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New York Bar (2003)|FINRA Series 63 (BD)/65 & 66 (IA) Regulation (2011)| DOD Top Secret-SCI (1990)
CONSULTANT INTERFOR INCORPORATED INTELLIGENCE GROUP. NEW YORK, NEW YORKOCTOBER
2010
Conduct enhanced Due Diligence (DD) & KYC investigations that are corporate personnel, board
of directors and M&A partnership selection/vetting oriented
Provide timely and accurate Suspicious Activity Report (SAR) analysis asset location &
transactional-wiring verification services for the regulatory compliance & risk management
professional
Develop litigation/corporate/financial intelligence that is both real world & real time
Conduct Foreign Corrupt Practices Act evaluations, investigations & consultations
Advise Strategic Outsourcing Corporations on political & litigation vulnerabilities
Consultant & External Project Manager Electronic Evidence Discovery (EED) July 2008 - Present Assess EED platform & AML software consistency with client investigative requirements and
resources
Translate Client-specific regulatory goals into a Financial Intelligence (FI) collection plan, create
supporting BSA, AML, & antifraud indicator (Red Flag) lists & develop effective, efficient &
understandable search indicator-specific search protocols for financial monitoring software &EED database queries
Use multi-disciplinary approach (Signals Intelligence (SIGINT), Traffic Analysis, Net Work
Theory & Forensic Linguistics) to locate/identify transactional patterns with a high
correlative/causation coefficient for illegal/prohibited or legal/mundane conduct & use thesepatterns as search templates to expedite search projects by prioritizing valuable areas of inquiry &
downgrading if not eliminating low value network topographical patterns
319 West 92nd StreetNew York, New York 10025917.441.6990markbradle es ahoo.com
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Aggressively protect the transactional-investigative effort through frequent report
dissemination, maintenance of required evidentiary logs/documentation, & constant
update/upgrade of associated databases/software applications
Instruct/train AML compliance personnel in most effective techniques to maximize EED
database applications & to use the linguistic idiosyncrasies or corporate artifacts of client culture
as a search multiplier in the rapid identification or elimination of areas of investigative inquiry
Securities Litigation & Regulatory Compliance Analyst, Sullivan & Cromwell, LLP,
New York, NY March 2003 May 2008
Perform continual White Collar due diligence (anti-fraud/AML/BSA) on behalf of global
investment bank subject to multiple regulatory-compliance regimes (SRO, state, federal,
international) constant litigation, & reputational risk
Conduct incident-specific, discrete assessments of AML compliance in all aspects of
trading activity by internal electronic data audits/network analysis (email, Bloomberg, im, twitter
& electronic social network surveillance) & audio review of proprietary lines of telephonic
communication (squawk box)
Initiate at request of the United Nations: 3 year look back investigation ofIraqi foodfor oil corruption allegations, involving multinational transactional documentation,international wire transfers & bank routing numbers subject to linguistic, cultural, informal valuetransfer system (IVTS), and Rule of Law complications (WatchDog/Winpro & OFAC
Analyzer)Review/audit broker-dealer transactional activity that may indicate a pattern ofunreported & aggregated (SMURFED) trade amounts or other evidence of structured payments or
similar attempts to evade or circumvent CTR or SAR requirements & require multiple-regression,
look back analysis of wire house trade-traffic or electronic communication network (ECN)
emissions
Provide flexible trial support function by archiving all investigative case related
correspondence & filings in multiple formats, preparing witness binders, evidentiary & privilege
logs (in excess of 10,000 entries) updating all electronic document databases to reflect current
agreements or rulings as to inclusion or exclusion for trial, forensic collection/process/return of
hard copy/drive from client
Law Clerk, Federal Public Defenders OfficeNew Orleans, Louisiana January 1995 December 1995 Conducting case research and audio & video evidentiary review& trial transcript analysis
Memoranda preparation for money laundering conspiracy (SMURFING & RICO) trial
Writing appellate briefs & habeas corpus writs
Associate, American Bar Association Central and Eastern European Law Initiative (CEELI),
Moscow, Russian FederationMay 1994 - September 1994
Conducted survey of white-collar criminal law legislation and AML initiatives in the Russian
Federation
Regulation & monitoring of Informal Value Transfer Systems (IVTS) of former Soviet Central
Asia
1st Lieutenant, Military Intelligence Corps United Army 1989-1996
Intelligence Officer with the 1st Armored Division
Research and analysis of political and military developments in the former Soviet Union and
Warsaw Pact countries
Guide and Russian interpreter for the Treaty Verification team of the Conventional Forces Europe
(CFE)
Signals Intelligence & Traffic Analysis of Soviet & Warsaw Pact Strategic & Tactical
Communication in the US Army Europe (USAEUR) Theater
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PROFESSIONAL EDUCATION/ MILITARY TRAINING
John Jay College, New York, New York Anticipated Graduation May 2011
Masters In Forensic Psychology GPA 3.85/4.0
Thesis Topic: Predictive Ability of Experts In Jury Decision Making Outcomes
Tulane Law School, New Orleans, Louisiana, Juris Doctor, May 1998
Maritime Law Certificate
Tulane Appellate Clinic GPA 4.0/4.0
Tulane University, New Orleans, Louisiana, Bachelor of Arts, May 1988
Dual Degree: Russian and International Relations
Cumulative GPA: 3.51/4.0
Honors/Awards: Cum Laude, Army ROTC scholarship
US Army Military Intelligence Officers Basic Course (MIOBC, 1990)
US Army Officers Psychological Operations Course (JFK Special Warfare School, 1993)US Army Military Intelligence Officers Advanced Course (MIOAC, 1995)
FINRACOMPLIANCE TRAINING SPRING 2011
AML: Due Diligence for Private Banking Accounts
AML-Retail/Operational/Institutional: Recognizing Red FlagsAML-Retail/Operational/Institutional: Know Your Customer
AML-Retail/Operational/Institutional: Suspicious Activity Recognition & Escalation
AML-Retail: Variable Annuities/Life Insurance
AML-Retail/Operational/Institutional: New Risks
AML-Retail/Operational/Institutional: Customer Identification ProceduresAML-Institutional: Foreign Correspondent Accounts
AML-Institutional: Identifying & Managing Higher Risk Clients
PROFESSIONAL AFFILIATIONS/ CERTIFICATIONS/AWARDSNew York State Bar Association, 2003
Association of Certified Fraud Examiners, 2009
NASD Series 63 Uniform Securities Agent State Law Examination, 2009
NASD Series 66 Uniform Combined State Law Examination, 2011NASD Series 65 Uniform Securities Investment Adviser Law Examination, 2011
Department of Defense Certified Russian Linguist 2+/3, 1995
Department of Defense Top-Secret, Secret Compartmentalized Information Clearance (TS-SCI),
1995
Federal Bureau of Investigation, Behavioral Analysis Unit Award For Original Research, 2004
New York State Real Estate Brokers License, 2009
International Association of Blood Pattern Analysts (IABPA), 2003
ELECTRONIC DOCUMENT REVIEW PLATFORMS & FINANCIAL SOFTWARE APPLICATIONS* Atennex * Bloomberg * Catalyst * Concordance * Discovery Partner * Dochunter * EDGAR
* Excel * Introspect * Lextranet * Lexis/Nexis * Microsoft Word * NICE (Audio Review)
* PowerPoint * Relativity * Ringtail * Stratify * Relativity
MAJORPROJECTS: INVESTIGATIVE REVIEW & PROJECT MANAGEMENT
Investigative Review
Bankruptcy Clawback issue involving a multibillion dollar Ponzi Scheme involving allegations of
banking fraud, BSA violations and money laundering requiring look back reviews of international
bank wire transfers over a 10 year time span (Ringtail/Relativity)
Securities Litigation in a 10-b Action between major investment fund & subprime mortgage
company, involved a complex analysis of GAAP accounting rules and financial instruments
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including loan tapes & other securitization mechanisms/benchmarks (Lextranet)
FINRA/ Broker Dealer Investigative review of charges of brokerage misconduct, to include
misrepresentation of account status, churning, caps, violation of know your client rule,
comingling, market timing and late trading in investment bank sell side operations, conducted
exhaustive analysis and cross referenced over 600 Dealer/Rep Dummy codes that were being
misused by a brokerage member(Concordance)
Subprime mortgage litigation involving the trading of mortgage backed securities & related
derivatives, involved complex issues of assignment of culpability/liability among major
investment bank, mortgage companies and rating agencies (Attenex)
Perform transactional due diligence & AML compliance evaluation on behalf of Internet SectorMutual Fund, post mortem prospectus investigative-fact checking & timeline verification
concerning allegations of market timing and late trading by a major investment bank
(Concordance)
Internal evaluation of KYC rule violation, allegation, potential breach of investment advisor
fiduciary duty by client & ISDA violations in the marketing, promotion and trading of municipal
interest rate swaps and foreign exchange (FOREX) based derivatives by a major investment bank
(Stratify)
Litigation concerning fraud, collusion and insider trading of energy futures & options and other
commodities based derivatives, analysis of documentation & correspondence with regulatory
agencies and various boards of trade (NICE audio) & (Attenex)
Antitrust implications of a contemplated acquisition of several Transfer Agent and wire house
facilities by a top tier investment bank, involved extensive review of SEC Filings: TA-1 & TA-2s to determine relative market share (Bloomberg/EDGAR)
Conducted: internal audit, reputational due diligence & KYC compliance of Viaticals company
that was the subject of acquisition negotiations by a Bulge Bracket firm (Attenex)
Project Manager
Supervise, train, & provide Quality Control (QC) support for 80 attorneys & 30 paralegals on a 9
month project in complex, multidistrict, class action, securities litigation representing a major
Internet media company, handled logistical, administrative as well as substantive review and
analysis (Concordance)
Supervise, train and provide QC for 25 attorneys for a 3 month project addressing a complex
multi-jurisdictional dispute involving substantive issues of The BSA & Patriot Act between amajor international hedge fund and federal regulators in commercial bank de-mutualization
litigation (Relativity)