ajm advisory
London
Aldo J. Martinez, principal of AJM Advisory, has over thirty-five years of
experience in financial markets regulation at the NYSE Euronext and in the
securities industry. As, Vice President, Market Surveillance Division (MKS) in
the Special Counsel, Trading Correspondence and Options Surveillance Department,
he was responsible for MKS regulatory and legal matters including representation
in trading investigations conducted by MKS involving federal securities laws and
NYSE rules. He led the coordination in regulatory merger task force and special
projects, such as regulatory merger of NYSE and NYSE Arca; developing a
Divisional training program to provide staff with relevant knowledge including
fraud, criminal activity such as customer "intrusion" cases and market making
activities; and representing the NYSE Euronext by coordinating regulatory
initiatives involving 36 U.S. and non-U.S. markets members in the Intermarket
Surveillance Group (ISG). Aldo also evaluated evidence indicating whether
markets were maintained in a fair and orderly manner and coordinated a
Division-wide New Products Committee which assessed new trading products for
impact on surveillance functions. He was responsible for conducting several
Options surveillances of the NYSE Arca market, maintaining the MKS Business
Continuity Plan and participated in the review of new issuer listing
applications for qualification with NYSE and NYSE Arca company listing
standards. While at the NYSE Euronext, Aldo held the position as Vice President
(MKS) Market Trading Analysis II (MTAII) for 15 years and headed the department
responsible for detection and investigation of insider trading, and market
manipulation at the NYSE and other trading abuses. He instituted effective team
approach to revitalize the NYSE Insider Trading Surveillance program after the
insider trading scandals of the 1980s which led to the development of
sophisticated, state of the art automated systems to detect trading violations
in ever evolving market structure and increasing volume of trading. He proudly
represented the NYSE in the ISG and his collaboration with ISG members led the
evolution of the ISG into a truly international regulatory cooperative network
of 36 exchanges and markets around the world. Aldo also developed and was
responsible for the MKS Business Continuity Plan. Aldo Martinez's earlier years
at the NYSE involved holding positions as Managing Director - MTAII; Director -
Regulatory Quality Review (RQR) MKS Program - evaluated the MKS surveillance
programs for effectiveness and efficiency and internal audit for regulatory
processes; Attorney - Special Counsel (MKS and NYSE Enforcement Division) -
represented and led the NYSE with over 18 successful disciplinary hearings
involving market trading violations and cases involving violations of federal
securities laws and NYSE rules. Aldo has 9 years of trading floor experience. He
also served as assistant to the General Counsel at Spear Leeds & Kellogg where
his duties extended to trading in NASDAQ stocks, options and futures clearing
and investment banking as well as block proprietary trading and NYSE Floor
trading. Throughout Aldo's career, he has given regulatory presentations to U.S.
and non-U.S. government officials, dignitaries and market centers, participated
in SEC international seminars and State panels and he has been interviewed by
national and international print and broadcast media (e.g. CNN Espanol). Aldo
also has a passion and true skill set in training, teaching and motivational
speaking.
