2010 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.
2010 Officers
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Charles M. Padala
MKM Partners LLC
President
cpadala@mkmpartners.com
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Alexis Stern Crespin
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Deborah M. Kase
Second Vice President
Deborah was a Managing Director of Institutional Electronic Executions Services at TradeTrek Securities, LLC. Previously, she was a Managing Director of BNY Brokerage, a wholly owned subsidiary of The Bank of New York. Deborah oversaw the DEx (Direct Execution Services) relationship and technical support teams.
Deborah began her career at Soros Fund Management in 1979 and was employed by BNP Paribas and Morgan Stanley in the Institutional Sales Department. Ms. Kase received a Masters degree from the University of Miami and graduated cum laude from Boston University.
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Daniel W. Tandy
Prime Executions, Inc.
Secretary
dtandy@primexe.com
Daniel Tandy is Senior Managing Director and member of the Executive Committee of Prime Executions, Inc. He is currently serving as NYSE Executive Floor Governor. Mr. Tandy began his career as a Financial Advisor at Merrill Lynch in 1977 and was on staff of the New York Stock Exchange from 1979-1987. He became a NYSE Member and has worked as a Floor Broker since 1987, joining Prime Executions in 2002 as a partner. Mr. Tandy has served as a Governor of the NYSE from 1996 to 2002. He is a past President of the Alliance of Floor Brokers. He has also served on several NYSE committees, including Market Performance Committee, Intra-Day Trading Practices Committee, Subcommittee on Openings, Indications and Trading Halt Procedures, Subcommittee on Decimalization, Chairman of the Allocation Panel and Co-Chairman of the Error Resolution Subcommittee. He serves as a member of the board of the NYSE Foundation.
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Thomas Cesare
FTEN, Inc.
Treasurer
tcesare@ften.com
Tom Cesare is Business Development Director at FTEN. FTEN is a
provider of low latency, high volume trading solutions, providing
access, speed and control for order routing, risk management, market
data and compliance. Previously Tom was Senior Vice President of Sales
at SR Labs where he was responsible for expanding the SR Labs client
base and managing the sales organization. Tom also worked for HSBC
Securities (USA) Inc. in a variety of trading roles including stints on
the DMA Trading Desk, Electronic Trading Services Team and Global
Program Trading Sales Desk. Before joining HSBC Tom was Assistant Vice
President and Head of Trading Operations at Credit Suisse Group in the
Swiss American Securities Inc. Division. In this role he oversaw
global electronic trading, execution services and market data services.
Tom serves as Co-Chairman of the Securities Traders Association of
New York’s International Committee, is a member of FIX Protocol Limited
LTD and the Securities Industry Association (SIA). Tom also
participates as a mentor in the Executives On Campus (EOC) program at
Baruch College. A Magna Cum Laude graduate of Shippensburg University
of Pennsylvania, Tom resides in Huntington, Long Island with his wife
and son.
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Lisa Marie Utasi
ClearBridge Advisors
Past President
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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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.
2010 Directors
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Stephen Blatney
Thomas Weisel Partners LLC
sblatney@tweisel.com
Stephen R. Blatney is a Managing Director and Head of Electronic Trading at Thomas Weisel Partners, a role he assumed in August 2006. Stephen leads Weisel Execution Services (WES) institutional electronic trading initiatives. Prior to joining the firm, Stephen was a senior member on the Electronic Trading Services (ETS) team at Bank of America, responsible for growing electronic and program trading business.
Before Bank of America, Stephen was Vice President, Transaction Services for The Nasdaq Stock Market, Inc. (NASDAQ), leading NASDAQ’s broker/dealer and institutional sales force. Previously, Mr. Blatney was Head of Sales for NYFIX Millennium and Director of Institutional Sales at Island Execution Services, where he was responsible for the launch of the firm’s institutional sales efforts.
Stephen received a Bachelors of Business Administration in Marketing from Temple University. He holds series 7, 24, 55, 62 and 63 licenses.
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Gregg A. Dudzinski
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Beth Hamburger
Bloomberg Tradebook LLC
bhamburger@bloomberg.net
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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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Rob Malin
Liquidnet
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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Lauren Mosolino
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Christine Sandler
NYSE Euronext
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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William Vance
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Seth L. Weber
Barclays Capital
sweber@barclayscapital.com
Seth Weber has been with Lehman Brothers/Barclay’s Capital for over 17 years, since joining the Firm in 1991. In his current role, Seth is the Head of Barclay’s Capital’s Equities Broker/Dealer Services business. In this position, Seth is providing 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 9 and 11.
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Daniel Weingarten
Penson Financial
dweingarten@penson.com
Dan Weingarten joined Penson Financial Services, Inc. in July 2007 as Senior Vice President, US Sales and Marketing. At Penson Dan co-heads Sales at the U.S. clearing firm with a focus on the global business. Dan also is actively engaged in strategic planning and new business development for the various operation companies.
Prior to joining Penson, Dan was Senior Vice President and co head of sell side transaction sales at NYFIX, leading a business development effort at NYFIX Millennium and responsible for the overall growth and development of transaction products including DMA, wholesale execution and Algorithmic trading. Before joining NYFIX in 2003, he worked as sales executive at the Island ECN, managing both buy and sell side business for the fast growing electronic execution firm. Dan has also held trading and product management positions at TD Waterhouse (now TD Ameritrade) and Credit Suisse First Boston (now Credit Suisse) He is currently a Director of the Security Traders Association of NY (STANY).
Dan holds a Bachelor of Science degree in Business Administration from the University of Delaware and currents holds the following regulatory licenses: series 4,7,9,10,24,55,63
2010 Consultants
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Gary Distell, Esq.
Katten Muchin Rosenman LLP
gary.distell@kattenlaw.com
Gary Distell is a member of the Financial Services and Financial Services Litigation Practices of Katten Muchin Rosenman LLP and provides advice primarily to securities broker-dealers on a broad range of registration, regulatory, compliance and inspection/enforcement matters.
Prior to joining the firm, Mr. Distell was Senior Managing Director in Bear, Stearns & Co. Inc.'s Legal Department and served as senior equity attorney for the company. His areas of responsibility included risk arbitrage, convertible bonds, NASDAQ/OTC trading, block trading, international, equity capital markets, NYSE floor, program (including algorithmic) trading, institutional equity sales, equity research, research sales, cash derivatives, correspondent order flow, NYSE specialist, and equity compliance. He was also an advisor to the Corporate Strategy Group with respect to investments in Exchanges, Regulation ATS entities and certain broker-dealers including structure, registration issues and filing requirements. Mr. Distell also managed the firm’s regulatory response group which was responsible for responding to inquiries from various self-regulatory organizations and federal securities regulators.
Prior to that, he was employed by the NASD's (now FINRA) Market Regulation Department where he worked as an investigator for over a four-year period and participated in significant regulatory investigations.
Mr. Distell earned his B.S. from Penn State University, his J.D. from George Washington Law School, and his LL.M., in securities law, from Georgetown University Law School.
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Val J. Kosmider
Val J. Kosmider & Company
vjk@vjkosmider.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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