Jerry DeNigris – A Broker/Dealer Professional with experience in Fixed Income Trading, Trading Analysis and Compliance.
Founder and President - Riverside Financial Group
Before serving as Compliance Officer, Jerry DeNigris was a trading analyst in the legal department. In this capacity, he prepared detailed analysis of trading activity and testified as an expert witness at NASD, NYSE and AAA arbitration hearings and mediations. He met regularly with staff attorneys to discuss the firm’s exposure to customer trading activity. In addition, he was responsible for computing damage calculations, turnover and commission/equity ratios and mark-up reviews.
Prior to working at UBS/PaineWebber, Jerry DeNigris was a mortgaged-backed securities trader for Security Pacific Merchant Bank. In this position, he made markets and took arbitrage positions in various sectors of the mortgage-backed securities market. He also worked with fixed income and mortgage-backed products and performed mortgage-treasury spread analysis, seasoned pool analysis, and calculated daily profit and loss reports for the trading desk. Jerry also worked on the mortgage-backed securities desk at EF Hutton, Merrill Lynch and AG Becker.
Jerry DeNigris has a BA in Economics from Rutgers University and held several NASD series registrations. Jerry is currently an active NASD arbitrator.
Mary Ellen Koch – A Broker/Dealer Professional with extensive experience in NASDAQ Equity Trading / Market Making, Trade Reporting and Account Analysis.
Prior to joining Riverside Financial Group, Mary Ellen traded foreign and domestic NASDAQ securities for 23 years as a market maker. She handled retail orders as well as trading proprietarily. Mary Ellen was a Series 24 Securities Principal supervising a group of equity traders at Fleet Securities (previously Quick & Reilly & Nash Weiss & Co.). In this capacity she oversaw the trading activity of the other traders in her group to ensure that all trading activities conformed to SRO regulations. She worked closely with compliance to make sure the trading activity complied with the NASD rules for best execution, trade reporting, manipulation and supervision in the proper handling of customer orders.
Mary Ellen Koch has a BA in Psychology from Temple University and held several NASD series registrations.
Susan Hodgins – A Professional in the Securities Industry with 15 years experience in Trading Analysis
Prior to joining Riverside Financial Group, Susan managed the trading analysis group in the legal department of UBS/PaineWebber. In this capacity, she reviewed damage allegations presented by claimants by preparing profit and loss analyses, turnover/commission ratios, interest calculations and various hypothetical scenarios. Susan also provided expert testimony at NASD, NYSE and AAA arbitration and mediation hearings, coordinated/reviewed all in-house and outside vendor analyses for accuracy.
Before working at UBS/PaineWebber, Susan Hodgins was a portfolio assistant at Mitchell Hutchins Asset Management (a subsidiary of PaineWebber) where she assisted in all aspects of managing client accounts containing primarily equity investments. Her primary responsibilities included trade execution and processing, daily retrieval of analyst’s reports for the equities held in client portfolios and researching potential new investments. She also collected and tracked the performance of the client accounts used in the quarterly and annual reports. In addition, Hodgins helped to develop and manage the cash flow accounting for the limited partners in a private placement limited partnership/hedge fund.
Susan Hodgins has a BS in Business Administration/Finance from the University of Delaware and held several NASD series registrations.