Global Markets Advisory Expands Team
November 8, 2017 – Global Markets Advisory Group, a New York-based capital markets advisory firm, announced today that it has brought on three new team members – Garry Thall, former manager of financial services sales for Intel Corp., Sue Lui-Facendola, former vice president for equities market surveillance at FINRA, and James Buckley, former chief regulatory officer of the National Stock Exchange.
Garry Thall is joining GMAG as Business Development Director. A leader in financial services technology and sales, Garry was a senior manager for financial services at Intel’s Influencer Sales Organization for North America, and was primarily responsible for technology sales and advisory services for the top 25 financial services firms in the US.
Sue Lui-Facendola is joining GMAG as a Senior Director. An experienced former regulator at both FINRA and NYSE Regulation, Sue supervised the equities market surveillance program. She was responsible for surveillance pattern development, analysis of surveillance output, investigations, and collaborating with legal in bringing enforcement actions. Sue also led an examination program reviewing high risk regulatory areas and Fixed Income trading. Prior to working at the NYSE, Sue was a senior compliance officer at Citigroup Global Markets Inc. and Morgan Stanley, covering institutional trading. Sue earned her J.D. from Southern Methodist University Dedman School of Law, and hold a B.S. in Management from St. John’s University.
James Buckley is joining GMAG as a Senior Director. He has deep experience in exchange regulation and compliance, most recently as the chief regulatory officer for the National Stock Exchange. Prior to working at NSX, Jim spent more than 20 years at the NYSE, where he was the head of U.S. Equities Compliance for NYSE Euronext’s U.S. exchanges, responsible for ensuring that the NYSE, NYSE American, and NYSE Arca complied with federal securities laws. Prior to that, Jim led the Exchange’s Regulatory Quality Review group, and worked in senior management positions within the Exchange’s Enforcement and Market Surveillance divisions.
“We are thrilled with the powerhouse combination of talents that Sue and Jim bring to GMAG in terms of regulation and compliance, and with Garry’s relationships and deep knowledge of the financial services sector,” said Charles Dolan, a founding member of the firm said. “We look forward to applying their extensive regulatory and operational experience on behalf of our clients.”
Global Markets Advisory Group advises both existing and start-up exchanges from around the globe, the broker-dealer community and the world’s leading cloud providers, with strategic considerations relating to the financial services industry. The firm’s consultants have deep combined experience in trading, exchange and trading operations, trade compliance and securities regulation.