Doreen Mogavero

Founder and CEO of Mogavero Lee & Co., Inc . from May 1, 1989 to Feb 2014. Mogavero Lee was the first, and still is, the only NYSE floor based broker dealer wholly owned and operated by women. Together with Jennifer Lee, and our team we executed orders in NYSE listed stocks representing large institutional clients, risk arbitrage firms, state run pension plans, quantitative trading firms, as well as smaller firms with retail clients. In our twenty five year history our attention to details in record keeping, order execution and financial responsibility resulted in a pristine regulatory and financial reputation. Our trading expertise resulted in a high degree of customer satisfaction evidenced by the high rate of client retention. To that end I was an active trader on the floor we well as in the community.

I developed and maintained strong relationships with our clients, resulting in repeat business and referrals.

I managed day-to-day business operations. As well as serving on many outside committees for the industry and the NYSE. My media experience is vast and speaks to my abiity to present myself to both large numbers of people and one on one.

The title of Doctor of Humane Letter was awarded to me by Wright State University for my work both with the university and throughout my career in financial literacy. For my 43 years on Wall Street I mentored and taught hundreds of students from grammar school through college in an effort to promote an understanding of our financial system, and its role in our political system, economy and personal lives. Being recognized by a large public institution for this work was one of the proudest days of my life. .

Over a period of approximately fifteen plus years I held various positions for the New York Stock Exchange Floor Members Emergency Fund. This fund provided relief funds to floor members for legitimate errors incurred during the normal course of business.

I spent 23 years as an active member of the NYSE Hearing Panel. This was an NYSE appointed committee. Members representing the NYSE at hearings between floor members, traders and upstairs trader and their clients We were acting "judges" required to hear cases and adjudicate the the evidence presented. I chaired tens of panels over the twenty three year period.y knowledge and recollection there were no appeals filed in any of the cases where I chaired the panel.

The New York Stock Exchange Board of Executives was created to enhance corporate governance at the Exchange. The original Board of Directors had come under scrutiny regarding conflicts of interest and therefore it recommended that to remove any perception of conflict thr Board be split into two separate bodies that would meet both individually and together at assigned times and as needed. There was a non industry side of the board with full voting rights representing a conflict free viewpoint and an industry advisory board ( Board of Executives) to guide in matters regulation and changes in technology from a practical user and provider base. I was one of the first four people from the tradig floor community to be appointed to the Board of Executives. I was also the first woman to hold a board position from the trading floor of the Exchange.