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Richard Lynch
Chief Executive Officer
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Richard Lynch is CEO of Chicago Investment Group. Mr. Lynch has over twenty years experience in all aspects of managing a financial services firm. Mr. Lynch is responsible for the overall strategic direction of the CIG and is very active in the investor relations and capital acquisition aspects of the business.
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Thomas J. Parkins
President
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Thomas Parkins is an accomplished professional that has managed wealth management businesses across multiple branches for some of the nation’s top brokerage firms. His work experience (all in Chicago) includes serving as: executive director-business development officer with UBS Financial Services, regional director-operating committee member with Piper Jaffray where he managed 12 offices with more than $5.5 billion in client’s assets and senior vice president-private client services with Lehman Brothers.
Holding nearly 10 professional licenses, Parkins earned his Bachelor of Science degree with honors from the University of Wisconsin – Oshkosh. He and his family reside in Glencoe, Illinois.
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Joseph Baffoe
Managing Director, Investment Banking
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Mr. Baffoe is an industry veteran beginning his career in 1984. Mr. Baffoe joined Chicago Investment Group in November of 2003. Mr. Baffoe has led CIG’s Private Equity group since its inception. Mr. Baffoe previously was a Senior Vice President at Madison Securities, where he spearheaded their private equity group and capital raising efforts for their clients. Mr. Baffoe has held Senior Vice President positions at Lehman Brothers and Oppenheimer & Co. Mr. Baffoe is a graduate of DePaul University School of Business.
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William Zawaski
Chief Operating Officer
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Mr. Zawaski has over twenty-five years experience in corporate management. He is a highly experienced Operations and Customer Service Manager with deep skills in process improvement, reengineering organizations, training and development, problem solving and human resources. Mr. Zawaski has proven his ability to build high performing organizations and customer teams. He has demonstrated strengths in leading change to increase revenues, maximize productivity and achieve customer satisfaction while delivering economic value to the organization. He has been the Chief Operating Officer for several corporations, including start-up firms and business turnarounds.
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Howard Rosenburg
Chief Regulatory Officer / General Counsel
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Howard J. Rosenburg is CIG’s General Counsel and Chief Regulatory Officer. Mr. Rosenburg came to CIG from DLA Piper, where he represented clients in private securities and financial markets litigation, as well as in investigations and actions brought by securities regulators. He also counseled clients on the regulatory and compliance aspects of securities rules and regulations, and has published articles on securities fraud and compliance issues. Mr. Rosenburg began his career as an attorney with the Division of Enforcement of the United States Securities and Exchange Commission where he conducted investigations and litigated cases involving fraudulent accounting practices, insider trading, Ponzi schemes, broker/dealer misconduct, stock price manipulation, and fund misappropriation.
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Stephen F. Doherty
Chief Technology Officer
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Mr. Doherty has thirty years of experience in the Information Technology field. Twenty five of those years were spent in the Financial and Securities arena. He has worked for numerous firms including, The Options Clearing Corporation, Platinum Technologies, Investec Ernst & Company, The Chicago Stock Exchange, Midwest Title and Trust, Davidge Data Systems, O’Conner Risk, LLC, Data Base Management Systems, (DBMS), and Heller Financial. Mr. Doherty has also served as a Sub-Contractor on projects for Booz-Allen & Hamilton, Inc., Arthur Andersen, Arthur Young, Ernst & Whiney, Ernst & Young and, Computer Horizons. Mr. Doherty is currently serving as the Technical Advisor to The Seat Exchange. Past accomplishments include, President of Solutions Task Group, Director of Technology for the Options Division of Investec Ernst & Company, as well as, a Market Maker on the Chicago Stock Exchange. Mr. Doherty earned Bachelor of Science degrees in Computer Science and Economics from Elmhurst College of Illinois in 1980.
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Mary Jo Moon Hayes
Chief Compliance Officer
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Ms. Hayes joined CIG in February 2005 as a Compliance Consultant and accepted the position of Chief Compliance Officer in December of 2006. She brought with her 18 years of retail brokerage experience which included all aspects of branch operations. She formerly held positions of Branch Operations Manager and Branch Administrative Manager at EF Hutton, Lehman Brothers and Paine Webber, Inc. In 1994 she accepted the position of Regional Values Officer for Prudential Securities, Inc., Midwest Region where her responsibilities included proactive compliance, audit preparation and audit follow-up reporting to the Regional Director. In May of 1999 she stepped away from the business to stay home with her two young children. She is a former arbitrator for the NYSE and is currently a member of NSCP. Licenses Series 7, 24 and 63.
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William Hayes
Director of Asset Management
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Mr. Hayes is a twenty-five year investment veteran. Prior to joining CIG, Mr. Hayes was a senior vice president with Wachovia Securities since 2000, where he managed assets for business owners and other high net-worth individuals. With Wachovia, Hayes counseled his clients on succession planning, utilizing the most tax-efficient vehicles available and other significant estate tax issues. He also provided traditional asset management with disciplined portfolio models. Other positions Hayes has held include vice president of investments with S.G. Cowen from 1993 to 2000; and prior to that he was an investment adviser with Prudential Securities and Shearson Lehman Brothers. Hayes earned a Bachelor of Science degree from the State University of New York (SUNY) at Plattsburg in 1980.
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Rob Bullard
Operations Manager
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Mr. Bullard has been our Operations Manager since 2002. Mr. Bullard held a number of executive and leadership positions at Chicago firms over the past ten years. He holds registrations with FINRA and NASDAQ as a Series 7, 63, 24, 53 and 55. He received a B.A. in Political Science from St. Xavier University.
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Jim Kopecky
Outside Legal Counsel/Advisor
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Mr. Kopecky currently represents public companies, brokers and individuals in investigations and arbitration proceedings before the United States Securities and Exchange Commission and NASD, Inc., as well in litigation actions. Mr. Kopecky also acts an independent investigator for investigations under Sarbanes Oxley and as an independent expert consultant to companies disciplined by Self Regulatory Organizations (SROs). Mr. Kopecky also represents businesses, shareholders in close corporations, and limited partners in litigation arising out of business and partnership transactions. Mr. Kopecky joined the United States Securities and Exchange Commission (“SEC”) in 1999 and quickly became a Branch Chief in the Division of Enforcement. He remained there until July 2002. At the SEC, he led a team of attorneys and staff that investigated and prosecuted securities fraud, including insider trading, accounting fraud, complicated market manipulation actions, ponzi schemes, offering frauds and sales practice actions. Mr. Kopecky graduated from the University of Illinois, Urbana-Champaign with a degree in Economics. He went on to obtain a Doctor of Jurisprudence from Loyola University of Chicago School of Law where Jim was a Senior Member of the Loyola Law Journal, winner of two American Jurisprudence Awards for Highest Grades in Legal Writing and Moot Court, and a recipient of a 1994 Leadership and Service Award.
