inSecurities is a biweekly podcast featuring in-depth conversations with senior regulators, top practitioners, and leading academics, along with "deep dives" on hot topics in the securities regulatory and enforcement world. In an increasingly complex business and regulatory environment, inSecurities co-hosts Chris Ekimoff, a forensic accountant with RSM, and Kurt Wolfe, a securities enforcement attorney at Quinn Emanuel Urquhart & Sullivan, keep you current on key developments.
Featured In This Episode
Jim Toes
Jim Toes is President and CEO of the Security Traders Association (STA), a grassroots trade organization which serves individuals employed in the financial services industry.
In his role, Mr. Toes maintains STA’s relationship with U.S. regulators and congressional policymakers. Since assuming his role in 2011, STA has written more than 50 comment letters on a wide range of issues under the regulatory oversight of the U.S. Securities and Exchange Commission, Department of Treasury, Commodities and Futures Trading Commission, FINRA, and the Senate and House Financial Services Committees.
In addition, Mr. Toes has penned close to 100 articles on current events and human interest stories in STA’s Monthly Newsletter, Taking Stock, and Lighthouse columns. Using a combination of data, personal experiences and humor, these articles resonate well with individual members and align with one of STA’s core principles: the relationship matters.
Mr. Toes has over 30 years of experience in the securities business. Prior to joining STA, Mr. Toes was a Managing Director at Bank of America Merrill Lynch for 18 years where he held various management positions in equity and options sales, trading, and clearing while interacting with a broad range of clients that included institutional and middle market asset managers, broker-dealers, and retail investors. Over the course of his career, Mr. Toes has served on various best execution and market structure committees and has testified before Congress. He was particularly active in the STA’s successful work on Section 31a fees.
Besides possessing a knowledge of market structure and the business models deployed across the industry, as a past President of the Security Traders Association of New York and a former Governor and Secretary of STA Mr. Toes has an understanding of the STA organization and the vital role its 24 affiliate organizations in North America play in the success and mission of the Association.
Mr. Toes graduated from Fordham College, Fordham University and lives in Manhasset, Long Island with his wife, Jeanine Padala-Toes, a former head of equity sales trading at Prudential Bache. They have four children.
https://securitytraders.org/about/board-and-senior-staff/jim-toes/
