Subject Profile

Academic Background

Professional Timeline

1. ~1992
   Cornell University
   B.S. Operations Research & Industrial Engineering
2. 199X Enforcement
   FINRA Permanent Industry Bar
   Case #C3A990066 — Series 7 Examination Fraud
   Permanent bar from association with any FINRA member firm following findings of examination fraud. An imposter took the Series 7 qualifying exam on the subject's behalf.
   View enforcement details
3. 200X
   Lehman Brothers
   Head of Liquidity Strategy
   Led liquidity strategy operations at the global investment bank, specializing in quantitative trading and market structure.
4. 2008
   Lehman Brothers Collapse
   Lehman Brothers filed for Chapter 11 bankruptcy on September 15, 2008 — the largest bankruptcy filing in U.S. history. Operations were subsequently acquired by Barclays Capital.
5. ~2008–20XX
   Barclays Capital
   Quantitative Trading & Market Structure
   Continued in a quantitative trading role following Barclays' acquisition of Lehman Brothers' North American operations.
6. 20XX
   BATS Holdings, Inc.
   Director
   Served on the board of BATS Global Markets, the electronic stock exchange operator. BATS was subsequently acquired by CBOE Global Markets in 2017.
7. 20XX
   Scout Trading LLC
   Chief Executive Officer
   CEO of Scout Trading, a market-making firm based in New York City.
8. 2015 Enforcement
   Scout Trading — $3,000,000 NASDAQ Fine
   Systemic illegal ETF trading strategy
   Scout Trading agreed to a $3M fine and censure for a systemic failure-to-deliver scheme involving leveraged ETFs. The firm accounted for 59% of all market-wide failures to deliver in the ETF "FAZ."
   View enforcement details
9. 20XX – Present Current
   EntryPoint Capital, LLC
   Managing Member
   Managing Member of EntryPoint Capital, a quantitative hedge fund manager operating the "Third Moment" fund series with approximately $578M in regulatory assets under management.
   View corporate structure

Active Position