Our Team of Inspectors
Carl Hagberg, Managing Partner and Manager
Is the managing partner and manager of the CT Hagberg LLC Team of Independent Inspectors of Election. He has served as Inspector of Election at over 400 Annual and Special Meetings and in numerous proxy contests. Carl is considered to be one of the country's leading authorities on Annual meeting matters and on automating – and auditing – the proxy voting and tabulating processes.
Raymond (Ray) Riley, Co-manager
a Brooklyn, NY based consultant specializing in systems and procedures, serves as co-manager of the CT Hagberg LLC Team of Inspectors. Ray is a partner of CT Hagberg LLC, and has acted as Inspector of Election at well over 300 routine and contested meetings. While serving as the chief technology office for the Corporate and Institutional Trust and Agency Group of Manufacturers Hanover Trust Company, Ray developed the securities industry’s first fully-online proxy tabulation and reporting system. Ray is a former president of the Securities Transfer Association.
Mary E. Ahern, JD, who is based in the San Francisco Bay Area, currently serves as a consulting attorney, specializing in the preparation of proxy statements, other SEC filings, and related governance and compliance issues. Prior to forming her own consulting company she served as a Director of Corporate Affairs and Corporate Compliance and as an Assistant Secretary and Assistant General Counsel at several publicly traded companies. She holds a B.A. from the University of Notre Dame and a J.D. from Santa Clara University School of Law.
Based in Cranbury, NJ, guided two of the world’s largest companies to record voting levels - first as Assistant Secretary, Corporate Secretary’s Dept. at AT&T, then as the Director at Lucent Technologies – before founding her own company, which helps companies automate the delivery of annual reports and proxies and to improve the overall reading and information gathering experience for web and mobile users.
Francis G. (Frank) Arren
Served as a V.P. in the Mutual Funds Services Group of Bank Boston, and at Chase Global FundsService, before moving to Equiserve, L.P. where he served as Director, Client Administration. From 2002-2009 Frank was a Client Service Manager and Chief Compliance Officer at Strategic Planning Group, an investment advisory firm in Needham, MA. Frank has served at numerous shareholder meetings, including Eastman Kodak, General Motors, Gillette and Xerox. He is a graduate of the Stonier School of Banking, the New England School of Banking at Williams College and holds an MA from Burdett College in Boston.
Who divides her time between Birmingham, AL and Atlanta, GA, served from 2002-2006 as the Executive Director of Ethics and Compliance and Assistant Corporate Secretary at BellSouth Corporation. She was responsible for all the company’s Ethics and Compliance programs, for the Board and Committee sections of the proxy statement, for meeting logistics, materials and minutes, for the Board and Committee evaluation process and for monitoring the company’s governance ratings. Currently, she is affiliated with Arcapita, a private international investment bank headquartered in Bahrain, with offices in Atlanta, London, and Singapore.
Is a San Francisco-based consultant with 20 years of equity compensation experience, including ASC 718 analysis and compliance, SEC financial reporting, and equity plan administration. Earlier, Kathy managed the internal equity compensation function at Charles Schwab, where she developed expertise in executive compensation, corporate and securities law, tax, accounting, human resources, the annual proxy process, and in annual and quarterly financial reporting. A graduate of Oberlin College, she holds an MBA from the Haas School of Business at UC Berkeley and is a Certified Equity Professional.
Jennifer Borden, Esq., who began her career as General Counsel for the Abandoned Property Division of the Commonwealth of Massachusetts, is the founder of Borden Consulting Group, LLC (2010) following twenty years in leadership roles in unclaimed property law and public accounting. Earlier, Jennifer was SVP and General Counsel at Unclaimed Property Recovery and Reporting, LLC, where she worked closely with senior officers of hundreds of publicly traded companies. Prior to that, she was a partner at Holland and Knight LLP, and was a leader in the State and Local Tax Practice at Ernst & Young LLP. Jennifer received her law degree from Suffolk University and holds a B.A. from the University of Massachusetts. She is a graduate of the Boston Latin School and serves on the Board of Trustees of the Boston Latin School Association.
Rhonda L. Carroll
Based in Houston, TX, has over 25 years of experience in corporate governance, having served as the Chief Governance Officer and Corporate Secretary of Encore Bancshares, Inc., a NASDAQ listed financial holding company, until its merger in 2012. Rhonda managed the governance, legal and compliance areas, supervised the preparation and distribution of proxy solicitation materials and coordinated all aspects of shareholder meetings. She is currently the Managing Director of Governance Resource, LLC, a consulting firm which provides corporate governance, regulatory compliance and project management services. She has served on the Board of Directors, Executive Committee and Policy Advisory Committee of the Society of Corporate Secretaries and Governance Professionals and as Chairman of its Educational Programs Committee.
Gene A. Capello
Based in Westchester County, NY, was Assistant General Counsel & Assistant Secretary at Pfizer Inc. from 2006 – 2012, specializing in corporate governance, securities transactions and as counsel to the audit committee. Earlier, Gene was Managing Director and co-head of policy development for Proxy Governance, Inc. From 1985 through 2004 he was VP and Assistant General Counsel at J.P. Morgan & Co., and J.P. Morgan Chase. He holds a J.D. from St. John’s University, an M.S.W. from New York University, and a B.A. in Business Administration from The City College of New York. He is a member of the American Bar Assn., the Assn. of the Bar of the City of New York and the Society of Corporate Secretaries and Governance Professionals. He is currently co-chair of the Practising Law Institute’s annual Audit Committee Workshop.
Based in Dallas, David has 21 years’ experience in relationship management positions for stock transfer clients, having served as a Vice President for American Stock Transfer and Trust Company and BNY Mellon Shareholder Services. While in relationship management David acted as Inspector of Election at hundreds of annual meetings. Most recently he was a Vice President at Unclaimed Property Recovery & Reporting (UPRR) where he oversaw account management for UPRR’s oil and gas royalty programs. David was also formerly a trust account manager and registered bond specialist with NationsBank, N.A.
Based on Long Island New York, Jeff has worked in the Securities Transfer Industry for over 40 years. He was responsible for over 350 client relationships ranging from Large Cap to Small Cap companies and has served as Inspector of Election for over 400 clients. Jeff has worked in the Administration and Operations groups for J P Morgan Shareholder Services, First Chicago Trust Company, Bank One, Equiserve, and Computershare (from which he retired in January, 2016). As part of of his job responsibilities he was part of a team that trained new Relationship Managers in all aspects of the duties required by inspectors of election.
Gregory P. Denman
Based in New Jersey, has worked at J.P. Morgan Shareholder Services, First Chicago Trust, Equiserve, Computershare and Continental Stock Transfer, where he was responsible for over 400 clients and from which he retired in 2008 as V.P. and Customer Service Manager. Greg has served as the Inspector of Election at well over 300 shareholder meetings. Earlier in his career, Greg worked for the U.S. Atomic Energy Commission where he was responsible for the management and control of confidential and top-secret documents.
Based in Santa Clarita, CA, has over 35 years experience in brokerage and banking operations and in client services. As a former Assistant Vice President and Relationship Manager for BNY Mellon and its predecessors, Mike coordinated transfer agent activities and served as Inspector of Election for over 400 annual and special meetings of shareholders. Clients included Rockwell International, Fluor Corporation, Computer Sciences Corporation, Hilton Hotels Corporation, Harman International Industries, Imagine Films Entertainment and Corporate Express.
Based in the Washington DC area, has been involved in the shareholder communications and proxy voting businesses for 15 years. Much of that time was spent at Institutional Shareholder Services (ISS) where he ran the Voting- related Businesses and was responsible for teams that interacted with Institutional Investors to assure that their votes would be properly and timely lodged with the various intermediaries involved in the proxy voting process. Peter is an expert in U.S. and non-U.S. “proxy-plumbing systems” and has been closely involved with some of the most high profile proxy fights to take place over the past 15 years.
James D. Gaughan
Based in Houston, TX, has over 25 years experience with Fortune 500 companies, serving in corporate governance positions where he supervised the preparation and distribution of proxy solicitation materials and coordinated shareholder meetings from solicitation to vote tabulation. Jim is a long-time member of the Society of Corporate Secretaries and Governance Professionals, having served in a number of officer and committee positions with the New York and Houston Chapters. He also served as a member of the Society’s Law and Corporate Practices Committees.
Who is based in New York City, has 15 years of experience in investor services. She began her career at Manufacturers Hanover Trust in NYC as part of the Shareholder Relations Team - where she worked directly with shareholders of MHT clients to research and resolve their questions and concerns, and attended many shareholder meeting as an Inspector of Election. Subsequently, She moved to Manufacturers Hanover Trust Company of California in San Francisco, as part of the Shareholder Relations and Inspector of Election team and later worked at A.G. Edwards in Denver, Colorado. Karen holds an undergraduate degree from Montana State University and a graduate degree from Manhattanville College in NY.
Who is based near Seattle, WA, has over 24 years of experience in the biopharmaceutical/medical device industry, the last 10 of which were spent in Investor Relations and Corporate Communications. She is the President of Fluididea, Inc., a firm she founded in 2007, which provides communications and IR consulting services to companies in the biopharma & medical device industries. Leah holds a BS from Western Washington University and an MBA from Seattle Pacific University. She is an active member of NIRI; a past president of the Seattle Chapter and a charter member of NIRI’s Strategic Communication and Reputation Management Roundtable.
Anna G. Hagberg
Who is based in New Jersey, began her career as an Inspector of Election in early 2010 by attending annual and special meetings of a wide variety of small, mid-cap and large corporate issuers. Prior to that, she was an Assistant Manager Regulatory Coordination at Merck & Co. She holds a B.S. degree from La Salle University in Philadelphia, Pennsylvania. Besides serving as an Inspector, Anna coordinates the scheduling of the roughly 500 annual, special and contested shareholder meetings currently handled by the CT Hagberg LLC Team.
Based in Rumson, NJ, served for four years in the Mutual Funds Servicing units of Bankers Trust Company and later Deutsche Bank, where he specialized in responding to RFP’s before going on to become the co-publisher and co-editor of Currents Magazine, a NJ lifestyle publication based in central New Jersey. Peder recently became the Co-editor of The Shareholder Service OPTIMIZER and the co-editor, co-publisher, advertising and production manager for its now semi-annual Special Supplement. Pete is a graduate of Washington & Lee University in Lexington, VA.
Based in Oklahoma City, OK, and currently Of Counsel to DeBee Gilchrist, is a former Assistant General Counsel and Assistant Secretary of Kerr-McGee Corporation. Don served as Chairman of the American Society of Corporate Secretaries Public Company Affairs Committee, as Chairman of the Membership Committee, and in 2003 received the Bracebridge Young Award, the Society’s highest honor.
Based in southern California, is the founder and principal of Cretum Communications in Newport Beach, working with public and private companies on Investor Relations, Public Relations and Market Outreach programs. Earlier, she served as the Director of Investor Relations at several public companies and as the Senior Market Intelligence Executive of a Los Angeles IR agency. Aubrye holds a BS degree in Business Management from the University of Laverne, CA. Currently, she serves on the Board of the National Investor Relations Institute’s Orange County Chapter.
Terence “Terry” Hassett based in Boston, MA has over 30 years experience in the securities industry. He served as a senior executive in Bank of Boston’s Securities Division, as the Vice President and Director of Shareholder Services at Chase Manhattan Bank’s Boston based Transfer Agency and as the Executive Vice President and General Manager of Mellon Bank’s Transfer Agency subsidiary, Mellon Securities Transfer Services, based in Fort Lee, N.J. Terry is a well rounded professional who has managed all aspects of Transfer Agency. During his career, he has acted as Inspector of Election at numerous annual and special meetings of shareholders as well as special meetings of depositors in connection with savings and loan mutual to stock conversions. Since 2010, Terry has worked exclusively as an independent Inspector of Election at shareholder meetings.
Who divides her time between the Dallas, TX and San Francisco Bay areaa, has served as Inspector of Election at numerous shareholder meetings – both in the U.S. and Canada. She spent seven years in relationship management and sales at CIBC Mellon Shareholder Services in Toronto, Canada, followed by five years as a Vice President and Relationship Manager in the BNY Mellon Shareowner Services Dallas, TX office, before joining our Team of Inspectors in early 2010.
Based in the Kansas City area, has over 30 years of experience in banking and stock transfer. She was Senior Vice Presidenvt and Manager of the Securities Transfer Division at UMB Bank for the majority of her career. Nancy served as Inspector of Election at hundreds of annual and special meetings over a 20 year timeframe. She served on the Board of Directors of the Securities Transfer Association and is a Past President of the Kansas City chapter of the American Society of Corporate Secretaries. Nancy holds a Bachelor of Business Administration degree from the University of Missouri in Kansas City. mn
Spent 30 years in various aspects of the financial services industry, representing Citigroup and its affiliate, Smith Barney, Manufacturers Hanover and Mellon Investor Services. Pat has extensive experience in managing client relationships, including the coordination and inspection of in excess of 200 annual meetings. Pat is a graduate of The State University of New York at Oswego and resides in the New York metropolitan area.
Abigail Lee Jones
Based in Denver, Colorado and Phoenix, Arizona, Abby served as the Vice President, Compliance and Corporate Secretary of Questar Corporation and QEP Resources. She was responsible for drafting and filing those companies’ proxy statements, running their annual meetings, and overseeing securities law, corporate governance and compliance matters. She is currently an Adjunct Professor at the Sandra Day O’Connor College of Law at Arizona State University, and the Vice Chair of the board of Best Friends Animal Society. She received her Juris Doctor degree from the University of Arizona College of Law, and her undergraduate degree from Colorado College.
Richard is based in the Chicago area and has more than 25 years of experience in the stock transfer and shareholder relations industry, with a background in Operations Management, Relationship Management and Sales. He also has a background in Education and in Banking Operations.
Richard has served as the Inspector of Elections at hundreds of Shareholder Meetings throughout the United States. He holds an MBA in Finance and an MA in English Literature.
Gerald K. Lane
Based in Deerfield, IL, is a long-term industry veteran, having held senior management positions at U.S. Bank in Chicago, in the Chicago office of Wells Fargo Bank’s Shareowner Services unit, and earlier, at Harris Trust and Savings Bank, where he managed a team that served 120 public company clients. Gerry holds a BBA from Pace University and an MBA from Long Island University. He is a Director and the Treasurer of Camp One In A Hundred, Treasurer of Special Kids Foundation and is a member of the Society of Corporate Secretaries and Governance Professionals and the Midwest Securities Transfer Association.
Victor W. Latessa
Based in Charlotte, NC, is a former member of the Greyhound Corporation legal department and has over 30 years of experience in the stock transfer industry. Vic was a Vice President and Team Leader in the corporate trust departments of KeyBank, Wachovia, and National City Bank, and recently retired from American Stock Transfer & Trust. He has assisted hundreds of clients in the coordination of annual and special meetings and has served as Inspector of Election at over 300 meetings. Vic is a graduate of Case Western Reserve University and the Boston University School of Law.
Jane F. Ludlow
Based in Philadelphia, PA, is a consultant specializing in corporate governance, policies, and compliance. She has served as Inspector of Election for over 100 Annual and Special Meetings for publicly-held companies of all sizes. From 1984-98, she served in the Finance Organization and as Executive Director - Corporate Governance at Bell Atlantic, where she supervised the creation of materials and the logistical and voting processes for the Annual Meeting, typically attended by over 500 of the company’s 2 million investors. Jane is an active member of the Society of Corporate Secretaries and Governance Professionals, AICPA, and Society of Corporate Compliance and Ethics.
Based in South Yarmouth MA, retired in 2009 as the Operations Manager for the Computershare Proxy Group, which he had been managing since 1985. During his career there, Joe was responsible for all the activities necessary to design, produce, mail and tabulate proxies and to certify the vote at over 1,500 Annual and Special Meetings a year. He led or assisted on projects designed to implement developments such as Householding, Notice & Access and IVR and Web-based proxy voting. Until his retirement, Joe was a member of the STA Proxy Committee. He holds an Associate degree from Cambridge School of Business and attended Williams School of Banking.
Based in the Chicago area, retired from LaSalle Bank in 2008 after managing Shareholder Services there for 11 years, where he was responsible for interfacing with the Bank’s corporate clients, coordinating annual meeting requirements and acting as Inspector of Election at numerous annual and special meetings. Earlier, Greg spent 26 years at Harris Bank, ultimately becoming the operations manager for stock transfer, reorg, tax reporting, dividend disbursement and proxy production, mailing and tabulation activities. Greg has been a director of the Securities Transfer Association and is a former president of the Midwest Securities Transfer Association.
Based in Atlanta, Georgia, is president of Shareholder Services Consulting LLC. Prior to starting her own company, she served as Director of Shareholder Services for BellSouth Corporation from 1998 – 2007. Her responsibilities included coordinating BellSouth’s annual and special shareholder meeting process – from proxy statement creation and delivery, to final vote tabulation covering 1.4 million shareholders. Belinda is an active member of the Society of Corporate Secretaries and Governance Professionals and the Shareholder Services Association. She is the co-author of the SSA’s Guide to Annual Meeting Preparation.
Based near Dallas, Texas. She has had extensive experience as a retail analyst – at ITG Investment Research, Hunter Global Investors and Trivium Capital Management. Chandi is also a retail marketing, merchandising and public relations specialist who wrote regularly for Women’s Wear Daily and appeared on CNBC and Fox Business News. Chandi holds an MBA from Babson College, an ME from The Bank Street College of Education in NYC and a BA from the State University of NY at Stony Brook.
Peter (Pete) Sablich
Is a 40 year veteran of the First Chicago Trust Company stock transfer division and its successor companies, Equiserve, Bank of New York Mellon and Computershare, where he served as Inspector of Election at numerous shareholder meetings. He is a 27 year member of the Society of Corporate Secretaries and Governance Professionals, where he served two terms each as President of the Chicago Chapter. He also served as president of the Midwest Securities Transfer Association, as a member of the Securities Transfer Association’s operations committee and as a member of the Shareholder Services Association. Pete graduated from North Central College in Naperville Illinois.
Tod Shafer is located about an hour southwest of Chicago. Tod is a seasoned securities professional and after spending 39 years in the stock transfer industry, he retired from Computershare several years ago. Previously, Tod was with Continental Bank, Mellon Bank and Harris Bank. His first 15 years were spent in operations with the last 24 years in relationship management. More recently, he joined the CT Hagberg LLC Team of Inspectors, where he has been able to continue taking advantage of his inspector of election experiences. He has acted as inspector at over 150 stockholder meetings, including meetings for McDonalds, Motorola, J.M. Smucker and Tenneco.
Who is based in New York City, is the founder of Applied Consulting & Logistics, a shareholder relations consulting firm. Barry spent more than 30 years with Mellon Investor Services and its predecessors as a Vice President & Senior Relationship Manager. He has served as Inspector of Election at more than 200 Annual Meetings, including those for BellSouth, Fannie Mae, The McGraw-Hill Companies, and Yale University Trustee Elections. Barry is the Treasurer of the NYARKOA Foundation, a non-profit organization that provides clean water to hospitals and neighboring communities in Africa, and is also a director of the Stevenson School in NYC.
Based in Los Angeles, CA, has 30+ years of experience in the corporate arena, having served as an executive officer of 3 NYSE-listed companies (EVP, GC & Secretary of KB Home; SVP, Chief Legal Officer & Secretary of PolyOne Corporation; and VP, Secretary & Asst. GC of Bowater Inc.) Earlier, she was a tenured Associate Professor of Law at Temple University School of Law and in private practice with O’Melveny & Myers. She was the 2012-2013 President of the National Asian Pacific American Bar Association and is a speaker at the annual Corporate Governance Summit at the USC Marshall School of Business. In 2014, she received the Spirit of Excellence Award from the American Bar Association and the Diamond Award from Corporate Counsel Women of Color.
David L. Siddall
Based in Scottsdale, AZ, has served as a legal officer, chief governance officer, chief compliance officer and corporate secretary of two Fortune 500 energy companies, Anadarko Petroleum and El Paso Corp. Currently, he is a partner with the McQueen & Siddall, LLP law firm in Scottsdale, Arizona, where his law practice consists of estate planning, elder law, business succession planning, “outside” general counsel services, executive compensation, governance, compliance and board consulting and related areas. David holds a BA in Business Administration from Graceland University, Lamoni, Iowa, a JD from the University of Iowa College of Law, and an L.L.M. from the University of Miami School of Law in Coral Gables FL.
A Colorado native based in Denver, Laura has had 34 years of expertise in the Securities Transfer Industry, working initially with a Colorado transfer agent, then with Computershare in various management roles which included responsibilities for Annual Meeting Administration, Operations, Trust, and Corporate Reorganizations. In 2003 Laura became part of Computershare Communications, Inc., as a Business Development Manager. She was promoted to Director of Enterprise Product Management and became part of the CCS Leadership team in 2010. In 2014 her responsibilities included supporting Annual Meeting Compliance Solutions and as a Client Development Manager. Laura, who has served as an Inspector of Elections in numerous corporate meetings, retired from Computershare in December of 2015.
Tina S. van Dam
Is based in Midland. MI. After retiring as Corporate Secretary of Dow Chemical Company, she went on to lead the Governance Center and Directors’ Institute at The Conference Board, New York. An organizer and frequent speaker at programs for directors of public companies and at seminars on governance and ethics, Tina is also the Editor of Handbook for the Conduct of Shareholders’ Meetings, produced by a Joint Task Force of the Committee on Corporate Laws and the Corporate Governance Committee of the ABA Business Law Section (2010 and 2014 editions), She was also a collaborator on the ABA’s Corporate Director’s Guidebook. Tina holds a J.D. cum laude, from the University of Michigan Law School.
Is the founder of Veaco Group a corporate governance advisory firm providing practical governance support for companies and their boards. The firm specializes in independent board evaluations. Kris is a corporate securities lawyer and, prior to forming Veaco Group, ran the Office of Corporate Secretary at McKesson Corporation where she was responsible for board governance and support, securities law, stock exchange and Sarbanes-Oxley compliance and subsidiary governance. She is a longstanding member of the Society of Corporate Secretaries and Governance Professionals and frequently speaks and writes on corporate governance topics.
Who is based in Staten Island, NY, is a former Vice President and Senior Relationship Manager with BNY Mellon and its predecessor companies, a career that began with Manufacturers Hanover Trust Co. in NYC in the late 1960s. Over the past 25 years, Tom has attended meetings and acted as Inspector of Election for many of the Banks’ most important clients. Tom holds the record on our Team, we believe, for the most-miles-traveled to annual meetings and for most meetings attended.
Is a Long Island, NY based consultant to the shareowner services industry. Gary brings four decades of financial services industry experience in all phases of Corporate Trust Group Services, with an emphasis on managing large, complex clients and transactions. He has helped organize numerous annual meetings and has acted as an Inspector of Election at over 250 routine and contested meetings. Most recently a First Vice President at The Bank of New York Mellon, Gary worked earlier at Marine Midland Bank, Manufacturers Hanover Trust and Harris Trust Company. He is a graduate of Pace University.
Based in Santa Barbara, CA, was Sr. VP & Corporate Secretary of Pacific Capital Bancorp (2000 - 2013) and earlier at Hercules, Inc. (1982-2000) with responsibility for board meetings, annual meetings, proxy statements, proxy solicitation, equity programs and shareholder relations. Carol served as a Director, Society of Corporate Secretaries and Governance Professionals, and is a past president of the LA Chapter. She holds a B.S. in Human Resources and a Paralegal Certificate.