JOHN H. BLUHER
Dana Point
Summary
As a strategic finance leader, I bring robust experience in corporate financial management and strategic planning. My strong focus on team collaboration allows me to drive financial performance and adapt to changing business needs. With expertise in financial analysis, budgeting, risk management, and compliance, I am known for my reliability and ability to achieve significant results through effective leadership and strategic decision-making. I work with leadership to drive revenues and develop new channel strategies for revenue growth.
Overview
42
42
years of professional experience
1
1
Certification
Work History
CFO, EVP – Part Time
NEW WORLD SAVING d/b/a GUAC
02.2022 - Current
- Fintech company working in the banking financial space to increase bank deposits through consumer use of a savings and spending app. Developing investor presentations and closing investor capital. Developed company B2B and B2B2C revenue strategy. Companies first CFO. Developing revenue channels and business market strategies with the CEO and CMO. Completing audits and organizing financials and general ledger. Preparing the company to IPO in 2025. Working with family offices, private equity and VC investors. Developing term sheets, cap tables and presenting financials and CAGR pro formas.
GROUP CFO
OAK QUARRY, LP, OAK QUARRY MANAGEMENT, LLC, 1815NORTH, VELA ADVISORS RIA, JENNING AND CONRAD FAMILY OFFICES
01.2022 - Current
- Private Equity group of companies primarily focused on real estate acquisition and development. Created finance department and managed fund investments and capital from three real estate funds. Created financing facilities for a $4B master planned community and golf center- Siena Valley Club. M&A to buy medical arts buildings and financial planning for 60 acre resort property acquisition in Palm Desert, CA. Managing fund audits and auditors, tax returns for all entities, independent fund valuations for fund investors, managing the general ledgers and consolidating financials, forward cash forecasts, and allocating capital for M&A and real estate acquisitions. Work with broker-dealer on pro formas, forecasts, cash management for a 506c fund raise. Work daily with CEO and President/COO on strategy. Work with fund owned general contractor and owned subsidiary building companies - allocating capital into building projects and managing building credit facilities.
- Work daily with Vela Advisors RIA tracking valuations of portfolios, filing SEC filings and create and issue quarterly investor statements. Work on purchasing independent RIAs, structuring earnout purchase agreements to increase AUM. Real estate valuations for investors statements.
DIRECTOR OF FINANCE – Part Time
OCUTRX TECHNOLOGY, INC.
02.2020 - Current
- Medical technology company using augmented reality technology to solve multiple medical and surgical issues for AMD patients and surgeons. Developed Finance department and managed M&A activity to value and purchase a chip and circuit board company to create vertically integrated manufacturing. Preparing the company, board to IPO in 2025 with NASDAQ compliant governance and audits, process and financials.
DIRECTOR OF FINANCE, EVP
AUTOLOTTO, INC. d/b/a LOTTERY.COM
02.2021 - 08.2022
- Hired to create and manage a Finance department for Autolotto. Company was SPACed and de-SPACed and IPOed to NYSE. Created SEC reporting infrastructure and Risk Management over financial affairs. Hired and created Finance department. Managed M&A to buy two Mexican lottery companies. Reported to the President and Board of Director. Handled initial 10K and 10Q filings and company audits. Managed cash flow and AP and AR. Worked to develop new sales and revenue channels. Created new team that integrated with businesses.
- Conducted internal investigation on behalf of the Board of Directors into revenue recognition issues from 2 years before I was hired. Reported findings and later testified for the Company before the SEC and US Department of Justice.
CFO, EVP, DIRECTOR OF FINANCE
BLACKRIDGE TECHNOLOGY, INC.
05.2016 - 10.2020
- Director of Finance and CFO to a software development company for cyber security solutions. Organized and created the finance function in BlackRidge prior to going public in Feb. 2017. Hired and managed the audit firm for auditing BlackRidge. Prepared the cap table and balance sheet for public disclosure. Capitalizing software development expenses to be carried on the balance sheet as an asset. Created and launched NASDAQ compliant corporate governance policies, committee charters, trading policy, ethics, policy. Post- public: formed the corporate board, D&O insurance execution, filed 14a to merger companies, timely filed all company filings since Feb. 2017, reporting to CEO and Audit committee chair. In 2019 successfully migrated the general ledger from Quickbooks to Net Suites. Raised capital to grow the company – including created and funded a Series A Preferred and a Series B Preferred share offering. Created and manage the employee Stock Incentive Plan, and created and manage the issuance of all shares, options, and incentive awards. Developed the company compensation policy. Created cash flow models and cash management plans. Lead the M&A due diligence team to acquire a complementary technology company.
- In this role, I hired the Controller and AP/AR staff, and created and managed a Department of Defense security cleared finance subsidiary with a controller and staff for revenues from DOD classified contracts. We manage the audit firm and audits. In 2018, I re-structured the balance sheet. As CFO I work daily with the President of Sales and the President of Federal Sales to allocation and budgeting in the engineering departments in NY, NV, CA. I worked daily with the CEO on managing the board, forecasting, budgeting, cash management and develop and execute strategic initiatives to grow the company. Aside from the Finance staff, I manage HR (including benefits), Legal, Risk and Operations in Los Gatos, CA and Reno, NV
CFO, EVP, DIRECTOR OF FINANCE
TENRICH INTERNATIONAL, INC., XPAL POWER, INC.
08.2015 - 06.2016
- CFO to US based subsidiaries of Taiwan based Tennrich International, a Taiwan public company that engineered and manufactured consumer electronics in two Chinese factories for distribution in the US. Hired to manage M&A transactions, cash flow and capital allocation into the US businesses and take the US companies public. Ultimately, the TIC board determined to sell the US distribution companies and lead M&A strategies and structured deal terms with strategics to spin-out the two US companies. The final spinout of Xpal Power, Inc. was completed in late May 2016. Managed finance department, accounting, HR, finance, administration, and benefits. Set and executed strategy for sales and opening new sales channels to grow the company and place more product. Place corporate D&O policy. Managed supply chain and negotiated/set inventory landed prices, POs and invoices, and wholesale pricing and ultimate retail and internet sales pricing. Managed manufacture contracts, wholesale and distributor contracts.
CEO, Chairman
NORTHSIGHT CAPITAL, INC.
01.2014 - 08.2015
- Oversaw the building and launch of 9 internet web portals for advertising and marketing for a new public company in the cannabis space. Created a first to market strategy for capturing internet advertising revenues for industry specific portals/companies. Developed sales team and marketing team, set strategy for development of social media platforms and channel penetration. Direct reports: CFO, CMO, Director of Sales, CAO, CLO.
EVP, Chief Operating Officer, Co-Chairman
MUSCLEPHARM CORP
07.2011 - 01.2014
- Early stage high growth public company- hired to run all operations and administrative functions: HR, Legal, Finance, CFO, IR, PR, operations. Developed finance department with supply chain controls and inventory and manufacturing controls and systems. Became interim CFO and restructured and reorganized the company. Developed distribution strategies and opened new channels in brick & mortar, big box, and wholesale distribution. Reduced float from 2B shares to 10MM and took stock price from $.04 to $.14.00. Launched 20 new products and set up sales force into retail, e-commerce, big box, specialty retail with Bodybuilding.com, GNC, and Vitamin Shop. Negotiate first sponsorship deal with UFC. Created public company board and governance. Developed and managed the CFO and AR/AP staff. Managed the Audit committee and daily interaction with the Audit Chair. Successfully filed all SEC disclosure and reporting documents during the entire period I was in the COO role. Created several financial instruments for raising non-dilutive capital. Created and managed Risk Management function. Grew from $1.5 MM in revenue to over $100MM in 3 years. Company purchased by PE firm.
Managing Director
AFH HOLDINGS & ADVISORY LLC
11.2009 - 06.2011
- Private to public transactions small cap to mid-cap companies, private equity investing and portfolio company management. AFH portfolios buy interests in $15-50MM EBITDA private companies, builds executive team, compliance, corporate governance and takes companies public through IPO, APO, Form 10 shell transactions. Raise capital (debt and equity), engage underwriters, conduct due diligence, negotiate merger and purchase agreements, develop cap tables, file necessary corporate and SEC documents in transactions. Executive team development and Board development. Build staff and executive teams to transition companies to operate in public markets. Developed growth strategies to quickly grow companies-distribution, sales, admin, etc. Develop risk programs, place D&O insurance, establish audit and risk profiles.
Business Development, Consulting on Private Equity, Portfolio Manager Coachman Energy Funds
ENDION CAPITAL LLC / CADDIS CAPITAL, LLC
10.2009 - 08.2010
- Income based private equity partnerships. Portfolio manager for oil and gas private equity funds-Coachman Energy I and II. Coachman Energy III $75MM retail channel capital raise in July. Joined the partnership to assist in managing the growing energy business and to create and launch new funds. Conduct due diligence, manage portfolio investments, manage Advisory Board. Source and negotiate deals and property acquisitions. Risk management on business transactions and investments. Director of Finance and capital raising. Responsibility for structuring funds, drafting PPMs and operating agreements, creating master feeder platforms, determining economics and acquiring assets. Partnership dissolved Oct. 2010.
SPECIAL ADVISOR TO AARP MUTUAL FUND BOARD OF TRUSTEES
INVESTMENT BANKER
10.2009 - 08.2010
- Endion Capital LLC engaged by the Chairman of the AARP Fund Board and AARP President to assist in structuring legal, compliance and business alternatives for merger or adoption of the funds or liquidation. Conducted market research, financial analysis, investment banking activity and M&A to find a strategic partner to adopt the funds. Created structural and integration analysis for investment strategies and departmental lift-out. Worked directly with AARP Board and AARP Fund Board to develop transaction strategies.
Global Chief Legal Officer, Global Chief Compliance Officer, Managing Director
LEHMAN BROTHERS HOLDINGS, INC. / NEUBERGER BERMAN GROUP LLC
05.2007 - 10.2009
- Chief Legal Officer for Investment Management Division ('IMD') business subsidiary of Lehman Brothers, Inc. with assets under management (August 2008) of approximately $380 billion. Consisted of Neuberger Berman Funds, Lehman Funds, Lehman Private Equity, Lehman Alternative Investments (single-manager, fund to funds, and quant strategies), money market funds, fixed income funds, domestic and off-shore liquidity funds, products and funds were distributed through Private Investment Management, Private Asset Management and High Net Worth, and Institutional and Intermediary Sales and Distribution. Responsibility for corporate structuring, maintenance of Boards, the Corporate Secretary Office. Managed all legal functions for five core IMD businesses. Managed Global Compliance function for IMD and had administrative responsibilities for staffing and systems development and integration. Chief Compliance Officers and Fund Compliance Directors reported directly for all businesses in the United States, Europe and Singapore and Asia. Developed enterprise risk and compliance model for the broker dealer and Fund complex. Managed all litigation, case control, retention of counsel, budgets, fee agreements, and strategic decisions on discovery, settlement, appeals, document control. Managed Lehman sub-prime cases, MDL proceedings and arbitrations, NY State AG for auction rate securities sales and auction failures. Managed the investigation and reporting on Lehman's auction rate desk and sales activities. Created settlement fund and claims process for retail and institutional clients with failed auctions. Managed internal claims with Weil Gotshal during the initial stages of bankruptcy. Managed pre-litigation planning during product failures - LibertyView Hedge Fund, SIV structures (Gordian Knot and Whistlejacket), CDO and CMO structural failures (synthetic and asset backed). Strategic coordination for business development and deployment of capital and balance sheet. Managed all Investment Company and Advisors Act filings, no action requests and exemptive orders. Responsibility for all disclosure policy and regulatory disclosure. Member of IMD Executive Committee and the Lehman LCA. Chair New Product Committee, Co-chair of Product Review Committee, Co-chair Valuation Oversight Risk Committee, Member Risk Management Committee. Neuberger Berman Fund Boards advisor and participant. Managed the IMD legal team during the private equity bid for IMD by Bain Capital and Hellman. Managed $20B Private Equity business-creation of new products, marketing plans, seed capital. Managed legal M&A on the attempted $10 billion sale of IMD to private equity businesses. Managed the M&A transaction and closing for an MBO for Neuberger Berman. Managed all regulatory relationships and audit and exam programs - NASDAQ, NYSE, FSA, SEC, FINRA, IFSRA.
Strategic advisor
MDC HOLDINGS, INC.
06.2007 - 10.2007
- Consultant and finance advisor to Larry Mizel and David Mandarich, President, on development of a corporate and financial strategy to diversify the home-building business into the insurance channel. Reviewed the market, studied acquisition strategy to buy a national platform for delivery of insurance services. Conducted M&A activity and reviewed and worked on balance sheet utilization. Created a financial plan to grow the new business. Provided risk analysis and schedules for purchase of insurance businesses. Reviewed creation of agency business for distribution of products. Created and presented the business plan to the MDC Executive Committee. Because of the then pending housing crisis, the Board voted to delay execution on the strategy.
Executive Vice President, General Counsel, Chief Compliance Officer, Chief Public Affairs Officer and Corporate Secretary. Director of Risk
JANUS CAPITAL GROUP (Janus Henderson)
07.2004 - 06.2007
- Primary responsibility as trusted counsel and adviser to the CEO, CFO and executive team. Executive leadership in managing Janus' Denver, London, Singapore and Hong Kong's legal, compliance and risk management departments, implementing and maintaining governance and compliance standards for the firm, managing regulatory and legislative matters. As Corporate Secretary managed the Corporate Board and the three Board Committees. Advised the Board on legal matters, corporate governance and strategy. Assisted the Nominating Committee Chairman on board member selection. Manage administrative and legal affairs on behalf of Janus' Board of Directors and the Board's committees. Insured compliance with evolving corporate governance and filing standards. Developed and placed D&O programs for the JCG Board and the fund Board of Trustees. Managed JCG Audit and Risk Committees. Created insurance program. Primary responsibility for regulatory compliance relating with SEC, NASD, NYSE, federal and state agencies. Maintain key regulatory relationships. Worked with Treasury, DOL, IRS, State authorities on tax issues and litigation. Responsibility for developing strategy and supervising complex litigation, MDLs, employment, corporate cases and arbitrations for all Janus' subsidiaries. Including successful litigation strategy in managing Market Timing MDL case, 36(b) Excessive Fee litigation, and IRS challenge to Janus' 355 tax-free spin-off transaction (potential $450MM liability). Coordinated appellate work, briefings and framing questions and issues for two cases argued to the U.S. Supreme Court in 2006. Counsel for all Janus Funds. Coordinate fund and product development, coordinate Fund Board meetings, develop and maintain prospectuses, SAIs and fund filings. Create and distribute Board books and agendas for all meetings. Responsibility for all corporate disclosure and SEC filings. Director of Risk managing Internal Audit, Risk Management and Insurance departments. Created an Internal Audit department for Janus, and deployed the first Enterprise Risk Model. Supervised by the President of the Janus Funds. Through this report, had operational and administrative responsibility over Janus Direct (transfer agency), Intermediary Services, International Operations, Fund Accounting, Fund Tax, and Platform Services. Developed and implemented a first-time legislative plan and Congressional monitoring process for Janus. Established key relationships in the U.S. Senate and U.S. House of Representatives. Created a Janus PAC. Co-wrote bills and found sponsors for key legislative initiatives. Worked directly on Capitol Hill in Washington DC and in various state Capitol's on legislative policy. Member of the firm's Executive Committee and Management Committee and chaired the firm's Operating Committee. Member of the Ethics Committee, Corporate Disclosure Committee and the CEO's Strategy and Vision Committee. Advisor to the CEO on acquisition and divestiture strategy.
Executive Vice President, General Counsel and Corporate Secretary Director of Risk Management (including CCO)
KNIGHT TRADING GROUP
06.2002 - 06.2004
- Primary responsibility for all legal, compliance, regulatory, legislative affairs and operational risk management for the holding company and the trading group subsidiaries. Counselor to the CEO, Presidents and non-executive Chairman of the Board of Directors. Provided counsel to the CEO on M&A acquisition and divestiture strategy. Participate in weekly Executive Operating Meetings with the CEO, CAO, CFO and President of Trading. Coordinate Board meetings and maintain governance requirements for Board Committees. Set Board and Committee agendas. Develop Board consensus for issue resolution. As General Counsel, coordinated and lead legal and regulatory operation of the OTC, listed and options trading broker dealers, Deephaven hedge fund, and international trading companies. Developed litigation strategy and set authority for matter resolution. Managed Compliance Department and developed risk and control initiatives. SEC disclosure counsel and public company filings coordinator. Chair Disclosure Committee for corporate advertising and Press Releases. File all SEC documents, e.g. Forms 4 and 5, Form TO, Form 10-K, and 10-Qs, Annual Report, Proxy. Directed all legislative and regulatory affairs. Set legislative agenda and direct PAC funding and fund raising. File and sign Comment letters and informational letters to SEC, NASD and NASDAQ. Chair Market Structure Committee.
Senior Vice President and Global Chief Compliance Officer
PRUDENTIAL SECURITIES, INC.
01.2001 - 05.2002
- Primary responsibility: Administrate all compliance and surveillance functions for business systems operating under the PSG holding company, a subsidiary of Prudential Insurance of America. Maintain compliance, surveillance, blue sky and operational risk oversight over all U.S. retail. Compliance and institutional proprietary surveillance over Capital Markets Division (all trading desks domestic and international, syndicate, research, public finance, debt capital markets). Coordinated 1940 Act and Investment Company compliance (review and approve advisory platforms, ADVs, international offshore products, wrap-fee and hedge fund programs). Oversee control units and Chinese wall restriction. Compliance and surveillance over all international retail branches, Swiss and Luxemburg private banks, Cayman Island bank, Hong Kong exchange member broker-dealer, international research, and London based managed money platform. Participate in all Global Risk Management committees and business-product review committees. Developed policy, manuals and implementation task forces for compliance led projects, e.g., EU KYU documentation protocols, FSA N2 project, Patriot Act of 2001 task force. Coordinated anti-money laundering programs and filings. Administered licensing and registration, pre-hire, and broker retention processes. Risk management over Prudential Bank and Trust Company, a federally chartered saving and loan. Direct report to the Chief Administrative Officer for PSI, Member of the PSI Operating Committee.
Executive Vice President, General Counsel and Chief Legal and Regulatory Officer, Chief Compliance Officer
SUNAMERICA, INC. AMERICAN INTERNATIONAL GROUP, INC.
10.1997 - 01.2001
- Primary responsibility: Oversight of all legal, compliance and regulatory activity in SunAmerica's six broker-dealers (approximately 9,000 independent contractor brokers and investment advisors). Five General Counsel reports and six Compliance Director reports. Acted as M&A investment banker to SunAmerica and coordinated the purchase of 5 companies. Determine valuations, and priced acquisitions and negotiated purchase agreements and asset purchase agreements. Development and implementation of global SFNI risk management plan and assessment program. Direct report to the Chairman of SunAmerica ('SAI'), Eli Broad; the Chairman of the Broker-Dealer ('B-D') holding company, SunAmerica Financial Network, Inc. ('SFNI'); and SunAmerica's Audit Committee to the Board of Directors. Chair of SFNI's Technology Steering Committee for all e-commerce, web development and technology related program authorization for the B-D network. Managed complex litigation and class action litigation for all subsidiaries- arbitrations, claims. Disclosure counsel and corporate secretary for SFNI SEC filings. Developed Product review and structuring committees for new product creation and marketing. Counsel to the Chairman on operational and administrative matters and new product initiatives and marketing programs. SFNI liaison to AIG Director of Global Risk. Chaired the Compliance Technology Subcommittee to design, develop, and test new compliance, surveillance, and order entry trade systems built on SFNI's platform for home office, supervisor and field use by all B-Ds. Established process for Rule 17h-1 MAP risk reporting and net capital risk analysis for all SAI and AIG corporate B-Ds.
Senior Vice President and Regional Counsel
PRUDENTIAL SECURITIES, INC.
01.1992 - 01.1997
- Chief legal officer and compliance liaison for 74 retail branches, 2,000 brokers in PSI's Western U.S. Division. Primary responsibility for departmental management of 18 lawyers, compliance professionals, paralegals, and clerical staff in Texas and New York. Counsel to the Regional Directors and Divisional Director. Chief Regulatory and Litigation Counsel for Western Division. Chief Litigation Counsel for Western United States - managed over 600 cases, arbitrations and claims. Direct trial experience, case management, appeals, throughout the United States. Created the litigation strategy for management of all direct investment and LP failure cases for the Western US. Managed MDL and complex litigation nationally. Managed and developed strategy for mass arbitrations and cases arising from LP losses. Worked with Wilmer Cutler directly to settle all PSI issues with the SEC and NASD. Responsibilities included: staffing, budgets, cost control development of risk management strategies, litigation plans, coordination of compliance and surveillance initiatives and programs. Presentation of legal and compliance reports to the audit committee and AUSA Ombudsman. During 1992, reported directly to PSI's General Counsel and President of Risk Management, special advisor to the Director of Compliance, liaison to PSI Equity Syndicate Desk and Investment Bank.
Senior Counsel, Division of Enforcement
U.S. SECURITIES AND EXCHANGE COMMISSION
01.1986 - 01.1992
- Discovery and litigation of injunctive actions and administrative proceeding on behalf of the SEC. Investigation and authorization of SEC enforcement proceedings. Primary responsibility for Chief Accountants practice group managing CPAs, forensic accountants and staff. Handled all disclosure cases, restatements, mis-statements Cases involving: selective disclosure, insider trading, Dirks benefit analysis, beneficial ownership, market manipulation, GAAS, GAAP, disclosure policy and Regulation T and U. Special Assistant to the United States Attorney, Northern District of California and Southern District of New York, Special Counsel to the Federal Reserve Division of Banking. Preparation of opinion letters and Action Memorandum for the Commission. Prepared legal analysis of equity offerings, proxy contests and tender offers with Division of Corporate Finance and Market Regulation.
Associate and Partner
ZIMMERS AND LOPEZ
01.1983 - 01.1986
- Civil litigation in federal and state courts in the Rocky Mountain States. First chair trial practice, depositions, discovery, negotiations, arbitration and mediations. Commercial practice included: representation of state and federally chartered financial institutions; savings and loans; real estate companies; local, regional, and national corporations; and franchise businesses. Corporate and banking counsel for board activities, proxy issues, Regulation D offerings and limited partnership offerings. Representation of corporations in employment litigation and administrative proceedings. Cases involving water adjudication, water rights abandonment proceedings before the Wyoming Board of Control, litigation of farm and ranch priorities.
Education
MBA - Executive training
Wharton, University of Pennsylvania
01.1995
JD -
University of Wyoming
Laramie, WY01.1983
BS - undefined
University of Wyoming
Laramie, WY01.1980
Skills
- Cash flow management
- Financial process improvement
- Financial strategy development
- Risk management proficiency
Certification
- Wyoming State Bar
- Colorado State Bar and New Jersey Bar corporate waivers
- Held FINRA Series 7, 24, FINRA Series 14 (necessary for Global Chief Compliance Officers)
Timeline
CFO, EVP – Part Time
NEW WORLD SAVING d/b/a GUAC
02.2022 - Current
GROUP CFO
OAK QUARRY, LP, OAK QUARRY MANAGEMENT, LLC, 1815NORTH, VELA ADVISORS RIA, JENNING AND CONRAD FAMILY OFFICES
01.2022 - Current
DIRECTOR OF FINANCE, EVP
AUTOLOTTO, INC. d/b/a LOTTERY.COM
02.2021 - 08.2022
DIRECTOR OF FINANCE – Part Time
OCUTRX TECHNOLOGY, INC.
02.2020 - Current
CFO, EVP, DIRECTOR OF FINANCE
BLACKRIDGE TECHNOLOGY, INC.
05.2016 - 10.2020
CFO, EVP, DIRECTOR OF FINANCE
TENRICH INTERNATIONAL, INC., XPAL POWER, INC.
08.2015 - 06.2016
CEO, Chairman
NORTHSIGHT CAPITAL, INC.
01.2014 - 08.2015
EVP, Chief Operating Officer, Co-Chairman
MUSCLEPHARM CORP
07.2011 - 01.2014
Managing Director
AFH HOLDINGS & ADVISORY LLC
11.2009 - 06.2011
Business Development, Consulting on Private Equity, Portfolio Manager Coachman Energy Funds
ENDION CAPITAL LLC / CADDIS CAPITAL, LLC
10.2009 - 08.2010
SPECIAL ADVISOR TO AARP MUTUAL FUND BOARD OF TRUSTEES
INVESTMENT BANKER
10.2009 - 08.2010
Strategic advisor
MDC HOLDINGS, INC.
06.2007 - 10.2007
Global Chief Legal Officer, Global Chief Compliance Officer, Managing Director
LEHMAN BROTHERS HOLDINGS, INC. / NEUBERGER BERMAN GROUP LLC
05.2007 - 10.2009
Executive Vice President, General Counsel, Chief Compliance Officer, Chief Public Affairs Officer and Corporate Secretary. Director of Risk
JANUS CAPITAL GROUP (Janus Henderson)
07.2004 - 06.2007
Executive Vice President, General Counsel and Corporate Secretary Director of Risk Management (including CCO)
KNIGHT TRADING GROUP
06.2002 - 06.2004
Senior Vice President and Global Chief Compliance Officer
PRUDENTIAL SECURITIES, INC.
01.2001 - 05.2002
Executive Vice President, General Counsel and Chief Legal and Regulatory Officer, Chief Compliance Officer
SUNAMERICA, INC. AMERICAN INTERNATIONAL GROUP, INC.
10.1997 - 01.2001
Senior Vice President and Regional Counsel
PRUDENTIAL SECURITIES, INC.
01.1992 - 01.1997
Senior Counsel, Division of Enforcement
U.S. SECURITIES AND EXCHANGE COMMISSION
01.1986 - 01.1992
Associate and Partner
ZIMMERS AND LOPEZ
01.1983 - 01.1986
BS - undefined
University of Wyoming
MBA - Executive training
Wharton, University of Pennsylvania
JD -
University of Wyoming
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