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- State Street Challenging BNY Mellon As Largest Custody Bank
- Changes to FINRA Advisory Committees: Phase 1
- SEC Approves CAT Fee Dispute Resolution Process
- Boston-Area Consultant & Friend Settle SEC Insider Trading Charges
- SEC Chair Clayton: Statement on Status of the Consolidated Audit Trail ('CAT')
- Goldman to Launch $5bn Fund with China Investment Corp.
- Wells Fargo Launches Robo-Adviser Targeting Millenial Investors
- Barclays Fails to End U.S. 'Dark Pool' Class Action
- Goldman Sachs' Chief Risk Officer, Craig Broderick, to Retire
- Time to Renew FINRA Registrations - B/D, IA, Agent, IA Rep, Branches
- New Jersey’s Next Governor Could Be a Democrat Who Worked at Goldman Sachs
- FINRA New York Region Networking Seminar - December 1st
- SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers
- Hedge Fund Giant Paul Singer Targeted for Destruction by Steve Bannon
- Saudi Arabia's arrest of Prince Alwaleed 'would be like arresting Warren Buffett or Bill Gates' in the US
- Arrest of Billionaire Saudi Prince Touches Sizable Stakes - Citigroup, Twitter, Lyft
- New York Fed President William Dudley set to announce retirement
- FINRA Arbitration Panel Rules Against ex-LPL Broker in $30Mn Lawsuit vs. Firm
- OOPS! Goldman, JPMorgan, BofA Fail in Pricing an IPO
- Former Merrill Broker Pleads Guilty to Fee Fraud, Faces Up To 25 Years
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NEWSLETTERS & ALERTS
Chairman Clayton Names His Executive Staff
On August 31, 2017, the following individuals were named to the executive staff of SEC Chairman Jay Clayton.
JOHN COOK, SENIOR ADVISOR TO THE CHAIRMAN. Cook is lead advisor to the Chairman on matters involving the Investment Management Division, the Economic and Risk Analysis Division (DERA), and Office of the Chief Accountant (OCA). He also assists on enforcement matters. Mr. Cook, who joined the SEC in 2010, previously served as a Senior Special Counsel in DERA and in OCA, and as counsel to Commissioner Daniel Gallagher. Before joining the SEC, Mr. Cook practiced law at Gibson, Dunn & Crutcher.
JEFFREY DINWOODIE, SENIOR ADVISOR TO THE CHAIRMAN. Dinwoodie is lead advisor to the Chairman on matters involving the Trading and Markets Division, OCIE, Office of Municipal Securities, and Office of Credit Ratings. He also assists on enforcement matters. Mr. Dinwoodie previously practiced law at Davis Polk & Wardwell, and has been a frequent writer and speaker on securities and derivatives law topics. Prior to joining Davis Polk, Mr. Dinwoodie served as an SEC attorney from 2008 to 2011 in the Trading and Markets Division.
RAQUEL FOX, SENIOR ADVISOR TO THE CHAIRMAN. Raquel Fox is lead advisor to the Chairman on matters involving the Corporation Finance Division and Office of International Affairs. She also assists on enforcement matters. Ms. Fox, who joined the SEC in 2011, previously served as Senior Special Counsel to the Director of the Corporation Finance Division and an attorney fellow in the offices of Capital Markets Trends and Rulemaking. Before joining the SEC, Ms. Fox practiced law at Wilmer Cutler Pickering Hale and Dorr. She began her career as a CPA, specializing in taxation.
KRISTINA LITTMAN, SENIOR ADVISOR TO THE CHAIRMAN. Kristina Littman is lead advisor to the Chairman on matters involving the Enforcement Division. She also assists on other regulatory and policy matters. Ms. Littman, who joined the SEC in 2010, previously served as a trial attorney and investigative attorney in the Enforcement Division and as Counsel to the Director of Enforcement. Prior to joining the SEC, Ms. Littman practiced law at Drinker Biddle & Reath.
ALAN COHEN, SENIOR POLICY ADVISOR TO THE CHAIRMAN. Cohen will serve as advisor to the Chairman on emerging risks and regulatory developments, including the impact of Brexit, new European Union regulations (e.g. MiFID II), and issues related to domestic and international clearing and settlement of securities and derivatives transactions. Most recently, Mr. Cohen was an advisor to the executive office at Goldman Sachs after joining the firm in 2004 as the Global Head of Compliance and a member of the management committee, where he supervised a global team that was responsible for compliance across all business and financial products, and in every major international market. From 1991 to 2003, Mr. Cohen created and co-headed the white collar and regulatory defense practice at O'Melveny & Myers.
CHRISTOPHER CAROFINE, DIRECTOR OF COMMUNICATIONS. Christopher Carofine serves as Director of Communications to Chairman Clayton, advising on all matters related to communications and media relations. Prior to joining the SEC, Mr. Carofine served as the Communications Director for Rep. Scott Garrett, former Chairman of the House Financial Services Subcommittee on Capital Markets and Government-Sponsored Enterprises.
SHELBY BEGANY TELLE, CONFIDENTIAL ASSISTANT. Shelby Begany Telle serves as Confidential Assistant to Chairman Clayton. Prior to joining the SEC staff, Ms. Telle spent 4 years working on Capitol Hill - most recently for the Senate Rules Committee and previously for the Senate Committee on Banking, Housing and Urban Affairs and the Senate Appropriations Committee - all for U.S. Senator Richard Shelby.