My Role at the NYSE:
As the Head of Corporate Actions Group of the New York Stock Exchange (“NYSE”), I manage all corporate actions for the NYSE, NYSE MKT, and NYSE Arca listed securities. Specifically, my group is responsible for the entire lifecycle of all corporate actions events, operational pressing of all IPOs and new listings, as well as all “Ex - dividend” rulings for all three Exchanges. My team and I are dedicated to assist issuers in executing their corporate actions and listings seamlessly. We are also committed in providing value-added services to issuers and to keeping them informed of securities industry development.
In addition to servicing our issuers, my group also serves the Trading Community and the Trading Floor. We create and publish information circulars and action items relating to essential trading information on the NYSE Market Data site, ensuring the trading community is well informed of upcoming events in a timely manner.
Over the last 16+ years at the Exchange, I have been a Director specializing in administering all foreign and domestic corporate action and complex dividend transactions.
Why I am a member of the SSA:
The area that attracted me the most to the SSA organization is its educational advocacy and in having such a strong prestigious network of industry professionals. With all the changes made to the trading / settlement process within the last few years complied with massive consolidation of the financial industry and increased regulatory oversight, there is no better time for an organization like the SSA to be an advocate for issuers. In addition, with the SSA’s history, remarkably celebrating 70 years is a testament to the great work the SSA has been doing to support our industry. I was so glad to be able to arrange to have the SSA board ring the NYSE closing bell on May 18, 2016 in celebrating this great achievement.
A little about me:
I am happily married to my lovely wife Julie for fourteen years. We met while working at JPMorgan which was located down the block from the NYSE. We have two boys ages 10 and 8. I have always worked around the Wall Street area since graduating high school. In fact my entire work experience was all accomplished within a four block radius of the Exchange, which made me think that it was always destined for me to be working at the Exchange. My family and I love spending time at our Pocono Lake House, boating, golfing or just relaxing. My wife does claim that the relaxing part for me is not achievable or down right impossible. I am a “do it yourselfer” so I am always fixing/upgrading something around the house; and with two young boys running around, you can only imagine why relaxing is the hardest thing for me to do.