BNET Industries

NASD

is in the Business Services Industry

Last Fiscal Year Sales:$868.0M
  • Private
  • US
Dow Jones Description

Self-Regulating Organization of the Securities Industry

President, Regulatory Services & Operations
Douglas Shulman
Number of Employees 1,200
Contact Information

1735 K St Northwest

Washington, District of Columbia 20006-1516

www.nasd.com

(202) 728-8000

NAICS Code Business Associations: 813910

Recent Events

  • Finra's $1.6B fund missing out on market rebound

    9/25/09 - Lawsuit Filed - View Story

  • Three Firms Will Buy Back $128M of ARS and Pay $600,000 in Fines

    9/04/09 - Legal Settlement - View Story

  • For Ross Mandell and Sky Capital, a Long Trip Indeed

    7/10/09 - Lawsuit Filed - View Story

News & Analysis

litigation and nasd - All News and Analysis

  • Pasternak Looks Ahead

    - 2008-09-01

    Earlier this year, Kenny Pasternak, former chief executive of Knight Trading Group, now Knight Capital Group, was found not guilty of charges brought by the Securities and Exchange Commission that he took part in fraudulent trading practices and failed to perform his supervisory duties when he was Knight's CEO. Last...

    Tags: board, Litigation, NASD, SEC, Strategy

  • Not Guilty

    - 2008-09-01

    In a federal court in Trenton, N.J., this June, Kenny Pasternak, former chief executive of Knight Trading Group, now Knight Capital Group, and John Leighton, Knight's former head of institutional sales, recently won a big victory against the Securities and Exchange Commission. The ruling brings some closure to a legal...

    Tags: FINANCE, Investment, Joe, Litigation, NASD, SALES, SEC, stock

  • CALCULATING MARKUPS

    - 2008-05-01

    Q.Can you tell me if there's a rule that governs how much a broker-dealer may charge for miscellaneous fees and ticket charges and whether expenses like rent for office space and other overhead expenses can be recouped by including them in such miscellaneous fees? -W.T., New York A.In...

    Tags: bankruptcy, Litigation, markup, NASD

  • HOW FINES ARE DECIDED

    - 2008-03-01

    Q. My firm recently received a complaint filed by FINRA alleging various technical rule violations. In negotiating a settlement with FINRA's Department of Enforcement DOE, the FINRA attorney proposed a certain amount for a fine. However, I can't figure out how or why he came up with the amount for...

    Tags: attorney, E-mail, FINANCE, FINRA, Litigation, NASD, Nasdaq Stock Market Inc.

  • Delays in the Game

    - 2007-10-01

    Q: I own a small broker-dealer. Four years ago, the NASD conducted an audit of my firm covering the prior two-year period. It recently filed an enforcement proceeding against my firm based in part on actions that occurred more than six years ago. Is there any time limit that prohibits...

    Tags: attorney, game, Litigation, NASD, SEC

Decision Makers

Name (plus bio) Position
Douglas Shulman President, Regulatory Services & Operations
Martin P. Colburn CTO & Executive Vice President
Todd T. DiGanci CFO & Executive Vice President
Daniel J. Stefek Director
Elisabeth Owens Regl Director
Gary K. Liebowitz Director
Hans Reich Regional Director
James G. Dawson Director
John P. Nocella Director
Joseph G. McCarthy Director
Lani M. Woltmann Director
Laura Oatney Director, Public Affairs
Thomas D. Clough Director
Virginia F. Jans Director
Warren A. Butler Regional Director
William L. Wink Associate Director
Alan M Kittner Uniform Securities Agent
Andrew L Dworkin Uniform Securities Agent
David B Hughes Uniform Securities Agent
David McLean licensed Principal
Eric Hender registered principal
Johnston L. Evans Uniform Securities Agent
Jonathan Joffe Principal
Mary Frances Kelley General Securities Representative
Teresa Pensato Uniform Securities State Agent
Julie VanderWeele Member
William Kerins Member

Board of Directors

Name (plus bio) Position
Randall L Rubin Board member

Organization Position Status
FINRA President, Regulatory Services & Operations Current
The Depository Trust Company Board of Directors Current
NASDAQ OMX Group, Inc. Vice President Former

Organization Position Status
FINRA CTO & Executive Vice President Current

Organization Position Status
FINRA CFO & Executive Vice President Current

Organization Position Status
FINRA Director Current

Organization Position Status
FINRA Regl Director Current

Organization Position Status
FINRA Director Current

Organization Position Status
FINRA Regional Director Current

Organization Position Status
FINRA Director Current

Organization Position Status
FINRA Director Current

Organization Position Status
FINRA Director Current

Organization Position Status
FINRA Director Current

Organization Position Status
FINRA Director, Public Affairs Current
FINRA Director, Public Affairs Former

Organization Position Status
FINRA Director Current

Organization Position Status
FINRA Director Current

Organization Position Status
FINRA Regional Director Current

Organization Position Status
FINRA Associate Director Current

Organization Position Status
FINRA Uniform Securities Agent Current
Xenon Pharmaceuticals Inc Board of Directors Current
Invesco Private Capital General Partner Former
One Body Chief Executive Officer Former
Point Biomedical Corporation Investor Former
Liposcience, Inc. Investor Former
Yale School of Management M.B.A. Former
University of California, Berkeley B.A. Former

Organization Position Status
FINRA Uniform Securities Agent Current
New York State Bar Association Member Current
Invesco Private Capital Administrative Partner Former
Debevoise & Plimpton Llp Corporate Associate Former
Chancellor Capital Management General Counsel Former
Debevoise & Plimpton Llp Corporate Associate Former
New York University J.D. Former
New York University School of Law J.D. Former
New York University M.A. in Clinical Psychology Former
University of Pennsylvania B.A. in Clinical Psychology and International Relations Former

Organization Position Status
Invesco Private Capital Portfolio Manager Current
FINRA Uniform Securities Agent Current
Bankers Trust Company Inc. Global Investment Management division Former
Chancellor Capital Management head, Global Fixed Income team Former
Fiduciary Trust Company global fixed income and global credit investments Former
Invesco, LLC Former
London Stock Exchange plc Former
New York University M.B.A. Former
Dickinson College B.B.A. in Policy & Management Studies Former

Organization Position Status
Prudential Investments LLC Senior Vice President Current
Stonegate Partners, LLC Vice President Current
Fulton Partners, Inc. Partner Current
NYSE Group, Inc. licensed Principal Current
FINRA licensed Principal Current
Sensorlogic, Inc. Board of Directors Current
State Street Research & Management Company Director Current
Tonic Software, Inc. Director Current
Cicada Semiconductor Corp. CEO Former
Stonegate Partners, LLC President Former
Prudential Investments LLC President Former
State Street Research & Management Company President Former
Stonegate Partners, LLC Managing Director Former
Stonegate Partners, LLC Advisory Director Former
International Business Machines Corporation Spearheaded the Introduction of DSP Product Line into Asia Former
Sevin Rosen Funds Former
Vitesse Semiconductor Corporation Former
Boston College Graduate Former

Organization Position Status
Marshall Venture Capital, L.C. President Current
Aavin Senior Partner Current
FINRA registered principal Current
Marshall Venture Capital, L.C. Managing Member Current
Brightplanet Corp board member Current
Destinations Unlimited board member Current
Intermed board member Current
Compendium Corporation board member Current
Handy Industries, LLC board member Current
SCI Financial Group Inc. President of SCI Capital Company Former
Marshall Venture Capital, L.C. co-founder Former
Aavin Co-Founder Former
Aavin Senior Director Former
SCI Financial Group Inc. officer Former
FINRA member Former
SCI Financial Group Inc. Director Former
Colorado College degree in Business and Banking Former

Organization Position Status
FINRA Uniform Securities Agent Current
E2OPEN, Inc. Current
GENBAND Board of Directors Current
Invesco Private Capital General Partner Former
Invesco, LLC Former
Starvox Corporation Investor Former
Accessline Co Investor Former
2Wire, Inc. Investor Former
Wayport, Inc. Investor Former
Digital Insight Corporation Investor Former
Wherenet Corp Investor Former
Callidus, LLC Investor Former
Boston University B.A. in Political Science Former

Jonathan Joffe is a Director of MAST in Cambridge. He joined Monitor in 1995 while completing a Doctor of Juridical Science (SJD) degree at Harvard Law School and was one of the first employees of MAST in London in 1997. Jonathan's practice with MAST has focused on the structuring and execution of transactions involving complex multi-stakeholder negotiations. This has included leading strategic equity partnership projects in the retail, publishing, recycling, consumer electronics and business process outsourcing industries. It has also included leading a number of major multinational deals, such as the 1999 acquisition by Blue Circle Industries Plc of the largest cement manufacturer in Greece. Dr Joffe previously practiced law in South Africa. He specialized in negotiations and the development of framework agreements which regulate situations of ongoing complexity between the parties. He was integrally involved in a number of major negotiations, including the restructuring of South African Airways as a state owned corporation, and the establishment of a new industrial relations framework for public sector employees. Jonathan also holds a BA (Economics) and LLB from University of Witwatersrand in Johannesburg. Dr Joffe is registered with the Financial Services Authority as a corporate finance advisor for MAST Global Limited.

Organization Position Status
Mast Global Limited Director of Mast In Cambridge Current
FINRA Principal Current
Monitor Group Strategy Consultant Former
University of the Witwatersrand Ba (Economics) and Llb Former
University of the Witwatersrand Degrees in Economics and Law Former
Harvard Law School Degree Former

Organization Position Status
Invesco Private Capital General Partner Current
FINRA General Securities Representative Current
Healthcare Ventures, LLC Advisory Board Member Current
Apex Incorporated Advisory Board Member Current
Deloitte Touche Tohmatsu Audit and General Service department Former
National Federation of Independent Business Board Member Former
The University of New Mexico B.A. in Secondary Education Former

Organization Position Status
FINRA Uniform Securities State Agent Current
Invesco Private Capital Manager, Finance Former
Invesco, LLC Manager, Finance Former
Invesco Private Capital Fund Accountant Former
Neuberger Berman, Inc. member of the accounting department Former
University of Scranton B.S. in Accounting Former

Organization Position Status
Center for Conflict Resolution Current
FINRA Board member Current
FINRA Arbitrator and Mediator Former
University of Florida B.S. of Business Administration Former

Organization Position Status
Mesirow Financial Senior Vice President, Marketing Current
Mesirow Financial Senior Managing Director Current
FINRA Member Current
Mesirow Financial Director Current
Kellogg School of Management at Northwestern University M.M Former
Northern Illinois University B.S Former

Organization Position Status
FINRA Member Current
Lombard Investments Managing Director Former
The Goldman Sachs Group, Inc. Investment Banker Former
Harvard Business School M.B.A Former
Harvard College A.B Former
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