SPEAKER BIOS

Rick Agster is the Head of Fixed Income Compliance at Raymond James & Associates, Inc. (RJA), a member of a diversified financial services holding company with subsidiaries engaged primarily in investment and financial planning, in addition to investment banking and asset management and is a top 10 municipal underwriter.  Mr. Agster’s team’s responsibilities include regulatory change management and oversight of supervision of all aspects of fixed income sales, trading, operations and investment banking and also working directly with exam teams from various regulatory authorities. Mr. Agster is an active participant in industry compliance/legal groups in industry trade association that focus on fixed income issues, working with legislators, regulatory authorities and association members with respect to new rulemaking and industry best practices. Prior to joining Raymond James, Mr. Agster practiced at the law firms of Foley, Bryant Miller & Olive and Sidley. 

Nikki Brinkerhoff is the Chief Compliance Officer for TradeStation Securities, Inc. a self-clearing online broker-dealer and FCM for self-directed clients.  She has over 20 years of experience in financial service firms, including introducing dual registrants, chaperoning, FinTech, self-clearing, and investment bank Broker-Dealers, Registered Investment Advisors, and banks. Her experience includes leading audit departments and developing risk and compliance programs for US and foreign registered financial services firms.  She is an active member of industry groups like NSCP, FIF, FIA, FMA, SIFMA and is currently serving on the FINRA Regional Committee in the South Region and FINRA Uniform Practice Code Committee.

David Cannizzo is a Managing Director and Head of Electronic Trading at Raymond James since late 2018.  Based in New York, he oversees all institutional electronic equity trading for the firm.  He has over 23 years’ experience in equity trading, having held several different positions throughout his career.  Prior to Raymond James, Mr. Cannizzo was a Managing Director in the Electronic Trading team at Evercore ISI and held senior roles within the Electronic and Portfolio trading teams at Liquidnet and ITG prior to that.  Mr. Cannizzo began his career in equity trading at Societe Generale-Cowen.  Mr. Cannizzo graduated from Lehigh University with a degree in Mathematics and has an MBA from Fordham University.

Erin Clemens is Head of Compliance at Trumid, a fixed-income electronic trading platform offering. Prior to joining Trumid, she held senior compliance roles at StoneX and Liquidnet. Ms. Clemens’ expertise is in applying regulatory, technology, and operations controls to financial technology broker-dealers. She is Co-Chair of the Compliance and Surveillance Working Group at the Financial Information Forum (FIF). She holds an MA in International Management and Technology from the New School in NYC. 

Rich DeLayo is a Managing Director/Senior Sales Trader at Raymond James, working in the Electronic Trading and Market Structure group. Rich joined the firm in 2019, and his responsibilities encompass algo design and customization, execution consultancy, and market structure commentary. Over his 30+ year career, Rich worked at various firms including Virtu, RBC, and as a NYSE floor broker representing NFS. Rich started his career trading equities and options with discount broker Quick and Reilly. He received his B.S. in Finance from Fordham University’s Gabelli School of Business.

Ms. Fields is the founder of Aplomb Strategies Inc., with almost 25 years of experience in implementing technology solutions for financial regulatory, clearing, and market structure change.  At Aplomb, she leverages her regulatory and technology background to develop risk management practices for registered entities and vendor third-party technology firms.  Her unique focus assists firms design holistic governance structures to help limit the impact of increased reputational, cybersecurity and regulatory risks. 

Prior to starting Aplomb Strategies, Ms. Fields was the Head of Equities and Derivatives Market Structure for Deutsche Bank Securities Inc. (DBSI). Ms. Fields was also the Compliance Registered Options Principal and Derivatives Compliance Advisor for both DBSI and Credit Suisse First Boston (CSFB). In addition, Ms. Fields worked in Market Regulation for both the International Securities Exchange (ISE) and the Chicago Board Options Exchange (CBOE).  Ms. Fields began her career in economic litigation consulting with Lexecon Inc. 

Ms. Fields served as the Chairman of the Options Trading Committee for the Securities Industry and Financial Markets Association (SIFMA). Ms. Fields has also held board positions with the Securities Traders Association of New York, and the Option Clearing Corporation’s (OCC) Option Industry Council (OIC) as well as its separate Technology Board. Ms. Fields historically held committee positions with the Financial Industry Forum, the Futures Industry Association, and the Inter-market Surveillance Group.  

Ms. Fields received her BA degree in art history and chemistry from Barnard College, Columbia University, and her MS in business and technology from New York University. 

Jesse Greif is the Chief Operating Officer of OneChronos, based in New York.  Before joining OneChronos, Jesse was Head of Product for Goldman Sachs Principal Liquidity Solutions, providing traders & asset managers electronic tools to access Goldman’s internal capital through algorithm & routing offerings for intraday and benchmark liquidity.  Before Principal Liquidity Solutions, Jesse was global COO of Goldman’s Equities Systematic Market Making business.  Jesse holds an MBA from The Wharton School at the University of Pennsylvania and a Bachelor’s degree in Behavioral Psychology from Northeastern University.

Ed Hosty is Senior Director of Execution Services at Robinhood Securities. In this role, he oversees equities and options routing and execution, best execution, and new trading initiatives for the firm. Prior to joining Robinhood in 2021, Ed spent six years at Wolverine Securities as Head of Equity Wholesale Market Making, providing execution services to retail broker-dealers.  Prior to that, he spent seven years at E*TRADE, first as manager of Order Management and Execution Quality at E*TRADE Securities, followed by a role as Director of Execution Strategy and Analysis for their market-making broker-dealer, G1 Execution Services. He holds an MBA in Analytic Finance from the University of Chicago Booth School of Business and a bachelor’s degree from the University of Illinois.

Ted Karn is the President/founder/owner of The Karn Group (TKG). Since 2008, Ted has built TKG into one of the largest independent providers of compliance and surveillance solutions for broker/dealers and clearing firms. Previously, Ted was the President and Founder of Market Systems Inc. (MSI), where for 12 years, he led MSI to become the market leader in providing SEC Best Execution reports. MSI customers included almost all major US Broker/Dealer firms and clearing firms and was sold to Refinitiv in 2006. Ted’s work experience includes trading for Merrill Lynch, First Boston, and First Options.

Ted has a BS degree in engineering physics from Cornell University and an MBA in Finance from New York University’s Stern School of Business.

Anna Kurzrok is a Managing Director at Jefferies and holds the role of Head of Market Structure. Prior to joining the firm, she held similar positions at BNP Paribas/Deutsche Bank, and at RBC Capital Markets where she was also responsible for U.S. and European Electronic Sales. Anna began her career at Investment Technology Group (ITG) where she worked for 14 years, ten of which were as an Equity Sales Trader. She received her B.S. in Economics from the Alfred Lerner College of Business and Economics at the University of Delaware.

As Head of Abel Noser’s Sell Side Division, Brett oversees the company's full suite of offerings provided to the broker dealer and exchange communities, including Multi Asset Transaction Cost Analytics, Regulatory Compliance and Trade Surveillance. With over fifteen years of experience, all at Abel Noser, Brett previously held roles focused in Electronic Trading, Asset Management TCA and Transition Management. Brett holds a B.A. in Business Management from Gettysburg College and lives in Boca Raton, FL with his wife and three children.

Howard Meyerson is the Managing Director of the Financial Information Forum (FIF). FIF is an industry association for broker-dealers, exchanges, and technology vendors in the securities industry that is focused on implementation, operations, technology, compliance, and reporting issues. Prior to FIF, Howard was General Counsel and Chief Compliance Officer at Liquidnet. Before Liquidnet, Howard worked at the Morgan Lewis law firm focused on transactional, compliance and regulatory matters for broker-dealers and other firms in the financial services industry. Howard has a B.A. from Columbia College, a J.D. from Harvard Law School, and a Certificate in Analysis and Design of Information Systems from the Columbia University Computer Technology and Applications Program.

Robert W. Schaefer is a retired U.S. Army Special Forces officer (Green Beret), diplomat, and entrepreneur with over 30 years of experience advising heads of state, senior foreign defense officials, and business leaders.  He served as the on-air Security Analyst for NBC’s official coverage of the 2014 Olympic Games and is a critically acclaimed, award-winning author.

Rob is an original member/owner of the American Freedom Distillery team, maker of Horse Soldier Bourbon, one of America’s fastest growing spirits. He serves as a Horse Soldier Ambassador for the brand, traveling around the country, educating and introducing consumers to the bourbon.

Prior to entering the public sector, LTC(R) Schaefer served and participated in virtually every U.S. overseas operation since 1990. He began his career as a Special Forces Engineering and Demolitions Sergeant before earning his commission in 1993. He is one of a handful of “double-sewn” Green Berets, having successfully completed the entire Special Forces course a second time as an officer.

As a Special Operations Officer, Rob was awarded the Singlaub Award as US Special Operations Command (SOCOM) and the Central Intelligence Agency’s (CIA) “Person of the Year” for his historic achievements with Russian Airborne Forces.  He is the first documented U.S. officer in history to lead Russian forces in combat operations.

As a primary planner of the first unclassified mission of the War On Terror following 9-11, his Program of Instruction (POI) for counterterrorism and counterinsurgency was adopted as the standard for all future deployments by all U.S. Army Special Forces. He later served as the Chief of Central and South Asia Branch of International Military Affairs, overseeing the development and implementation of security assistance and engagement programs for two continents.

He served in multiple diplomatic postings in Russia, Ukraine and most recently as the Military Attaché to the country of Estonia where he helped create Estonian Special Forces and their Cyber Security Command. He was awarded the Estonian Defense Forces Distinguished Service Cross, the Ministry of Defense’s Cross of Merit, and the White Cross of the Estonian Kaitseliit – the only foreigner in contemporary Estonian history to have been decorated by all three organizations.

Rob earned his Master’s Degree from Harvard University and is an inaugural member of the University of Louisville’s ROTC Hall of Fame (undergrad).

His book The Insurgency in Chechnya and the North Caucasus, From Gazavat to Jihad, won critical acclaim from the New York Times and The Economist, and was named a “Best of 2011” by Kirkus Reviews. He was the host of National Public Radio’s Memorial Day Special 2007-2013, and also serves on the Board of Directors for the DaVinci International Film Festival.

Gary Stone is the Regulatory policy analyst and market structure strategist in the Regulatory Policy and Government Relations team at Bloomberg. A recognized expert on cross-asset market structure, he was a member of the U.S. Securities and Exchange Commission’s Equity Market Structure Advisory Committee from 2015-2017. In 2014, he was named one of the top 100 most influential professionals in the capital markets by The Trade magazine.

Prior to this role, Gary was the Chief Strategy Officer of Bloomberg Trading Solutions and was responsible for identifying innovative product and market opportunities as well as building strategic relationships. Gary joined Bloomberg's agency broker, Bloomberg Tradebook, in 2001 as a senior analyst and was named Director of Trading Research and Strategy in 2004. Gary became Chief Strategy Officer in 2007.

Prior to Bloomberg Tradebook, Gary was vice president of business development and the acting CFO for Multicast Media Network, Inc. He also served as vice president and senior trader on a variety of trading desks at (BNP) Paribas Corporation, including its proprietary trading desk. He began his career as an economist in the domestic research group and a trader on the Open Market Trading Desk of the Federal Reserve Bank of New York.

Gary holds a Master of Science in Cybersecurity Technology from the University of Maryland Global Campus, a Master of Business Administration in Finance and International Business from the Stern School of Business at New York University, and a Bachelor of Arts in Computer Sciences: Mathematics and Economics from the University of Rochester.

Oliver Sung is Vice President, Interim Head of North American Equities at Cboe Global Markets, Inc. (Cboe). Based in New York, Sung is responsible for is responsible for overseeing the product development and strategic growth of Cboe’s U.S. and Canadian equities businesses. In this role, Sung leads his team in realizing Cboe’s purpose of building trusted markets, delivering solutions to market participants throughout North America. 

Previously, Sung was Senior Director, Head of North American Equities Execution Consulting, leading the analysis of Cboe’s North American Equities business to help drive growth and the development of new products. Additionally, Sung oversees the creation of unique content for distribution to Cboe clients, providing comprehensive insight into Cboe’s products and services, as well as the North American equities markets in general.  

Sung has more than 20 years of industry experience and has held several leadership positions in the electronic trading space. Prior to joining Cboe, he was Managing Director, Electronic Trading, Project Management at Cowen, where he where he helped manage various projects for the company’s electronic trading platform and service. Previously, Sung also held roles as Managing Director, Head of Electronic Execution at Convergex and Head of Americas Execution Consulting/Next Generation Algo Product Management at Bank of America Merrill Lynch. 

Sung holds a Bachelor of Science in Economics from Carnegie Mellon University and Series 7, 24 and 63 licenses. 

Lisa Marie Utasi, is a Director and Senior Equity Trader at ClearBridge Investments. ClearBridge Investments, a leading global equity manager, is committed to delivering long-term results through active management.  With 30 + years of industry experience, Lisa’s primary trading focus includes the Large Cap Growth, International-Global Growth, Aggressive Growth, Appreciation Funds as well as contributing to trading in the ESG and INFRA products.  During 2019-2020, Lisa lived in Sydney, Australia, where she was dedicated to Clearbridge’s integration of RARE Investments.

Personally, Lisa was elected to become the President of the Security Traders Association of NY (STANY) in 2004 and again in 2009. In 2004, Lisa was the first STANY President to open the NYSE on behalf of the organization and as an honor to its members. Lisa is a Current Member of the STANY Board and is an Advisor to the STANY Woman in Finance Group.  She is also a Past Chair of the Security Traders Association, it’s 3rd woman Chair since its inception. And Lisa was the Chair or Co-Chair of the Trading Issues, Affiliate Liaison, Education, and Institutional Committees during her many years on the STA Board.

Lisa was inducted into the National Organization of Investment Professionals (NOIP) in 2004 and became NOIP’s Chair of the Board from 2019-2020. She still sits on NOIP’s Board as a Past- Chair.

Lisa is a Past Chair and current Member of the of the NASDAQ ITAC Committee and served on the NASDAQ Quality of Markets Committee. She participates as a member of the NYSE Institutional Traders Advisory Committee.  Lisa is a member of Inst.  Investor’s Trader’s Forum and the Investment Company Institute’s Equity Markets Committee.

Lisa is the most recent recipient of Markets Media Woman in Finance Lifetime Achievement Award.

She has also been widely recognized for her service in the New York City charity community and has received the Women on Wall Street Charitable Works Award and the Michael P. Beier Award for her dedication to raising awareness and funding in the fight vs. ALS. Lisa also served as an MDA National Vice- President for many years.

During that time, Lisa was a Member of the University of Pittsburgh’s Brain Institute Advisory Committee.

And Lisa has so been a panelist in a Leaders in Philanthropy lecture series sponsored by the Center on Philanthropy and Civil Society, The Graduate Center, CUNY.

Lisa has completed ten marathons, including two for which she raised funds for the Leukemia and Lymphoma Society's Team in Training and two more for the Robinhood Foundation.

Lisa is also a Big as part of the Big Brothers Big Sisters of New York.

Lisa holds a B.A. in Political Science and a B.B.A. in Finance from Southern Methodist University.