2011 STANY Board of Directors The STANY Board manages the Association's business affairs according to the By-laws. Board members are elected each November, and serve one to three year terms. Members sit on the Association's Board of Directors as volunteers and receive no monetary compensation for their service. Opinions expressed by STANY are not necessarily the opinions of all of the members of the Board, nor are the opinions of the Association necessarily shared by the firms at which our members are employed. Feel free to contact a board member with a question, concern or comment that would be helpful to the organization.  Click here to download a full-sized version of the above image of STANY's 2007-08 Board members.
2011-2012 Officers
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Christine Sandler
NYSE Euronext
President
csandler@nyx.com
Christine Sandler Executive Vice President, Global Sales for NYSE
Euronext. She reports to Lawrence Leibowitz, Executive Vice President
and Chief Operating Officer, U.S. Products.
Ms. Sandler is responsible for all aspects of the company’s sales and
marketing efforts to buy-side and sell-side customers. She oversees
client relationships, manages the sales team, plans and executes
marketing activities, and leads cross-selling activities for the
company’s full suite of equities, fixed income, derivatives, and market
information products throughout North America.
Prior to joining NYSE Euronext, Ms. Sandler was with BLOCKalert, a
joint venture between Merrill Lynch and Investment Technology Group,
where she led sales efforts for its block trading indications system.
Prior to joining BLOCKalert, Ms. Sandler was Managing Director and
the head of U.S. electronic sales for Merrill Lynch, where she led
active cross selling initiatives and was responsible for marketing
global electronic product to U.S. institutional clients. Before joining
Merrill Lynch, Ms. Sandler was Managing Director and head of sales at
Wave Securities. Prior to that, Ms. Sandler served as Managing Director
east coast sales manager at Archipelago LLC. Ms. Sandler also held sales
and trading positions at Bloomberg Tradebook LLC, Spear Leeds &
Kellogg, and WH Reaves & Co, Inc.
Ms. Sandler has held several volunteer positions with The Junior
League of the City of New York, and the Junior League of Toronto
focusing on fundraising and mentoring. Ms. Sandler also led
fundraising efforts for the Canadian Opera Company. Ms. Sandler is an
active fundraiser and advocate for children with Autism.
Ms. Sandler holds a BA in Economics form the State University of New York at Stony Brook.
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Stephen Blatney
GreenCrest Capital
sblatney@greencrestcapital.com
Stephen R. Blatney is the Head of Business Development at GreenCrest Capital, a role he assumed in May 2011. Stephen focuses on providing institutions with insight and access to late stage pre-IPO companies. Stephen has over 16 years of experience in the financial services industry, focusing on electronic trading across both the buy and sell side community. He was a Managing Director and Head of Electronic Trading for Thomas Weisel Partners. He held a senior position at Bank of America and served as Vice President of Transaction Services for NASDAQ, leading NASDAQ’s broker/dealer and institutional sales force. Stephen was Director of Institutional Sales at The Island ECN, and started his career with Bloomberg Tradebook.
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Thomas Cesare
JP Morgan
2nd Vice President
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Robert Malin
Liquidnet
Secretary
rmalin@liquidnet.com
Robert Malin is a member of the Corporate Strategy Group at Liquidnet Holdings, Inc. Liquidnet is the world’s institutional marketplace that facilitates institutional equities trading for more than 550 asset management firms worldwide, with trading in 29 markets across the globe. Rob is involved with the evaluation, development and implementation of new business opportunities and strategic initiatives plus the management of partner and other industry relationships.
Prior to joining Liquidnet in 2007, Rob served as NASDAQ's primary point of contact for the buy-side trading community. In that role, he routinely advised clients on NASDAQ-specific initiatives, market structure topics, and industry trends. Rob entered the world of electronic equity trading upon joining Brut ECN in 2003, as head of its institutional sales effort. Previously, he worked within the corporate debt market for over 10 years, holding positions in investment-grade sales, trading and origination at Barclays Capital, Credit Suisse First Boston, and Lehman Brothers.
Rob earned his MBA from Duke University's Fuqua School of Business and his BA in Government from Dartmouth College.
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Patrick Armstrong
Prime Executions, Inc.
Treasurer
parmstrong@primexe.com
Patrick Armstrong has been in the financial business for 17 years. He started on the buy-side at Glickenhaus & Co. before coming to the floor of the NYSE. He has worked only for independent brokerage firms during his stay at the NYSE, most notably Prime Executions for the last four plus years. Currently he holds the position of Managing Director and Head of Institutional Sales. In June of this year he was elected into the position of Executive Floor Governor by his peers, the highest level of floor official on the NYSE. Patrick has been active on multiple committees on the NYSE and has been recently active in the Buy-Side Outreach Program. He is the President of the Alliance of Floor Brokers, a director of the Floor Member Emergency Fund, and a member of NOIP.
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Stephen Kay
Knight Capital Americas L.P.
Past President
skay@knight.com
Stephen L. Kay is Managing Director for Broker-Dealer Sales & Relationship Management for Knight Capital Americas, L.P. He is also in charge of Knight’s client service team which manages more than 600 clients.
Steve joined Knight in 2005 from another equity Market Maker- prior to that he spent two years working for a specialist firm on the New York Stock Exchange and has five years experience as an active trader.
Steve served as a President of the Security Traders Association of New York in 2007 and 2011. He received his M.B.A. from New York University and his B.S. from Washington University in St Louis. He is also an avid Phillies and Eagles fan.
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Kimberly Unger
Executive Director
kimu@stany.org
Kimberly Unger has served as the Executive Director of STANY since July 1996.and as President of The STANY Foundation since 1999. Prior to joining STANY, Kim worked as litigator. She began her career in private practice and worked as an associate in the litigation departments of Wilson, Elser, Moskowitz, Edelman and Dicker and Kelly Drye and Warren before moving to in-house positions within the securities industry. Kim was a member of the legal departments of several Wall Street firms including Drexel Burnham Lambert; Prudential; and Gruntal. Immediately prior to joining STANY, she worked as a Senior Regional Attorney and member of the management team in the NASD's District 10 office.
Kim is admitted to the New York State and Federal bars, and has held NASD Series 7 and 63 registrations. Kim received her Juris Doctor from Villanova University School of Law, cum laude, in 1983, where she served on both The Law Review and Moot Court Board, and a BS in Economics from Rosemont College, (in conjunction with the Villanova School of Commerce and Finance) cum laude, in 1980. Kim is also an ordained minister, having graduated for The New Seminary in 1996. Kim is a supporter and member of The Tibet House, The American Alpine Club, The American Himalayan Foundation, and The American Society of Association Executives.
2011-2012 Directors
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Jeff Cooper
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Nicholas DeMaria
StockCross Financial Services, Inc.
nick.demaria@stockcross.com
Nicholas “Tuna” DeMaria is Managing Director of Equities Trading at StockCross Financial Services, Inc. (Member NYSE/FINRA/SIPC). Headquartered in Beverly Hills with offices throughout the country, StockCross “STXG” is one of the largest privately owned Brokerage Firms in the nation with customers in over 125 nations and its’ Trading Hub right here in the NYC Metro area.
In his 20+ year career on Wall Street, Nicholas has operated as a Sell-Side Trader, Market Maker, Sales Trader and has lead as a Head Trader and Director at firms all located within our local Trading Community. Nicholas was Head of Trading at Hill, Thompson, Magid & Co. Inc. for close to a decade prior to joining StockCross. Nicholas began his career as an International Trader at Dean Witter & Co., then moved on to GFI Group Inc., Knight Securities and Security Capital Trading.
Throughout Nicholas’ career he has always been an active member and participant of several Industry committees representing Investors, Traders and Industry organizations. Nicholas has been both quoted and featured in several Industry publications such as Traders Magazine, Equities Magazine and Institutional Investor. Nicholas remains an active member and supporter of many charitable causes including his firms’ sponsorship of both the “ABC’s: Associates for Breast and Prostate Cancer Studies” and “Trading For A Cure”. Nicholas is licensed Series 7, 24, 55 and 63, is a proud 20+ year member of STANY and a lifetime New Yorker who resides in NYC with his wife.
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Thomas Fasano
Citi
tom.fasano@citi.com
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Joanna Fields
Deutsche Bank
joanna.fields@db.com
Joanna Fields joined Deutsche Bank in 2005 and is currently the Head of the Equity Market Structure for the Americas.
Joanna began her career path working at Lexecon, Inc., a Chicago based economic litigation consulting firm. In addition, her past experience includes working at both the Chicago Board Options Exchange, the International Securities Exchange; as well as, Credit Suisse First Boston.
Joanna currently serves on the Board of the Securities Traders Association of New York. In addition, she was the former Chairman of the Securities Industry and Financial Markets Association's Equity Options Trading Committee; but continues to participate as a member of numerous committees across the organization, in addition, she is a member of the Financial Industry Forum.
Joanna has a Masters Degree in Business and Technology from New York University, and a Bachelor of Arts in Art History / Chemistry from Columbia University.
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Beth Hamburger
Bloomberg Tradebook LLC
bhamburger@bloomberg.net
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Rolland Hooey
Cowen & Company
ron@cowen.com
Ron is the head of Equity Electronic Market Making for Cowen and Company and leads a diverse team of quantitative analysts, developers, engineers and client service professionals in providing best execution to customers.
He began his career as a NASDAQ market maker and spearheaded the successful build out of a new NASDAQ market making desk for BLMIS in 1995. In 2001, he led the creation and management of a dynamic equity electronic market making business leveraging his understanding of trading, sales, clearing, compliance and market structure. Ron played an integral role in developing the firm’s customer algorithms, risk controls, not held trading capabilities, OMS and high quality execution capabilities.
Ron received his MBA from Columbia Business School and BA from the College of the Holy Cross and holds his series 7, 24, 55 and 63 licenses. He also sits on the board of St. Edwards CYO in his hometown of Syosset, NY.
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Sean Klinkowize
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Lauren Mosolino
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Lisa M. Utasi
ClearBridge Advisors
marathonu2@aol.com
Lisa Utasi is a Director and Senior Equity Trader at ClearBridge
Advisors, the largest equity manager of Legg Mason, Inc., with
approximately $80.2 billion assets under management. Lisa joined
ClearBridge Advisors through a predecessor in 1986.
Lisa is the Immediate Past Chairman of the Security Traders
Association and Chair of the Education Committee with a direct focus on
STA University. Over the past 4 years Lisa served as STA Chairman, as
well as the Chair or Co-Chair of the Trading Issues, Affiliate Liaison
and Institutional Committees. In 2004, Lisa was elected to become the
President of the Security Traders Association of NY (STANY). Lisa was
the first STANY President to open the NYSE on behalf of the organization
and as an honor to its members.
Lisa serves on the NASDAQ Quality of Markets Committee where she is
also a past ITAC Chair. She participates as a member of the NYSE
Institutional Traders Advisory Committee. Lisa was inducted into the
National Organization of Investment Professionals (NOIP) in 2004. Lisa
is a member of Inst. Investor’s Trader’s Forum and the Investment
Company Institute’s Equity Markets Committee.
Lisa holds a B.A. in Political Science and a B.B.A. in Finance from Southern Methodist University.
Lisa is extremely active in the NYC charity community. She is
currently an MDA National V P and is a two time Chair of MDA’s Wings
Over Wall Street Fund Raising Committee.
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William Vance
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Seth L. Weber
Vandham Securities Corp.
seth.weber@vandham.com
Seth Weber is a Managing Director and Head of the Electronic Trading Business for Vandham Securities, a Service Disabled Veteran Owned Business (SDVOB), which he joined in 2011. Seth has launched an electronic trading business focused on both buy side and sell side customers, providing execution solutions and helping them to better understand market structure within electronic trading.
Prior to Vandham, Seth was with Lehman Brothers/Barclay’s Capital for over 19 years, joining the Firm in 1991. In his most recent role, Seth was the Head of Barclay’s Capital’s Equities Broker/Dealer Services business. In that position, Seth provided strategic solutions to Broker/Dealers regarding their execution needs in serving both institutional and retail clientele. Previously, Seth was the Chief Administrative Officer of the US Execution Services business for the Lehman Brothers’ Equity Division from 2000-2005. Before joining Equities in 2000, he held various roles within the Finance Division. Prior to joining Lehman, he worked at Ernst & Young for 2 years as a CPA.
Seth earned his Bachelors degree in Accounting from Lehigh University in 1989 and continues to be involved with the University, serving on both the Corporate Advisory Committee and the Financial Services Laboratory Board of Advisors. In addition to his educational involvement, Seth has served on various industry committees including the UTP Advisory Committee, SIA Trading Committee and the Nasdaq Exchange-Listed Subcommittee.
Seth lives in New Jersey with his wife and 2 daughters, ages 12 and 14.
2011-2012 Consultants
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Robert Arancio
Neuberger Berman
robert.arancio@nb.com
Rob is Head of Equity Trading for Asset Management at Nueberger Berman. Prior to this appointment, Rob spent the majority of his career in Lehman Brother’s Equities division, where he held various roles within trading, the last being co-head of U.S. Liquid Markets Trading. In this role, he co-managed the Firm’s Equity, Flow Volatility, Relative Value and International ADR trading desks in the U.S. Previous to this position, he served as the head of U.S. Cash Equity Trading as well as U.S. Technology Trading Sector head.
Before joining Lehman, he worked on the NASDAQ trading desk at Drexel Burnham Lambert in New York City. Rob currently serves on the Firm’s Equity Management Committee, and is a member of both the Security Traders Association of New York (VP), and NASDAQ’s Quality of Markets Committee. Rob received a B.S. from the Columbia University School of Engineering and Applied Science.
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James Hyde
NYSE AMEX Options
jhyde@nyx.com
James was the former Vice Chairman of the American Stock Exchange
Board and Senior Supervisory Officer on the Trading Floor. He was a
member of the Finance, Programs and Policies, UTP, Market Quality, New
Products Committees, and the Amex Adjudicatory Council. As a Floor
Governor, James chaired numerous Exchange operating committees and was
appointed as Chairman of the AMEX Technology Committee. Prior to the
closing of the NYSE Euronext/AMEX transaction he was asked to serve as
liaison between NYSE Euronext senior staff and the Trading Floor
communities to ensure a smooth transition of various business lines
(Options, equities and ETF’s). Concurrently, James was also a
Registered Options Trader for AGS Specialists LLC. As founder of Hyedge
LLC (1998), he was able to utilize his option trading experience to
develop and market proprietary algorithmic-like scripting technology
that many ISV’s currently deploy across option platforms/exchanges
today.
Prior to trading for AGS Specialists, James was Senior Managing
Director of Kellogg Capital Group, L.L.C., which he helped build into
one of the top-tier Option Specialists books on the American Stock
Exchange. He was instrumental in launching Kellogg into the ETF and
broker business, and was instrumental in the acquisitions of Knight
Securities, Spear Leads Index products, Fogel Group, and Van der Moolen.
James was a co-founder of TAHOE Trading, LLC and TAHOE Technologies, a
proprietary analytical software platform still utilized in the market
today.
James received his B.A. from St. John's University in 1989. He resides in Holmdel, New Jersey with his wife and two children.
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Chuck Lugay
Knight Capital Americas, L.P.
clugay@knight.com
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Stephen J. Nelson, Esq.
The Nelson Law Firm LLC
sjnelson@nelsonlf.com
Stephen J. Nelson is a member of The Nelson Law Firm, LLC, and a securities lawyer practicing in White Plains, New York. The firm's clients include several prominent broker-dealers and investment management firms, as well as issuers in the bio-tech and real estate development industries.
Mr. Nelson has served as head of NASDAQ Correspondent Trading at the Herzog Heine Geduld operations of Merrill Lynch, Director of Herzog Heine Geduld International Limited in London, and General Counsel of J. & W. Seligman & Co. in New York, and was associated with Cleary. Gottlieb, Steen & Hamilton and Hughes, Hubbard & Reed, two prominent, internationally-recognized Wall Street law firms.
Mr. Nelson is a member of the Bar of the States of New York and Connecticut, holds NASD Series 24, 7, 55 and 63 registrations, and is a member of the American Bar Association, the Association of the Bar of the City if New York and The Security Traders Association of New York, where he is a consultant on the Board of Directors.
Mr. Nelson received his Juris Doctor from Harvard Law School, cum laude, in 1986 and a BA in Economics from UCLA, summa cum laude, in 1983.
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