Paul Carroll


President, Sententia LLC
8 Browning Place
Manalapan, NJ 07726

Work: 732.259.7776
Cell: 732.259.7776
pcarroll@sententiallc.com
Website
cell: 732.259.7776

Expertise
Prime Brokerage, Portfolio Margin, Margin, SMA, TIMS, SPAN, risk management, operations services, trade capture, trade routing, OMS, central counter party clearance, settlement, futures, equities, options, derivatives, dividends, corporate actions, operations best practices, ACATS, account transfer, asset transfer, funds transfer, custody, procedures, regulatory controls, DTCC, NSCC, CNS, OCC, FINRA & CME examinations, SOX controls,

Bio
Analytic and testimonial expert witness services related to the securities, futures and derivative industries. Expertise extends to broker-dealer and prime broker operations and margin, clearance, security industry practice and standards, risk based margin and haircuts, portfolio margin, options operations and clearance, TIMS, SPAN, CPM margin, trades processing, and NSCC and CNS settlement processes. Link to http://www.sententiallc.com/paul-carroll-resume.pdf