Vice President, Corporate Secretary and Director
Turner Lonergan Corporation3/93 – PresentFinder for private Trust companies. Instrumental in forming Tech2 Fund managed by Anthony Rizza, CFA, former Manager of PIMCO Advisors Innovation Fund and Mutual Fund Manager of the Year in 1998. Arbitration and Mediation work as listed under other professional experience.
OTHER PROFESSIONAL EXPERIENCE
Past Director and Officer: 2003 – 2010 Past Corporate Secretary. VSP’s revenue exceeded $3.6 billion in 2009.
Past Chairman: VSP Executive Compensation Committee: 4/05 – 3/06. Engaged and worked with Watson Wyatt consulting of San Francisco to formulate pay and bonus structure for new CEO and six direct reports.
Past Committee Member: appointed to Governance structure of VSP in 2003. Served on the Business Committee, Audit Committee, Executive Search Committee for placement of a new CEO, Health Care Services Committee, Patient and Provider Relations Committee and the Quality Care Committee. Serving on Business, Executive Compensation, Nominating Governance and Quality Care Committees in 2007.
Lead Participant: NYSE Board Committee Peer Exchange: Mid-Cap Compensation Committee Chair Sessions 9/05, 10/06 and 3/07.
Mediator: CCDRC, Inc. in cooperation with the Massachusetts Attorney General’s office and theTrial District Court Department – Barnstable, Falmouth and Orleans District Court serving since 7/96.
Mediator: Financial Industry Regulatory Authority (FINRA) – serving since 1998.
Arbitrator and Qualified Chairperson: FINRA – serving on Boca Raton, FL, Fort Lauderdale, FL, Boston, MA, Providence, RI and Buffalo, NY panels since 10/95. Arbitrator #A141192.
FloridaSupreme Court Certified County Mediator: serving since 12/12/03. Mediator #16483C.
FloridaSupreme Court Qualified Arbitrator: serving since11/03.
RELEVANT WORK HISTORY
Assistant to Senior Vice PresidentDean Witter Reynolds, Inc.3/92 – 1/93Key to sales strategy, marketing effort and client support system.
Retail CoordinatorDominick & Dominick, Inc.8/89 – 3/92Supervised all Operations functions. Sales and operations liaison for firm-wide “‘ladder theory” investment plan.
CONTINUING EDUCATION
National Association of Corporate Directors (NACD): Certificate of Director Education: June 8, 2007. Recertified 10/19/2008 – 10/22/2008.
NACD Continuing Education: Determining Equity Award Grant Levels – 12/16/200/, 2009 Executive Pay in the New Economy – 2/11/2009
Pepperdine University’s Straus Institute for Mediation: Advanced Mediation Training: October 2007
Harvard Business School Executive Education Program: Making Corporate Boards More Effective: 7/16/2006 – 7/19/2006.
Harvard Business School Executive Education Program: Compensation Committees – Preparing for the Challenges. 11/15/2005 – 11/17/2005.
NASDR, Inc. Advanced Mediation Training: 1998
NASDR, Inc. Chairperson Member Trainee Assessment Course: 6/01
NASD course on securities arbitration: 1996, 1997
NASD online continuing Arbitrator education: 6/04
NASD online continuing Arbitrator education – Expungement: 8/04, 6/06, 8/08, 9/10
FINRA Arbitrator CE: 2009, 2010, 2011
NASDR, Inc. Discovery Workshop: 3/04
NYSE Arbitration Training Program: 2/9/96, 5/97, 10/97, 9/98, 12/98, 9/16/03, 3/1/05, 2/27/07
Nathan& Lewis Securities, Inc. Compliance Seminars by John McGovern: 1995
Nathan & Lewis Securities Inc. Compliance Seminars by Richard Berenger: 1996 – 2003
Reviewed NASD Firm Element Compliance Education and Examinations: 2001 – 2011
CCDRC, Inc. Mediation Training Program 1996
CCDRC, Inc. Mediation Workshops/Advanced Training: 1996 – 1999.
Florida Supreme Court Qualified Arbitrator Training: 11/03
Florida Supreme Court Certified County Court Training Program for Certified and Court Appointed Mediators: 4/03
Florida Supreme Court Advanced Mediation Training: 7/2004 – 7/2011
OTHER SERVICE/EXPERIENCE
Served on Walnut Street Securities/MetLife Securities Operations Advisory Council: 2002 – 2004
American Portfolios Financial Services Operations Advisory Committee: 2010, 2011
Past elected Director: Board of Governors, Maya Marca Condominium Apartments, Inc.
MEMBERSHIPS
Florida Academy of Professional Mediators, Osterville Business & Professional Association Osterville Angler’s Club and Willowbend Country Club
