Charles P. Dolan
Charles P. Dolan, is a senior financial services executive with unparalleled experience developing and managing complex trading and market-making operations. A recognized authority on market structure, Charles has specialized knowledge of broker-dealer and trading environments across multiple asset classes.Read more
His expertise includes more than two decades as a market maker and senior member of the New York Stock Exchange (NYSE). While there, he successfully increased member firms’ profitability by identifying and developing new trading revenue opportunities while adapting to changing market conditions. Mr. Dolan executed strategic business decisions, including the acquisition of Susquehanna’s market making unit consisting of 300 issues. He was appointed as an Executive Floor Governor by the CEO of the NYSE and in this role served as the highest ranking member of self-regulatory support. He has also served as an expert advisor on complex disciplinary matters to the Financial Industry Regulatory Authority (FINRA), the largest independent regulator in the U.S. and was also recently qualified as an arbitrator for FINRA’s industry-wide securities dispute resolution forum.
He currently serves as a Trustee of the New Jersey Investment Council, which oversees investment policy governing the state’s $80 billion pension fund. For this role, he was nominated by Governor Christie of New Jersey and confirmed by the State Senate. Charles is also a member of STANY.
During his 25 year tenure as a NYSE member, most recently as Partner and CEO of Kellogg Capital Markets, he served as an Executive Floor Governor and on the Boards of multiple strategic committees and the NYSE Foundation. Earlier, he served in a variety of senior management roles with other prominent NYSE member firms, including Van der Moolen Specialists, U.S.A. and Lyden, Dolan LLC.
He holds a B.A. degree from the College of the Holy Cross.
Daniel Labovitz has deep experience as a senior regulatory attorney and market development consultant, with a focus on market structure issues, rule development and interpretation. He specializes in legal, regulatory, and compliance issues surrounding market surveillance, e-communications, strategic planning and guidance for global exchanges, and international investment banks and broker-dealers. Prior to joining GMAG, Dan was a Managing Director at Oyster Consulting, LLCRead more
Leveraging his more than 20 years in the financial services industry, mainly with the New York Stock Exchange, he now consults on exchange and market development issues in frontier and emerging countries, specializing in trading rules and regulated practices. He is currently advising senior management of the Nigerian Stock Exchange in developing a new rulebook, and on the administrative structure of its regulatory division. He previously advised the chairman of the West African Capital Markets Integration Council on regulatory issues arising from regional market consolidation proposals.
Dan served as Vice President in the Office of General Counsel for NYSE Regulation, where was responsible for rule development and interpretation, the Floor Member Continuing Education Program and served as the NYSE’s regulatory services manager, responsible for day-to-day oversight of NYSE member regulation functions. Earlier Dan also worked as a prosecutor for the NYSE’s Division of Enforcement, and before that as a corporate attorney with Cadwalader, Wickersham & Taft and McDermott, Will & Emery.
In an advisory capacity, Dan was appointed as independent regulatory auditor for Nasdaq OMX BX, pursuant to a Securities and Exchange Commission Order; this included a review of its Financial Industry Regulatory Authority’s cross-market surveillance and examination procedures. He has authored articles, including one on market rule development for the journal of the World Federation of Exchanges and has also taught securities law at the Zicklin School of Business at Baruch College, City University of New York. He is member of the Securities Traders Association of New York.
Mr. Labovitz is a cum laude graduate of New York University’s College of Arts and Sciences, where he was a Harry S. Truman scholar and elected to Phi Beta Kappa. His J.D. degree is from New York University School of Law. He is admitted to practice in New York State courts and federal courts of Southern, Eastern & Western Districts of New York. He is President of the Board of Trustees of the Solomon Schecter School of Manhattan and a former Principal, Founder & Managing Director of Crowley Labovitz Consulting, LLC.
Specialties: Legal and regulatory projects, with a focus on development of rules and compliance and enforcement procedures, with a particular interest in developing and emerging markets globally.
Director and Business Development
Sam Van is an Executive Vice President and Corporate Development with Thomas Ho Company. Thomas Ho Company (THC) is a leading financial engineering firm and ALM Solutions provider to regional banks and credit unions. THC was named one of the two best ALM vendors of the 21st century Bank Asset/Liability Management by A.S. Pratt in 2014Read more
Sam is also leading the effort in GMAG’s U.S. and International Exchange Listing Advisory practice. Sam’s extensive background in financial services and broker dealer regulatory compliance experience will service GMAG’s clients with pre-IPO readiness to achieve U.S. Exchange listing. His professional career is dedicated to new business development and relationship building, specializing in the emerging capital markets throughout Asia and the U.S. During his tenure at the New York Stock Exchange (NYSE), Sam secured the listings of more than 46 companies on the NYSE with total market capitalization exceeding $5 billion.
Sam recently spent five years at the Financial Industry Regulatory Authority (FINRA) in various roles, Trading and Financial Compliance Examinations, Sales Practice and Financial Risk Oversight & Operational Regulation. Sam spent three years in Sales Practice based out in San Francisco covering Financial Technology broker dealers, Investment Advisors, Investment Banking and Merger and Acquisition advisory firms. Sam’s work resulted in two enforcement cases settlement involving Cybersecurity and Research Communication.
Sam also serves as a board member of the Asian Financial Society, a non-profit organization which assists Asia companies to understand the U.S. capital market.
He is fluent in Cantonese and conversational in Mandarin and Vietnamese. He received his BS in Finance from St. Johns University and his MBA from Cornell University.
John F.X. Dolan
John “FX” Dolan is a senior financial executive whose leadership and experience spans more than 30 years. During his 25 year tenure as a member of the NYSE he served in many senior roles including Chief Executive of Vandermoolen U.S.A and Chief Executive of Kellogg Specialist Group. These firms were responsible for maintaining fair and equitable markets in over 1000 issues.Read more
Mr. Dolan worked on various market structure initiatives as a member of the NYSE’s Market Performance Committee. He was also a member of the NYSE Board of Directors and served the Floor community as Governor and Executive Floor Official, the highest rank of SRO support.
John was appointed by FINRA’s CEO Rick Ketchum, to serve on its Board of Governors, which he did so for two consecutive three year terms.
John has extensive experience in creating and driving best practices as they relate to compliance and surveillance initiatives. He maintains strong working relationships with securities industry professionals and is commonly sourced for his guidance as a subject expert.
He currently resides in Stowe, Vermont and periodically lectures at the University of Vermont Business School, St. Michaels and Champlain College on market structure initiatives and the transition of regulation in an electronic market.
Paul has over 30 years of experience in the Financial Services Industry. He is an expert in operational controls, processes and procedures. Primary areas of focus include trade capture, settlement, custody, margin lending practices and IT support systems designed to process, control and archive business activities. Coverage includes the design and testing of intra-departmental data process flows and global portfolio reporting tools. During his tenure on the Street, Paul served as Vice President in Global Operations for Goldman Sachs, Limited Partner at Spear Leeds & Kellogg President of SIFMA’s credit and Margin Society and Delegate to the SEC/FINRA Portfolio Margin Sub-Committee.Read more
Paul focuses his advisory services on the following: regulatory and margin risk mitigation; industry best practices; process and procedural design and control; supervisory control systems, order routing and exception identification, review and reporting. Since 2011 he has been engaged in providing operational risk management review, process improvement enhancements and supervisory control system recommendations to broker/dealers, market makers, and registered member firms in support of listed SEC and CFTC regulated products.
Paul also serves as a consulting and expert witness in matters relating to the areas above on behalf of regulators, attorneys, Broker Dealers and private parties in investigations, trials, arbitration and mediation.
Sue-Lui Facendola has extensive experience in handling regulatory matters specifically those involving market integrity. Sue was a Vice President for Market Surveillance at the Financial Industry Regulatory Authority (FINRA), where she oversaw surveillance of various regulatory compliance areas such as Market Access, Information Barriers, Best Execution/Order Handling Practices, Alternative Trading Systems, Manipulation, and Supervision.Read more
Sue managed a robust surveillance program for equities trading that included surveillance pattern development, analysis of surveillance output, conduct investigations, and collaborate with legal in bringing enforcement actions. Concurrent with her surveillance responsibilities, Sue successfully lead an examination program that was dedicated to reviews of high-risk regulatory areas and also developed a Fixed Income trading examination program. Prior to working at FINRA, Sue was a Vice President at NYSE Regulation, where she was responsible for overhauling and updating the NYSE’s market surveillance program as the Exchange transitioned from a manual market to an electronic
In addition to her regulatory experience, Sue previously served in various compliance roles at Morgan Stanley and Citigroup Global Markets. She provided compliance coverage to the firms’ institutional trading businesses including advisory, training, surveillance, and regulatory technology-related initiatives. Sue earned her J.D. from Southern Methodist University Dedman School of Law and her B.S. in Management from St. John’s University.
Louis G. Pastina
Louis “Lou” Pastina is a highly experienced marketplace and technology executive whose proven skill at articulating and achieving a strategic vision and executing technological breakthroughs, sets him apart. He successfully led the New York Stock Exchange through transformational changes, pioneering several industry firsts.Read more
Lou previously chaired the Regulatory Oversight Committee at the electronic National Stock Exchange. He was previously the NYSE representative to the DTCC Board of Directors, and a member of the NYSE Operating Committee, Management Committee, Listings and Compliance Committee, Leadership Forum, Employee Benefit & Pension Committee, the NYSE’s Wall & Broad insurance subsidiary Board of Directors, and Securities Industry & Financial Markets Association Operations and Technology Committee.
A holder of seven U.S. patents, he graduated from St. Francis College in Brooklyn, which also awarded him an Honorary Doctorate of Humane Letters in 2015. He also chairs the Advisory Board at his alma mater’s SFC Center of Entrepreneurship. Lou is also a member of the Securities Traders Association of New York.
Specialties: Managing large complex technology projects, cash equity market operations, development and project management teams and implementation of technology infrastructures. He also advises on strategic technology and design and implementation of data centers.
Kevin J. Trimble
Kevin J. Trimble, is a senior compliance professional with more than 30 years of experience managing the development, implementation and oversight of complex broker-dealer compliance programs.Read more
Kevin is a trusted and proven leader with decades of “hands on” practical expertise in compliance requirements and regulatory liability, including surveillance, reporting, supervision, licensing and training. Mr. Trimble was instrumental in developing some of the industry’s first proprietary surveillance programs for electronic trading by market-makers.
He served as the Chief Compliance Officer of several major New York Stock Exchange specialist market-maker firms–including M.J. Meehan & Co./Fleet Bank and Kellogg Capital Markets. At Kellogg Capital Markets, he also served as the firm’s Chief Operating Officer and oversaw all operations, financial and information technology departments comprised of a staff of 30 people. He earlier worked in Compliance at the specialist firm, LaBranche & Co.
Besides his Wall Street experience, Kevin also served nearly three years as an advisor at Brunelle & Hadjikow, P.C. where he provided litigation support in connection with FINRA and SEC disciplinary actions and investigations. Kevin is also a member of the Securities Traders Association of New York.
He successfully completed the Series 7, 14A, 24 and 25 qualification examinations, and has recently qualified for an appointment as an arbitrator in FINRA’s national securities dispute resolution forum.
He holds a B.S. in Criminal Justice from St. John’s University and lives in New York.
Ms. Janice O’Neill is a veteran compliance and financial executive whose in-depth knowledge of the equities marketplace, corporate governance and listing standards, experienced financial management and exceptional organizational skills, make her a recognized leader in her field. Janice’s tenure at the New York Stock Exchange included development and oversight of the NYSE’s listing standards and compliance program, spearheading NYSE’s original listing and ongoing compliance program to ensure the quality and the integrity of the NYSE list of issuers, coordinating with issuers and their legal counsel on large scale corporate transactions and interfacing with the Securities and Exchange Commission on behalf of the listing program for the NYSE.Read more
As Senior Vice President of Corporate Compliance for the New York Stock Exchange managing the NYSE’s compliance program for over 2,800 issuers and 1,800 Exchange Traded Products for three markets, NYSE, NYSE MKT and NYSE Arca she spearheaded the development of the Exchanges corporate governance and financial listing standards, working closely with the Securities and Exchange Commission and listed issuers to ensure the standards met and exceeded market place requirements. Janice was the Chair of the Exchange’s Listing and Compliance Committee, admitting new issuers to the market place, working with complex shareholder approval issues, voting rights requirements and non-compliance with listing standards. Janice was the originator of the innovative egov direct web-based site, the Exchange’s secure web-based compliance application for listed issuer.
Ms. O’Neill was Chair of the Exchange’s Listing and Compliance Committee, member of the Employee
Benefits & Pension Committee, and regular panel member on industry conferences for the American Society of Corporate Secretaries and Governance Professionals. Janice holds a Professional Management Degree from Harvard Business School. She graduated with a double degree in Statistics and Psychology from the University of Rochester and Master of Business Administration with a concentration in finance from Seton Hall University.
Specialties: Developng and managing complex and wide scale compliance programs, spearheading multi -discipline corporate and industry projects, coordinating and communicating with regulatory bodies, corporate boards and C-suite executives, management of large organization efforts, as well as financial planning including strategic pricing development, expense management and reduction and capital budgeting.
Bob Zito has more than 30 years’ experience as a brand communications and advertising and public relations executive in the sports, financial, pharmaceutical and entertainment industries. As the Executive Vice President and member of the Management Committee of the New York Stock Exchange, Bob built the NYSE’s brand into one of the most respected in the world. He is best known for bringing television to the NYSE trading floor, and creating the daily “must-see” events of high-powered newsmakers ringing the opening and closing bells, creating global visibility for NYSE-listed companies and member firms.Read more
As Sony’s Vice President of corporate communications, he helped rebrand the company as a global entertainment leader following Sony’s acquisitions of CBS Records and Columbia Pictures.
During his time as Chief Communications Officer and a member of the Management Committee of Bristol-Myers Squibb he guided the successful ‘Together we can prevail’ brand campaign, which focused on the company’s mission to help patients prevail over serious diseases. In all three roles, Bob handled many crisis communications assignments ranging from criminal issues, to business interruptions, to executive transitions. At Zito Partners and Ketchum Zito Financial, Bob has helped companies with similar crisis engagements, helping CEOs and Management Committees with critical business and personal issues.
Bob served as the Chairman of the Board for Pcubed, a global project and program management consultancy, serves as Vice Chairman of the FDNY Foundation, and serves on the boards of the Robert Wood Johnson University Hospital, and Cento Amici. He was also responsible for the New York Stock Exchange and Bristol-Myers Squibb Foundations. In 1998 he started the NYSE Fallen Heroes Fund, and in 1991, the Zito Family Scholarships at St. Peter’s Prep. He is a graduate of Fairfield University and completed the Advanced Management Program at Harvard University. A 1998 recipient of the Ellis Island Medal of Honor, Bob continues to be a guest lecturer at Rutgers University.
Jim Buckley has deep experience in exchange regulation and compliance, most recently at National Stock Exchange, Inc. (NSX) where he held the positions of Senior Regulatory Counsel from May 2013 to June 2014 and Chief Regulatory Officer from June 2014 to March 2017.Read more
In that capacity, Jim was responsible for managing the regulatory and compliance functions of NSX, including surveillances of member trading on NSX and the exchange’s internal compliance functions. He also oversaw the filing of proposed rule changes with the Securities and Exchange Commission.
Before joining NSX, Jim spent more than 20 years at the NYSE, where he was the head of Compliance for NYSE Euronext’s U.S. exchanges, responsible for ensuring that the NYSE, NYSE American, and NYSE Arca complied with federal securities laws. Prior to that, he managed a department in NYSE’s Market Surveillance Division that surveilled activity on the NYSE Trading Floor. Jim also led the Exchange’s Regulatory Quality Review group and was a Director in the Exchange’s Enforcement Division.
Jim holds a JD degree from Pace University School of Law, an MA degree in Communications from Fordham University, and a BA in Political Science from Iona College. He is an attorney admitted to practice in New York.