George has 30 years of experience managing trading and execution platforms. His focus has been on integrating Capital Markets services and investment advisors into broker-dealers and clearing firms. He is a seasoned financial services executive and advisor with senior management experience providing strategic consulting for broker-dealers, investment advisors, and family offices.  George’s areas of additional expertise include risk management, compliance and regulatory matters related to all equity products. George began his career as a NASDAQ trader at the Robinson-Humphrey Company and over the years his leadership roles included managing the Financial Institutions NASDAQ group at Shearson Lehman Hutton, managing NASDAQ trading at Wheat First, managing the Equity Services Group at Wachovia Securities, and chairing several industry committees. George currently serves on several large Foundation Boards.

Expertise

  • Equities, Options, and Commodities and Related Regulatory Reporting
  • Trading, Best Execution, and PFOF Review for broker-dealers and investment advisors
  • Trading Desk Optimization
  • SEC /MSRB 15c2-12 reviews for issues and underwriters regarding continuing disclosures
  • LOPR review for clearing firms and broker-dealers
  • Strategic Advisory for Family Offices, broker-dealers and investment advisors
  • Trading Platform & Execution Review for broker-dealers and investment advisors
  • Trading Desk Structure, Best Execution, and Client Impact review for banks with multiple broker-dealer entities and distribution channels
  • Strategic Consulting for Family Offices
  • Business Strategy Consulting for an Investment Advisor on Multi-Family Offices
  • Expert Witness

Career Highlights

  • President, Oyster Consulting, LLC
  • Senior Managing Director, Head of the Equity Services Group,  Wachovia Securities
  • Managing Director, Head of NASDAQ Trading, Wheat First Securities
  • Senior Vice President, Shearson, Lehman, Hutton, Manager Financial Institutions NASDAQ Trading
  • NASDAQ Trader specializing in Bank stock, The Robinson-Humphrey Company
  • Fixed Income Trader specializing in Converts, The Robinson Humphrey Company

Education, Accolades and Industry Commitments

  • The Darden School at the University of Virginia, The Executive Program
  • Duke University, Bachelor of Arts in Economics and Management Science
  • FINRA Series 3, 4, 5, 7, 9, 10, 24, 55, 63, 65 registrations (Registrations are typically inactive, but may be used when appropriate to perform interim functions for our clients)
  • SIA Equity Trading & Market Structure Committee, chair, 2003 – 2005
  • SEC Advisory Commission on Market Data, 2001
  • SEC Chairman’s Panel on NASDAQ Limit Orders, 2000
  • Security Traders Association, Governor
  • NASDAQ Quality of Markets Committee
  • NASD District 7 Business Conduct Committee

Publications and Presentations

The SECS 2017 Priorities: What They Are and What Compliance Professionals Need to Know– NSCP Currents, February, 2017.

Activity in Low Priced Stocks Poses Operational Risks – Blog Post, March 4, 2015

SEC Scrutinizing Private Equity Performance Figures – Blog Post, November 24, 2014