Rule 15a-6 & Chaperoning Services

Our Team

The Global Alliance team is a globally diverse group of financial professionals that provide depth of experience and expertise in establishing customized services to our clients. Through an integrated approach, our financial professionals continue to achieve a level of quality in performance that truly unites the business and financial demands of investors, broker-dealer and issuers.

John P. O’Shea *

Chairman & Chief Executive

Mr. O'Shea is the Chairman and Chief Executive Officer of Global Alliance Securities, LLC.

Mr. O’Shea began his career in 1982 as a trader and syndicate manager. During his 30 year career, Mr. O'Shea pursued a global geographic presence through Westminster Securities Corporation (“Westminster”). As Chief Executive Officer of Westminster, Mr. O’Shea expanded the firm’s business lines into investment banking, and while continuing to offer trading, settlement and brokerage services for clients in over 50 countries. He has continued to be an active investor in public and private debt and equity offerings in addition to assisting emerging growth companies in attaining public status and financing.

Mr. O'Shea is a non-executive director of BlueRock Energy Holdings Inc., a premier provider of electricity and natural gas energy products to commercial and industrial customers along the unregulated markets of the Northeast. Via media interviews, congressional testimony and other avenues, Mr. O'Shea is a regular contributor to public discourse on a variety of subjects. Topics include the benefits of investing in small cap and emerging growth companies in the US and abroad, and the impact of changing US regulations. Mr. O'Shea's most notable domestic speaking engagements include testifying before the Securities and Exchange Commission (SEC) and the United States Congress regarding the impact of Sarbanes-Oxley regulation on US companies.

Mr. O’Shea graduated from the University of Cincinnati with a BA and MA in Economics. He holds the Series 7, 9, 10, 24, 55, 63, 79 and 99 securities licenses.

Jennifer L. O’Shea *


Mrs. O’Shea is the President of Global Alliance Securities, LLC. Mrs. O’Shea previously worked at Terra Nova Capital Equities, Inc., Monarch Capital Group, LLC and Westminster Division of Hudson Securities (formerly Westminster Securities Corporation). She is instrumental in the areas of 15a-6 transactions (“Chaperoning”), investment banking due diligence, drafting engagement documents, legal issues relating to investment banking transactions/private transactions and cross-broader transactions.

Mrs. O’Shea graduated from Ball State University and holds a Juris Doctorate from The John Marshall Law School and studied at Trinity College [Dublin, Ireland] and Charles University [Prague, Czech Republic] in the areas of International Law and Transactions. She holds the Series 7, 63, 79, 99 and 24 securities licenses.

Arkadiy Neyman *

Executive Vice President, Chief Operation Officer and Chief Compliance Officer

Mr. Arkadiy Neyman is an Executive Vice President, Chief Operation Officer and Chief Compliance Officer for Global Alliance Securities, LLC. Mr. Neyman began as Compliance Associate, and became Chief Compliance Officer during his work at Laidlaw Global Securities, Inc. in 1998. He then went on to worked as Director of Compliance at Leumi Investment Services, Inc. (Bank Leumi USA) in 2003 and later as Chief Compliance Officer at Westminster Securities Corporation in 2004 through 2009. In 2010, Mr. Neyman joined Monarch Capital Group, LLC. as Senior Vice-President focusing on “Chaperoning” services to foreign broker-dealers.

Mr. Neyman has more than 20 years of experience as a compliance and operations official with broker-dealers. During his career, Mr. Neyman has developed, set up and monitored supervisory and compliance procedures and policies, anti-money laundering systems, AML, CIP and KYC policies and procedures, and internal review and control systems. His areas of expertise include brokerage operations, compliance and supervision of trading, securities operations, “Chaperoning” services to foreign broker-dealers (Rule 15a-6), asset management, investment banking, regulatory examinations and audits.

Mr. Neyman graduated from Moscow Institute of Transportation Engineering and Frunze Polytechnic Institute [Moscow, Russia] with a Bachelor of Science in Engineering and completed graduate level course of study in Economics at the State Academy of Management [Moscow, Russia]. He also completed Phase I of the FINRA – Wharton (University of Pennsylvania) Certificate Program for compliance and regulatory professionals.
He holds the Series 4, 7, 14, 24, 27, 53, 55, 63, 65, 79 and 99 securities licenses and was the NYSE Allied Member (in 2006-2009).

Julia Lu *

Executive Vice President

Julia Lu joined Global Alliance Securities, LLC in 2016. Before joining Global Alliance Securities, Ms. Lu was a Director of the Investment Banking Division in Tripoint Global Securities for five years, responsible for managing client relationships and advising clients on capital raising and financial structuring.

Prior to joining Tripoint, she spent two years at Hudson Securities as the Director in Investment Banking Group. Before joining Hudson, Ms. Lu was with Westminster Securities Corporation where she was the lead banker in the Greater China market and directly responsible for identifying and executing corporate finance transactions including private equity financing, PIPE transactions and mergers & acquisitions. Prior to joining Westminster, Ms. Lu held a series of positions with China EverBright Bank in Guangdong China before moving to the US to attend graduate school. Ms. Lu is a Chinese native who began her career with Guangdong Securities in Guangdong China.

Ms. Lu received a B.S. in Engineering from Ocean University of China and received her MBA from Georgia State University. She is fluent in English, Mandarin and Cantonese. She holds the Series 7 and 63 securities licenses.

* Check the background of these investment professionals on FINRA's BrokerCheck: