Bio for Leslie Seff
Mr. Seff ran numerous trading departments for several different New York Stock Exchange Member Firms, including the NASDAQ Trading Department at Fidelity Investments, a unit which he started and subsequently managed. During his tenure at Fidelity, he also managed the department which executed all agency orders for Fidelity’s millions of clients and Correspondent Network. Additionally, he has been an Allied Member of the New York Stock Exchange, and subsequently owned his own NASD Member Broker Dealer. As the President of Matthew B. Management, Inc., he has been involved as a consultant or expert in several high stake cases. For example, he was the only trading consultant to provide pre trial verbal testimony in the disputed merger between the New York Stock Exchange and Archipelago, as he provided insight into the future revenue stream of ECNs, alternative trading venues. He has also provided expert advice or testimony in two notable insider trading cases, and he is currently working as the only non testifying “industry expert” in a major international financial fraud case. Finally Mr. Seff is also a principal at a new financial software firm “AIMPaaS LLC” which provides technology solutions to asset managers. Along those lines, the Compliance software he created has been recognized by Reuters, as detailed in an article focusing on “big data”. The software profiles traders’/portfolio managers’ trading styles, and then monitors for behavioral variance from their individual historic profile. Effectively, the technology pinpoints statistically significant changes in transactional behavior, on a real time basis, as the variance is oftentimes a precursor or coincident indicator of trading violations. Mr. Seff graduated cum laude from Hofstra University and received an MBA from Bernard Baruch College (City University of N Y). In recent years he has guest lectured at NYU, Fordham, and Bernard Baruch graduate schools, and had been the host and producer of a local access cable TV show in New York State, entitled “About Financial Fraud”. He formerly held the following licenses; Series 24, Series 7, Series 63, Series 55, Series 9, and Series 10.