In order to bring additional experience and breath on certain projects, Gary DeWaal and Associates, LLC on occasion partners with other independent consultants who are also former leaders of their business and in most cases, are house-hold names in the exchange-traded derivatives and/or securities industry. Arrangements with these consultants are fully disclosed to clients and each relationship and are structured to ensure the maximum convenience and coordination.

Currently, the roster of participating independent consultants includes:

Ronald H Filler

Ronald H. Filler, a 30+ year veteran of the exchange-traded derivatives industry, currently is a Professor of Law and Director of the Financial Services Law Institute at New York Law School, located in New York City. He is also the Program Director of its LL.M. in Financial Services Law Graduate Program. Prior to joining the faculty of NYLS in 2008, he was a Managing Director in the Capital Markets Prime Services Division at Lehman Brothers Inc., where he was responsible for various businesses, legal and regulatory matters involving the global futures markets. Prior to joining Lehman Brothers in 1993, he was a Partner and Member of the Executive Committee at Vedder Price Kaufman & Kammholz, a large law firm located in Chicago, IL and worked at various other law firms and brokerage firms earlier in his career. Mr. Filler serves as a Director or member of numerous industry organizations and is a frequent speaker at industry forums. [email protected]. See more.

Ira Polk

Ira Polk is a CPA who currently serves on the Board of Directors of ICE Clear U.S., Inc. and is independent Chairman of the Risk Committee. He also serves on the Board of The Clearing Corporation Charitable Foundation. Mr. Polk retired from MF Global in March 2009, having been with the company and its prior owner, Man Group plc, for 24 years. He served in numerous executive, operational and financial capacities in Man Group’s US holding company and its various subsidiaries, including Man Financial Inc., a registered FCM and Broker-Dealer. He also served as Director, President and CFO of Man Group Finance Inc. He served on various global committees, including the Investment, Finance and Credit and Risk committees and chaired the Y2K Committee. He co-chaired a 2008 FIA-FOA sponsored study of clearing risk. [email protected]. See more.

William Sexton

Bill Sexton is a long time futures professional with executive level experience across a broad range of functional areas. He was most recently Chief Executive officer of Newedge LLC and Head of the Americas for Newedge Group, SA where he was also a member of the executive committee. Mr. Sexton has had direct responsibility for the risk management of the Firm including its credit, market and operational risk management operations counting the Chief Risk Officer among his direct reports. He also managed the heads of sales in multi-product areas including, exchange traded derivatives, fixed income, foreign exchange, metals, prime brokerage, and energy. He has managed all functional areas of a BD/FCM including operations, IT (including electronic trading and clearing technologies), finance and accounting, compliance, legal and risk during his more than 26 years, holding many senior positions at other futures brokers and exchanges, as well as his own consulting firm. [email protected]. See more.

Gary DeWaal and Associates, LLC is not affiliated, legally or otherwise, with any of the independent consultants included on this page, except, on occasion, to work with them on specific projects.