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Introducing The latest tool designed to broaden accessibility of compliance The New York Stock Exchange analytics data is proud to support STANY and the Interact directly with the data points that are most relevant to your compliance process financial services community. through this user friendly, web- based tool View the latest risk score metrics in aggregate and drill down into the 19 scoring categories and more than 100 data points Track risk score changes, price movement, and newly Learn more about our leading market quality at nyse.com/trade promoted securities Find out more: canari.otcmarkets.com [email protected] +1 212 220 2166 © 2019 NYSE Group, Inc. All rights reserved. New York Stock Exchange and NYSE are trademarks of NYSE Group, Inc. or its affiliates. For more information regarding registered trademarks see: intercontinentalexchange.com/terms-of-use. Neither OTC Markets Group Inc. nor any of its afÞliates makes any recommendation to buy or sell any security or any representation about the Þnancial condition of any company. Investors should undertake their own due diligence and carefully evaluate companies before investing. ©2019 OTC Markets Group Inc. All Rights Reserved. Introducing The latest tool designed to broaden accessibility of compliance analytics data Interact directly with the data points that are most relevant to your compliance process through this user friendly, web- based tool View the latest risk score metrics in aggregate and drill down into the 19 scoring categories and more than 100 data points Track risk score changes, price movement, and newly promoted securities Find out more: canari.otcmarkets.com [email protected] +1 212 220 2166 Neither OTC Markets Group Inc. nor any of its afÞliates makes any recommendation to buy or sell any security or any representation about the Þnancial condition of any company. Investors should undertake their own due diligence and carefully evaluate companies before investing. ©2019 OTC Markets Group- 1 Inc.- All Rights Reserved. 2019 Events 83rdAnnual Conference and Dinner New York Stock Exchange | 11 Wall Street | New York, NY Thursday, April 4, 2019 STANY Annual Meeting and Bootleggers Tasting OTC Markets Group | 300 Vesey Street, 12th Fl | New York, NY Tuesday, July 16, 2019 2019 Golf Classic & John Harrington Cup Tournament 83Canoe Brook Country Club | Summit, NJ Monday, July 22, 2019 29th Annual International Reception and Holiday Party Location and Date: TBA Kimberly Unger Chief Executive Officer [email protected] 212.344.0410 www.stany.org - 3 - Security Traders Association of New York Table of Contents 6 STANY BOARD OF DIRECTORS 8 STANY PRESIDENT’S WELCOME LETTER 10 2018 SPONSORS THANK YOU 12 2019 SPONSORS 14 2019 CONFERENCE SCHEDULE COMPANY PROFILES 16 Double Diamond Sponsors 18 Diamond Sponsor 18 Platinum Sponsors 22 Gold Sponsors 24 Silver Sponsors 28 Women in Finance Sponsors 30 Bronze Sponsors 42 Friend Sponsors 6TH ANNUAL HONORS 44 Outstanding Contribution to Industry Award 46 Lifetime Achievement and Dedication to STANY Award 48 EVENT PHOTOS 106 2019 STANY ATTENDEES 118 2019 STANY MEMBERSHIP DIRECTORY 124 2018 STANY MEMBERSHIP DIRECTORY 128 2019 RETIRED AND HONORARY MEMBERS C3 ADVERTISEMENT INDEX - 5 - Security Traders Association of New York Board of Directors 2018-2019 OFFICERS President PATRICIA KOETZNER Siebert, Cisneros, Shank & Co. First Vice President JAMES HYDE NYSE / ICE Second Vice President RON HOOEY BNY Mellon Capital Markets Secretary PETER COCUZZA Global Liquidity Partners Treasurer BRIAN CASHIN Instinet Past President BARRY HICKMAN BNY Mellon’s Pershing CEO/Executive Director KIMBERLY UNGER, Esq. STANY DIRECTORS CONSULTANTS BILL CODY WILLIAM KARSH JEFFREY COOPER Cboe Global Markets OTC Markets Group NYFIX Itiviti TROY DRAIZEN BRIAN KENNEDY BETH HAMBURGER Cowen Execution Services Dash Financial THOMAS JORDAN Jordan & Jordan JOANNA FIELDS JENNIFER NAYAR Aplomb Strategies Vela JEFF MENDL DANIEL STRACK OTC Markets Group JOHN GRAF Nasdaq JESSICA THEISEN DAVID WEISBERGER Two Sigma Investments CoinRoutes LEUCIO IAOBELLI INTL FCStone Securities LISA M. UTASI ClearBridge Investments - 6 - Your knowledge, our power. Better together. Holistic trading technology powered by Clearpool puts you in control of your algorithmic trading. The powerful combination of man + machine empowers brokers to deliver better quality executions for buy side clients. Clearpool helps the buy side and sell side create custom strategies based on specific trading goals. Our Algorithmic Management System allows you to monitor and adjust routing protocols in real time. Analyze and make informed optimizations to algorithms with historical data to back it up. See it in action. ClearpoolGroup.com/Demo - 8 - By bringing together people, capital and ideas, Goldman Sachs produces solutions and results for our clients. Our securities division helps clients buy and sell financial instruments on exchanges around the world. From developing trading strategies to the final clearing and execution of transactions, our experts provide insights and strategies to help clients achieve their goals. We understand that by serving our clients well and creating opportunities for economic growth, our own success will follow. goldmansachs.com © 2019 Goldman Sachs - 9 - Security Traders Association of New York 2018 Sponsors Dear STANY Members, Friends and Generous Sponsors: The Officers, Directors and staff of STANY wish to offer our sincere appreciation to the members and sponsors who have so generously supported STANY throughout the year. Your support is invaluable and has enabled the Association to serve the New York, New Jersey and Southern Connecticut trading community for 83 years. With the help of our members, friends, and the STANY Foundation, we were able to contribute to multiple worthwhile organizations in 2018 & 2019 including: Cody Strong for a Cure, Foundation for Women Warriors, MDA’s Wings Over Wall Street, St. Jude’s Children Research Hospital, Wall Street Rides FAR for Autism Research Foundation. We are proud of our charitable efforts and of all our members who contributed their time, resources and money to these exceptional causes. We also wish to thank those of you who participated in, and attended, our programs and events and who supported STANY in countless ways throughout 2018 and 2019. We truly appreciate your continued support and greatly value our relationship with you and your firms. Special thanks to the following Sponsors & Supporters of STANY since the 2018 Conference Annual Sponsors Golf Holes Beverage Carts cont... International BCS Global Markets Intelligent Cross Reception Diamond BNY Mellon Pershing Spartan Capital NYSE B Riley FBR Gold OTC Markets Group Canaccord Genuity Golf Carts Kx Cantor Fitzgerald (2) Canadian Securities Platinum Hudson River Trading (2) Exchange (2) Silver Cboe IMC Vela BestXStats Citadel Securities Jane Street (2) Canaccord Genuity Goldman Sachs Nasdaq Kx Coolers MIAX OTC Markets Group Bronze Golf Classic Nextshares (2) BIDS Trading L.P. S3 Golf Towels Canadian Securities Exchange Brunch SIG Susquehanna LevelATS FlexTrade MIAX SpeedRoute Instinet Ball Markers Presidio TMX Jordan & Jordan Citadel Securities tZero Vela Cocktails Golf Balls Barclays Half Ways Friend BNY Mellon Pershing Cboe Cowen S3 LeveL ATS Instinet USB Fans Virtu Financial Cboe Beverage Carts Dinner BNY Mellon Pershing Hats BIDS Trading FlexTrade MIAX DataWatch - 10 - M-ELO: Midpoint Extended Life Order Enhancing Performance for Like-Minded Investors + Over 13 million shares traded on average per day at the midpoint of the NBBO + Average order life of 11+ seconds + Active in over 7,900 NMS securities + Quote Stability: 88% of the time the NBBO remains the same one second after a MELO execution For more information, contact [email protected] Security Traders Association of New York 2019 Sponsors Double Diamond Diamond Platinum Gold Silver Women in Finance Bronze Friend Media - 12 - Security Traders Association of New York 83rd Annual STANY Markets Conference and Party th 7:30-9:00 a.m. STANY Women in FinanceApril Breakfast 4 , 2019 8:00-8:30 a.m. Fire-Side Chat Christy Turlington Burns, Founder, Every Mother Counts Morgan Brennan, Co-Anchor, “Squawk Alley”, CNBC 8:30-9:00 a.m. James White, Head of Diversity & Inclusion, Lord Abbett & Co, Inc. Morgan Brennan, Co-Anchor, “Squawk Alley”, CNBC 9:00-9:10 a.m. Jodie Grenier, CEO, Foundation for Women Warriors 9:10-9:30 a.m. Networking Break 9:30-10:10 a.m. Impact of New Regulations on the Buy & Sell Side Trader Moderator: Vivian Maese, Esq. Partner, Cadwalader, Wickersham & Taft LLP Curt Engler, Head of Trading The Americas, JP Morgan Asset Management Gene DeMaio, Esq., Senior Vice President, FINRA Joe Mecane, Head of Execution Services, Citadel Securities Joe Wald, CEO, Clearpool Group 10:10-10:40 a.m. Fireside Chat Keynote Hester Peirce, Commissioner, United States Securities and Exchange Commission Dave Franasiak, Esq., Principal, Williams and Jensen 11:00-11:40 a.m. Exchange Strategies Moderator: Keith Casuccio, Managing Director, Goldman Sachs Jon Herrick, Head of Equities, NYSE Parker Lim, Head of Equities Strategy, Cboe Global Markets Chuck Mack, Head of North American Equities Products, Nasdaq Kevin Sampson, President Equity Trading, TSX 11:20-12:00 p.m. Fireside Chat Keynote Stacey Cunningham, President, NYSE Andrew Upward, ETF Strategist, Jane Street 12:00-1:00 p.m. Lunch 1:00-1:40 p.m. Options Moderator: Paul Jiganti, Managing Director, IMC Ivan Brown, Head of Options, NYSE Options Arianne Criqui,
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