Mr. Shipway is a consultant with Bates Group. He uses his extensive regulatory, exchange and board experience to help broker-dealers, investment advisors and other financial services providers meet business goals and satisfy regulatory, compliance and corporate governance obligations. A former member of the Board of Directors for the National Stock Exchange in Chicago and Executive Vice President for NASDAQ in New York, Mr. Shipway is available to consult regarding regulatory oversight of markets and exchanges, market surveillance and trading systems. He is also available to consult or serve as an expert witness in litigation or regulatory proceedings regarding a wide range of compliance and operations issues including best execution, proprietary trading, stock loan and bond, commodities and OTC trading.
National Stock Exchange, Chicago, Public Member, Board of Directors; Chair, Audit Committee; Member, Regulatory Oversight Committee, 2005-2011
Primex Trading NA LLC, New York, Chief Executive Officer, 1999-2002
NASDAQ Stock Market, Inc., New York, , 1989-1999
InterstateSecurities/Johnson Lane Corp. (later Wachovia Securities), Charlotte, North Carolina, Executive Vice President, Board of Directors, 1973-1989
National Association of Securities Dealers (NASD), Washington D.C., Assistant Director, 1967-1973
Washington College, Chestertown, MD, B.A., Mathematics
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