‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInJoel R. Levin, Director of Chicago Regional Office, to Leave SEC
The Securities and Exchange Commission today announced that Joel R. Levin, the Director of its Chicago Regional Office, will leave the agency at the end of May. Mr. Levin has served as Director of the Chicago office since May 2018, overseeing the agency’s second-largest regional office of more than 260 attorneys, accountants, investigators, securities compliance […]
Marc P. Berger, Former Acting Director of the SEC’s Enforcement Division, to Join Simpson Thacher
Simpson Thacher & Bartlett LLP announced today that Marc P. Berger, most recently the Acting Director of the Division of Enforcement at the U.S. Securities and Exchange Commission, will join the Firm’s New York office in June as a Partner in the Litigation Department. Source: Marc P. Berger, Former Acting Director of the SEC’s Enforcement […]
Citadel Securities Hires Ex-CFTC Chairman Tarbert as Legal Chief – Bloomberg
Citadel Securities hired Heath Tarbert, the former chairman of the U.S. Commodity Futures Trading Commission, as its chief legal officer. Tarbert led the nation’s main derivatives regulator from 2019 until January, when he became a commissioner. He previously served as a senior official in the Treasury Department, and before that led the bank-regulatory practice at […]
Leon Black quits leadership positions at Apollo | Financial Times
Leon Black has quit his leadership positions at Apollo Global Management, ceding power after the investment firm he co-founded 30 years ago became overshadowed by an outcry over his ties to the late paedophile Jeffrey Epstein. Former Securities and Exchange Commission chairman Jay Clayton will become non-executive chairman, a role that Apollo had previously indicated […]
Charles Schwab Taps Jones Day Partner to Lead New In-House Regulatory Group | Corporate Counsel
Westlake, Texas-based financial services firm Charles Schwab has hired Jones Day partner Shamoil Shipchandler to serve as the chief counsel for its new regulatory group.Shipchandler, who is based in Dallas, said in an interview Tuesday that he starts at the company Jan. 25. He leads the firm’s newly created risk and regulatory group. That group oversees […]
Stephanie Avakian, Former SEC Enforcement Director, Rejoins WilmerHale | WilmerHale
WilmerHale is pleased to announce that Stephanie Avakian, most recently Director of the Securities and Exchange Commission’s Division of Enforcement, is rejoining the firm as Chair of its Securities and Financial Services Department and member of the Management Committee. Stephanie will rejoin the firm later in the year and will have a wide-ranging public company […]
Apollo Names Ex-SEC Chairman Jay Clayton as Lead Independent Director – WSJ
Apollo Global Management Inc. has appointed former Securities and Exchange Commission Chairman Jay Clayton to the newly created role of lead independent director on its board, the latest step in a sweeping overhaul of corporate governance at the investment firm. Mr. Clayton, who stepped down from his role at the SEC in December, will also […]
Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement
The Securities and Exchange Commission today announced that Kelly L. Gibson, currently the Director of the Philadelphia Regional Office, has been named the Acting Deputy Director of the Division of Enforcement. Source: SEC.gov | Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement
Biden’s Candidate for SEC Chairman Is Expected to Be Tough on Companies – WSJ
“Everyone should expect that a Gensler SEC will be under pressure from Capitol Hill to distinguish itself from a Clayton SEC by being perceived as tougher and smarter,” said Joseph Grundfest, a professor of law and business at Stanford University and a former SEC commissioner. Mr. Gensler, who is teaching courses on financial technologies at […]
Melissa Hodgman Named Acting Director of Division of Enforcement
The Securities and Exchange Commission today announced Melissa R. Hodgman, currently an Associate Director in the Commission’s Division of Enforcement, has been named Acting Director of the Division of Enforcement. Source: SEC.gov | Melissa Hodgman Named Acting Director of Division of Enforcement