Also known as: pguptascience
Graduated 2002, Rensselaer Polytechnic Institute, B.S. International Business and Information Systems. Graduated 2006, New York Law School, J.D. Licensed in New York and New Jersey Specialties Corporate/Securities Law: Experience in Investment Company Act and Investment Advisor; Sell Side Regulation (Enforcement/Market Surveillance) at an SRO (NYSE); Buy Side Trade Surveillance and Regulatory Compliance; Sell Side/SRO Arbitration
