George Lambert
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Open with an executive summary that HIPAA, SOC 2, and ISO 27001 are organizational programs. Verae DataCubes supply store, communicate, timestamp, verify, and audit tools for the technical portion only. Chapters cover transit (HPKE, visible routing), rest (IPFS/Peergos hash-verified restore), receipts, EU Peergos evaluations (Cure53 2019, ROS 2024), cross-blockchain timestamping, and write-once Iceberg archive. PDF is branded with the Verae logo top-left and Verae Inc contact in the footer; last chapters are sourced bios for Garfinkel (FINRA CRD 5052743), Haber, and Lambert.
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<title>14. James H. Garfinkel — Making yourself audit-ready with Verae DataCubes</title>
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<img class="logo" src="_static/VeraeFullLogo.png" alt="Logo of Making yourself audit-ready with Verae DataCubes"/>
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</p>
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<p class="blurb">Tools for storage, communications, timestamping, verification, and audit — not a certificate.</p>
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<script>document.getElementById('searchbox').style.display = "block"</script><h3>Navigation</h3>
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<p class="caption" role="heading"><span class="caption-text">Contents</span></p>
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<ul class="current">
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<li class="toctree-l1"><a class="reference internal" href="executive.html">1. Executive summary</a></li>
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<li class="toctree-l1"><a class="reference internal" href="what-verae-provides.html">2. What Verae provides — and what it does not</a></li>
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<li class="toctree-l1"><a class="reference internal" href="datacube-server.html">3. The Verae DataCube Server Solution</a></li>
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<li class="toctree-l1"><a class="reference internal" href="data-in-transit.html">4. Secure communications — data in transit</a></li>
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<li class="toctree-l1"><a class="reference internal" href="data-at-rest.html">5. Encryption at rest — IPFS blocks and Peergos</a></li>
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<li class="toctree-l1"><a class="reference internal" href="timestamped-receipts.html">6. Global timestamped receipts</a></li>
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<li class="toctree-l1"><a class="reference internal" href="peergos-eu-evaluations.html">7. Peergos security evaluations in Europe</a></li>
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<li class="toctree-l1"><a class="reference internal" href="global-timestamping.html">8. Verae global timestamping — a cross-blockchain receipt</a></li>
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<li class="toctree-l1"><a class="reference internal" href="iceberg-archive.html">9. Write-once Iceberg archive</a></li>
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<li class="toctree-l1"><a class="reference internal" href="architecture.html">10. Architecture for an audit interview</a></li>
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<li class="toctree-l1"><a class="reference internal" href="baa-dpa.html">11. BAAs, DPAs, and ciphertext without host keys</a></li>
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<li class="toctree-l1"><a class="reference internal" href="checklist.html">12. Audit-ready checklist</a></li>
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<li class="toctree-l1"><a class="reference internal" href="howto.html">13. How to use this briefing</a></li>
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<li class="toctree-l1 current"><a class="current reference internal" href="#">14. James H. Garfinkel</a><ul>
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<li class="toctree-l2"><a class="reference internal" href="#name-and-sources">14.1. Name and sources</a></li>
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<li class="toctree-l2"><a class="reference internal" href="#role-at-verae">14.2. Role at Verae</a></li>
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<li class="toctree-l2"><a class="reference internal" href="#finra-brokercheck-crd-5052743">14.3. FINRA BrokerCheck (CRD 5052743)</a></li>
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<li class="toctree-l2"><a class="reference internal" href="#education-public-professional-listings">14.4. Education (public professional listings)</a></li>
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<li class="toctree-l2"><a class="reference internal" href="#why-this-biography-is-in-the-briefing">14.5. Why this biography is in the briefing</a></li>
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</ul>
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</li>
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<li class="toctree-l1"><a class="reference internal" href="bio-stuart-haber.html">15. Stuart Haber</a></li>
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<li class="toctree-l1"><a class="reference internal" href="bio-george-lambert.html">16. George Lambert</a></li>
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<li class="toctree-l1"><a class="reference internal" href="contact.html">17. Verae Inc — contact</a></li>
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</ul>
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<div class="relations">
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<h3>Related Topics</h3>
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<ul>
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<li><a href="index.html">Documentation overview</a><ul>
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<li>Previous: <a href="howto.html" title="previous chapter"><span class="section-number">13. </span>How to use this briefing</a></li>
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<li>Next: <a href="bio-stuart-haber.html" title="next chapter"><span class="section-number">15. </span>Stuart Haber</a></li>
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<section id="james-h-garfinkel">
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<h1><span class="section-number">14. </span>James H. Garfinkel<a class="headerlink" href="#james-h-garfinkel" title="Link to this heading">¶</a></h1>
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<section id="name-and-sources">
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<h2><span class="section-number">14.1. </span>Name and sources<a class="headerlink" href="#name-and-sources" title="Link to this heading">¶</a></h2>
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<p>This chapter summarizes <strong>James H. Garfinkel</strong> (the spelling on
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the FINRA BrokerCheck individual report; also styled Garfinkle
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in some informal references). Two public sources were used, as
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requested:</p>
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<ul class="simple">
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<li><p><strong>FINRA BrokerCheck</strong>, CRD number <strong>5052743</strong>,
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<a class="reference external" href="https://files.brokercheck.finra.org/individual/individual_5052743.pdf">https://files.brokercheck.finra.org/individual/individual_5052743.pdf</a></p></li>
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<li><p><strong>verae.com</strong>, which names Stuart Haber as co-founder and
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describes the DataCube product. As of this writing the public
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marketing site does <strong>not</strong> carry a dedicated biography page
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for Garfinkel. The product and company description below is
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therefore taken from verae.com’s company narrative plus
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Garfinkel’s own public statement of role, not from a
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fabricated “about the CEO” page.</p></li>
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</ul>
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</section>
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<section id="role-at-verae">
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<h2><span class="section-number">14.2. </span>Role at Verae<a class="headerlink" href="#role-at-verae" title="Link to this heading">¶</a></h2>
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<p>Public professional listings (including a long-standing
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Facebook work listing) identify Garfinkel as <strong>CEO of Verae
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LLC</strong>, from <strong>January 2020</strong>, based in <strong>New York, New York</strong>.
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In that listing he describes Verae’s technology as
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blockchain-authenticated containers called <strong>DataCubes</strong>,
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“which conveniently and securely ensure integrity and enable
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selective sharing of digital information and records of all
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sorts,” and he quotes Stuart Haber on the original motivation
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for timestamping digital objects.</p>
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<p>That description matches the public verae.com product: records
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remain in customer-controlled storage; Verae seals a
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fingerprint; the scientific core is Haber-style cryptographic
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timestamping, aimed at compliance and examinations rather than
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at operating a public chain.</p>
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</section>
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<section id="finra-brokercheck-crd-5052743">
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<h2><span class="section-number">14.3. </span>FINRA BrokerCheck (CRD 5052743)<a class="headerlink" href="#finra-brokercheck-crd-5052743" title="Link to this heading">¶</a></h2>
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<p>The following facts are from the public BrokerCheck report.
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They are <strong>registration history</strong>, not a Verae claim and not an
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endorsement by FINRA.</p>
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<ul class="simple">
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<li><p><strong>Name on the report:</strong> James H. Garfinkel</p></li>
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<li><p><strong>CRD:</strong> 5052743</p></li>
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<li><p><strong>Current registration:</strong> this broker is <strong>not currently
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registered</strong></p></li>
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<li><p><strong>Disclosed events:</strong> the report summary states <strong>no</strong>
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events disclosed about this broker</p></li>
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<li><p><strong>Examinations recorded on the summary:</strong> 0
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principal/supervisory exams; 3 general industry/product
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exams; 3 state securities law exams</p></li>
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<li><p><strong>Investment adviser:</strong> BrokerCheck points readers to the
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SEC IAPD site for any IAR record</p></li>
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</ul>
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<p><strong>Prior broker registrations</strong> listed on the report:</p>
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<ul class="simple">
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<li><p><strong>LPL Financial LLC</strong>, CRD 6413, New York, NY,
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<strong>January 2013 – March 2024</strong>, registered representative</p></li>
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<li><p><strong>Hornor, Townsend & Kent, Inc.</strong>, CRD 4031, New York, NY,
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<strong>November 2011 – December 2012</strong></p></li>
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<li><p><strong>Park Avenue Securities LLC</strong>, CRD 46173, New York, NY,
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<strong>April 2008 – October 2009</strong></p></li>
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</ul>
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<p>Other employment lines that appear in the same public report
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family include <strong>Abbott Solutions Inc.</strong> (insurance advisor,
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from November 2009) and <strong>MPWM Advisory Solutions LLC</strong>
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(investment adviser representative, January 2014 – November
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2020). Readers should treat the PDF as the living source;
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registration status changes.</p>
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</section>
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<section id="education-public-professional-listings">
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<h2><span class="section-number">14.4. </span>Education (public professional listings)<a class="headerlink" href="#education-public-professional-listings" title="Link to this heading">¶</a></h2>
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<p>Public professional listings state:</p>
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<ul class="simple">
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<li><p><strong>Hamilton College</strong>, B.A. Economics, class of <strong>1980</strong></p></li>
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<li><p><strong>United Nations International School</strong>, class of <strong>1975</strong></p></li>
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</ul>
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<p>Other ventures listed on professional-directory sites (not
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FINRA, not verae.com) have included Beryl Consulting, Intaglio
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Blockchain, and earlier broker-dealer roles. Those directory
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sites are secondary; they are noted here only so that a reader
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who searches the name is not surprised. They are not used as
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primary evidence of Verae corporate structure.</p>
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</section>
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<section id="why-this-biography-is-in-the-briefing">
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<h2><span class="section-number">14.5. </span>Why this biography is in the briefing<a class="headerlink" href="#why-this-biography-is-in-the-briefing" title="Link to this heading">¶</a></h2>
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<p>A compliance briefing is not a pitch deck. Garfinkel’s
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biography is here because the user of this system is entitled
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to know <strong>who is on the commercial and regulatory-facing side
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of Verae</strong>, and because a broker-dealer or RIA CCO will
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<strong>look the name up on BrokerCheck anyway</strong>. The honest
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presentation is:</p>
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<ul class="simple">
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<li><p>CEO of Verae LLC (public listing, from 2020);</p></li>
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<li><p>a long New York securities-industry registration history
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ending March 2024 at LPL, <strong>not currently registered</strong>;</p></li>
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<li><p><strong>no</strong> BrokerCheck disclosed events on the current report;</p></li>
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<li><p><strong>not</strong> given a biography block on verae.com at the time
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this document was compiled — Haber is the scientist the
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site puts on the homepage.</p></li>
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</ul>
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<p>Do not treat a CRD number as a product certification. Do not
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treat a CEO biography as a control.</p>
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</section>
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</section>
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