Louis Pastina
Managing Member
Email: l.pastina@glblmkt.com

Lou Pastina spent 31 years at the NYSE and is an industry veteran whose proven skill at articulating and achieving strategic vision and executing technological breakthroughs, sets him apart. He successfully led the New York Stock Exchange through transformational changes, pioneering several industry firsts.

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As Executive Vice President managing the NYSE’s then $16 trillion Cash Equity Market, he spearheaded new technologies and tactical operating plans for both the trading floor and all-electronic Equity Market through sweeping architectural upgrades to the NYSE systems, including its electronic matching engine. He introduced the NYSE Hybrid Market in coordination with the Securities and Exchange Commission, paving the way for the NYSE to transition from an open outcry system to a 21st modern electronic market.

Lou was also a member of the National Stock Exchange (NSX) Board chairing the Regulatory Oversight Committee at NSX. He represented the NYSE on the DTCC Board for seven years and chaired the Board Ops & Tech Committee. He also represented the NYSE on the Securities Industry & Financial Markets Association (SIFMA) Operations and Technology Committee.

A named holder or co-holder of seven NYSE U.S. patents, he graduated from St. Francis College of Brooklyn, which awarded him an Honorary Doctorate of Humane Letters in 2015. He chaired the Advisory Board at his alma mater’s SFC Center of Entrepreneurship.

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Bob Walley
Managing Member
Email: Email

Bob has over 41 years of experience and working with Capital Markets and Global Financial Markets industry clients. After a robust 23-year career, Bob recently retired as Principal with Deloitte & Touche LLP. Bob was responsible for working with clients to solve their most complex operations transformations, operationalize rules and regulations as well as supporting non-financial regulatory reporting programs.

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In his role at Deloitte, he was responsible for leading the Capital Markets Industry Sector, building teams and innovating services.

Bob has comprehensive working knowledge of the traded markets, regulatory and compliance functions. He focuses on risk management, front lines businesses, second line compliance, market surveillance, trade management, brokerage operations, trading systems, digital control centers and trade reporting. At Deloitte, he has advised numerous exchanges and broker dealers on leading practices, process improvements, and leading uses of technology or decision support. A developer by trade, Bob has extensive experience in systems architecture, application design, data architecture, development methodologies, securities operations technology, building enterprise data repositories and warehousing, and enterprise reporting solutions.

Bob has led numerous industry wide transformation programs including the project office for Consolidated Audit Trail, to operationalize the CAT NMS Plan to comply with SEC Rule 613 as well T+2 Shortened Settlement Cycle, and most recently the move to T+1 Accelerated Settlement Cycle. Bob’s primary focus is to help organizations modernize regulated operations.

Bob spends a great deal of his time focused on helping SUNY Geneseo and is the Chairman of the Geneseo Foundation.

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Dan Labovitz

Daniel Labovitz
Managing Member
Email: dlabovitz@glblmkt.com

Dan has deep experience as a securities market regulatory attorney, with a focus on market structure issues, rule development and interpretation. In addition to serving on the faculty for Fitch Learning, he was the Independent Regulatory Consultant for Nasdaq OMX BX (equities and options), pursuant to a SEC Order, and for Citigroup Global Markets, Inc., pursuant to a FINRA/NYSE Letter of Acceptance, Waiver and Consent.

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Additionally, Dan supported a SEC-mandated third-party review of Barclays Capital Inc.; advising on regulatory matters for FMDQ OTC PLC. He was consultant to the primary Nigerian OTC market for fixed income, derivatives, currency and government bonds; and advising an outsourced cloud services provider on financial regulatory issues in emerging markets. He has also acted as an outside Consultant to large broker-dealers on market surveillance and supervisory procedures, and to securities exchanges including BATS, NYSE MKT, and the Nigerian Stock Exchange on market structure and rule development.

Dan was previously Vice-President and Head of the Office of General Counsel for NYSE Regulation, where he supervised rule development and interpretation during the NYSE’s transition from a primarily manual to a Reg NMS compliant market center; oversaw the Floor Member Continuing Education Program; and served as the NYSE’s Regulatory Services Manager, responsible for day- to-day oversight of NYSE member regulation functions that were conducted by FINRA.

Dan has also worked as a Prosecutor for the NYSE’s Division of Enforcement, and as a Litigator with Cadwalader, Wickersham & Taft and McDermott, Will & Emery. He has taught securities law at the Zicklin School of Business at Baruch College, City University of New York, and taught legal writing at New York Law School.

Dan holds undergraduate and law degrees from New York University.

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James Buckley

James Buckley
Managing Member
Email: jbuckley@glblmkt.com

Jim joined GMAG as a managing member in November 2017. He has deep experience in exchange regulation and compliance, most recently at National Stock Exchange, Inc. (NSX) where he held the positions of Senior Regulatory Counsel from May 2013 to June 2014 and Chief Regulatory Officer from June 2014 to March 2017.

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In that capacity, Jim was responsible for managing the regulatory and compliance functions of NSX, including surveillances of member trading on NSX and the exchange’s internal compliance functions. He also oversaw the filing of proposed rule changes with the Securities and Exchange Commission.

Before joining NSX, Jim spent 25 years at the NYSE, where he was the head of Compliance for NYSE Euronext’s U.S. exchanges, responsible for ensuring that the NYSE, NYSE American, and NYSE Arca complied with federal securities laws. Prior to that, he managed a group within the NYSE’s Market Surveillance Division that surveilled activity on the NYSE Trading Floor. Jim also led the Exchange’s Regulatory Quality Review group and was a Director in the Exchange’s Enforcement Division.

Jim holds a JD degree from Pace University School of Law, an MA degree in Communications from Fordham University, and a BA in Political Science from Iona University. He is an attorney admitted to practice in New York.

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Charles Dolan

Charles P. Dolan
Managing Member
Email: cdolan@glblmkt.com

Charlie is a senior financial services executive with unparalleled experience developing and managing complex trading and market-making operations. A recognized authority on market structure, Charlie has specialized knowledge of broker-dealer and trading environments across multiple asset classes.

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His expertise includes more than two decades as a market maker and governor of the New York Stock Exchange (NYSE). While there, he successfully increased his firms’ profitability by identifying and developing new trading revenue opportunities while adapting to changing market conditions. Mr. Dolan executed strategic business decisions, including the acquisition of Susquehanna’s market making unit consisting of 300 issues. He was appointed as an Executive Floor Governor by the CEO of the NYSE and in this role served as the highest-ranking member of self-regulatory team. He has also served as an expert advisor on complex disciplinary matters to the Financial Industry Regulatory Authority (FINRA) and was also qualified as an arbitrator for FINRA’s industry-wide securities dispute resolution forum.

He previously served as a Trustee of the New Jersey Investment Council, which oversees investment policy governing the state’s $80 billion pension fund.

During his 25-year tenure as a NYSE member, most recently as Partner and CEO of Kellogg Capital Markets, he served as an Executive Floor Governor and has had senior management roles with other prominent NYSE member firms, including Van der Moolen Specialists, U.S.A. and Lyden, Dolan LLC.

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Nancy Reich

Nancy Reich
Senior Consultant
Email:nreich@glblmkt.com

Nancy’s experience includes leading the NYSE’s rule making group as Senior Vice President and serving as Chief Trial Counsel in the NYSE’s Division of Enforcement; Executive Director for Merrill Lynch’s and Bank of America’s Global Markets Compliance Group; and ten years leading Ernst & Young’s Broker Dealer Compliance advisory practice as a Managing Director. Nancy is a graduate of Harpur College at SUNY Binghamton, Cardozo School of Law (J.D.), and New York University School of Law (LL.M).

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Mickey Rosen
Senior Consultant
Email:mrosen@glblmkt.com

Mickey is a 40-year veteran of the securities markets. As one of the founding members of Posit, Mickey was responsible for building a straight through processing model in connection with parent ITG. Mickey has experience building and leading brokerage firms; trading software and infrastructure companies; and consulting in the financial services industry.

He is a graduate of NYU’s MBA program.

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Pat Craven

Pat Craven
Senior Consultant
Email:pat@glblmkt.com
Pat has led operations teams at several Wall Street brokerage firms over his 30 plus year career and specializes in back-office and straight thru-processing. For the last twelve years Pat has been a partner to Mickey Rosen in providing consulting services to clients looking to stabilize their back-office operations.

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