Principal, Estella LLC
Newbury, NH 03255
Litigation Support | Expert Witness | Asset Management | Investment Management | Asset Managers | Asset Owners | Investment Process | Global Equity Trading | Electronic Trading | Alternative Trading Systems (ATS) | Algorithmic Trading | Dark Pools | Block Pools | Trading Technology | Market Data | Sellside Research | MiFID II | Outsourcing | Outsourced Trading | Front Office | Middle Office | Back Office | Securities Valuation | Fair Value | Best Execution | Transaction Cost Analysis (TCA) | Trading Analytics | Investment Operations | Audit | Risk Management | Securities Market Structure | Public Policy | Governance | Compliance | Global Regulations | Intelligent Automation | Robotic Process Automation (RPA) | Technology Implementation | Board Experience
Financial services executive and investor advocate with experience as a global leader in the investment process. Extensive experience in global equity trading, investment operations, risk management, securities market structure, public policy, global regulation, and the implementation of technology efficiencies. Proven success steering organizations, hiring, developing and mentoring cohesive teams. Build efficient infrastructure and implement sound operational policies that mitigate risk exposure while integrating creative solutions. Regarded both internally and externally for dedication to continuous improvement and the ability to motivate both small and large culturally diverse teams to deliver results. Recognized for integrity, strong work ethic, and teamwork.
FINRA Series 6, 7, 26, 63 (all expired)
- Retained Fact Witness for a Global Financial Services Company (Active Case: July 2020):
- An integral part of the team formulating, testing, and documenting arguments
- Prepared a Written Declaration
- Potential Testifying Witness
- The key witness in the MFS Investments SEC settlement (Firm Failed To Adequately Disclose Use of Mutual Fund Brokerage Commissions To Pay for "Shelf Space" at Brokerage Firms):
- Deposed and offered in-person testimony at the SEC (Division of Enforcement) in Washington, D.C.
- Link to full SEC Order:
- Link to SEC Press Release: