John K. Schneider
About John K. Schneider
John K. Schneider is a Regulatory Analyst at the Financial Industry Regulatory Authority, where he conducts investigations into trading activities and drafts investigative memoranda. He has extensive experience in the financial sector, having previously worked as a Floor Trader and Floor Broker at various firms including the New York Stock Exchange and Merrill Lynch.
Work at FINRA
John K. Schneider has served as a Regulatory Analyst at the Financial Industry Regulatory Authority (FINRA) since January 2015. In this role, he drafts investigative memoranda that include findings and recommendations based on factual evidence. He conducts in-depth investigations of trading activities in NYSE and NYSE MKT listed securities to identify potential violations. His responsibilities also involve interacting with member organizations to gather necessary information and documentation for these investigations.
Previous Experience in Trading
Before joining FINRA, John K. Schneider gained extensive experience in trading. He worked as a Floor Trader at the New York Stock Exchange from 1988 to 1989. He later served as a Vice President: Floor Broker/Booth Head Clerk at Merrill Lynch from 1998 to 2005. Additionally, he worked as a Direct Access Floor Broker at Kellogg Group, LLC from 2005 to 2007. These roles provided him with a solid foundation in trading practices and market operations.
Education and Expertise
John K. Schneider studied at St. John's University, where he earned a Bachelor of Science degree in Management. His educational background supports his expertise in regulatory analysis and trading, equipping him with the necessary skills to conduct thorough investigations and analyses in the financial sector.
Investigation Techniques and Tools
In his current role at FINRA, John K. Schneider utilizes various automated tools and methods to reconstruct trading activities for analysis. This technical expertise allows him to effectively detect possible violations in trading practices, ensuring compliance with regulatory standards.