Charles P. Dolan
Charles P. Dolan, is a senior financial services executive with unparalleled experience developing and managing complex trading and market-making operations. A recognized authority on market structure, Charles has specialized knowledge of broker-dealer and trading environments across multiple asset classes.
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He previously served as a Trustee of the New Jersey Investment Council, which oversees investment policy governing the state’s $80 billion pension fund. For this role, he was nominated by Governor Christie of New Jersey and confirmed by the State Senate. Charles is also a member of STANY.
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 on the Boards of multiple strategic committees and the NYSE Foundation. Earlier, he served in a variety of senior management roles with other prominent NYSE member firms, including Van der Moolen Specialists, U.S.A. and Lyden, Dolan LLC.
He holds a B.A. degree from the College of the Holy Cross.
Dan has deep experience as a Senior 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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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 is the author of an article on rule development for Focus, the journal of the World Federation of Exchanges. He has also 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
Lou Pastina is a highly experienced marketplace executive 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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In addition, Lou has chaired the Regulatory Oversight Committee at the National Stock Exchange where he was also a Board member. He represented the NYSE on the DTCC Board of Directors for seven years and Chaired their Ops & Tech Committee. At the NYSE, Lou was a member of the NYSE Operating Committee, Management Committee, Listings and Compliance Committee, Leadership Forum, Employee Benefit & Pension Committee, and the NYSE representative on the Securities Industry & Financial Markets Association 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 chairs the Advisory Board at his alma mater’s SFC Center of Entrepreneurship. Lou is also a member of the Securities Traders Association of New York.
Lou’s specialty is managing large complex technology projects, cash equity market operations, development and project management teams and the implementation of technology infrastructures. He advises on strategic technology, design and implementation.
Jim joined GMAG as Senior Director 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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Before joining NSX, Jim spent more than 20 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 department in 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 College. He is an attorney admitted to practice in New York.
Sue has extensive experience in handling regulatory matters specifically those involving market integrity. Sue was a Vice President for Market Surveillance at the Financial Industry Regulatory Authority (FINRA), where she oversaw surveillance of various regulatory compliance areas such as Market Access, Information Barriers, Best Execution/Order Handling Practices, Alternative Trading Systems, Manipulation, and Supervision.
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In addition to her regulatory experience, Sue previously served in various compliance roles at Morgan Stanley and Citigroup Global Markets. She provided compliance coverage to the firms’ institutional trading businesses including advisory, training, surveillance, and regulatory technology related initiatives. Sue earned her J.D. from Southern Methodist University Dedman School of Law and her B.S. in Management from St. John’s University.
Kevin J. Trimble, is a senior compliance professional with more than 30 years of experience managing the development, implementation and oversight of complex broker-dealer compliance programs.
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He served as the Chief Compliance Officer of several major New York Stock Exchange specialist market-maker firms–including M.J. Meehan & Co./Fleet Bank and Kellogg Capital Markets. At Kellogg Capital Markets, he also served as the firm’s Chief Operating Officer and oversaw all operations, financial and information technology departments. He earlier worked in Compliance at the specialist firm, LaBranche & Co.
Besides his Wall Street experience, Kevin also served nearly three years as an advisor at Brunelle & Hadjikow, P.C. where he provided litigation support in connection with FINRA and SEC disciplinary actions and investigations. Kevin is also a member of the Securities Traders Association of New York.
He successfully completed the Series 7, 14A, 24 and 25 qualification examinations, and is an arbitrator in FINRA’s national securities dispute resolution forum.
He holds a B.S. in Criminal Justice from St. John’s University and lives in New York.
Director and Business Development
Sam is leading the effort in GMAG’s U.S. and International Exchange Listing Advisory practice. Sam’s extensive background in financial services and broker dealer regulatory compliance experience will serve GMAG’s clients with pre-IPO readiness to achieve a U.S. Exchange listing.
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His professional career is dedicated to new business development and relationship building, specializing in the emerging capital markets throughout Asia and the U.S. During his tenure at the New York Stock Exchange (NYSE), Sam secured the listings of more than 46 companies, with total market capitalization exceeding $5 billion.
Sam recently spent five years at the Financial Industry Regulatory Authority (FINRA) in various roles, including, Trading and Financial Compliance Examinations, Sales Practice and Financial Risk Oversight & Operational Regulation. For three years, he worked in the Sales Practice division, based in San Francisco and covered Financial Technology broker dealers, Investment Advisors, Investment Banking and Merger and Acquisition advisory firms. Sam’s work resulted in two enforcement cases settlement involving Cybersecurity and Research Communication.
Sam is currently an Executive Vice President and Corporate Development with Thomas Ho Company. Thomas Ho Company (THC) is a leading financial engineering firm and ALM Solutions provider to regional banks and credit unions. THC was named one of the two best ALM vendors of the 21st century Bank Asset/Liability Management by A.S. Pratt in 2014
Sam also serves as a board member of the Asian Financial Society, a non-profit organization which assists Asia companies to understand the U.S. capital market.
He is fluent in Cantonese and conversational in Mandarin and Vietnamese and received his BS in Finance from St. Johns University and his MBA from Cornell University.