Subject: Paul M. Pion

Subject of Interest

Paul M. Pion has served as Chief Administrative Officer and Senior Managing Director of Cantor Fitzgerald & Co. (“Cantor”) since August 2010. Mr. Pion is also the Chief Financial Officer of Cantor Fitzgerald’s real estate business and CF Acquisition Company (SPAC). Mr. Pion previously served in numerous positions for Cantor including Global Director of Internal Audit from 2002 to 2010. Mr. Pion has been a director of Tower Bridge GP Limited since November 2010, BGC European GP Limited since January 2012 and was a director of BGC Brokers GP Limited from April 2012 until December 2019. Prior to joining Cantor, Mr. Pion served for approximately 14 years with the accounting firm Deloitte & Touche Pion holds Series 7 and 27 licenses and is a Certified Public Accountant in the State of New York. He received a B.S. in Accounting from the State University of New York at Albany.

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Subject: Dan Daviau

Subject of Interest

Dan Daviau is the President & Chief Executive Officer of Canaccord Genuity Group Inc. He was appointed in October, 2015. Dan was was previously Co-Head of Investment Banking at CIBC World Markets and started his career as a securities lawyer with Goodman & Co. He graduated from He holds an MBA from York University, an LL.B. from Osgoode Hall/York University and a B.A. (Math and Statistics) from the University of Western Ontario.

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Subject: Marcus Freeman

Subject of Interest

Marcus Freeman is the Managing Director & Chief Executive Officer of Canaccord Genuity (Australia) Limited (Asia-Pacific). He was appointed in February, 2015. He co-founded BGF Equities in 2008. Freeman completed his B. Com and was originally recruited to the graduate program of Price Waterhouse. Some years later he relocated to London, where he worked at Sakura Bank (Foreign Exchange), Rabobank International (Foreign Exchange) and Deutsche Bank (Global Equities). He returned to Australia in 2000 to work in Bell Potter’s equities business for approximately eight years, where he built significant institutional and investment banking relationships before founding BGF Equities.

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Subject: Pat Burke

Subject of Interest

Pat Burke is the President, Capital Markets of Canaccord Genuity Corp (Canada). he joined the firm in 2015. Prior to joining, Pat served as Global Head of Equity and Co-Head of Global Investment Banking for Scotiabank. In this role, he was responsible for oversight of equity sales, trading, research, prime brokerage, equity capital markets, equity derivatives and investment banking. Before that he was Managing Director and Head of Canadian Equities for Merrill Lynch, having held various roles of increasing responsibility since 2000. From 1990 to 2000, Mr. Burke worked in institutional equity and fixed income for Bank of Montreal.

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Subject: Jeff Barlow

Subject of Interest

Jeff Barlow is the President of Canaccord Genuity LLC. (US). He was appointed October, 2015. He joined the firm in February 2007.  Prior to joining the firm, he was a Managing Director and the Head of Healthcare Investment Banking at First Albany Corporation, where he was responsible for establishing and building the firm’s healthcare practice. He began his career at J.P. Morgan. Barlow received his B.A. from the University of New Hampshire and MBA with Beta Gamma Sigma distinction from the Leonard N. Stern School of Business at New York University.

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Tip: FingerMotion (FNGR) Being Naked Short Sold for 2 Years

Tip

This company has a very small float and as you can see each day the short seller is selling FAKE shares if you just look at the last 10 days  using my CIA spy skills I will count the total volume  200,866  total volume NOW TOTAL Naked short volume is 146,364 so doing my great math skills  the naked short is 73% of total volume  a COUNTERFEIT share

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Article: Crying Foul In Short-Selling Land

Article - Media

Crying Foul In Short-Selling Land

Liz Moyer

Forbes, 9 May 2006

An issue once relegated to conspiracy theorists and boiler-room insiders is about to get its 15 minutes in the sun when the Senate Judiciary Committee takes up naked short-selling in a hearing next Wednesday.

The hearing, which was postponed a week because of scheduling (and what was said to be overwhelming media interest), will focus on a brewing controversy that has already generated lawsuits against hedge funds, broker firms and research analysts alleging market manipulation in short-selling certain thinly traded stocks.

Paywall access to article.

Subject: Nathaniel Stankard

Subject of Interest

Nathaniel Stankard is Senior Advisor in the Office of the CEO at FINRA. Prior to joining FINRA, he worked for the U.S. Securities and Exchange Commission for seven years. He was previously Executive Director at Morgan Stanley in what is now the Global Sustainable Finance Group, and Cleary Gottlieb Steen & Hamilton LLP. Stankard received a Bachelor of Arts Degree in Economics from Oberlin College and received his J.D. from Harvard Law School.

Biography

FINRA

Subject: Jonathan Sokobin

Subject of Interest

Jonathan Sokobin is the Chief Economist and Senior Vice President, oversees the Office of the Chief Economist at FINRA. Previously, Sokobin was Acting Deputy Director, leading the Research Center in the Office of Financial Research at the U.S. Treasury Department. Prior to joining the Treasury Department, he was Acting Director of the SEC’s Division of Risk, Strategy, and Financial Innovation. Sokobin began his career as a member of the faculty of the Cox School of Business at Southern Methodist University. He received his Ph.D. and MBA in finance from the Graduate School of Business at the University of Chicago, and his bachelor’s degree in economics from the Ohio State University.

Biography

FINRA

Subject: Jessica Hopper

Subject of Interest

Jessica Hopper is Executive Vice President and Head of Enforcement, responsible for FINRA’s disciplinary actions across the country. Prior to joining FINRA, she was part of Legg Mason Wood Walker, Inc.’s Legal & Compliance team, where her responsibilities focused on retail sales compliance.  Hopper holds a J.D. from the University of Toledo College of Law and earned a B.A. from Hillsdale College.

Biography

FINRA

Subject: Michael Hourigan

Subject of Interest

Michael Hourigan is the Senior Vice President and Chief Audit Executive. In this role, he directs FINRA’s independent internal audit function, which is responsible for reviewing all aspects of FINRA’s operations. Prior to joining FINRA,  Hourigan worked for 10 years at USLICO Corporation as Vice President and Director of Internal Audit. Hourigan graduated from the University of South Carolina with Bachelor of Science and Masters of Accountancy degrees.

Biography

FINRA

Subject: Steve Randich

Subject of Interest

Steve Randich is the Executive Vice President and Chief Information Officer (CIO), oversees technology at FINRA. Previously, Randich served as Co-CIO at Citigroup, and CIO and Global Head of Technology for Citigroup’s Institutional Clients Group. Prior to joining Citigroup, he was Executive Vice President of Operations and Technology and CIO at NASDAQ. Randich also served as Executive Vice President and CIO for the Chicago Stock Exchange and was a Managing Principal at IBM Global Services and a Manager at KPMG. He received an undergraduate degree in computer science from Northern Illinois University and an M.B.A. from the University of Chicago.

Biography

FINRA

THE DOLLAR HAS NO INTRINSIC VALUE : DO YOUR ASSETS?