Subject: Teron Douglas

Subject of Interest
Teron Douglas is  the Head of Merrill Edge Digital Capabilities and leads the team responsible for the Merrill Edge digital channels and investing capabilities. Douglas joined Merrill Edge from E*TRADE in 2015, where he was Senior Vice President and COO of Investor services. Douglas began his career at Wells Fargo, where he worked in mortgage underwriting supporting their early digitization efforts. He has a BS in Economics and an MBA from the University of Wyoming. He holds Series 4, 7, 24, 63 and 65 FINRA registrations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Rob DeJesus

Subject of Interest
Rob DeJesus is the Head of Merrill Edge Sales & GWIM Integration and is responsible for Merrill Edge’s online investing and trading platform, self-directed sales and relationship management. DeJesus joined Merrill Edge from Citi in 2011, where he spent five years and was director of the National Investment Center. Prior to joining Citi, Rob spent 12 years at TD Ameritrade, where he held positions across sales, service, operations, risk, and strategic initiatives. Rob holds Series 7, 63, 65, 24, 9 and 10 FINRA registrations.

Subject: David Poole

Subject of Interest

David Poole is the Consumer Investments Solutions & Client Services Executive and leads the Consumer Investments Solutions & Client Services team in Bank of America Corporation’s Merrill division. Prior to joining Bank of America in 2013, he held various senior leadership roles across sales and service at E*Trade over a 14 year period. His most recent role at E*Trade was Vice President of Customer Service. Poole holds an MBA degree from University of Georgia as well as a Bachelor of Social Sciences degree. He received a Certificate of Financial Planning from Florida State University and holds Series 7, 63, 24, and 4 FINRA registrations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

 

Subject: Aron Levine

Subject of Interest

Aron Levine is the Head of Consumer Banking & Investments and the Consumer Investments group at Merrill Edge. Levine joined the company through Fleet Financial group in 1993 and has held leadership roles in Commercial Real Estate Banking, Marketing, Corporate Strategy, and Global Wealth Management. He graduated from the University of Rochester with a degree in both Economics and History.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Stanley F. Druckenmiller

Subject of Interest

Stanley Freeman Druckenmiller is an American investor, hedge fund manager and philanthropist. He is the former chairman and president of Duquesne Capital, which he founded in 1981. He closed the fund in August 2010 because he felt unable to deliver high returns to his clients. At the time of closing, Duquesne Capital had over $12 billion in assets. From 1988 to 2000, he managed money for George Soros as the lead portfolio manager for Quantum Fund. In 2017, his net worth was estimated at $4.4 billion. Druckenmiller graduated from Bowdoin College (BA) at the  University of Michigan.

Wikipedia

Subject: Michael E. Novogratz

Subject of Interest

Michael E. Novogratz is the CEO of Galaxy Digital Holdings and a co-founder of Galaxy Digital LP — a cryptocurrency-focused merchant bank based in New York. Formerly a fund manager at the Fortress Investment Group, Novogratz is a noted cryptocurrency proponent, saying in 2017 that at least 20% of his net worth was in Bitcoin and Ether. Prior to joining Fortress, he was a partner at Goldman Sachs where he spent much time abroad. Novogratz is a 1987 graduate of Princeton University.

Michael Novogratz

Galaxy Fund Management 

Subject: Mark Valentine

Subject of Interest

Mark Valentine was the former chairman of Thomson Kernaghan & Co., a securities broker-dealer located in Ontario, Canada. Valentine controlled a significant amount of C-Me-Run, Inc. (“C-Me-Run”), SoftQuad Software, Ltd. (“SoftQuad”) and JagNotes.com, Inc. (“JagNotes”) stocks. He was arrested by German authorities in 2002  relating to a massive securities fraud and money-laundering scam that has resulted in indictments against 58 people.  In 2004, Valentine pleaded guilty to one count of securities fraud in violation of Title 15 of the United States Code, Section 78j(b) and 78ff before the United States District Court for the Southern District of Florida, in Unites States v. Mark Valentine, et al., Criminal Indictment No. 02-80088-CR-Cohn. On May 21, 2004, a judgment in the criminal case was entered against Valentine. Valentine was sentenced to four years of probation with nine months of home detention and other special conditions of supervision and ordered to pay a $100 assessment to the court.

Administrative Proceeding: Paul D. Lemmon, Mark Valentine, and Michael Vlahovic

Mark Valentine arrested in FBI stock fraud sting

Subject: Steven A. Cohen

Subject of Interest

Steven A. Cohen is an American billionaire hedge fund manager,  He is the founder of hedge funds Point72 Asset Management and now-closed S.A.C. Capital Advisors, both based in Stamford, Connecticut. In 2013, the Cohen-founded S.A.C. Capital Advisors pleaded guilty to insider trading and agreed to pay $1.8 billion in fines in one of the biggest criminal cases against a hedge fund. Cohen was prohibited from managing outside money for 2 years as part of the settlement. The hedge fund agreed to plead guilty to wire fraud and four counts of securities fraud and to close to outside investors.

Steven A. Cohen

S.A.C. Capital Advisor

Point72 Asset Management

Subject: Richard Choo-Beng Lee

Subject of Interest

Richard Choo-Beng Lee, who co-founded Spherix Capital and once was an analyst at SAC Capital, pled guilty in 2009 along with Spherix co-founder Ali Far, admitting to engaging in an insider trading scheme that enabled Spherix to make $5 million. Lee secretly informed on various individuals and recorded several  phone calls with 28 people, including billionaire Steven A. Cohen, whose SAC Capital employed Lee as an analyst from 1999 to 2004, prosecutors said. Lee was also ordered by U.S. District Judge Kevin Castel in Manhattan to pay a $100,000 fine in light of his 2009 guilty plea.

Three weeks prison for key informant in U.S. insider-trading cases

Galleon Group

Subject: Ali Far

Subject of Interest

Ali Far is a former employee at the Galleon Group. He left in 2008 to start his own Hedge fund (Spherix Capital Partners) with his Partner, Richard Choo-Beng Lee, aka “C.B.” Far was sentenced to one year of probation for his participation in multiple insider trading schemes during which he obtained, shared, and traded based on material, non-public information (“inside information”) stolen from several public companies. Far pled guilty in October 2009 to one count of conspiracy to commit securities fraud and one count of securities fraud pursuant to a cooperation agreement with the government. Together, he and his co-conspirator at Spherix gained approximately $5,209,464 for their hedge fund by placing trades in Spherix accounts based on Inside Information.

Former Galleon Group Employee and Hedge Fund Founder Ali Far Sentenced in Manhattan Federal Court for Insider Trading

Galleon Group

Subject: Danielle Chiesi

Subject of Interest

Danielle Chiesi is a former beauty queen turned stock analyst that helped former Galleon Group founder Raj Rajaratnam with insider trading. Chiesi pleaded guilty on three counts of securities fraud, and was sentenced to a West Virginia Prison in 2011. She served 15 months before being released. She agreed to pay $540,000 to settle related civil charges with the Securities and Exchange Commission.

Danielle Chiesi to Pay $540,000 in Insider Trading Case

Galleon Group

Subject: Raj Rajaratnam

Subject of Interest

Raj Rajaratnam is a Sri Lankan-American former hedge fund manager and founder of the Galleon Group, a New York-based hedge fund management firm. On October 16, 2009, he was arrested by the FBI for insider trading, which also caused the Galleon Group to fold. He stood trial in U.S. v Rajaratnam (09 Cr. 01184) in the United States District Court for the Southern District of New York, and on May 11, 2011, was found guilty on all 14 counts of conspiracy and securities fraud. On October 13, 2011, Rajaratnam was sentenced to 11 years in prison and fined a criminal and civil penalty of over $150 million combined. Rajaratnam was released to home confinement in his Upper East Side Manhattan apartment, located on Sutton Place, in the summer of 2019.

Wikipedia

Galleon Group

Subject: David M. Solomon

Subject of Interest

David Solomon is Chairman and Chief Executive Officer and a member of the Board of Directors of The Goldman Sachs Group, Inc. Previously, he was President and Chief Operating Officer of Goldman Sachs. Prior to that, he served as Co-Head of the Investment Banking Division from 2006 to 2016. Before that, Mr. Solomon was Global Head of the Financing Group, which includes all capital markets and derivative products for the firm’s corporate clients. He joined Goldman Sachs as a Partner in 1999.

Biography

Goldman Sachs

Subject: John E. Waldron

Subject of Interest

John E. Waldron is President and Chief Operating Officer of The Goldman Sachs Group, Inc. He is a member of the Goldman Sachs Management Committee and Chair of the Firmwide Client and Business Standards Committee and Firmwide Reputational Risk Committee. Previously, Mr. Waldron was Co-Head of the Investment Banking Division (IBD) from 2014 to 2018. Prior to that, he was Global Head of Investment Banking Services (IBS)/Client Coverage for IBD and had oversight of the IBS Leadership Group, a group he founded in 2010. Earlier in his career, he was Global Co-Head of the Financial Sponsors Group from 2007 to 2009, Co-Head of Leveraged Finance from 2005 to 2007 and Co-Head of the Media and Entertainment Group in IBD from 2002 to 2005. Mr. Waldron joined Goldman Sachs in 2000 and was named Managing Director in 2001 and Partner in 2002.

Biography

Goldman Sachs

Subject: Stephen M. Scherr

Subject of Interest

Stephen M. Scherr is Chief Financial Officer of Goldman Sachs. He serves on the Management Committee, Firmwide Risk Committee, Firmwide Asset Liability Committee and Firmwide Investment Policy Committee. Scherr joined Goldman Sachs in 1993 as an Associate in the Financial Institutions Group. In 1996, he transferred to Emerging Markets/Capital Markets in the Fixed Income, Currency and Commodities Division. In 1998, Scherr moved to the Communications, Media and Entertainment Group. He served as Chief Operating Officer for the Investment Banking Division from 2005 to 2007 and was Head of the Americas Financing Group before serving as Global Head of the Financing Group from 2008 to 2014.

Biography

Goldman Sachs

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