Lecturer Bios
Alexander Ellenberg, Esq.
Alex Ellenberg is Associate General Counsel in FINRA’s Office of General Counsel. Mr. Ellenberg works with others in the Office to develop and interpret FINRA rules and to provide legal and policy advice to FINRA management and staff. His work focuses in particular on matters related to market structure, market integrity, and order and trade reporting for equity, options, and fixed income securities. Mr. Ellenberg worked previously in the SEC’s Division of Trading and Markets and in private practice, and he received a J.D. from Cornell Law School and a B.A. from the University of Pennsylvania.
Racquel Russell, Esq.
Racquel Russell is Senior Vice President and Director of Capital Markets in FINRA’s
Office of General Counsel (OGC). In this role, Ms. Russell oversees the Capital
Markets Office as it develops new policy initiatives, provides counsel to the
Department of Market Regulation and Transparency Services, and supports the fixed
income examinations of the Member Supervision Department. She also provides
expert guidance to the FINRA Board of Governors and senior management.
Ms. Russell joined OGC in 2008 and previously served as an Associate General
CounsFel and an Assistant General Counsel. Prior to joining FINRA, Ms. Russell was
a Vice President in the Legal and Compliance Department at J.P. Morgan, London,
UK. She also worked in a variety of legal roles at the U.S. Securities and Exchange Commission, including
as a Branch Chief for Trading Practices in the Division of Trading and Markets.
Ms. Russell earned a B.A.
in Psychology from Canisius College and J.D. and M.B.A. degrees from the State University of New York at
Buffalo, School of Law and School of Management
Annette Kelton
Annette Kelton is a Managing Director and co-heads the Americas Global Banking & Markets Equities practice group in the Legal Division at Goldman Sachs & Co., LLC. She manages a team of lawyers who advise the firm's Global Banking and Markets businesses providing products and services across equities shares and derivatives, prime services, clearing and securities lending, synthetic financing, structured investments and the GS Marquee digital services storefront. Annette joined Goldman Sachs in 1999 and was named managing director in 2005.
Prior to joining the firm, Annette worked with the US Securities and Exchange Commission, where she co-headed the Enforcement Program in the Philadelphia District Office. During her tenure with the SEC, she also served as a legal assistant to SEC Commissioner Mary L. Schapiro. Prior to joining the SEC, Annette served as a judicial clerk doe the Honorable William F. Hall, Jr. in the US District Court for the Eastern District of Pennsylvania.
David Shillman
David Shillman is an Associate Director in the SEC’s Division of Trading and Markets, where he is responsible for oversight of the U.S. equity and debt markets. Prior to that time, he served in a variety of positions in the Division, including Counsel to the Director and International Counsel.
Mr. Shillman was in private practice in New York and Washington, D.C. before joining the SEC in 1995. He is a graduate of Northwestern University and the University of Michigan Law School.
