Richard Shulman
Richard Shulman is Vice President, Surveillance Optimization and Innovation. He manages a team responsible for improving the efficiency and effectiveness of FINRA’s surveillance program through continuous innovation and optimizing and refining surveillance patterns and business processes.
Patrick Geraghty
Patrick Geraghty is Senior Vice President, Market Compliance and Customer Order Handling Surveillance, Market Oversight. In this role, Mr. Geraghty provides operational management of surveillance patterns, including best execution, markups, CAT reporting, trade reporting, compliance with Reg NMS and Reg SHO and various FINRA conduct rules across equities, options and fixed income securities.
Jennifer Lund
Jennifer Lund is Vice President of Surveillance Operations within Market Oversight. She leads and oversees the operational and strategic aspects of the market surveillance activities FINRA performs.
2020068891501 Aegis Capital Corp. CRD 15007 AWC lp.pdf
Since 2019, Aegis has paid several million dollars to its corporate parent and recorded
those payments as expenses, rather than properly accounting for those payments in net
capital computations and FOCUS filings as distributions. As a result, Aegis kept
inaccurate books and records in violation of Securities Exchange Act of 1934 § 17(a) and
Rules 17a-3 and 17a-5, and FINRA Rules 4511 and 2010. Aegis also failed to reasonably
supervise the preparation of its books and records in violation of FINRA Rules 3110 and
2010.