OUR SENIOR MANAGEMENT TEAM
Founded in 1964, Continental is the largest and oldest U.S. owned transfer agent. As proud as we are of our history, we are even more proud of the fact that we satisfy our customers time and again, no matter how challenging their needs may be. We are the fastest-growing major agent and our focus on our specific clientele niche has been unwavering since our founding.
Along with our staff of seasoned professionals, this foundation is what allows us to respond quickly and nimbly, and to execute flawlessly on our suite of services. Our top-level managers have an average of 32 years of experience in the transfer agent industry and available to assist you 24 hours a day, seven days a week.
President and Chairman
With more than 35 years of industry experience, Steven is heavily involved in Continental Stock Transfer & Trust’s day-to-day organizational and administrative issues, and in the overall management of client initiatives. An attorney with a background in public as well as private practice, he is a member of the New York State and Federal Bars. He has practiced at Simpson Thacher & Bartlett and as a federal prosecutor.
Steven is a member of the Executive Committee of the Securities Transfer Association Board and chairs its Legal Committee, which is active in promoting important changes within the industry. A magna cum laude graduate of Brandeis University, he received Law Review honors from NYU Law School.
Chief Compliance Officer & Corporate Secretary
Michael has been with Continental for over 30 years and is currently their Chief Compliance Officer, Chief AML/BSA Officer and Corporate Secretary. He deals primarily with the executive officers and directors of our clients and their securities counsel and is frequently involved in discussions concerning the interpretation of SEC rules resulting in the opportunity to provide guidance with a commitment to finding solutions to complex problems.
He also serves as a Senior Relationship Manager for some of Continental’s most sensitive accounts and has responsibilities involving all aspects of legal restricted transfers, original issuances stemming from initial, secondary and follow-on public offerings, private placements, warrant exercises and employee benefit plans. He is also responsible for the review of all legal agreements where Continental is a party.
Michael is also in charge of overseeing and managing the implementation of procedures to ensure that compliance programs adopted throughout the organization are effective and efficient in identifying, preventing, detecting and correcting non-compliance with applicable rules and regulations. He reports directly to the Company’s President and is required to provide reasonable assurance to the Board of Directors that there are effective internal policies and procedures in place, well understood and respected by all employees, and that the Company is complying with all regulatory requirements.
Michael is currently a member of the Securities Transfer Association and the Shareholder Services Association. He holds a Master of Science degree from the New Jersey Institute of Technology. He is married with two daughters and is an avid Mets and Knicks fan.
Chief Operating Officer
John joined Continental Stock Transfer & Trust Company in 2013 to assume responsibilities for Specialized Services, including Dividends, Abandoned Property Reporting, Account Maintenance, Check Reconciliation, IRS Tax Reporting, Research and Dividend Reinvestment.
John is a well-respected industry leader with a wide range of industry knowledge. He has experience in all aspects of the industry and is well versed in the Stock Transfer product.
John has 30-plus years of experience in the transfer agency industry, working for some of the largest transfer agents in the world. This experience has allowed him to accumulate a broad range of managerial, organizational and administrative skills. John also has a vast knowledge of all operational and regulatory issues handled by transfer agents.
John is a former chair of the Securities Transfer Association’s Operations Committee and has participated in several industry-wide boards. John is a graduate of St. John’s University.
Vice President and Chief Information Security Officer
As our CISO, Don monitors our Cyber Security Policy execution, all Internet related procedures and is the liaison between all department managers and our Information Technology staff. He creates employee training programs for the proper handling of email, internet decorum and safeguarding of personal identification information that is retained in our recordkeeping files.
Don has spent over 50 years with Continental and has detailed knowledge of all operational and regulatory issues, having handled most transfer agent functions, as well as audit and risk related responsibilities.
A former chair of the Securities Transfer Association’s Operations Committee, Don is an active member of several industry-wide organizations.
Vice President – Manager of Plan Services
John is responsible for the management of all Dividend Reinvestment, Direct Stock Purchase, and Employee Stock Purchase Plans. John also manages the Call Center and Investor Relations. He develops strong relationships with clients as well as providing strong customer relations with shareholders.
John has over 20 years of industry experience. He is a graduate of Susquehanna University in Selinsgrove, PA and has a BA in Business Administration with a Major in Finance.
Controller & Vice President of Accounting
Narisha joined Continental Stock Transfer & Trust in 2016, and is the Vice President of Accounting. She plans, organizes and maintains the accuracy of all financial information recorded and reported. In this role, her main responsibilities include: managing her accounting staff; the month-end close; monthly, quarterly and annual payroll tax reporting; analytical reviews; and providing financials to management and Human Resources. She supports all aspects of the Accounting department in order to meet deadlines, complete audits and daily processing.
Vice President and Director of Sales Strategy & Marketing
Karri is responsible for strategically growing the business by nurturing relationships with new clients and partnerships interested in tailored, flexible and thoughtfully-designed services. She also spearheads Continental Stock Transfer & Trust’s brand and marketing initiatives to enhance customer awareness and drive industry engagement.
She has more than 30 years of service in the industry holding a variety of roles, most notably 23 years with Wells Fargo (now EQ based in London), where she served as national sales and marketing manager for Shareowner Services.
Prior to assuming her role in sales, she held management roles in client administration, strategy, stock plan administration and corporate trust/escrow services. She is a member of NASPP, SSA and NIRI and a former President of Midwest Securities Transfer Association.
Vice President and Director of Client Administration
Maggie is the point of contact for the Administration group, ensuring that client needs are met in a timely and professional fashion. With over 30 years of experience in relationship management positions in the securities field – experienced in compliance and securities regulatory issues with a commitment to client education. Her stock transfer experience focuses on client relationships of emerging growth to large public companies.
Prior to assuming her role at Continental Stock Transfer & Trust, she held several management positions at other financial firms.
Maggie has sat on the Board of the Mid Atlantic Securities chapter, has been a member of several industry organizations, and has authored many industry articles.
Senior Vice President and Director of Shareholder Services
Mark oversees Account Administration, corporate actions, and stock transfer. He has more than 30 years of diverse industry experience at several large bank transfer agents, including Georgeson Shareholder Services. Mark has overseen complex business combinations in over 200 SPAC transactions while at Continental Stock Transfer & Trust, aggregating more than $50 billion. Mark has handled some of the largest and most complex mergers, working on more than 2,000 different merger transactions in his career.
Mark is a member of the Securities Transfer Association and an active member of the Corporate Actions Division, SIFMA, Inc. He is a graduate of Springfield College.
Vice President and Director of Proxy and Mail Services
Robert is responsible for managing the day to day Annual Meeting process, Mail Operations and Scanning/Archiving operations. He has 48 years of Stock Transfer Operations experience and has worked at large transfer agents such as J.P. Morgan and The Bank of New York.
Robert is well versed in all aspects of Proxy Operations, Workflow processing and incoming/outgoing Mail Operations. Most recently, Robert had developed and implemented “Certificates on Demand”, and was directly involved in developing many automation processes used in our business today. This includes electronic voting, workflow imaging and the utilization of barcode technology.