
Mr Martinez has had a working lifetime’s experience in securities markets and brings particular experience from providing the information that North American prosecutors used to secure convictions.
He was most recently Vice-President (Market Surveillance Division – MKS) Trading Correspondence and Options Surveillance Department of NYSE Regulation, Inc where he was responsible for:
- MKS regulatory/legal matters including representation in all trading investigations conducted by MKS involving federal securities laws and NYSE rules;
- coordinating/participating regulatory merger task force and special projects, such as SEC Reg.NMS;
- developing a Divisional training program to provide staff with relevant knowledge including fraud, criminal activity such as customer “intrusion” cases and “money laundering” activities;
- representing the NYSE by coordinating regulatory initiatives involving 36 U.S. and non-U.S. markets members in the Intermarket Surveillance Group (ISG). In 2006-2007, he served as Chairman of the ISG;
- Evaluating whether markets were maintained in a fair and orderly manner;
- Conducting Options surveillances of the NYSE Arca market;
- Maintaining the MKS Business Continuity Plan;
- Coordinating a Division-wide New Products Committee which evaluated new trading product for impact on surveillance functions;
- Reviewing issuer applications for qualification with listing standards.
- Former Deputy Head of Surveillance, NYSE
- Partner, AJM Advisory Services
- St. Peter’s College (NJ, USA), Adjunct Professor
Areas of expertise: Insider Trading / Market Manipulation