58 records in this section.
Paul R. Berger was on the staff of the Securities and Exchange Commission for 14 years, from 1992 to 2006. He joined the Commission as a staff attorney in the Division of Enforcement and eventually become Associate Director in 2000. He helped establish and chaired the Commission’s Financial Fraud Task Force and played a leading role in the Commission’s focus on the Foreign Corrupt Practices Act. He was responsible for numerous cases in the areas of financial fraud, foreign payments (bribes), executive compensation, auditor independence, Regulation FD, broker-dealer matters and insider trading.
After several years in private practice, Professor Barbara Black joined the faculty of Pace University School of Law in 1978 where she taught corporate and securities law and authored numerous articles for legal journals. In 1997, she established the first Securities Arbitration Clinic in the country at Pace University School of Law. In 2006, Professor Black joined the faculty of the University of Cincinnati College of Law where she was Professor and Director of the law school’s Corporate Law Center. She is a graduate of Barnard College and Columbia University Law School.
Andrew Bowden served the SEC as Director of the Office of Compliance Inspections and Examinations (OCIE) from June 2013 through April 2015. Mr. Bowden joined the SEC in November 2011, serving as OCIE’s National Associate for the Investment Adviser/Investment Company examination program and was named Deputy Director of OCIE in September 2012. Prior to joining the SEC, Mr. Bowden served in a variety of roles in the broker-dealer and asset management industries and in private legal practice. He graduated from Loyola University in Maryland in 1983 and from the University of Pennsylvania Law School in 1987.
Charles Bowsher served as the 6th Controller General of the U.S. from 1981-1996. During that period, he led the Government Accountability Office in addressing the savings and loan crisis. He was instrumental in Congress’ passage of the Single Audit Act of 1984 requiring audits for state and local governments, and the Chief Financial Officers Act of 1990, requiring federal departments and agencies to prepare financial statements and undergo annual financial audits. Mr. Bowsher is a graduate of the University of Illinois at Urbana-Champaign, and earned an MBA from the University of Chicago.
Richard C. Breeden served as the 24th Chairman of the U.S. Securities and Exchange Commission from October 1989 to May 1993. Prior to his SEC appointment, he served in a series of government positions during the Administrations of Presidents Reagan, Bush (41) and Clinton. In 1989 as a senior White House economic aide he was the principal architect of the Bush Administration’s program to create the Resolution Trust Corporation and overhaul regulation of the savings and loan industry.
Wayne M. Carlin served two stints at the U.S. Securities and Exchange Commission. He began his initial service as a staff attorney in 1993 at the Northeast Regional Office in New York and quickly rose through the ranks to become an associate director. He left the agency for the private sector in 1997, and returned to the New York office in 1999 as Associate Director and Co-Head of Enforcement, then became Regional Director in 2000 where he served until 2004. During his tenure, Mr. Carlin led a number of high-profile enforcement investigations, including one of the SEC’s earliest hedge fund cases (Askin Capital), insider trading by Martha Stewart (ImClone) and large-scale accounting frauds at Rite Aid and AIG. He also managed the New York Regional Office through the aftermath of 9/11 to become the first federal agency to re-open in lower Manhattan after the crisis.
Andrew J. Ceresney served as Director of the SEC’s Enforcement Division from 2013 – 2017 under Chair Mary Jo White where he supervised law enforcement efforts in a range of matters including those related to financial reporting and accounting, asset management, insider trading, market structure, and the Foreign Corrupt Practices Act (FCPA), and helped broaden the use of the SEC’s analytical tools to detect and investigate financial misconduct.
Christopher R. Conte spent 17 years in the Division of Enforcement of the SEC where he became Associate Director. During his tenure he conducted and oversaw significant enforcement matters across all of the SEC's major program areas including actions involving financial fraud, improper accounting and internal controls and disclosure violations, audit failures, unlawful market timing arrangements, illicit payments under the FCPA, manipulative short selling, unlawful IPO allocation practices, and insider trading.
Meredith Cross served two stints at the SEC during times of remarkable change. During her tenure from 1990 – 1998, Ms. Cross dealt with one of the most significant challenges during that period -- bringing the agency into the internet age. The internet presented great new opportunities for businesses to share information with investors, but at the same time provided a vast new frontier for fraudsters, and the securities laws were not written with the internet in mind. With an intervening stint at WilmerHale from 1998 to 2009, Ms. Cross returned to the agency from 2009 - 2013 as Director of the Division of Corporation Finance after the financial crisis, and led the division through the challenges that came with the Madoff scandal and Dodd-Frank and JOBS Acts.
Stephen M. Cutler joined the SEC as Deputy Director of the Enforcement Division in January 1999 and served as Director of the Division from October 2001 to May 2005. He supervised the agency’s investigations of some of the largest financial reporting failures in the nation’s history up to that point, including those at Enron, WorldCom, Adelphia, Qwest, Tyco and HealthSouth. He also oversaw the agency’s investigations into violations by NYSE specialist firms and individual specialists for inter-positioning and trading-ahead violations and played a key role in the historic “global settlement” with brokerage firms over research analyst conflicts of interest.
Carlo di Florio is the Global Advisory Leader at ACA Group, a leading securities industry consulting firm that also provides RegTech, outsourcing and data analytics solutions.
Prior to joining ACA in 2019, Carlo served for a decade as a senior regulator, first as the Director of the SEC’s Division of Compliance Inspections and Examinations (OCIE, now the Division of Examinations) and then as the Chief Risk and Strategy Officer at the Financial Industry Regulatory Authority (FINRA). Prior to joining the SEC in 2010, in the wake of the Financial Crisis, Carlo was a Partner at PricewaterhouseCoopers (PwC) in the Financial Services Risk and Regulatory Practice group.
Carlo also served as President and currently serves as Governor of the Risk Management Association (RMA) NY Chapter. He also serves on the Regulatory Advisory Committee of the National Association of Compliance Professionals (NSCP) and on the Board of Advisors of the Private Equity CFO Association NY Chapter (PECFOA). In addition, Carlo serves as an Adjunct Professor at Columbia University, where he teaches Strategic Risk Management. Carlo has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance (GRC) by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.
Carlo received his Master of International Law (LL.M) from Georgetown University Law Center, Doctor of Jurisprudence (JD) from Penn State Dickinson Law School, and Bachelor of Arts (BA) from Tulane University.
James R. Doty was appointed by the Securities and Exchange Commission as the Chairman of the Public Company Accounting Oversight Board in January 2011 and served until January 2018.
Peter Driscoll served at the SEC for over 20 years. He first joined the Commission as a summer legal intern in the Chicago Regional Office in 2000 and rejoined the agency in 2001 as a staff attorney in the Division of Enforcement. He was later a Branch Chief and Assistant Regional Director in the Office of Compliance Inspections and Examinations (OCIE’s) Investment Adviser and Investment Company examination program. Mr. Driscoll was named as OCIE’s first Chief Risk and Strategy Officer in March 2016 after previously serving as OCIE’s Managing Executive from February 2013 through February 2016. In October 2017, he was named Director of the agency’s Office of Compliance Inspections and Examinations (OCIE). Mr. Driscoll had served as OCIE’s Acting Director since January 2017. In August 2021, he left the SEC to return to the private sector. Mr. Driscoll began his career with Ernst and Young LLP and held several accounting positions in private industry. He earned a B.S. in Accounting as well as a J.D. from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association.
