Carol Pohlman

Carol is a subject matter expert on Trade Reporting with over 20 years experience working in fintech. Carol currently serves as Director, Compliance and Regulatory Reporting at TradeStation Securities, Inc., with a specialized focus on the Consolidated Audit Trail (CAT). TradeStation is a self-clearing broker dealer offering award-winning technology in order to deliver the ultimate trading experience. Carol has been with TradeStation since 2021; she previously worked in Execution Services at Apex Clearing Corporation (now Apex Fintech Solutions). Carol earned her Bachelor of Business Administration at Baylor University.

5b. ALL – Confronting Ethical Erosion (Intermediate - OPEN)

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