319 West 92nd Street New York, New York 10025 917.441.6990 markbradley_esq@yahoo.

com
New York Bar (2003)|FINRA Series 63 (BD)/65 & 66 (IA) Regulation (2011)| DOD Top Secret-SCI (1990)

CONSULTANT INTERFOR INCORPORATED INTELLIGENCE GROUP. NEW YORK, NEW YORK OCTOBER 2010 Conduct enhanced Due Diligence (DD) & KYC investigations that are corporate personnel, board of directors and M&A partnership selection/vetting oriented Provide timely and accurate Suspicious Activity Report (SAR) analysis asset location & transactional-wiring verification services for the regulatory compliance & risk management professional Develop litigation/corporate/financial intelligence that is both real world & real time Conduct Foreign Corrupt Practices Act evaluations, investigations & consultations Advise Strategic Outsourcing Corporations on political & litigation vulnerabilities

Consultant & External Project Manager Electronic Evidence Discovery (EED) July 2008 - Present Assess EED platform & AML software consistency with client investigative requirements and resources Translate Client-specific regulatory goals into a Financial Intelligence (FI) collection plan, create supporting BSA, AML, & antifraud indicator (Red Flag) lists & develop effective, efficient & understandable search indicator-specific search protocols for financial monitoring software & EED database queries Use multi-disciplinary approach (Signals Intelligence (SIGINT), Traffic Analysis, Net Work Theory & Forensic Linguistics) to locate/identify transactional patterns with a high correlative/causation coefficient for illegal/prohibited or legal/mundane conduct & use these patterns as search templates to expedite search projects by prioritizing valuable areas of inquiry & downgrading if not eliminating low value network topographical patterns

Aggressively protect the transactional-investigative effort through frequent report dissemination, maintenance of required evidentiary logs/documentation, & constant update/upgrade of associated databases/software applications Instruct/train AML compliance personnel in most effective techniques to maximize EED database applications & to use the linguistic idiosyncrasies or corporate artifacts of client culture as a search multiplier in the rapid identification or elimination of areas of investigative inquiry Securities Litigation & Regulatory Compliance Analyst, Sullivan & Cromwell, LLP, New York, NY March 2003 May 2008 Perform continual White Collar due diligence (anti-fraud/AML/BSA) on behalf of global investment bank subject to multiple regulatory-compliance regimes (SRO, state, federal, international) constant litigation, & reputational risk Conduct incident-specific, discrete assessments of AML compliance in all aspects of trading activity by internal electronic data audits/network analysis (email, Bloomberg, im, twitter & electronic social network surveillance) & audio review of proprietary lines of telephonic communication (squawk box) Initiate at request of the United Nations: 3 year look back investigation of Iraqi food for oil corruption allegations, involving multinational transactional documentation, international wire transfers & bank routing numbers subject to linguistic, cultural, informal value transfer system (IVTS), and Rule of Law complications (WatchDog/Winpro & OFAC Analyzer) Review/audit broker-dealer transactional activity that may indicate a pattern of unreported & aggregated (SMURFED) trade amounts or other evidence of structured payments or similar attempts to evade or circumvent CTR or SAR requirements & require multiple-regression, look back analysis of wire house trade-traffic or electronic communication network (ECN) emissions Provide flexible trial support function by archiving all investigative case related correspondence & filings in multiple formats, preparing witness binders, evidentiary & privilege logs (in excess of 10,000 entries) updating all electronic document databases to reflect current agreements or rulings as to inclusion or exclusion for trial, forensic collection/process/return of hard copy/drive from client Law Clerk, Federal Public Defenders Office New Orleans, Louisiana January 1995 December 1995

Conducting case research and audio & video evidentiary review & trial transcript analysis Memoranda preparation for money laundering conspiracy (SMURFING & RICO) trial Writing appellate briefs & habeas corpus writs Associate, American Bar Association Central and Eastern European Law Initiative (CEELI), Moscow, Russian Federation May 1994 - September 1994

Conducted survey of white-collar criminal law legislation and AML initiatives in the Russian Federation Regulation & monitoring of Informal Value Transfer Systems (IVTS) of former Soviet Central Asia 1989-1996

1st Lieutenant, Military Intelligence Corps United Army Intelligence Officer with the 1st Armored Division

Research and analysis of political and military developments in the former Soviet Union and Warsaw Pact countries Guide and Russian interpreter for the Treaty Verification team of the Conventional Forces Europe (CFE) Signals Intelligence & Traffic Analysis of Soviet & Warsaw Pact Strategic & Tactical Communication in the US Army Europe (USAEUR) Theater

PROFESSIONAL EDUCATION/ MILITARY TRAINING

John Jay College, New York, New York Anticipated Graduation May 2011 Masters In Forensic Psychology GPA 3.85/4.0 Thesis Topic: Predictive Ability of Experts In Jury Decision Making Outcomes

Tulane Law School, New Orleans, Louisiana, Juris Doctor, May 1998 Maritime Law Certificate Tulane Appellate Clinic GPA 4.0/4.0 Tulane University, New Orleans, Louisiana, Bachelor of Arts, May 1988 Dual Degree: Russian and International Relations Cumulative GPA: 3.51/4.0 Honors/Awards: Cum Laude, Army ROTC scholarship US Army Military Intelligence Officers Basic Course (MIOBC, 1990) US Army Officers Psychological Operations Course (JFK Special Warfare School, 1993) US Army Military Intelligence Officers Advanced Course (MIOAC, 1995)
FINRA COMPLIANCE

TRAINING SPRING 2011

AML: Due Diligence for Private Banking Accounts AML-Retail/Operational/Institutional: Recognizing Red Flags AML-Retail/Operational/Institutional: Know Your Customer AML-Retail/Operational/Institutional: Suspicious Activity Recognition & Escalation AML-Retail: Variable Annuities/Life Insurance AML-Retail/Operational/Institutional: New Risks AML-Retail/Operational/Institutional: Customer Identification Procedures AML-Institutional: Foreign Correspondent Accounts AML-Institutional: Identifying & Managing Higher Risk Clients

PROFESSIONAL AFFILIATIONS/ CERTIFICATIONS/AWARDS

New York State Bar Association, 2003 Association of Certified Fraud Examiners, 2009 NASD Series 63 Uniform Securities Agent State Law Examination, 2009 NASD Series 66 Uniform Combined State Law Examination, 2011 NASD Series 65 Uniform Securities Investment Adviser Law Examination, 2011 Department of Defense Certified Russian Linguist 2+/3, 1995 Department of Defense Top-Secret, Secret Compartmentalized Information Clearance (TS-SCI), 1995 Federal Bureau of Investigation, Behavioral Analysis Unit Award For Original Research, 2004 New York State Real Estate Brokers License, 2009 International Association of Blood Pattern Analysts (IABPA), 2003

ELECTRONIC DOCUMENT REVIEW PLATFORMS & FINANCIAL SOFTWARE APPLICATIONS

* Atennex * Bloomberg * Catalyst * Concordance * Discovery Partner * Dochunter * EDGAR * Excel * Introspect * Lextranet * Lexis/Nexis * Microsoft Word * NICE (Audio Review) * PowerPoint * Relativity * Ringtail * Stratify * Relativity MAJOR PROJECTS: INVESTIGATIVE REVIEW & PROJECT MANAGEMENT Investigative Review

Bankruptcy Clawback issue involving a multibillion dollar Ponzi Scheme involving allegations of banking fraud, BSA violations and money laundering requiring look back reviews of international bank wire transfers over a 10 year time span (Ringtail/Relativity) Securities Litigation in a 10-b Action between major investment fund & subprime mortgage company, involved a complex analysis of GAAP accounting rules and financial instruments

including loan tapes & other securitization mechanisms/benchmarks (Lextranet) FINRA/ Broker Dealer Investigative review of charges of brokerage misconduct, to include misrepresentation of account status, churning, caps, violation of know your client rule, comingling, market timing and late trading in investment bank sell side operations, conducted exhaustive analysis and cross referenced over 600 Dealer/Rep Dummy codes that were being misused by a brokerage member (Concordance) Subprime mortgage litigation involving the trading of mortgage backed securities & related derivatives, involved complex issues of assignment of culpability/liability among major investment bank, mortgage companies and rating agencies (Attenex) Perform transactional due diligence & AML compliance evaluation on behalf of Internet Sector Mutual Fund, post mortem prospectus investigative-fact checking & timeline verification concerning allegations of market timing and late trading by a major investment bank (Concordance) Internal evaluation of KYC rule violation, allegation, potential breach of investment advisor fiduciary duty by client & ISDA violations in the marketing, promotion and trading of municipal interest rate swaps and foreign exchange (FOREX) based derivatives by a major investment bank (Stratify) Litigation concerning fraud, collusion and insider trading of energy futures & options and other commodities based derivatives, analysis of documentation & correspondence with regulatory agencies and various boards of trade (NICE audio) & (Attenex) Antitrust implications of a contemplated acquisition of several Transfer Agent and wire house facilities by a top tier investment bank, involved extensive review of SEC Filings: TA-1 & TA2s to determine relative market share (Bloomberg/EDGAR) Conducted: internal audit, reputational due diligence & KYC compliance of Viaticals company that was the subject of acquisition negotiations by a Bulge Bracket firm (Attenex)

Project Manager

Supervise, train, & provide Quality Control (QC) support for 80 attorneys & 30 paralegals on a 9 month project in complex, multidistrict, class action, securities litigation representing a major Internet media company, handled logistical, administrative as well as substantive review and analysis (Concordance) Supervise, train and provide QC for 25 attorneys for a 3 month project addressing a complex multi-jurisdictional dispute involving substantive issues of The BSA & Patriot Act between a major international hedge fund and federal regulators in commercial bank de-mutualization litigation (Relativity)