Andrea Joyce Wagner. Areas of Expertise

Transcription

1 Andrea Joyce Wagner Actively involved in the securities industry since the early 1980's. Former Executive Vice President, Director of Compliance, Member Executive Management Committee, Risk Management Committee and Research Analyst Committee for affiliated NYSE and NASD broker dealers. Areas of Expertise Compliance Hiring and Firing Practices Operations Risk Management Advertising Branch Audits / Branch Office Structure and Procedures Clearing Firm Compliance with Trading Rules and Regulations Continuing Education Investment Advisory IRA's Written Supervisory Manuals / Compliance Manuals New Accounts Margin Options Processing, Reporting and Resolving Customer Complaints Restricted Securities Registration Department Research Department Compliance Syndicate Compliance Suitability Unauthorized Trading Excessive Turnover Misrepresentation Selling Away and Private Security Transactions Failure to Supervise Experience January 2002 formed ARC Management Group, LLC a full service litigation consulting firm. In July 2002, formed ARC Analytics, LLC specializing in the analysis of customer statements in securities related cases. Services include Securities and Litigation Consulting, Expert Witness Testimony, Analysis of broker dealer statements and documents and preparation of damage reports, pro forma, asset

2 allocation and special reports with testimony on these Analyses. June 2001 through December 2001: Managing Director, Director of Sales Supervision for First Union Securities Financial Network, Inc. January 2001 through June 2001: Managing Director, Director of Compliance,Compliance Registered Options Principal for First Union Securities Financial Network, Inc. November 1985 until December 31, 2000 : Executive Vice President, Director of Compliance, Compliance Registered Options Principal and Member Risk Management Committee and Research Analyst Committee, Allied Member of the NYSE for the JW Genesis Financial Corp. affiliated NYSE and NASD broker dealers until its acquisition by First Union Corp. in January Advised Chairman and Management Committee on firm acquisitions and strategies. Integrated transition of acquisitions both retail and institutional into our firm and to the new clearing firm in 1998, 1999, 2000 and Professional Licenses held through January 2004 Series 7 - General Securities Representative Series 63 - Uniform Securities Agent Series 24 - General Securities Principal Series 8 - NYSE Branch Office Manager/ NASD General Securities Sales Supervisor Series 4 - Registered Options Principal Series 27 - Financial and Operations Principal Series 14 - NYSE Compliance Official Professional Associations, Seminars and Speaking Events 1999 and 2000, SIA Self Regulation and Supervisory Committee 1999, Crystal Slipper Award, Woman Executive of the Year - Palm Beach County Member - National Association of Compliance Professionals Moderator of seminars of industry professionals Speaker Nationwide at Compliance Seminars 2003 Speaker PIABA conference Author of articles on various Compliance Issues Community Service 1997 and Board of Directors - Aid to Victims of Domestic Abuse (AVDA) Advisory Board - Aid to Victims of Domestic Abuse (AVDA)

3 Coletta L. Dorado Actively involved in the securities industry for over 25 years, primarily in Senior Equity Trading Positions and Executive Management Positions. From 1985 until 2001, Executive Vice President, Director of Equity Trading at JWGenesis Securities, Inc., a NYSE member firm and its affiliated broker dealers. Responsibilities Included: Head Trader market maker in securities that traded in the NASDAQ National Market System, Small Cap and Bulletin Board Market Place. Served on the firm's Executive Committee and Management Committee, responsible for the development and implementation of the policies and procedures utilized by all areas of the affiliated NYSE and NASD firms owned by the parent company. Oversaw and executed the day-to-day activities of the firm's institutional, retail, and trading operations, executed Block Trades, 144 Sales, Restricted Securities. Established trading procedures and implemented trading systems to handle and to monitor order flow from all affiliated firms for order execution on all exchanges and market places. Implemented Trading Rules and Regulations mandated by the NYSE, NASD, SEC, and other regulatory agencies. Implemented risk management procedures and compliance procedures, to supervise trading personnel and trading activity among the affiliated NYSE and NASD firms owned by the parent company. Front Line monitoring of order flow activity for red flags. Assisted in: Case Analysis and Case Preparation, Branch Audits, Customer Complaints, Margin Procedures, Option Procedures, Processing and Executing Restricted Securities, and Syndicate Compliance working with the Compliance Department and In House Legal Staff. Structured the Syndicate Department, coordinated with the Compliance Department in implementing all of the compliance rules and regulations required by the various regulatory agencies. Strategic Member of the Investment Banking Committee which reviewed analyzed and decided which private placements, initial public offerings and other types of financing were to be handled by the firm. Experience January 2002 formed a securities consulting firm ARC Management Group, LLC, a fullservice litigation consulting firm. In July 2002, formed ARC Analytics, LLC, a firm that

4 specializes in the analysis of securities related cases. Services include Securities Consulting, Expert Witness Testimony, Analysis of Securities Cases, and Testifying to the Numbers. January 2001 through July 2001 Managing Director, First Union Securities Financial Network, Inc. December 1985 through December 2000 Executive Vice President, Syndicate Manager, Director of Equity Trading for Corporate Securities Group, Inc. which changed its name in 1998 to JWGenesis Financial Services, Inc. In January of 2001 the parent company, JWGenesis Financial Corp. was acquired by First Union Corporation and the name was changed to First Union Securities Financial Network, Inc. From December 1985 until December 31, Executive Vice President, Syndicate Manager, Director of Equity Trading for the affiliated broker dealers: JWGenesis Securities, Inc. member NYSE and NASD; JWGenesis Clearing Corp., member NYSE and NASD (sold to Fiserv Corp. in November 1999); DMG Securities, Inc., member NASD; JWGenesis Financial Group, Inc. member NASD. From July 1976 until November 1985 Series 7 licensed, General Securities Representative at various NASD and NYSE Broker Dealers. Obtained Series 24 license, General Securities Principal License in Professional Licenses held during Industry Career Series 7 - General Securities Representative 1976 Series 63 - Uniform Securities Agent 1980 Series 24 - General Securities Principal 1984 Series 55 - Equity Trader Professional Associations, Seminars and Speaking Events, Articles 2003 and 2004, Co-author Articles on Various Compliance Issues 2002, Member of Security Traders Association (National) - Trading Issues Committee 2001 and 2002, Panelist, NASD Institute for Professional Development (Surveillance and Sales and Trading Practices issues) 1999 to 2001, President, Security Traders Association of Florida 1999 to 2001, Member, Knight Trading Group, Customer Advisory Committee 1990 to 2002, Board Member Security Traders Association of Florida 1990 to 1999, Panelist, NASD District 7 Seminars on Sales Practice Issues

5 1985 to 2001, Moderator/Panelist, Security Traders Association of Florida (Best Execution, Decimalization, Oats, Trading Practices, Order Routing and Disclosure, Rules 11ac1-5 and 11ac1-6). Education State University of New York at Buffalo, Bachelor of Arts School of Management 1996 through 2001 NASD Continuing Education Program: Insider Trading, Institutional Suitability and Sales Practices, Equities. Additional Training NASD Arbitrator Panel Member Training Program, Boca Raton NASD Civility in Arbitration, Boca Raton NASD Your Duty to Disclose NASD Discovery, Abuses and Sanctions NASD Expungement NASD Direct Communication Rule NASD Understanding the Prehearing Stage Community Service 2004 to present - Eucharistic Minister Holy Cross Church, Vero Beach 2004 to present Youth in Action, Indian River County Updated January, 2006