Decision Makers
| Name (plus bio) |
Position |
| Frank Z. Ashen |
Executive Vice President, Corp Services |
| Georges L. Ugeux |
Group Executive Vice President |
| Grace B. Vogel |
Executive Vice President, Member Firm Regulation |
| Richard A. Edgar |
Executive Vice President, Market Operations, Real Estate & Facilities |
| Richard P. Bernard |
General Counsel & Executive Vice President |
| Robert A. Marchman |
Executive Vice President, Market Surveillance |
| Susan L. Merrill |
Executive Vice President, Enforcement |
| Glenn W. Tyranski |
Senior Vice President, Financial Compliance |
| James C. Esposito |
Senior Vice President, Security |
| Janice O'Neill |
Senior Vice President, Corporate Compliance |
| Jim E. Buck |
Senior Vice President & Secretary |
| Louis G. Pastina |
Senior Vice President, Market Development |
| Michael G. Rufino |
Senior Vice President, Member Firm Regulation |
| Regina C Mysliwiec |
senior vice president |
| Richard C. Adamonis |
Senior Vice President, Corp Communications |
| Salvatore Pallante |
Senior Vice President, Member Firm Regulation |
| Thomas E. Veit |
Senior Vice President, Global Corp Client Group, Eastern Region |
| William M. Freeman |
Senior Vice President & Acting General Counsel |
| Gary M. Stein |
Vice President, Business Development |
| James G. Buckley |
Vice President, Market Surveillance |
| John F. Malitzis |
Vice President, Member Trading |
| Judith A. Bryngil |
Vice President, Market Trading Analysis |
| Leroy M. Whitaker |
Vice President, Total Renumeration & Diversity |
| Linda S. Riefberg |
Vice President, Enforcement Division |
| Mark H. Wille |
Vice President, Market Development |
| Mary L. Brienza |
Vice President, Corp Audit & Regulatory Quality Review |
| Melinda Mercurio |
Vice President, Corp Communications |
| Peter E. Boyle |
Vice President, Corp Infrastructure |
| Raymond L. Bell |
Vice President, Global Corp Client Group, Central Region |
| Robin L. Weiss |
Vice President, Investment Banking Services |
| Stephen Walsh |
Vice President, Mkt Watch & Records |
| Steven J. Brostoff |
Vice President, Enforcement Division |
| Susan E. Light |
Vice President, Enforcement |
| William J. Wollman |
Vice President, Member Firm Regulation |
| William T Sellay |
Partner |
| Paul Corvino |
Owner |
| Ann Yerger |
Deputy Director |
| David Devins |
Manager |
| David Mann |
Manager, Corp Communications |
| Richard Ashbaugh |
Manager, Marketing |
| Michael Ferraro |
Senior Vice President & Controller, Corp Finance |
| Albert Fried |
Dealer |
| Bryan Streelman |
Arbitrator |
| Daniel Beyda |
Member Firm Regulation |
| David McLean |
licensed Principal |
| Frederick G. Anderson |
General Counsel |
| Jack H Adam |
Registered Representative |
| James T Ling |
Allied Member |
| John P. Kehoe |
Allied Member |
| Michael Berger |
Member Firm |
| Peter J Murphy |
Specialist |
| Wade Boggs |
Secretary |
| Warren Meyers |
Clerk |
| George H. Krauss |
Director |
| James M. Seneff |
Director |
| Louis W. MacEachern |
Director |
| Allen B. Morgan Jr. |
Member |
| Barry M. Goldwater |
Member |
| Carlos Slim Helu |
Member, Advisory Council for Latin America |
| Christopher Roser |
Member |
| David M Silfen |
Member |
| David Schlecker |
Member |
| Jerome C. Eppler |
Member |
Board of Directors
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Executive Vice President, Corp Services |
Current |
A lawyer and economist by training, Georges Ugeux has focused his entire 30 year career on the global dimensions of business, government and finance. He has a deep understanding of the cultural dimension of negotiations, networks and partnerships. Georges began his career in commercial banking at Societe Generale de Banque (now Fortis Bank), where he became the General Manager of the investment banking and trust division. He later served as Managing Director of Morgan Stanley's Mergers and Acquisitions department, as well as Group Finance Director at Societe Generale de Belgique, a Belgian conglomerate. In 1992, he became President and Managing Director of Kidder, Peabody Europe. He was also a member of the European Corporate Executive Council of General Electric. He was President of the European investment Fund, a public private partnership financing infrastructure and SME projects owned by the European Investment Bank, the European Community and 77 European banks. For seven years Georges immersed himself in the global equity markets by heading the International Group of the New York Stock Exchange, bringing over 300 non-US companies, valued at $ 2.7 trillion, to the US market. He is a frequent public speaker and educator on global issues (at the College of Europe in Bruges and Harvard Law School). Georges Ugeux holds a Doctorate in Law and is Licentiate in Economics from the Catholic University of Louvain. He chairs and sits on Boards of numerous transatlantic organizations.
| Organization |
Position |
Status |
| Galileo Global Advisors LLC |
Chairman and CEO |
Current |
| NYSE Group, Inc. |
Group Executive Vice President |
Current |
| The Essec USA |
|
Current |
| Belgian-American Chamber of Commerce |
Board of Directors |
Current |
| British-American Business Inc. |
Director |
Current |
| Caraco Pharmaceutical Laboratories, Ltd. |
Board of Directors |
Current |
| Morgan Stanley |
Managing Director |
Former |
| European Investment Bank |
|
Former |
| Organization |
Position |
Status |
| Financial Industry Regulatory Authority, Inc. |
Executive Vice President, Member Regulation |
Current |
| NASD Institute |
Executive Vice President, Member Regulation |
Current |
| NYSE Group, Inc. |
Executive Vice President, Member Firm Regulation |
Current |
| NYSE Regulation, Inc. |
Executive Vice President, Member Firm Regulation |
Current |
| Citigroup Inc. |
deputy controller |
Former |
| FINRA |
senior examiner |
Former |
| The State University of New York |
B.S. in accounting |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Executive Vice President, Market Operations, Real Estate & Facilities |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
General Counsel & Executive Vice President |
Current |
| Organization |
Position |
Status |
| NYSE Regulation, Inc. |
Executive Vice President, Market Surveillance |
Current |
| NYSE Group, Inc. |
Executive Vice President, Market Surveillance |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Executive Vice President, Enforcement |
Current |
| NYSE Regulation, Inc. |
Executive Vice President, Enforcement |
Current |
| Davis Polk & Wardwell |
partner |
Former |
| Brooklyn Law School |
J.D. |
Former |
| Organization |
Position |
Status |
| NYSE Regulation, Inc. |
Senior Vice President, Finance Compliance & Listed Company Compliance |
Current |
| NYSE Group, Inc. |
Senior Vice President, Financial Compliance |
Current |
| NYSE Group, Inc. |
director, Financial Compliance |
Former |
| KPMG International |
senior audit manager |
Former |
| King's College |
Bachelor of Science, Accounting |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Senior Vice President, Security |
Current |
| Organization |
Position |
Status |
| NYSE Regulation, Inc. |
Senior Vice President, Corp Governance & Listed Company Compliance |
Current |
| NYSE Group, Inc. |
Senior Vice President, Corporate Compliance |
Current |
| Seton Hall University |
M.B.A. |
Former |
| University of Rochester |
B. A. |
Former |
| Harvard University |
Program for Management Development |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Senior Vice President & Secretary |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Senior Vice President, Market Development |
Current |
| Organization |
Position |
Status |
| NYSE Regulation, Inc. |
Senior Vice President, Member Firm Regulation |
Current |
| NYSE Group, Inc. |
Senior Vice President, Member Firm Regulation |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
senior vice president |
Current |
| NYSE Regulation, Inc. |
|
Former |
| University of Virginia School of Law |
J.D. |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Senior Vice President, Corp Communications |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Senior Vice President, Member Firm Regulation |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Senior Vice President, Global Corp Client Group, Eastern Region |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Senior Vice President & Acting General Counsel |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Business Development |
Current |
Mr. Buckley was named vice president, Market Surveillance, of NYSE Regulation, Inc., on Feb. 5, 2004. He reports to the senior vice president, Market Surveillance. Mr. Buckley manages the department responsible for a surveillance and investigation program focusing on possible violations of rules governing trading by Floor members, including surveillance of the Exchange's audit trail requirements and Front End Systemic Capture of Orders. His department includes the Exchange's On-Floor Surveillance Unit and the educational programs for Floor members and new Floor Officials. It is also responsible for the annual revision, editing and publication of the Floor Official Manual a compendium of floor rules and auction market procedures. Mr. Buckley is a founding member of the Exchange's Diversity Council and chair of the Organization Assessment Committee. Mr. Buckley joined the Exchange in 1987 as an attorney in the Enforcement Division of the Exchange. He was promoted to Enforcement Director in 1990. In September 2000 he became managing director, Regulatory Quality Review and in March 2002 he became managing director, Market Surveillance. Prior to working at the Exchange, Mr. Buckley was an Assistant District Attorney in Westchester County. He has a BA from Iona College, an MA from Fordham University, and a JD from Pace University School of Law.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Market Surveillance |
Current |
| NYSE Regulation, Inc. |
Vice President, Market Surveillance |
Current |
| The Floor |
|
Current |
| Pace University |
JD |
Former |
| Pace University School of Law |
Jd |
Former |
| Fordham University |
Ma |
Former |
| Iona College |
Ba |
Former |
| Organization |
Position |
Status |
| NYSE Regulation, Inc. |
Vice President, Specialist Surveillance |
Current |
| NYSE Group, Inc. |
Vice President, Member Trading |
Current |
| FINRA |
vice president |
Former |
| Boston College Law School |
J.D. |
Former |
| State University of New York at Albany |
B.A. |
Former |
Judith A. Bryngil is vice president of Market Trading Analysis, a department within the Market Surveillance division of NYSE Regulation, Inc. Ms. Bryngil, 47, is responsible for supervising three Industry Analysis directors and their staffs in surveillances and investigations of insider trading and market manipulation. She also oversees the Stock Watch function, as well as special products, including program trading. Named vice president of Market Trading Analysis in 1999, Ms. Bryngil has worked for the NYSE since 1985, when she joined as an attorney in the Enforcement division. In 1988, she joined Market Surveillance as senior special counsel. From 1990 to 1997, she served as director of Special Investigations unit, supervising a group of analysts, and was promoted in 1997 to managing director, Market Trading Analysis. Prior to joining the New York Stock Exchange, Ms. Bryngil worked at the New Jersey law firm of Waters, McPherson, McNeill from 1984 to 1985. Ms. Bryngil received a B.S. in Systems Planning and Management from Stevens Institute of Technology in 1980 and a J.D. from Fordham Law School in 1983.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Market Trading Analysis |
Current |
| Fordham University Law School |
J.D. |
Former |
| Stevens Institute of Technology |
B.S. In Systems Planning and Management |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Total Renumeration & Diversity |
Current |
Linda S. Riefberg has been vice president, Enforcement Division, NYSE Regulation, Inc., since January 2006. In her role, Ms. Riefberg oversees the Division's investigation and prosecution of violations of federal securities laws and NYSE rules by members, member organizations, and their employees.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Enforcement Division |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Market Development |
Current |
Mary Brienza joined the New York Stock Exchange in 1992 as a senior litigation attorney in the Division of Enforcement.
In her current position, Ms. Brienza remains the General Auditor and heads the Global Risk & Audit Services division of NYSE Euronext. She is also responsible for the Global Compliance and Ethics program.
In 1995, Ms. Brienza became an Enforcement Director managing a team of attorneys who investigate and prosecute violations of securities laws by NYSE member firms and their employees. In 2002, she became the Managing Director in charge of regulatory audits, and in 2003, assumed responsibility for the company-wide audit functions of regulation, finance, operations and technology. Ms. Brienza was appointed Senior Vice President and General Auditor of NYSE Group, Inc. in 2006.
Ms. Brienza is a member of the New York and Massachusetts Bars, and various federal bars. She is a member of the Audit Executives Association.
Prior to joining the NYSE, she spent twelve years as a prosecutor in New York City , concentrating on violent crime and, later, complex white-collar crime.
Ms. Brienza was a recipient of the 2005 YWCA of NYC Women Leaders in Business Award. She has been a member of the NYSE Euronext Diversity Council and a mentor for several years.
| Organization |
Position |
Status |
| NYSE Euronext |
EXECUTIVE VICE PRESIDENT and GENERAL AUDITOR |
Current |
| NYSE Group, Inc. |
Vice President, Corp Audit & Regulatory Quality Review |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Corp Communications |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Corp Infrastructure |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Global Corp Client Group, Central Region |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Investment Banking Services |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Mkt Watch & Records |
Current |
Steven J. Brostoff has been vice president, Enforcement Division, NYSE Regulation, Inc., since January, 2006. In his role, Mr. Brostoff is responsible for the investigation and prosecution of trading violations committed by upstairs traders and their member firms, floor brokers, specialists, and all member firms doing business on the NYSE trading floor. Previously, Mr. Brostoff was managing director, responsible for trading investigations. Prior to joining the Exchange in 1997, he was with the N.Y. District Attorney's Office, where was an assistant district attorney serving as a Deputy Bureau Chief in the Special Narcotics Prosecutor's office and in the Frauds Bureau.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Enforcement Division |
Current |
Susan E. Light, 47, is vice president, Enforcement, NYSE Regulation, Inc. Ms. Light is responsible for managing a department that investigates and prosecutes violations of SEC and NYSE rules and regulations. She is also responsible for managing the Enforcement division's preliminary investigations unit and case-management system. She reports to Susan Merrill, executive vice president, Enforcement. Before being appointed to her current position, Ms. Light was managing director of Enforcement at the Exchange since 2000. Ms. Light was named an Enforcement director in 1992 and was a staff attorney from 1988 to 1992. Prior to joining the NYSE in 1988, Ms. Light was an assistant district attorney in the Bronx District Attorney's Office. Ms. Light received her law degree from Boston University School of Law and her L.L.M. from New York University School of Law. She received her B.A. from the University of Michigan.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Enforcement |
Current |
| NYSE Regulation, Inc. |
Vice President, Enforcement |
Current |
| New York University |
assistant district attorney |
Former |
| Boston University School of Law |
Law Degree |
Former |
| University of Michigan |
B.A. |
Former |
Mr. Wollman was named, vice president, Member Firm Regulation, on Feb. 5, 2004. He reports to the executive vice president, Member Firm Regulation. Mr. Wollman, 38, shares responsibility for overseeing the NYSE member-firm examination program. Mr. Wollman joined the Exchange in 1989 and has spent his entire career in Member Firm Regulation.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Vice President, Member Firm Regulation |
Current |
| NYSE Regulation, Inc. |
Vice President, Member Firm Regulation |
Current |
| Alfred University |
Bachelor of Arts |
Former |
Bill Sellay is a partner and chairs the firm's International Practice Group. He serves as the relationship partner for New York Stock Exchange and Nasdaq companies, U.S. subsidiaries of publicly and privately held international companies, and privately held emerging companies. He has substantial experience counseling companies on the structuring and negotiation of cross-border and domestic acquisitions, joint ventures, commercial contracts, and licensing arrangements as well as on the U.S. regulation of trade and business practices. A significant part of his practice centers on the special legal problems associated with production, marketing, and distribution of products and services, including the selection and termination of distribution channels, pricing, advertising and promotional programs, competition law compliance, intellectual property protection, and products liability prevention.
| Organization |
Position |
Status |
| Robinson & Cole Llp |
Partner |
Current |
| NYSE Group, Inc. |
Partner |
Current |
| Robinson & Cole Llp |
Board of Directors |
Current |
| The Planned Innovation Institute, Inc. |
Advisory Board Member |
Current |
| Doing Business |
|
Former |
| HgCapital |
|
Former |
| Raymarine PLC |
|
Former |
| Raytheon Company |
|
Former |
| Michigan State University |
B.S. Degree In Electrical Engineering |
Former |
As President of The Nimble Group, Paul Corvino runs all business activities for this fast growing transaction payment company's family of brands. As Senior Vice President and General Manager for AOL he was responsible for running the advertising and e-commerce divisions for the organization and realized a growth from $35M in 1998 to over $2B in 2001, representing the greatest sales growth in the history of media. In a three year period at Cablevision, through new and creative sales strategies and implementation, he helped create a competitive sales culture which increased revenue by almost $100M, as well as heading the sales launch of Cablevision's online and telephony products. Over a fourteen year period at The New York Times, Mr. Corvino held many positions, including Managing Director. Sales in both volume and revenue rose every year during his tenure, making The New York Times the nation's leading newspaper in advertising revenues. He holds a board of director position at Channel M, The Harbor Bank of Connecticut and The Guardian Angels (a non-for- profit charitable organization). He is a venture partner at Plum Capital, and is a seat owner and member of The New York Stock Exchange, and owns and operates RCN Holdings.
| Organization |
Position |
Status |
| Plum Capital, LLC |
Venture Partner |
Current |
| NYSE Group, Inc. |
Owner |
Current |
| Cablevision Systems Corporation |
Vice President, Corporate Director |
Former |
| The New York Times Company |
Managing Director |
Former |
| NYSE Group, Inc. |
Member |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Deputy Director |
Current |
David Devins: With the organization since 1994, David Devins was a corporate officer and manager for a billion-dollar New York Stock Exchange corporation. Mr. Devins has 37 years of experience working with large manufacturing, distribution, service and retail businesses. He has owned a CPA and consulting firm, and worked for two of the largest international CPA firms as a CPA and Tax Specialist. Mr. Devins was Agent of the Year for 2000 and 2001. David Devins holds an MBA from Temple University. David is a multiple recipient of the firm's Broker of the Year award.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Manager |
Current |
| Tannenbaum & Aalok |
Corporate Officer and Manager |
Current |
| NYSE Group, Inc. |
Corporate Officer |
Former |
| Tannenbaum & Aalok |
Broker |
Former |
| Temple University |
MBA |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Manager, Corp Communications |
Current |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Senior Vice President & Controller, Corp Finance |
Current |
| Organization |
Position |
Status |
| Albert Fried & Company, LLC |
Owner |
Current |
| NYSE Group, Inc. |
Dealer |
Current |
| EMCOR Facilities Services, Inc. |
Board of Directors |
Current |
| EMCOR Group, Inc. |
Board of Directors |
Current |
| Dynalectric - Kentucky |
Board of Directors |
Current |
| NYSE Group, Inc. |
Member |
Current |
| EMCOR Group, Inc. |
Compensation and Personnel Committee Member |
Current |
| Albert Fried & Company, LLC |
Managing Member |
Current |
| Albert Fried & Company, LLC |
Managing Member |
Former |
Bryan Streelman is the legal, public policy and contract specialist of Golden Energy Services, Inc. His legal experience contributes to the negotiation, review and drafting of complex contracts. The legal environment is primarily federal and state energy regulation before various agencies. This requires knowledge of federal energy legislation and local Public Utility Commission practice. In addition to the transactional aspect, a thorough knowledge of trial law is required as it affects negotiations and the enforcement of contracts. He provides Golden Energy Services, Inc with consultation in the area of asset development, business associations, tax implications, international business transactions and corporate law. Prior to joining Golden Energy Services, Inc., Bryana s practice involved general civil law with an emphasis in business planning. The primary areas are business law, real estate, estate planning/administration and litigation. Bryan provided arbitration and mediation services to White and Steele, PC. and Watson, Nathan and Bremer, P.C. Bryan is a presiding arbitrator for the New York Stock Exchange, American Stock Exchange and NASDAQ. Bryan is on the National Panel of the American Arbitration Association. Bryan has received his arbitration training through the AAA and CLE of Colorado. Bryan was the environmental defense attorney for Kemper Insurance in Colorado, Wyoming and New Mexico. Bryan is admitted in Colorado and New York as well as the Federal courts for Colorado, the 10th. Circuit and U.S. Supreme Court.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Arbitrator |
Current |
| The American Stock Exchange LLC |
Arbitrator |
Current |
| Golden Energy Services, Inc. |
Specialist |
Current |
| Kemperinsurance.Com |
Environmental Defense Attorney |
Former |
| New Mexico |
Environmental Defense Attorney |
Former |
| Organization |
Position |
Status |
| NYSE Regulation, Inc. |
Chief Admin Officer, Regulation |
Current |
| NYSE Group, Inc. |
Member Firm Regulation |
Current |
| NYSE Group, Inc. |
Director |
Current |
| Mazur |
|
Former |
| University of Miami |
J.D. |
Former |
| Ithaca College |
B.A. in political science |
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 |
Mr. Anderson has over twenty years of legal experience as a partner with Akin, Gump, Strauss, Hauer & Feld and as a General Counsel with both New York Stock Exchange (NYSE) and NASDAQ companies. Fred holds a Bachelor of Arts degree with high honors and a J.D. with honors from the University of Texas.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
General Counsel |
Current |
| The University of Texas |
J.D. With Honors |
Former |
| Organization |
Position |
Status |
| Mead, Adam & Co., Inc |
President and Portfolio Manager |
Current |
| Mead, Adam & Co., Inc |
Founder |
Current |
| Touche Ross & Co. |
Investment Advisor |
Current |
| NYSE Group, Inc. |
Registered Representative |
Current |
| Purdue University |
MS In Industrial Administration |
Former |
| Xavier University |
Degree In Physics |
Former |
James T. Ling ~ President, CEO & Director Mr. Ling has an extensive background in public finance, having been an Allied Member of the New York Stock Exchange and Asst. Corporate Secretary for a NASDAQ listed company with over 1,000 shareholders. Mr. Ling serves as President and CEO of the Dallas based Empiric Energy, Inc., a publicly held Oil & Gas exploration and production company with over 700 shareholders.
| Organization |
Position |
Status |
| American Gold Resources Corporation |
President, CEO & Director |
Current |
| NYSE Group, Inc. |
Allied Member |
Current |
| NYSE Group, Inc. |
President, CEO |
Former |
| Empiric Energy, Inc. |
President and CEO |
Former |
| American Gold Resources Corporation |
President - |
Former |
| NYSE Group, Inc. |
Director |
Former |
| Organization |
Position |
Status |
| Schilling Robotics, Inc. |
Senior Vice President and Chief Financial Officer |
Current |
| Velocity Venture Capital LLC |
Venture Partner |
Current |
| The Abernathy Macgregor Group |
Senior Counselor, New York Office |
Current |
| NYSE Group, Inc. |
Allied Member |
Current |
| National Investor Relations Institute |
Charter Member |
Current |
| Velocity Venture Capital LLC |
Board of Directors |
Current |
| Fordham University |
Vice Chairman |
Current |
| NYSE Group, Inc. |
President |
Former |
| White |
Co-Founder |
Former |
| Savage.Com |
Co-Founder |
Former |
| Fordham University |
M.B.A. |
Former |
| Manhattan College |
B.B.A. |
Former |
| Fordham University |
B.A. Degree With Honors |
Former |
| Fordham University |
Member |
Former |
Array
| Organization |
Position |
Status |
| Wj Dowd, Inc. |
Managing Partner, Cfo |
Current |
| Wj Dowd, Inc. |
Trading Assistant |
Former |
| Rutgers University |
B.A. Degree |
Former |
| Organization |
Position |
Status |
| Bear Wagner Specialists, LLC |
Chief Executive Officer |
Current |
| NYSE Group, Inc. |
Specialist |
Current |
| Colgate University |
Bachelor's Degree |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Secretary |
Current |
| Organization |
Position |
Status |
| Wj Dowd, Inc. |
Managing Partner |
Current |
| NYSE Group, Inc. |
Clerk |
Current |
| Wj Dowd, Inc. |
Director |
Former |
| Pepperdine University |
Bachelor of Science Degree In Business Administration |
Former |
Anthony F. Earley, Jr. has been chairman of the board and chief executive officer since 1998 and was also DTE Energy’s president and chief operating officer from 1994 – 2004. He joined the company in 1994, and that same year was elected to the board.
| Organization |
Position |
Status |
| DTE Energy Company |
Chief Executive Officer |
Current |
| DTE Energy Company |
Chairman |
Current |
| Plug Power Inc. |
Board of Directors |
Current |
| Edison Electric Institute |
Vice Chairman |
Current |
| Ford Motor Company |
Board of Directors |
Current |
| Detroit Investment Fund |
Director |
Current |
| NYSE Group, Inc. |
Member of Advisory Board |
Current |
| Cornerstone Schools |
Director |
Current |
| University of Notre Dame |
Member of Advisory Board |
Current |
| The Detroit Edison Company |
President |
Former |
| DTE Energy Company |
President |
Former |
| The Detroit Edison Company |
Chief Operating Officer |
Former |
| DTE Energy Company |
Chief Operating Officer |
Former |
| DTE Energy Company |
Board of Directors |
Former |
| Comerica Incorporated |
Board of Directors |
Former |
| University of Notre Dame |
Law Degree |
Former |
| University of Notre Dame |
Bachelor of Science Degree In Physics |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Board of Directors |
Current |
| Telex Communications, Inc. |
Board of Directors |
Current |
| Telex Communications, Inc. |
member |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Board of Directors |
Current |
| Metropolitan Transportation Authority |
Board of Directors |
Current |
| Staten Island Academy |
President |
Former |
| Weiss, Peck & Greer |
Partner |
Former |
| St. Vincent's Hospital |
Board of Directors |
Former |
| Weiss, Peck & Greer |
Board of Directors |
Former |
George Krauss, has served as a director of infoUSA since 2007, Mr. Krauss has been a consultant to The Burlington Capital Group LLC (formerly known as America First Companies, L.L.C.) ("Burlington") since 1997., From 1972 to 1997, Mr. Krauss practiced law with Kutak Rock LLP in Omaha, Nebraska, and serving as the firm's managing partner from 1983 to 1993, and continues to be Of Counsel to such firm. Mr. Krauss has extensive experience in corporate, mergers and acquisition and regulatory matters. In addition to his legal education, Mr. Krauss has a Masters of Business Administration and is a registered professional Engineer. Mr. Krauss currently serves as a member of the Board of Directors of MFA Mortgage Investments, Inc., which is listed on the NYSE and as a member of the Board of Managers of Burlington, which is the general partner of America First Tax Exempt Investors LP, which is listed on the NASDAQ.
| Organization |
Position |
Status |
| America First Tax Exempt Investors LP |
General Partner |
Current |
| L.P. Ataxz |
Manager |
Current |
| The Burlington |
Consultant |
Current |
| NYSE Group, Inc. |
Director |
Current |
| Emarketing & Commerce |
Board of Directors |
Current |
| Triplex Direct Marketing Corporation |
Board of Directors |
Current |
| Gateway, Inc. |
Board of Directors |
Current |
| Vin Gupta |
Director |
Current |
| American Business Travels |
Director |
Current |
| Salesforcewatch |
Board of Directors |
Current |
| The Burlington Capital Group LLC |
Director |
Current |
| America First Apartment Investors, Inc. |
Board of Directors |
Current |
| MFA Mortgage Investments Inc. |
Board of Directors |
Current |
| Kutak Rock Llp |
Presiding Partner |
Former |
| The Burlington Capital Group LLC |
Consultant |
Former |
| Kutak Rock Llp |
Of Counsel |
Former |
| James Batmasian |
|
Former |
| University of Nebraska |
Jd |
Former |
| University of Nebraska |
MBA |
Former |
| University of Nebraska |
BS |
Former |
| Organization |
Position |
Status |
| Shields Capital Corporation |
CEO |
Current |
| Capital Management Associates Inc. |
CEO |
Current |
| Capital Management Associates Inc. |
Board Chairman |
Current |
| Shields Capital Corporation |
Board Chairman |
Current |
| Flowers Foods, Inc. |
Board of Directors |
Current |
| NYSE Group, Inc. |
Board Member |
Current |
| Organization |
Position |
Status |
| Cnl Income Corp |
Chairman and Chief Executive Officer, Cnl Financial Group, Inc. |
Current |
| CNL Financial Group, Inc. |
Founder |
Current |
| Cnl Hotels & Resorts, Inc. |
Chairman |
Current |
| NYSE Group, Inc. |
Director |
Current |
| CNL Investment Co. |
Director |
Current |
| National Retail Properties, Inc. |
Director |
Current |
| The Geneva School |
Board of Directors |
Current |
| CNL Investment Co. |
CEO |
Former |
| Cnl Hotels & Resorts, Inc. |
Chief Executive Officer |
Former |
| CNL Securities Corp. |
Chairman & CEO |
Former |
| Cfg, Inc. |
Chairman of the Board and Chief Executive Officer |
Former |
| Cfg, Inc. |
Principal |
Former |
| CNL Financial Group, Inc. |
Principal |
Former |
| GE Capital Solutions-Orlando |
Chair of Board |
Former |
| Cnlbank |
Chairman of the Board, Chairman & CEO, Cnl Financial Group, Inc. |
Former |
| National Retail Properties, Inc. |
chairman |
Former |
| Cnl Hotels & Resorts, Inc. |
Board of Directors |
Former |
| CNL Retirement Properties, Inc. |
Director |
Former |
| CNL Securities Corp. |
Director |
Former |
| GE Capital Solutions-Orlando |
Board of Directors |
Former |
| Florida State University |
Bachelor of Science In Business Administration |
Former |
| Florida State University |
degree in Business Administration |
Former |
| Organization |
Position |
Status |
| The New York Botanical Garden |
Board of Managers |
Current |
| New York Presbyterian Hospital |
Board of Managers |
Current |
| The New York Botanical Garden |
Board of Managers |
Current |
| Blackrock, Inc. |
Board of Directors |
Current |
| NYSE Group, Inc. |
Board of Directors |
Current |
| Blackrock, Inc. |
Board of Directors |
Current |
| Massachusetts Institute of Technology |
Board of Directors, MIT Corporation |
Current |
| INSEAD |
U.S. National Advisory Board |
Current |
| Partnership for New York City, Inc |
Member |
Current |
| NYSE Euronext |
Chief Executive Officer |
Former |
| NYSE Group, Inc. |
Chief Executive Officer |
Former |
| Merrill Lynch & Co., Inc. |
Chairman & Chief Executive Officer |
Former |
| The Goldman Sachs Group, Inc. |
Co-CEO, Europe |
Former |
| The Goldman Sachs Group, Inc. |
President & Chief Operating Officer |
Former |
| Bank of America Corporation |
President, Global Banking, Securities & Wealth Management |
Former |
| NYSE Euronext |
Board of Directors |
Former |
| Harvard University |
M.B.A. |
Former |
| Massachusetts Institute of Technology |
B.S. |
Former |
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Board of Directors |
Current |
Phillip Peller (1939) became an independent director of Imagine in 2006. As a former partner of Andersen Worldwide SC, a firm he was associated with for almost 40 years, Mr. Peller has an extensive background in accounting, auditing and risk management. Prior to his retirement in 1999, Mr. Peller served as Managing Partner - Practice Protection and Affairs, where he was responsible for overseeing the firm's professional practice litigation and was extensively involved with the firm's Bermuda based insurance company. Prior to assuming his Practice Protection role in 1996, he was the Managing Director - Quality, Risk Management and Professional Competence for Andersen's worldwide audit practice. Over the years, Mr. Peller served on a diverse group of Andersen committees including the Committee on Professional Standards (Vice Chairman), which dealt with professional, regulatory and ethical matters, and the Andersen Worldwide Partners Unit Committee (Chairman). Mr. Peller is a member of the American Institute of CPAs and serves on the board of directors and chairs the audit committee of two New York Stock Exchange listed companies, MSC Industrial Direct Co., Inc and Kenneth Cole Productions, Inc. Mr. Peller served as a trustee of Lehigh University for twelve years and was a member of several Lehigh board committees including the Executive Committee and Chair of the Audit Committee. He is now a Lehigh Trustee Emeritus. Mr. Peller is currently a member of the board of directors of the MS Research Center of New York and serves as its treasurer.
William B. Summers, Jr. had been the Non-Executive Chairman of McDonald Investments Inc., an investment banking, brokerage and investment advisory firm, from 2000 until retiring in 2006. From 1994 until 1998, Mr. Summers was the President and Chief Executive Officer of McDonald Investments Inc. and from 1998 until 2000, Mr. Summers was the Chairman and Chief Executive Officer of McDonald Investments Inc. Mr. Summers is also currently a director of Wilson Greatbatch Technologies, Inc. and RPM International Inc., and a member of the Advisory Board of Molded Fiber Glass Companies and the Board of Executives of the New York Stock Exchange.
| Organization |
Position |
Status |
| Developers Diversified Realty Corporation |
Non-Executive Chairman, Mcdonald Investments Inc. (Investment Bank) |
Current |
| McDonald & Company |
Chairman |
Current |
| Dix & Eaton |
Board of Directors |
Current |
| Baldwin-Wallace College |
Board of Directors |
Current |
| Glengary LLC |
Board of Directors |
Current |
| Electrochem Commercial Power |
Board of Directors |
Current |
| Developers Diversified Realty Corporation |
Director |
Current |
| NYSE Group, Inc. |
Board of Directors |
Current |
| Greatbatch, Inc. |
Director |
Current |
| Actron Manufacturing, Inc. |
Director |
Current |
| Molded Fiber Glass Companies |
Advisory Board member |
Current |
| RPM International Inc. |
Board of Directors |
Current |
| Developers Diversified Realty Corporation |
Committee Member |
Current |
| McDonald Investments Inc. |
Chief Executive Officer |
Former |
| McDonald Investments Inc. |
President |
Former |
| McDonald & Company |
President |
Former |
| McDonald & Company |
General Partner |
Former |
| McDonald & Company |
Intern |
Former |
| Key Capital Partners |
Chairman |
Former |
| McDonald Investments Inc. |
Chairman |
Former |
| Young Presidents' Organization |
Board of Directors |
Former |
| Baldwin-Wallace College |
B.A. In Finance |
Former |
| Penton Media, Inc. |
member |
Former |
| NASDAQ OMX Group, Inc. |
member |
Former |
| NYSE Group, Inc. |
member |
Former |
| Molded Fiber Glass Companies |
member |
Former |
M. William Macey, Jr. is a member of the board of directors of our general partner and has been a director of United States Shipping Master LLC since July 2002 and is a co-founder and managing partner of Sterling Investment Partners, L.P. and Sterling Investment Partners II, L.P., private equity funds investing in middle-market companies. Prior to co-founding Sterling Investment Partners, L.P. in December 1999, Mr. Macey was a partner and co-founder of Sterling Ventures Limited, or SVL, a company formed in 1991 to sponsor private equity investments. Prior to co-founding SVL, Mr. Macey was a managing director of Asian Oceanic Group, an international merchant bank headquartered in Hong Kong, from 1990 to 1991. Previously, Mr. Macey was a managing director in the mergers and acquisitions group of Smith Barney, Harris Upham & Co. Mr. Macey is a director of GPX International Tire Company.
| Organization |
Position |
Status |
| Sterling Investment Partners, L.P. |
Founder |
Current |
| Sterling Investment Partners, L.P. |
Managing Partner |
Current |
| U.S. Shipping Partners L.P. |
Member of the Board of Directors |
Current |
| NYSE Group, Inc. |
Board of Directors |
Current |
| USS Co., Ltd. |
Board of Directors |
Current |
| Smith Barney |
Managing Director in the Mergers & Acquisitions Group |
Former |
| U.S. Shipping Partners L.P. |
General Partner |
Former |
| Cravath, Swaine & Moore LLP |
Corporate Law |
Former |
| The CBORD Group Inc. |
Board Member |
Former |
| Aavid Thermal Technologies, Inc. |
Board Member |
Former |
| The Kenan Advantage Group, Inc. |
Board Member |
Former |
| Yale Law School |
J.D |
Former |
| Dartmouth College |
B.A |
Former |
| Organization |
Position |
Status |
| Morgan Keegan Mortgage Company, Inc. |
President & CEO |
Current |
| Regions Financial Corporation |
Member |
Current |
| NYSE Group, Inc. |
Member |
Current |
| Morgan Keegan & Company |
Chairman Emeritus |
Current |
| AmSouth |
Chairman, Morgan Keegan & Company, Inc. Vice Chairman, Regions Financial Corporation |
Current |
| Morgan Keegan Funding Corp. |
CEO |
Former |
| Morgan Keegan & Company |
Founder |
Former |
| Regions Financial Corporation |
Director |
Former |
| The University of North Carolina |
|
Former |
Barry M. Goldwater, Jr., 66, has been a Director American environmental, Inc. since April, 2005. Mr. Goldwater is President of B2 Solutions, which represents client companies before Congress and various branches of the United States Government, as well as the California and Ari zona state legislatures. Prior to joining B2 Solutions, Mr. Goldwater served as a General Partner for 13 equipment leasing partnerships. Mr. Goldwater's background includes 14 years as a United States Congressman and 8 years as a Series 7 Registered Representative in the securities brokerage industry and a member of the New York Stock Exchange. While in Congress, Mr. Goldwater served on committees that had juris diction over Energy, Aviation, Space, Defense and Public Works. Mr. Goldwater served on the Joint Committee on Energy, which responded to the oil crisis on 1974.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Member |
Current |
| American Environmental Corporation |
Director |
Current |
| Organization |
Position |
Status |
| Telefonos de Mexico S.A. de C.V. |
Chairman |
Current |
| Carso Global Telecom, S.A. de C.V. |
Chairman |
Current |
| America Movil, S.A. de C.V. |
Chairman Emeritus |
Current |
| Grupo Financiero Inbursa, S.A. de C.V. |
Chairman Emeritus |
Current |
| Museo Soumaya |
Chairman |
Current |
| Fundacion Unam A.C. |
Board of Directors |
Current |
| Philip Morris International Management S.A. |
Board of Directors |
Current |
| NYSE Group, Inc. |
Member, Advisory Council for Latin America |
Current |
| Grupo Carso S.A. de C.V. |
Chairman |
Former |
| America Telecom, S.A. de C.V. |
Chairman |
Former |
| Altria Group, Inc. |
Board of Directors |
Former |
Christopher W. Roser graduated from the University of Colorado in 1981 with a BA in Economics. He received an MBA in Finance from New York University s Graduate School of Business Administration in 1984. He was employed with Main Hurdman KMG from 1982 to 1984 as a staff public accountant providing auditing and consulting services for small businesses. Mr. Roser worked as a securities analyst in emerging growth stocks from 1985-1986 for Equity Research Associates, a subsidiary of Ladenburg, Thalmann & Co., a Member of the New York Stock Exchange. From 1986 to 1987, Chris was an associate with Ladenburg in the corporate finance department. Since 1987 Mr. Roser has been a principal of the general partner of The Roser Partnership, Ltd., The Roser Partnership II, Ltd., The Roser Partnership III, Ltd and the Roser Partnership III SBIC. Mr. Roser participated in the early stage financing of Carrier Access Corporation in 1996, (CACS - OTC), Hauser Inc. in 1988, (HAUS - OTC), Confertech International in 1989, recently acquired by Frontier Corp., (FRO - NYSE), and Advanced Forming Technology in 1988, since purchased by Precision Castparts Corp., (PCP - NYSE). He serves on the board of five portfolio companies.
| Organization |
Position |
Status |
| Roser Ventures, LLC |
Partner |
Current |
| NYSE Group, Inc. |
Member |
Current |
| QualMark Corporation |
Chairman of the Board of Directors |
Current |
| Equity Research Associates Inc |
Analyst |
Former |
| Ladenburg Thalmann & Co., Inc. |
Securities Analyst |
Former |
| Smith Barney |
|
Former |
| QualMark Corporation |
Board of Directors |
Former |
| Carrier Access Corporation |
Investor |
Former |
| Hauser, Inc. |
Investor |
Former |
| NYU Stern School of Business |
MBA in Finance |
Former |
| Harvard University |
Mba |
Former |
| Bucknell University |
Bachelor's Degree In Economics |
Former |
| University of Colorado |
BA In Economics |
Former |
| Organization |
Position |
Status |
| The Goldman Sachs Group, Inc. |
Senior Director |
Current |
| The Goldman Sachs Group, Inc. |
Consultant |
Current |
| Maveron LLC |
Senior Advisor |
Current |
| University of Pennsylvania |
Trustee |
Current |
| Cebiz, LLC |
Board of Directors |
Current |
| Global Brand Leadership |
Board of Directors |
Current |
| NYSE Group, Inc. |
Member |
Current |
| The Goldman Sachs Group, Inc. |
Partner |
Former |
| Columbia Business School |
Board Member of Overseers |
Former |
| Columbia Business School |
MBA |
Former |
| Columbia University |
MBA |
Former |
| Columbia University |
member |
Former |
| NYSE Group, Inc. |
member |
Former |
David Schlecker is a litigator and trial lawyer who has represented clients in a broad variety of matters involving complex commercial litigation, insurance coverage, securities fraud, breach of contract, professional liability, ERISA, and products liability litigation. Mr. Schlecker has been a stockholder at Anderson Kill since 1985 and is Co-Chair of the Financial Institutions Insurance Coverage Group. He has litigated in courts throughout the United States and also serves as a panel member for the New York Stock Exchange. Mr. Schlecker's representations include commercial banks, financing companies, investment funds, restaurant chains, pharmaceutical companies, water companies, electronic manufacturers and pension funds. Mr. Schlecker is Chair of the firm's Banking Institutions Committee.
| Organization |
Position |
Status |
| NYSE Group, Inc. |
Member |
Current |
Jerome Eppler has spent his entire career in the securities industry, forming his own firm, Eppler & Company in 1961. From 1953 to 1961, he was a general partner of Cyrus J. Lawrence Sons, New York, a member of the New York Stock Exchange. Also, from 1967 to 1978, Eppler served as chairman and chief executive of Insurance Securities, Inc.
| Organization |
Position |
Status |
| Tessco Technologies, Inc. |
Board of Directors |
Current |
| NYSE Group, Inc. |
Member |
Current |
| NYSE Group, Inc. |
member |
Former |
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