40 records in this section.
Marc Fagel spent over 15 years with the SEC, serving as Regional Director of the SEC’s San Francisco Regional Office from 2008 to 2013. From 2013 until 2019, he was a partner in Gibson, Dunn & Crutcher’s San Francisco and Palo Alto offices and a Co-Chair of the Firm’s Securities Enforcement practice group. Before joining the SEC, Mr. Fagel spent six years as an associate in the San Francisco office of Morrison & Foerster.
From 1974 to 1995, Mark Fitterman served in various roles at the SEC, eventually becoming Associate Director in the Division of Market Regulation. He worked on implementing the 1975 Act Amendments, including establishing a National Market System and the Municipal Securities Rulemaking Board. He also was in charge of oversight and inspections of the exchanges, investment advisors and broker dealers prior to the creation of a separate Office of Compliance Inspections and Examinations.
Randall J. Fons was the head of the SEC’S Central Regional Office from August 2000 to March 2006. In this position he was responsible for managing the enforcement and examination programs in Colorado, North Dakota, South Dakota, Utah, Wyoming and New Mexico. Under his leadership, the staff of the Central Regional Office brought a number of high profile enforcement actions. Previously, Mr. Fons served as the Regional Director of the SEC’s Southeast Regional Office, in Miami, from 1997 to 2000. Mr. Fons started his career at the SEC in 1988 in the Commission’s Chicago Office, where he held a variety of positions of increasing responsibility in the office’s enforcement program.
Merri Jo Gillette joined the SEC as a staff attorney in the Philadelphia Office in 1986. There, she advanced to positions of increasing responsibility including branch chief from 1989 to 1990, chief trial counsel from 1990 to 1994, assistant regional director from 1994 to 1998, district trial counsel from 1998 to 2003, supervisor of the trial unit, and associate director for enforcement. In 2004, she succeeded Mary Keefe as Director of the Chicago Regional Office. During her tenure there, the Chicago examination staff played a key role in changes designed to make the agency's National Exam Program more effective and designed an electronic database for use in exams that later was put into use by SEC examiners nationwide. She also served as a founding member of the Division of Enforcement's diversity committee and chair of the agency-wide Diversity Committee on Mentoring and Professional Development. She left the SEC for private practice in 2013.
Daniel Goelzer, a founding board member of the Public Company Accounting Oversight Board (PCAOB), is interviewed by Lucy Harvey, curator of the gallery on the early history of the PCAOB. In the interview, Mr. Goelzer discusses his role leading up to and serving as a founding board member as well as the major issues faced by the organization, including: standard-setting and the role of the Standards Advisory Group, or SAG; SOX Section 404(b) related to internal controls mandates; inspections and enforcement in the US and abroad, the Supreme Court case related to the PCAOB’s Constitutionality; the Dodd-Frank Act and PCAOB’s authority to audit broker-dealers.
Daniel Goelzer served on the staff of the SEC from the mid-70’s through 1990. He began his SEC career in 1974 as a staff attorney in the Office of the General Counsel, and rose through the ranks to become the Commission’s General Counsel from 1983 to 1990. He also worked in the Office of the Chairman and was Executive Assistant to both Chairman Harold Williams and Chairman John Shad. After leaving the SEC, he was partner at the law firm of Baker & McKenzie LLP in Washington, DC until his appointment as a founding Board member of the Public Company Accounting Oversight Board (PCAOB) in 2002. He served as PCAOB’s Acting Chairman from 2009 – 2011 and returned to Baker & McKenzie after his PCAOB term ended in 2012. He was one of the founding Trustees of the SEC Historical Society.
Gene Gohlke retired as Associate Director for the Examinations in the Office of Compliance Inspections and Examinations (OCIE, now the Division of Examinations) in April 2011 after more than 35 years of public service at the SEC. Dr. Gohlke joined the agency in 1975 as a staff accountant in the Division of Investment Management, which operated the investment adviser examination program prior to the creation of OCIE in 1995. Dr. Gohlke went on to hold the positions of Examination Program Coordinator, Chief Financial Analyst, and Assistant Director in the Division before becoming Associate Director for the examination program in 1986. He moved to an Associate Director position in OCIE when it assumed responsibility for the examination program. Dr. Gohlke served under 10 SEC chairmen during his tenure at the agency and as Acting Director of the Division of Investment Management in 1990. Prior to joining the SEC staff, Dr. Gohlke was an officer in the U.S. Army for two years and worked as a financial management consultant for the U.S. Agency for International Development for four years. Dr. Gohlke graduated from the University of Wisconsin in 1968 with a Ph.D. in business administration. He also has an MBA degree from Wisconsin and is a certified public accountant.
Eugene “Gene” I. Goldman served as Senior Counsel in the SEC’s Division of Enforcement from August 1977 to October 1983, after which he joined the private sector. From May to October 1986, he left private practice to clerk for Judge Stanley Sporkin of the US District Court for the District of Columbia. Since 1991, he has been with the law firm of McDermott Will & Emery LLP.
Paul Gonson began working at the SEC in 1961 and held a number of positions during his 37-year career at the agency. He started out in the Division of Corporate Regulation, then transferred in 1967 to the Office of General Counsel where he became primarily an appellate attorney. When David Ferber retired from his post as the Solicitor in 1979, Gonson was appointed to take his place. During the next 20 years, he worked on a number of enforcement cases, primarily insider trading, many of which he argued before the Supreme Court. In 1998, he retired from the SEC and joined the firm of Kirpatrick & Lockhart.
In this interview with Dan Goelzer, Paul Gonson describes his role in founding, together with David Ruder and Harvey Pitt, the Securities and Exchange Commission Historical Society in 1999. His memories reveal the early vision, challenges, and successes of what is now a mission to preserve the history of our financial markets and regulation that is accomplished through a virtual museum and archive rather than a bricks and mortar structure.
Ed Greene served at the SEC from 1978 to 1982, first as director of the Division of Corporation Finance under Chairman Harold Williams, then as General Counsel under Chairman John Shad. He was involved in several ground-breaking projects. As director of Corporation Finance, he led efforts to integrate and improve disclosures around Initial Public Offerings (IPOs), and spearheaded efforts to create faster access to markets for shelf registrations. As general counsel, he negotiated the agency’s first Memorandum of Understanding (MOU), which became a template for future cooperative agreements between governments. Mr. Greene was a founding trustee of the SEC Historical Society.
