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In addition, through promotions the Exchange named six senior vice presidents and eight vice presidents. Promoted to senior vice president were: Richard C. Adamonis, Communications; Dale B. Bernstein, Human Resources and Administration; James C. Esposito, Security; William M. Freeman, Office of the General Counsel; Louis G. Pastina, Next Generation Trading Floor; and Thomas E. Veit, Corporate Listings and Client Services. Promoted to vice president were: David W. Bartges, Trading Technology; Peter E. Boyle, Corporate Infrastructure; Mary L. Brienza, Corporate Audit and Regulatory Quality Review; James G. Buckley, Market Surveillance; Anand K. Ramtahal, Member Firm Regulation; Michael G. Rufino, Member Firm Regulation; Robin L. Weiss, Investment Banking Services; and William J. Wollman, Member Firm Regulation.
Senior Management Appointments
- Amy S. Butte, executive vice president, Corporate Finance
Ms. Butte, who will be responsible for the NYSE’s financial operations, most recently was chief strategist and chief financial officer with Credit Suisse First Boston’s financial-services division. Prior to that, she had been a senior managing director in Equity Research at Bear Stearns & Co. Ms. Butte will report to NYSE CEO John A. Thain. (see separate press release).
- David L. Shuler, chief of staff, Office of the Chief Executive Officer
Mr. Shuler assumes the newly created position of chief of staff, reporting to Mr. Thain. Mr. Shuler will serve as a primary liaison among various NYSE operating divisions and external constituents, and manage strategic projects and initiatives. Previously, Mr. Shuler was Vice President of Goldman Sachs & Co. in New York. Mr. Shuler joined Goldman Sachs in 1999 and served in Tokyo, Japan, as Director of Government Affairs and head of the Executive Office. Prior to Goldman Sachs, he was a Foreign Service Officer in the U.S. State Department.
Senior Vice President Promotions
- Richard C. Adamonis, Corporate Communications
Mr. Adamonis, currently vice president, Communications reports to the Executive Vice President, Corporate Communications, and is responsible for media relations and market news services, the NYSE’s corporate website, editorial services, and events and promotional services. Prior to joining the Exchange in 1995, Mr. Adamonis was director of media and advertising services for Sony Corporation.
- Dale B. Bernstein, Human Resources and Administration
Ms. Bernstein is responsible for human resources, administration and ethics functions for the Exchange. She will report to the president and co-chief operating officers. Since joining the NYSE in 1986, Ms. Bernstein has held various positions in Human Resources, including responsibility for compensation, benefits, employee and labor relations, staffing, and training and development. Prior to the Exchange, Ms. Bernstein spent 10 years in human resources management at RCA.
- James C. Esposito, Security
Mr. Esposito, who joined the Exchange in 1996, will report to the presidents and co-chief operating officers. He is responsible for all aspects of security at the NYSE, including building security, personal security for senior officers and executives, and serves as liaison with city, state and federal law enforcement. Prior to the Exchange, Mr. Esposito served as Vice President of Corporate Security at Warnaco, Inc. and had been employed with the Federal Bureau of Investigation for 25 years.
- William M. Freeman, Office of the Corporate Counsel
Mr. Freeman, who will also hold the title of Assistant General Counsel, acts as Group Counsel on corporate issues and supports various departments at the NYSE. Mr. Freeman reports to the executive vice president and general counsel. Prior to joining the Exchange in 1989, he was employed as an attorney at Hause & Blaner; Parker Chaplin; and Kramer Levin.
- Louis G. Pastina, Next Generation Trading Floor
Mr. Pastina will be responsible for optimizing productivity at the point of sale and future planning of systems and facilities to support order-execution services. He will report to the president and co-chief operating officers. Previously, Mr. Pastina was responsible for reviewing current workflow on the trading floor, analyzing order flow/message traffic trends, and projecting future point-of-sale capacity requirements. Prior to joining the NYSE in 1983, Mr. Pastina was employed at CIT Financial Corporation in various financial/analytical positions.
- Thomas E. Veit, Listings and Client Services, Eastern Region
Mr. Veit, who will continue to report to the executive vice president, Corporate Listings and Compliance, is responsible for all listings and customer service for the Eastern Region. Mr. Veit joined the Exchange in May 1979 and has served in various positions in corporate listings. Prior to the Exchange, Mr. Veit was a financial representative at Merrill Lynch and, prior to that, a contract officer at Chase Manhattan Bank.
Vice President Promotions
- David W. Bartges, Trading Technology
Mr. Bartges, previously managing director, Trading Systems, is responsible for switching and order processing systems and point-of-sale for brokers and specialist infrastructure. He will continue to report to the senior vice president and chief technology officer. Prior to joining the NYSE in 1996, Mr. Bartges had been employed at Securities Industry Automation Corporation as a communications engineer and, before that, RCA.)
- Peter E. Boyle, Corporate Infrastructure
Mr. Boyle is responsible for managing all internal corporate network systems, including internal network support and services. He will continue to report to the senior vice president and chief technology officer. Prior to joining the NYSE in 1997, Mr. Boyle was IT manager at Hoffman-LaRoche, Inc.
- Mary L. Brienza, Corporate Audit and Regulatory Quality Review
Ms. Brienza reports to the executive vice president and general counsel and is responsible for managing the internal audit, regulatory quality review and information technology audit functions. Since joining the NYSE in 1992, Ms. Brienza has held positions in the NYSE Enforcement and Corporate Audit and Regulatory Quality Review. Prior to the NYSE, she was a district attorney in Manhattan and Brooklyn.
- James G. Buckley, Market Surveillance
Mr. Buckley, who joined the NYSE in 1987, manages the Member Trading department. This includes investigating possible rules violations detected through surveillance programs, market analysis, and referrals by trading floor officials, members and other self-regulatory organizations and the SEC. He continues to report to the senior vice president, Market Surveillance. For four years prior to joining the NYSE, Mr. Buckley was an assistant district attorney with the Westchester County (N.Y.) District Attorney's Office.
- Anand K. Ramtahal, Member Firm Regulation
Mr. Ramtahal will share responsibility for overseeing the NYSE Member Firm Regulation examination program and report to the executive vice president, Member Firm Regulation. Prior to joining the NYSE, in 1984, Mr. Ramtahal held various accounting positions at the Wilsher Group and PaineWebber.
- Michael G. Rufino, Member Firm Regulation
Mr. Rufino, who continues to report to the executive vice president, Member Firm Regulation, is responsible for all aspects of the sales practice review examination process. Mr. Rufino joined the NYSE in 1988 and has spent his career in Member Firm Regulation.
- Robin L. Weiss, Investment Banking Services
Ms. Weiss is responsible for managing the initial public offering process and structured products. Ms. Weiss will continue to report to the executive vice president, Corporate Listings and Compliance. Prior to joining the Exchange in 2001, Ms. Weiss was vice president at J. P. Morgan Chase and, prior to that, a financial analyst at Shearson Lehman Brothers.
- William J. Wollman, Member Firm Regulation
Mr. Wollman shares responsibility for overseeing all aspects of the examination process in Member Firm Regulation. He continues to report to the executive vice president, Member Firm Regulation. Mr. Wollman joined the Exchange in 1989 and has spent his entire career in Member Firm Regulation.
