylander Company Inc. |
|
Current |
| Tax Strategies Group, LLC |
|
Current |
| Chicago Board Options Exchange |
|
Current |
| Gemini Real Estate Advisors, LLC |
|
Former |
| DePaul University |
Master's Degree In Marketing |
Former |
| University of Illinois at Chicago |
Bachelor's Degree In English |
Former |
Array
| Organization |
Position |
Status |
| Public Interest Law Initiative |
Financial Assistant |
Current |
| University of Notre Dame |
Bachelor's Degree In Finance |
Former |
Bob joined The Gabriele Group in 1998. Bob has been a member of The Chicago Board Options Exchange (CBOE) since 1982 and is currently a member Lessor. As an individual Market Maker trading various equity and index products, Bob participated in a period of significant growth at the CBOE. He has served on various committees at the exchange. Prior to becoming a Market Maker, Bob served as a Senior Manager at KPMG. During his 9 year career in public accounting, he specialized in the financial services sector, primarily securities and banking. Bob received his BS in accounting from Northern Illinois University, and is a member of the American Institute of Certified Public Accountants and the Illinois CPA Society.
- Mr. Weber became a Principal and Managing Partner at Alaron in April 2004. He is a principal at Alaron Holding Corporation and serves on Alaron's Board of Directors. He is actively involved in overall company business and product development. He is also President of GJ Brokerage, LLC and GJ Direct, which specialize in electronic trade execution. He has over 23 years experience in the futures industry and has been an independent broker and trader at the Chicago Mercantile Exchange (CME) since 1983. From 1981 to 1983 he was a broker for Glass-Ginsburg, Ltd., then the largest foreign currency arbitrage firm on the International Monetary market (IMM). Mr. Weber is a member of the CME, CBOT, New York Board of Trade (NYBOT), and Chicago Board Options Exchange (CBOE), and is currently undergoing the membership process at the Minneapolis Grain Exchange and the Kansas City Board of Trade. He has served on several committees at the CME, including the Foreign Currency Steering and Membership Committee. Mr. Weber has a BA in Economics from Cornell University and attended Northwestern University's Kellogg School of Management.
| Organization |
Position |
Status |
| Chicago Symphony Orchestra |
Life Trustee |
Current |
| Sidley Austin LLP |
Of Counsel |
Current |
| Northwestern University |
Audit Committee Chair |
Current |
| Aon Corporation |
Director |
Current |
| Northern Illinois Gas Company |
Board of Directors |
Current |
| Nicor Inc. |
Board of Directors |
Current |
| Chicago Board Options Exchange |
Board of Directors |
Current |
| Aon Corporation |
Compliance Committee Member |
Current |
| Sidley Austin LLP |
Partner |
Former |
| Sidley Austin LLP |
Management Committee Chairman |
Former |
| Northwestern University |
Member, Board of Trustees |
Former |
| Jessup International Moot Court Team |
member |
Former |
Rick Palmore currently serves as Executive Vice President, General Counsel, and Chief Compliance and Risk Management Officer at General Mills. Prior to his appointment at General Mills, Mr. Palmore served as Deputy General Counsel and later as Vice President of Sara Lee Corp. While working for Sara Lee Corp., he became widely recognized through his initiative as the author of "A Call to Action: Diversity in the Legal Profession." This initiative has been a milestone in the effort to increase diversity within law firms that serve the needs of many large corporations. Mr. Palmore received his juris doctor from the University of Chicago Law School in 1977 and his bachelor's degree from Yale University in 1974.
| Organization |
Position |
Status |
| General Mills, Inc. |
Chief Compliance and Risk Management Officer |
Current |
| Twin Cities Diversity In Practice |
Executive Vice President, General Counsel |
Current |
| General Mills, Inc. |
Executive Vice President |
Current |
| General Mills, Inc. |
General Counsel |
Current |
| Chicago Board Options Exchange |
Board of Directors |
Current |
| Chicago Symphony Orchestra |
Board of Directors |
Current |
| Twin Cities Diversity In Practice |
Board of Directors |
Current |
| The University of Chicago Law School |
Juris Doctor |
Former |
| Yale University |
Undergraduate Degree In Economics |
Former |
| University of Chicago |
Degree |
Former |
Roderick A. Palmore
Executive Vice President,
General Counsel,
Chief Compliance and Risk Management Officer
Rick Palmore has overall responsibility for the company's global legal activities, corporate ethics and compliance, and corporate security. He is chair of the company’s Enterprise Risk Management Committee.
Rick joined General Mills in 2008. In his previous position at Sara Lee, he served as executive vice president and general counsel. He had joined Sara Lee in 1996 as deputy general counsel. Rick was promoted to senior vice president, general counsel, and secretary in 1999, and was named an executive vice president in 2004.
Rick has made a broad impact on the legal profession through his leadership of “Call To Action,” an initiative he helped to launch with his peers to improve minority representation and mobility within law firms that provide services to major corporations.
Earlier in his career, Rick was a partner with two major Chicago law firms, where he focused on business litigation. He joined Wildman, Harrold, Allen, and Dixon in 1983 as an associate and was elected a partner in 1986. He subsequently moved to Sonnenschein, Nath, and Rosenthal as a partner in 1993.
Previous to that, Rick spent three years as assistant U.S. attorney for the Northern District of Illinois.
Rick earned his undergraduate degree in economics from Yale University and his law degree from the University of Chicago. He is currently on the boards of both the Chicago Board Options Exchange and the Chicago Symphony Orchestra.
| Organization |
Position |
Status |
| Board Member, Inc. |
Executive Vice President, General Counsel and Chief Compliance & Risk Management Officer, General Mills |
Current |
| General Mills, Inc. |
Chief Corporate and Risk Management Officer |
Current |
| Lex Mundi, Ltd. |
Executive Vice President |
Current |
| Chicago Board Options Exchange |
Board of Directors |
Current |
| Centers for New Horizons, Inc |
Director |
Current |
| Public Interest Law Initiative |
Director |
Current |
| Association of Corporate Counsel |
Director |
Current |
| Chicago Symphony Orchestra |
Member, Board of Trustees |
Current |
| Nuveen Investments, Inc. |
Director |
Current |
| Board Member, Inc. |
Board of Directors |
Current |
| General Mills, Inc. |
Executive Vice President |
Former |
| Sonnenschein Nath & Rosenthal Llp |
Partner |
Former |
| General Mills, Inc. |
General Counsel |
Former |
| Sara Lee Corporation |
Board of Directors |
Former |
| Chicago Bar Foundation |
Board of Directors |
Former |
| The University of Chicago Law School |
Juris Doctorate Degree |
Former |
| Yale University |
Bachelor of Arts Degree In Economics |
Former |
Scott Gordon joined Rosenthal Collins Group as President and Chief Executive Officer in March 2004. In September 2007, he added the title of Chairman to his CEO responsibilities. Prior to his arrival at RCG, Mr. Gordon was President and Chief Operating Officer of Tokyo-Mitsubishi Futures, a wholly owned subsidiary of The Bank of Tokyo-Mitsubishi, Ltd. As Chairman of the Board of the Chicago Mercantile Exchange from 1998 to 2002, he guided the CME through the development and execution of a strategic plan that transformed the exchange from a mutual membership organization to a for-profit stock corporation, the first U.S. financial exchange to take this step. He served as a Director of the exchange from 1982 to 2004. Mr. Gordon's career in the futures industry spans more than 30 years. During that time, he has been a trader, a floor broker, a clearing firm executive and an exchange official. From 1974 through 1983, he held various trading and management positions with Rosenthal & Co., and from 1983 until 1988, he held similar positions at Dellsher Investment Company. From 1989 to 2004 he served in senior executive roles with Tokyo-Mitsubishi Futures and its predecessor firms. He is a former member of the CME, as well as the Chicago Board of Trade and the Chicago Board Options Exchange. Mr. Gordon was a founding Board member of OneChicago, and also served on the Board and Executive Committee of the National Futures Association (NFA). He is currently a trustee of the Institute for Financial Markets. Mr. Gordon received a B.S. in mathematics, cum laude, from Union College in Schenectady, New York.
| Organization |
Position |
Status |
| RCG Onyx |
Chairman & Chief Executive Officer |
Current |
| Sweet Futures |
Chairman & Chief Executive Officer |
Current |
| RCG Trader |
Chairman & Chief Executive Officer |
Current |
| Rosenthal Collins Group |
Chairman & CEO |
Current |
| CME Group, Inc. |
Chairman |
Former |
| Rosenthal Collins Group |
President |
Former |
| Union College |
B.S. In Mathematics |
Former |
Between 1996 and 2001, Mr. Stafford was a Managing Director of Stafford Trading, Inc., a business primarily involved in proprietary trading operations and venture capital investments. The company, headquartered in Chicago, operated a successful specialist and market making business and conducted proprietary trading in equities, futures and fixed income products. Mr. Stafford's venture capital activities consisted of investments in over 40 companies, and he is a Board Member on several of these companies, including Clinical Micro Sensors, Inc., Xencor and All Optical Networks, Inc. At the end of 2001, the Company was purchased by TD Options, LLC and Mr. Stafford became Chief Executive Officer of Ronin Capital, LLC, a registered broker dealer with proprietary trading operations encompassing equity, fixed income and derivative securities. The Company is a Member of The Chicago Board Options Exchange, The Chicago Board of Trade, The Chicago Mercantile Exchange and other U.S. principal exchanges. Mr. Stafford attended The University of Chicago.
Executive News
-
Exchanges differ on SEC-CFTC rule alignment
Forbes.com - 9/02/09 - View Story
-
CFTC, SEC Seek Common Ground
The Wall Street Journal Interactive Edition - 9/02/09 - View Story
-
Exchange Executives Debate Insider Trading In Futures
Morningstar.com - 9/02/09 - View Story
-
SEC, CFTC coordination worries exchange chief
San Jose Mercury News - 9/02/09 - View Story
-
Exchange Chiefs Differ on SEC, CFTC
The Wall Street Journal Interactive Edition - 9/01/09 - View Story
-
UPDATE: Appeals Filed Against CBOE Demutualization Plan
Morningstar.com - 8/28/09 - View Story
-
Legal Rebels With a Cause
Law.com - 8/26/09 - View Story