Charles P. Dolan
Managing Member
Email: cdolan@glblmkt.com
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.
View Full Bio
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.
Close
Daniel Labovitz
Managing Member
Email: dlabovitz@glblmkt.com
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.
View Full Bio
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
Close
Louis Pastina
Managing Member
Email: l.pastina@glblmkt.com
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.
View Full Bio
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.
Close
James Buckley
Managing Member
Email: jbuckley@glblmkt.com
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.
View Full Bio
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.
Close
Marc Iyeki
Senior Consultant
Email: miyeki@glblmkt.com
Marc was Senior Advisor — APAC, Global Listings, New York Stock Exchange, advising on capital markets, exchange compliance, federal securities regulations, and marketing matters, until May 2020. Before that, Marc held various other roles at NYSE such as Chief Representative, NYSE Beijing Representative Office, and Regional Head — Asia Pacific. He also worked closely with the international capital markets team to attract new listings to the NYSE.
From May 1987 to February 1999, Marc held attorney positions, including Trial Counsel. From January 1985 to May 1987, he was an Assistant Deputy Public Advocate at the New Jersey Department of the Public Advocate. Marc has been a speaker at professional and academic forums in the US and throughout Asia; an author of and contributor to articles and blogs published on corporate websites and journals; and an expert network consultant on international listings.
Marc attended Austin College and earned a B.A., cum laude, with honors in economics, from Washington University in St Louis, and a J.D. from the New York University School of Law, where he was on the editorial staff of the N.Y.U. Review of Law & Social Change. He also studied public policy analysis in the master’s program for one year at the University of Pennsylvania, where he was a Samuel Fels Fellow.
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).
View Full Bio
Close
Mickey Rosen
Senior Consultant
Email:mrosen@glblmkt.com
Mickey is a 40-year veteran of the securities markets. 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.
Mickey is based in Los Angeles, which will bolster GMAG’s ability to service clients nationwide.
View Full Bio
Close
Pat Craven
Senior Consultant
Email:pat@glblmkt.com
Pat has led operations teams at several Wall Street brokerage firms 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.
Patrick is based in New York City.
View Full Bio
Close
Karen Lorentz
Senior Consultant
Email:klorentz@glblmkt.com
Karen brings a wealth of experience to GMAG, having worked extensively in the areas of equity market regulation and trading, market structure and market data during her 35-year tenure at NYSE. She started her NYSE career as a Hearing Officer, before becoming Director of Regulatory Development in the Fixed Income Markets Division. She then moved to the Intermarket Relations Division, representing the NYSE in the governance of intermarket trading (ITS) among all registered stock exchanges. As Vice President, Operations Management in the Floor Operations group, she advised on legal matters including trading rules and new SEC regulations. Karen’s last years at the NYSE were spent in Equities Product Management, working with legal and business teams to ensure rule compliance coordinating with other US equity markets.
Karen is a graduate of Cornell University (B.S.) and the Boston University School of Law (J.D.)
Stephen Murphy
Senior Consultant – Integrated Compliance
Email:smurphy@glblmkt.com
Steve focuses on helping small broker-dealers build and maintain a reliable compliance program. He implements a platform that eases some of the performative aspects of compliance and supervision. With over 30 years in the industry, Steve has a reservoir of knowledge, understanding the nuance in the facts and circumstances, while keeping the end goal of a running a small business present of mind.
It is the combination of these attributes, along with his knowledge of compliance, familiarity with FINRA, and practical problem solving that fit well with the reality that smaller firms face. The ideal client is a firm that takes compliance seriously and understands that a small investment into compliance over time will pay for itself in lower stress, less regulatory scrutiny, and fewer reputational risks.
Aligning with Global Markets Advisory Group brings access to a considerable network of industry knowledge and talent and allows greater access to broad and diverse input, resulting in better outcomes for some of the more complex issues clients face.
Steve is a graduate of Penn State and Pace’s Lubin School of Business. He is a Certified Financial Analyst and has the following licenses currently: 4,7,9,10,24,27,57,79,86,87,99.
Sam Van
Director and Business Development
Email: svan@glblmkt.com
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.
View Full Bio
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.
Close