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Browse: Home / Regulators / Page 2

Regulators

Former SEC Senior Counsel Strengthens McDermott’s Investigation & Litigation Bench – McDermott Will & Emery

By Securities Docket on December 3, 2020, 9:52 am

International law firm McDermott Will & Emery continues to grow its litigation footprint with the addition of Boston-based partner Caitlyn M. Campbell, former senior counsel to the co-directors of the Division of Enforcement at the US Securities and Exchange Commission (SEC), who brings significant experience in SEC investigations, international investigations, anti-corruption matters as well as […]

Posted in People, Top | Tagged Regulators

SEC Enforcement Leader to Rejoin Sullivan & Cromwell | The American Lawyer

By Securities Docket on September 25, 2020, 9:07 am

Steven Peikin, the former co-director of the U.S. Securities and Exchange Commission’s enforcement division, is returning to Sullivan & Cromwell. The firm announced Wednesday that Peikin, who left to join the Trump administration in June 2017, will be back at the start of November as head of its securities and commodities investigations and enforcement practice. “I […]

Posted in People, SEC, Top | Tagged Regulators

Richard R. Best Named Director of SEC’s New York Regional Office

By Securities Docket on August 19, 2020, 1:35 pm

The Securities and Exchange Commission today announced that Richard R. Best has been named Director of the New York Regional Office. Mr. Best will succeed Marc P. Berger, who has been named Deputy Director of the Division of Enforcement. Mr. Best joined the SEC in June 2015 as the Regional Director of the SEC’s Salt Lake […]

Posted in People, SEC, Top | Tagged Regulators

SEC Names Marc P. Berger as Deputy Director of Enforcement

By Securities Docket on August 19, 2020, 1:34 pm

The Securities and Exchange Commission today announced that Marc P. Berger, currently Director of the SEC’s New York Regional Office, has been named Deputy Director of the Division of Enforcement. “Marc has been a dynamic and extremely effective leader of the SEC’s largest regional office,” said Chairman Jay Clayton. “He has expertly led the office […]

Posted in People, SEC, Top | Tagged Regulators

Enforcement Co-Director Steven Peikin to Depart

By Securities Docket on August 5, 2020, 2:47 pm

The Securities and Exchange Commission today announced that Division of Enforcement Co-Director Steven Peikin will leave the agency on Aug. 14, 2020. During his more than three years serving alongside Co-Director Stephanie Avakian, Mr. Peikin worked to better position the agency’s largest division to address emerging threats, increasing its efficiency and effectiveness in investigating and prosecuting […]

Posted in People, SEC, Top | Tagged Regulators

Former SEC Commissioner Gallagher to Join Robinhood | ThinkAdvisor

By Securities Docket on May 7, 2020, 1:38 pm

Dan Gallagher, former commissioner at the Securities and Exchange Commission, will become chief legal officer of Robinhood, the commission-free trading website. Gallagher, who has been a member of Robinhood’s board of directors since October, was most recently partner and deputy chair of the securities department at the international law firm WilmerHale in Washington. via Former […]

Posted in People, SEC, Top | Tagged Regulators

Statement of Commissioner Brian D. Quintenz on the End of His Term and Future Plans | CFTC

By Securities Docket on April 29, 2020, 8:24 am

I am deeply honored to have served as a Commissioner at the Commodity Futures Trading Commission over the last two and half years, as well as to have been a part of an administration that has assembled one of the best financial regulatory teams across the federal government.  My five-year statutory term as a Commissioner […]

Posted in Industry, People, Top | Tagged CFTC, Regulators

Fake Securities Regulator Used for Identity Theft, DOJ Says

By Securities Docket on April 24, 2020, 7:50 am

The unknown individual masquerading as a securities regulator is using its website to collect personal information as part of an identity theft scheme, DOJ alleged Thursday in Texas federal district court. The fictitious regulator calls itself the Board of Securities and Financial Services, but there’s “no federal or state regulatory entity known” by that name, […]

Posted in Criminal, Regulation, Top | Tagged Regulators

Stanley Sporkin, crusading SEC enforcer and tough-minded U.S. judge, dies at 88 – The Washington Post

By Securities Docket on March 24, 2020, 11:44 am

Stanley Sporkin, who was the scourge of industry in the 1970s as the crusading chief enforcement officer of the Securities and Exchange Commission and who later had a colorful and controversial tenure as a federal judge in Washington with strongly worded rulings on high-profile cases, died March 23 at a hospice center in Rockville, Md. […]

Posted in People, SEC, Top | Tagged Obituaries, Regulators

Exelon Appoints David Glockner as Executive Vice President, Compliance and Audit

By Securities Docket on March 16, 2020, 4:37 pm

Exelon announced today it has named David Glockner, a former top Securities and Exchange Commission (SEC) official and chief of the Criminal Division in the U.S. Attorney’s Office for the Northern District of Illinois, as its new executive vice president of Compliance and Audit. Glockner, who currently serves as chief compliance officer for global investment […]

Posted in People, Top | Tagged Regulators

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