- Promoted to executive vice president were: Anne Allen, Market Operations; Roger Burkhardt, Technology; and Robert Marchman, Market Surveillance.
- Promoted to senior vice president were Ronald Jordan, Market Data and Angela Posillico, Regulatory and Corporate Systems.
- Louise Quick was promoted to chief ethics officer.
- Promoted to vice president were: Sam Cocozza, Security; Vyomesh Dave, Web Systems; Naoyoshi Kasuga, Asia/Pacific; Nancy Reich, Rule Development and Market Evaluation; Mitchell Simon, Market Surveillance Systems Development; David Steiner, Market Trading Analysis II; and Stephen Walsh, Market Watch and Operations.
- Anne Allen, Market Operations
Ms. Allen, currently senior vice president, is responsible for managing the Market Operations Division, which includes the daily management of trading floor operations, facilities, database and network management, and systems testing. Her role also includes overseeing all trading floor technology upgrades. Ms. Allen has held various positions at the NYSE since she joined in 1973.
- Roger Burkhardt, Technology
Mr. Burkhardt, who retains the title of chief technology officer, is responsible for the development of the NYSE’s trading, regulatory and corporate systems. He also manages the Exchange’s relationship with the Securities Industry Automation Corp (SIAC) and is a member of SIAC’s Board. Prior to joining the NYSE in 2000, Mr. Burkhardt was president, Listed Equities at Optimark Technologies, Inc.
- Robert Marchman, Market Surveillance
Mr. Marchman, who joined the Exchange in 1989, oversees the Market Surveillance Division which monitors trading in NYSE-listed securities and investigates activity for compliance with Exchange and federal securities laws that might involve insider trading, market manipulation, market-maintenance obligation, and governs members’ on-floor trading and market procedures. Market Surveillance is also responsible for floor-member education, market quality, intermarket communications and rule development. Prior to joining the Exchange, Mr. Marchman was a former branch chief in the Securities and Exchange Commission’s Division of Enforcement in Washington, D.C.
- Ronald Jordan, Market Data
Mr. Jordan manages the NYSE’s information business which includes real-time trades and quotes as well as value-added products like NYSE OpenBook™ and NYSE Broker Volume. In his role, Mr. Jordan is responsible for managing relationships with market data customers and vendors and for developing new information products. In addition, he serves as the NYSE’s representative to the Consolidated Tape Association.
- Angela Posillico, Regulatory and Corporate Systems
Ms. Posillico is responsible for the planning and development of the NYSE’s regulatory systems that support the Enforcement, Member Firm Regulation and Market Surveillance divisions. In addition, she manages the corporate systems group that addresses the technology needs of other business units throughout the NYSE.
- Louise Quick, Ethics and Business Conduct
Responsible for the NYSE Ethics Program, Ms. Quick’s duties include the interpretation of the Exchange’s ethics policy, communication of the policy to employees, and ethics training. She is also responsible for maintaining and reviewing records of employee securities accounts, conducts investigations of ethics violations, and recommends appropriate actions. Ms. Quick was Assistant Attorney General at the New York State Department of Law before joining the NYSE in 1995.
- Sam Cocozza, Security
Mr. Cocozza is responsible for managing security personnel and issues for the NYSE. In addition, he acts as a liaison with the New York City Police Department and other federal and local law enforcement agencies. Before joining the NYSE in 1997, Mr. Cocozza was a captain with the NYPD.
- Vyomesh Dave, Web Systems
Mr. Dave and his team provide strategic leadership to business areas on organizational integration of web-based technologies. He is responsible for the development of nyse’s family of web sites including the recent complete redesign of nyse.com.
- Naoyoshi Kasuga, Asia/Pacific
Managing the NYSE’s regional office based in Tokyo, Mr. Kasuga is responsible for new listing development, relationships with listed clients, and contacts with the financial community in the Asia/Pacific Region encompassing 49 countries and 80 listed companies.
- Nancy Reich, Rule Development and Market Evaluation
Ms. Reich is responsible for the development and review of key rule and policy changes in Market Surveillance. She oversees the approval process for any rule proposals and provides interpretations to Exchange staff and the public. Prior to joining the NYSE in 1988, Ms. Reich held positions at the American Stock Exchange, the U.S. Department of Justice and the Bronx District Attorney’s Office.
- Mitchell Simon, Market Surveillance Systems Development
Mr. Simon manages major systems development for NYSE Market Surveillance and Member Firm Regulation. In addition, he is responsible for leading the NYSE’s corporate business continuity planning effort.
- David Steiner, Market Trading Analysis II
Mr. Steiner directs and oversees various surveillance and investigations conducted by the Market Trading Analysis II department within the Market Surveillance division. Prior to joining the NYSE, Mr. Steiner was Senior Investigative Counsel for the New York City District Attorney’s Office.
- Stephen Walsh, Market Watch and Operations
Mr. Walsh is responsible for the Global Corporate Client Group's Market Watch and Operations teams. Market Watch oversees the dissemination of material corporate news in an effort to maintain fair and orderly markets for all investors. The Operations group is responsible for the timely dissemination of market-related information and corporate actions such as communicating with the SEC regarding registration and delisting of securities. He has been with the NYSE since 1979.
