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Susan Mitchell Blavin was an analyst at the American International Group (AIG) Global
Investment group from 2006 to 2008. In 2013 she was a counsel on the U.S. House
Financial Services Committee, then lobbied later that same year and in 2014 for the
Financial Services Roundtable, which is a major lobbying group for the financial services
industry. Since mid-2013 she has also been the Executive Director of Advocates for
Insurance Modernization.
Haller: From Goldman Sachs to Committee to Public Affairs for Financial Institutions
Peter Haller was the Vice President of Commodities Compliance at Goldman Sachs from
2005 to 2007, and he was an attorney at Brickfield, Burchette, Ritts & Stone PC from
2008 to 2010, a firm that worked, in part, on mergers and acquisitions and regulatory
compliance. From March 2013 to May 2014 Haller was a senior counsel on the U.S.
House Financial Services Committee. Since 2014 he has been Managing Member of Hill
Strategy LLC, which assists Financial Institutions and Energy Companies in
Communications with Congress, Regulators and the Press. One of the clients of this
firm is IEX Group Inc., which is currently seeking approval to become a registered
national securities exchange. Since 2014, has been registered to lobby on the federal
level for IEX Group Inc.
Norton: From the Committee to Chamber of Commerce Lobbyist
Travis Norton was a general counsel on the U.S. House Financial Services Committee
from January 2013 to February 2015. In 2016 he became the executive director of the
Center for Capital Markets Competitiveness. That same year he was registered to lobby
for the U.S. Chamber of Commerce on accounting issues and Sarbanes-Oxley.
Turner: From the Committee to Lending Issues Lobbyist
Anne Marie Turner was a senior counsel on the U.S. House Financial Services Committee
in 2013. In 2014 she was registered as a federal lobbyist for Wyndham Worldwide
Corporation, the Santa Barbara Tax Products Group, and Avalara. Wyndham Worldwide
Corporation, in 2014, lobbied on timeshare-related mortgage and other timesharerelated lending issues.
Bartlett Wright: From the Committee to Bank Association Lobbyist
Anna Bartlett Wright was the U.S. House Financial Services Committee operations
manager from January 2013 to January 2015. She became the government relations
coordinator for the Consumer Bankers Association in January 2015, and has been a
registered lobbyist for that organization since 2015.
Blum: From the Committee to Morgan Stanley Smith Barney
Jonathan M. Blum has worked for the U.S. House Financial Services Committee as senior
counsel since April 2014. From August 2008 to January 2011 he worked as an insurance
analyst at Morgan Stanley Smith Barney, a joint venture from Citigroups Smith Barney
unit and Morgan Stanleys counterpart, as a way to benefit both companies. It had the
Page 2 of 7
bulk of its Morgan Stanleys wealth management business, which has nearly 17,000
wealth advisers and $1.7 trillion in assets under management, making it one of the
biggest such businesses around.vi
Carapiet: From a Financial Services Group to the Committee
Joseph J. Carapiet has worked as a detailee for the U.S. House Financial Services
Committee since 2015. From 2011 to 2014 he worked for Sullivan & Cromwell LLP,
which he described as a financial services group.
Edgar: From NYSE Euronext to the Committee
Kevin R. Edgar has worked as the Republican Senior Counsel to the U.S. House Financial
Services Committee since January 2013. From May 1997 to May 2006 he was Senior
Counsel at NYSE Euronext, a holding company considered to be the world's leading and
most liquid equities exchange group that was developed by NYSE Group, Inc. in
conjunction with Euronext NV.vii
Falaschetti: From Corporate Finance Management to the Committee
Dino D. Falaschetti has worked as the Chief Economist for the U.S. House Financial
Services Committee since May 2015. From 1988 to 1993 he was the Manager of
Corporate Finance for PepsiAmericas Inc., where he managed a $1 billion money
market portfolio, hedged interest rate and currency exposures, and developed valuation
analyses for diverse subsidiaries. From July 2006 to May 2015 he was a special
consultant at Economists Incorporated, which consults on proposed mergers and
acquisitions, legal disputes industry regulation, auction design and strategy, transfer
pricing and business planning, for legal counsel, businesses, and trade associations.
Hoskins: From Financial Holding Company to the Committee
Isaac Borden Hoskins has worked as the Member and Coalition Services Coordinator for
the U.S. House Financial Services Committee since June 2015. From August 2011 to July
2013 he worked as a mortgage loan originator at the Alabama-based Regions Financial
Corporation, a financial holding company.
Jones: From Fannie Mae Lobbyist to the Committee
Clinton C. Jones has worked as Senior Counsel for Rep. Jeb Hensarling on the U.S. House
Financial Services Committee since February 2013. From 2007 to 2008 he was a
registered lobbyist for and Vice President of Fannie Mae, during which time Fannie Mae
spent nearly $10 million on lobbying activities. On his 2013, 2012, and 2011 disclosures,
Jones reported owning stock in Fannie Mae.viii
Page 3 of 7
Halle Katherine Morgan has worked for the U.S. House Financial Services Committee
since April 2015. In 2011 she was a summer law clerk at the Institute for Justice, a
"libertarian public-interest law firm" that, for a time, received "$350,000 a year in seed
money from [Charles Koch's] private foundation." She then served as Counsel,
Regulatory Litigation, for Cause of Action, which was "a small group of lawyers funded
by the Koch network."ix
Mork: From Anti-Regulation Lobbying Firm to the Committee
Kirsten Mork, the current Deputy Staff Director for the U.S. House Financial Services
Committee, has worked for or under Rep. Hensarling since May 2009. From September
2007 to June 2008 she worked as a legislative analyst for the Federal Strategy Group
Inc., a lobbying firm that represented the Coalition Opposed to a Federal Insurance
Regulator, the Coalition Organized for the Future of Insurance Regulation, and the
First National Bank of Georgia.x
Sisto: From to Financial Industry-Tied Law Firm to the Committee
Brett Sisto has worked as Counsel for the U.S. House Financial Services Committee since
2015. From October 2011 to February 2015 he worked as an associate at Cadwalader,
Wickersham & Taft LLP, which provides legal services to "financial and regulatory
market participants and advises clients on antitrust, capital markets, corporate,
energy, financial restructuring, intellectual property litigation, regulatory, securities
enforcement, tax and white collar matters."xi
As previously detailed, Jones has worked as Senior Counsel for Rep. Jeb Hensarling, on
the U.S. House Financial Services Committee since February 2013. On his 2013, 2012,
and 2011 disclosures, Jones reported owning stock in Fannie Mae.xii
Emerson: Mutual Funds Invested in Financial Services Sector
Jeffrey Wade Emerson has worked as the Deputy Staff Director for Communications for
the U.S. House Financial Services Committee since January 2013. Since January 2013 he
has reported owning the following mutual funds invested in at least ten percent
investment in the financial services sector: Russell Investments Lifepoints Growth
Strategy Fund, DFA Tax-Managed US Equity (DTMEX), DFA US Micro-Cap (DFSCX), DFA
Tax-Managed International Value (DTMIX, DFA Tax-Managed US Marketwide Value
Page 4 of 7
(DTMMX), DFA Tax-Managed US Targeted Value (DTMVX), DFA Emerging Markets Value
(DFEVX), DFA International Small Company (DFISX), DFA International Small Cap-Value
(DISVX), and DFA Emerging Markets (DFEMX).
McGahn: Mutual Funds Invested in Financial Services Sector
Shannon McGahn worked for Rep. Hensarling between January 2011 and February
2012, and since January 2013 has worked as a staff director for the U.S. House Financial
Services Committee. Since 2013 she has reported owning mutual funds from the
following institutions that have at least ten percent of their holdings in the financial
services sector: T. Rowe Price, Goldman Sachs, and two Hartford Funds.
Skala: Mutual Funds Invested in Financial Services Sector
Edward G. Skala has worked for the U.S. House Financial Services Committee since
February 2011. Since he began working for the U.S. House Financial Services Committee,
he reported owning the following mutual funds invested in at least ten percent
investment in the financial services sector: the American Funds New Perspective 529
Plan, the Vanguard 500 Index Fund IRA, the Vanguard IRA- New York Community
Bancorp Inc. Stock. Additionally, Skala has owned stock in New York Community
Bancorp Inc.
Jim Clinger, from 1995 until 2005, and again since 2007, has worked for the U.S. House
Financial Services Committee. He has taken three trips sponsored by the American
Bankers Association that cost a total of $4,206, and one trip sponsored by the American
Collector Association International that cost $1,798.
Johnson: $475 in Industry-Funded Travel While at the Committee
Brian C. Johnson has worked as Counsel and then Senior Counsel for the U.S. House
Financial Services Committee since May 2012. In 2014 he went on a trip sponsored by
Bricker & Eckler LLP that cost $475, and spoke at the 2014 Midwest Consumer Financial
Services Conference.
Jones: Committee Employee Who Took $7,136 in Industry-Funded Travel
As previously detailed, Jones has worked as Senior Counsel for Rep. Jeb Hensarling, on
the U.S. House Financial Services Committee since February 2013. Between 2001 and
2005 Jones went on seven sponsored trips that cost a total of $7,136 and were funded
Page 5 of 7
Joe Pinder, since 1994, has worked for the U.S. House Financial Services Committee. He
has gone on one trip sponsored by the NASDAQ OMX Group Inc., that cost $895.86.
Wood: Committee Employee Who Took $450.50 in Industry-Funded Travel
Bryan Wood has worked as a staff member for the U.S. House Financial Services
Committee since February 2015. Prior to working for the House Financial Services
Committee, he worked for Rep. Robert Hurt (R-VA), where he took a trip sponsored by
the Depository Trust & Clearing Corporation that cost $450.50.
Page 6 of 7
END NOTES
Donna Borak and Andrew Ackerman, GOPs Jeb Hensarling Takes Aim at Dodd-Frank, Volcker
Rule, The Wall Street Journal, June 5, 2016, http://www.wsj.com/articles/gops-jeb-hensarlingtakes-aim-at-dodd-frank-volcker-rule-1464977161.
ii
th
Alan Pyke, Five Numbers to Know as Dodd-Frank Wall Street Reform Celebrates Its 5 Birthday,
Think Progress, July 21, 2015, http://thinkprogress.org/economy/2015/07/21/3682696/dodd-frankfive-years-2/.
iii
Five Years of Dodd-Frank, Davis Polk & Wardell LLP, accessed June 2, 2016,
http://www.volckerrule.com/infographic/july2015infographic.html.
iv
Anthony Alexis, You Have the Right to a Fair Financial Marketplace, At the CFPB (blog), Consumer
Financial Protection Bureau website, July 21, 2015, http://www.consumerfinance.gov/aboutus/blog/you-have-the-right-to-a-fair-financial-marketplace/
v
Center for Responsive Politics, Hensarling Campaign and Leadership PAC Contributions from the
Financial Sector Since 2010,
https://www.opensecrets.org/politicians/summary.php?cid=N00024922.
vi
Michael J. de la Merced, Morgan Stanley to Take Over Smith Barney, with Citigroups Blessing,
DealBook, New York Times, September 11, 2012,
http://dealbook.nytimes.com/2012/09/11/morgan-stanley-smith-barney-is-valued-at-13-5-billion/.
vii
NYSE Euronext, Investor Words financial glossary, accessed June 1, 2016,
http://www.investorwords.com/11720/NYSE_Euronext.html.
viii
Suzanne Struglinski and Samantha Young, eds., The Almanac of the Unelected, 2013: Staff of the
th
U.S. Congress, 24 ed. (Lanham, MD: Bernan Press, 2013),
https://books.google.com/books?id=1RsjAQAAQBAJ&pg=PA177&lpg=PA177&dq=clinton+jones+no
w+vice+president+for+industry+relations+at+Fannie+Mae&source=bl&ots=n15vgOyd3r&sig=oR7VqI
qAanhLQiv4zBaylauPbFQ&hl=en&sa=X&ved=0ahUKEwjYmYCJvObMAhUJdh4KHUdQB0EQ6AE#v=on
epage&q=clinton%20jones%20now%20vice%20president%20for%20industry%20relations%20at%20
Fannie%20Mae&f=false.
ix
Jeffrey Rosen, The Unregulated Offensive, New York Times Magazine, April 17, 2005,
http://www.nytimes.com/2005/04/17/magazine/the-unregulated-offensive.html; and Evan Halper,
Koch-backed Group with Ties to Liberal Causes? Critics Call It a Charade, Los Angeles Times,
February 7, 2015, http://www.latimes.com/nation/la-na-cause-action-20150207-story.html.
x
Sunlight Foundation Reporting Group Lobbying Tracker, s.v. Federal Strategy Group, accessed
June 1, 2016, http://reporting.sunlightfoundation.com/lobbying/firm/federal-strategygroup?order=received.
xi
Offices: Washington, Cadwalader, Wickerham & Taft LLP website, accessed June 1, 2016,
http://www.cadwalader.com/offices/washington-dc.
xii
Struglinski and Young, eds, Almanac of the Unelected, 2013. See link in note 8.
Page 7 of 7