Bari Havlik is the Executive Vice President, Member Supervision and leads FINRA’s Member Regulation program, which includes surveillance and examination programs for member firms. Previously, she was a Senior Vice President and Chief Compliance Officer for The Charles Schwab Corporation. She received her undergraduate degree from DePaul University.
Subject: Thomas Gira
Subject of Interest
Thomas Gira is the Executive Vice President, Market Regulation and Transparency Services. Gira is the Executive Vice President of Market Regulation and Transparency Services. He received his law degree from the University of Maryland. Before joining FINRA in 1992, Gira was an Associate General Counsel of The NASDAQ Stock Market, Inc. Prior to that, he was Branch Chief for Options and Derivative Products Regulation within the Division of Market Regulation at the SEC.
Subject: Todd T. Diganci
Subject of Interest
Todd T. Diganci is the Executive Vice President, Chief Financial Officer and Chief Administrative Officer of FINRA. Diganci received his bachelor’s degree in accounting & computer information systems and an MBA from Drake University. Diganci is also a graduate of the Advanced Management Program at Harvard University’s Business School. He currently serves on the Board of the SIFMA Investor Education Foundation.
Subject: Robert L.D. Colby
Subject of Interest
Robert L.D. Colby is the Chief Legal Officer of FINRA, Robert Colby oversees FINRA’s rulemaking, interpretive and corporate legal functions, as well as Advertising, Corporate Financing and Dispute Resolution Departments, and FINRA’s Hearings and Appellate Offices. Colby received his J.D. cum laude from Harvard Law School. Before joining FINRA, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP, as well as served as Deputy Director in the Securities and Exchange Commission’s Division of Trading and Markets.
Subject: Marcia E. Asquith
Subject of Interest
Marcia E. Asquith is the Executive Vice President, Board and External Relations, oversees the Office of the Corporate Secretary, as well as the offices of Investor Education, Member Relations and Education, Government Affairs, Corporate Communications and International. She received her JD from the College of William & Mary School of Law. Prior to joining FINRA, Ms. Asquith served for seven years as Counsel to the Senate Agriculture Committee under Chairman Richard Lugar.
Subject: Robert W. Cook
Subject of Interest
Robert W. Cook is the President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. He graduated from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988. From 2010 to 2013, Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (SEC).
Journalist: Dan McCrum
Media
Dan McCrum is Capital Markets editors at the Financial Times. Dan joined the FT blog Alphaville in September 2013, after working as the Financial Times’s Investment Correspondent in New York where he wrote about hedge funds, asset management and markets. Before that Dan worked briefly at the Investors Chronicle. He also worked four years in Citigroup’s equity research department. Dan is a graduate of Durham University (2001). Subject: Howard G. Smith
Subject of InterestHoward G. Smith is the founder of the Law Offices of Howard G. Smith. He graduated from the Western Michigan University Cooley Law School, J.D. in 1996. His practices areas are Securities Fraud Litigation, ERISA. His bar admissions are the Common Wealth of Pennsylvania as well as many other U.S. and State courts.
Article: Elon Musk Says He’s “Not The Biggest Fan” Of Warren Buffett
Article - MediaElon Musk Says He’s “Not The Biggest Fan” Of Warren Buffett
Tyler Durden
Zero Hedge, 8 May 2020
Musk’s comments, along with the rest of his underwhelming podcast with Joe Rogan, can be seen here:
Comment: Todays story is Warren Buffett the hero of the people The HERO of the people NO All this old Prick had to do was say HEY SEC settle the trades stop the Fraud But instead he said nothing.
Subject: Jake Walker
Subject of Interest
Jake Walker is a partner of Block & Leviton LLP. He graduated from the University of Michigan School of Law, J.D. ’10, cum laude, and Babson College, B.S. ’01, Business Administration. His practice areas include federal securities litigation. His bar admissions are: California, Massachusetts, Supreme Court of the United States, U.S. Court of Appeals for the First, Fifth, Eighth, Ninth Circuit, U.S. District Court, Northern District of California, U.S. District Court, Central District of California, U.S. District Court, Southern District of California, U.S. District Court, District of Colorado, U.S. District Court, and District of Massachusetts.
Subject: Whitney Street
Subject of Interest
Whitney Street is a partner at Block & Leviton law. She graduated from the University of Virginia School of Law, J.D. and University of Virginia, B.A. Her practice areas include antitrust and securities class action litigation. her bar admissions are: State of California, State of New York, Commonwealth of Massachusetts, State of Texas, U.S. District Court for the Northern District of California, U.S. District Court for the Southern District of California, U.S. District Court for the Eastern District of California, U.S. District Court for the Central District of California, U.S. District Court for the Southern District of New York, U.S. District Court for the Eastern District of New York, and U.S. District Court for the District of Massachusetts.
Subject: R. Joseph Barton
Subject of Interest
R. Joseph Barton is a partner of Block & Leviton LLP, and is the Chair of the Firm’s Employee Benefits Group and the Firm’s Veterans/Servicemember Rights Group. He graduated from the College of William & Mary, Marshall-Wythe School of Law (J.D. 2000), Order of the Coif. He is a member of the Editorial board of the William & Mary Law Review. His practice areas include a diverse array of complex and class litigation. His bar admissions are: California, District of Columbia, Second, Fourth, Fifth, Seventh, Eighth, Ninth, Tenth, Eleventh Circuit Court of Appeals, Eastern District of Michigan, District of Columbia, Southern District of California, Central District of California, Northern District of California, Eastern District of California, District of Maryland, Northern District of Texas, Western District of Texas, Eastern District of Wisconsin, Western District of Wisconsin, District of North Dakota, Northern District of Illinois, District of Nebraska, and District of Colorado.
Subject: Jason Leviton
Subject of Interest
Jason Leviton is a partner of Block & Leviton LLP. He graduated from Georgetown University Law Center, Masters of Law LL.M. in Securities and Financial Regulations, Gonzaga University School of Law, J.D., cum laude, and Gonzaga University, B.A. His practice areas are investor protection and shareholder rights matters. His bar admissions are: Commonwealth of Massachusetts, District of Columbia, State of Washington (voluntary inactive), State of Florida (voluntary inactive), U.S. District of Massachusetts, U.S. Western District of Washington, and U.S. District of the District of Columbia.
Subject: Jeffrey Block
Subject of Interest
Jeffrey Block is a founding partner of Block & Leviton LLP. He graduated from Brooklyn Law School, J.D. ’86, cum laude and State University of New York at Albany, B.A. in Political Science, cum laude. His practice areas include Corporate Governance and Litigation. His bar admissions are: Supreme Court of the United States, U.S. Courts of Appeals for the First, Second, Third, Ninth and Eleventh Circuits, Commonwealth of Massachusetts, State of New York, U.S. District Court for Massachusetts, U.S. District Court for the Southern District of New York, and U.S. District for the Eastern District of New York.
Subject: Richard A. Maniskas
Subject of Interest
Richard A. Maniskas is the founding partner of RM Law, P.C. His practice areas are securities litigation, with an emphasis on FINRA and NYSE Member broker-dealers litigation. Maniskas is a member of the Bar of the Commonwealth of Pennsylvania, the State of New York, and the District of Columbia. He is also admitted to practice before the United States Supreme Court, the Eastern District of Pennsylvania, and the District of Nebraska.
