SEC Tenure: 1991-2001. Dick Walker left a successful law practice as a partner at Cadwalader, Wickersham & Taft to begin his career at the SEC as Regional Director of the SEC’s Northeast Regional Office. He later served as the SEC’s General Counsel and as the Director of Enforcement—the only person in history to hold those two positions. Dick was immensely…
SEC Tenure: 1995-2009. With formidable intellect, inestimable good cheer, and unshakable judgment, Linda Chatman Thomsen started as an SEC trial lawyer and went on to make history as the first woman to serve as Director of the SEC’s Division of Enforcement. Before joining the SEC, Linda worked in private practice at Davis Polk in Washington, D.C. and New York, andalso served…
SEC Tenure: 1983-1998. During her career at the SEC, Colleen Mahoney served as Chief Counsel, Deputy Director of the SEC’s Enforcement Division, Chief of Staff to SEC Chairman Arthur Levitt, and Acting SEC General Counsel. Colleen left the SEC to join Skadden Arps, where she practiced for over 25 years. At Skadden, Colleen was a true legal entrepreneur, building a…
SEC Tenure: 1995-2023. Michele Layne began her SEC career as a staff attorney in the Enforcement Division. She went on to become Associate Regional Director for Enforcement in the Los Angeles office, and then Regional Director. As Regional Director for over a decade, Michele conducted and supervised every type of enforcement matter the Commission brings and oversaw all examinations, investigations…
SEC Tenure: 1981-2000. Carmen Lawrence began as a staff attorney at the SEC and rose through the ranks to become head of the SEC’s Northeast Regional Office, the largest of all SEC regional offices at the time. She also supervised the SEC’s Boston and Philadelphia offices. Carmen was the first woman to lead the SEC’s Northeast Regional Office and pioneered…
SEC Tenure: 1999-2015. Dan Hawke was the first chief of the SEC Enforcement Division’s Market Abuse Unit and Director of the SEC’s Philadelphia Regional office. Under Dan’s leadership, the SEC’s Market Abuse Unit developed innovative trading surveillance technology and used quantitative methods to detect abusive trading schemes and conduct groundbreaking “trader-based” investigations. Dan also created the unit’s Analysis and Detection…
SEC Tenure: 1995-2018. A natural leader, Scott Friestad worked his way up from staff attorney to Deputy Director of Enforcement and a trusted senior advisor to the Director. Along the way, Scott became arguably the most respected, admired and beloved Associate Director in SEC history, championing his own distinctive brand of “tough but fair” SEC enforcement. Scott’s door was always…
SEC Tenure: 1989-2001. At the SEC, Greg Bruch was an extraordinarily respected Assistant Director and mentor who was prolific in the number of cases he led. He was also the first leader of the SEC’s Delinquent Filing Program. Greg left the SEC to become a Partner at Willkie Farr & Gallagher and later at Foley & Lardner. Greg also served…
SEC Tenure: 1987-2002. Before rising through the SEC Enforcement ranks to become Associate Director, Bill Baker served as one of the first specialized enforcement chiefs in SEC history—as Assistant Director for Municipal Securities investigations, Bill played a leading role in the SEC’s efforts to reform that market bringing more than 100 enforcement actions charging municipal market participants. Bill left the…
Video and photo highlights from Securities Enforcement Forum 2014.