Richard Frederick Brueckner

Founded in 1939, Pershing LLC is a broker/dealer headquartered in Jersey City, New Jersey. The firm is a subsidiary of the Bank of New York Mellon Corp. (NYSE: BK). The firm helps financial services firms and advisors succeed by providing the technology, operational, trading, investment and practice management solutions they need to serve investors. Pershing offers securities processing, trading and operations management, investment technology, asset-gathering solutions and practice management support. The firm serves a wide range of financial organizations including: banks, discount brokerages, full-service brokerages, registered investment advisors, independent contractors, institutional firms, global firms and small- to mid-sized firms. Pershing also offers financial products including annuities, mutual funds and money funds, as well as business tools, cash management services, investor and lending services, retirement products and wealth management. In addition, they offer trading and execution services in listed and OTC securities, fixed-income securities and mutual funds.

NASD Regulation, Inc. provides financial regulatory services and performs the regulatory functions of NASD. The company was founded in 1996 and is headquartered in Washington, DC.

Part of Bank of America Corp., Wave Securities LLC is a telecommunications operator that provides international infrastructure through a submarine cable system. The company is based in Chicago, IL. Globenet, a subsidiary of Wave Securities, delivers its services through its own, fully redundant submarine cable systems that span across 26,000 kms. Globenet's portfolio of products includes connectivity (IP transit, Ethernet, wave), edge datacenter, cloud, and security services. Globenet provides international capacity via a subsea, dual ring-protected cable system that connects various locations. This 26,000-kilometer network is fully redundant and supports a comprehensive and integrated portfolio of connectivity, IP, colocation, and security services. Globenet also has colocation spaces at its cable landing stations (CLS), internet exchange points (IXPs) in various locations, and a data center. In 2019, Globenet won seven prestigious international awards, including the best project in the Americas region at the Capacity Carrier Awards, for its new 2,600 km subsea cable system, Malbec, which connects with various locations and the rest of the world. The company was founded by David C. Hayden. Wave Securities was acquired by Merrill Lynch & Co., Inc. /Old/ from Archipelago Holdings, Inc. on March 03, 2006.

Part of Ascensus LLC, Frontier Trust Co. is a company that provides trustee and custodial services for qualified retirement plans. The company is based in Fargo, ND. Frontier Trust was acquired by Ascensus LLC from AXA SA on July 12, 2007.

The Bank of New York Co., Inc. provides banking and other financial services to corporations and individuals worldwide. It also offers securities servicing and global payment services, corporate banking, BNY Asset Management and Private Client Services, Retail Banking and Global Market Services. Client base of the company include financial institutions, corporations, government entities, endowments and foundations. The company, founded in 1784 is headquartered in New York.

ConvergEx, Inc. provides mission-critical proprietary software products. It provides products and services through two business segments: Investment Technologies and Investment Services. The Investment Technologies segment develops, markets and sells the company's proprietary software products, including workflow automation solutions, and technology-enabled services. The Investment Services segment utilizes many of the same proprietary software products and technology-enabled services. The company was founded on March 17, 2011 and is headquartered in New York, NY.