Wayne Rothstein
Compliance Analyst Consultant at Prudential Financial
Based in Brooklyn, United States
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Seniority
Staff
Department
Other
Location
Brooklyn
Industry
Financial Services
Company size
26K
Contact information
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w•••••••@prudential.com
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Background
About Wayne Rothstein
Experience in Financial Services and Equity Compensation with emphasis on regulatory compliance, stock plan administration, equity sale strategy and client relationship management. Experience working for both large and small securities firms as well as interacting with Fortune 500 companies and small to mid-size companies. Part of a team which generated over in commission for the Corporate Equity Solutions Group. Established and managed over 500 10b5-1 Sales Contracts for Corporate Executive clients. Executed trades on behalf of Corporate Executives pursuant to Rule 10b5-1 (c). Approved collateral loans for High Net-worth Clients and Corporate Insiders. Specialties: Restricted Stock Transactions(Rule 144, Section 16 and S-3 Registration) Rule 10b5-1 Plans along with execution strategies and individual planning. Financing of Employee Stock Options and Warrants. Cultivating relationships. Investigating, researching and resolving complex issues. Improving operational efficiency.
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