Brian has an extensive regulatory background with over 15 years of Market Regulation experience at the Exchange level.
Prior to joining Waystone, Brian spent 10 years in CME Group’s Market Regulation department where he worked his way up from an Investigator to an Investigations Specialist. Brian oversaw daily operations and reviews of all Spoofing and Pre-Open matters and was responsible for analyzing and overseeing daily and historical trading activity for potential trade practice violations and market manipulation. Brian participated in countless trade practice investigations and subject interviews, as well as CFTC and NFA inquires and audits which resulted in significant fines and sanctions at the Exchange and Federal levels.
Prior to his time at the CME Group, Brian worked at the NASDAQ OMX Stock Exchange as a Regulatory Analyst, where he was responsible for real-time trade-by-trade analysis in review of potential trade practice violations, market manipulation and or aberrant transactions at the Exchange level. In addition, Brian was responsible for the review of all NASDAQ OMX listed company press releases (quarterly earnings, 10K, 10Q, 8K, mergers and acquisitions, bankruptcy, etc.) prior to public dissemination. Upon review, Brian assessed if the material non-public information scheduled required a trading halt to the stock in attempt to give the trading community sufficient time to digest the material information at hand.
At Waystone, Brian serves as a key contact for all potential trade practice violations, exchange level reviews and inquiries and has been assisting with annual review obligations, regulatory filings and providing guidance for Waystone’s Broker Dealer clients.
