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Stories of Interest
- Bill Cosby Found Guilty of Sexual Assault
- Credit Suisse Fully Compliant on Sanctions: CEO
- Ex-UBS Metals Trader Beats Spoofing Conspiracy Charge
- Investment Advisor, WCAS Management Corp, To Pay Nearly $800K Over Conflicts of Interest
- Altaba, fka Yahoo!, to Pay $35Mn for Failing to Disclose Massive Cybersecurity Breach - SEC
- SEC Formerly Bars Martin Shkreli from Industry
- HF Billionaire Steve Cohen Buying Into Fintech Start-Ups
- Deutsche Bank Is Weighing Massive Cuts in Its U.S. Cash Equities Unit
- Richard Jenrette, Co-Founder of DLJ Investment Bank, Dies at 89
- Goldman Sachs Makes First Hire in Cryptocurrency Markets Unit
- Special FINRA Election to Fill Large Firm Governor Vacancy
- Chicago-Based Investment Adviser Sentenced to 151 Months in Prison - SEC
- Dun & Bradstreet Hit With FCPA Violations - SEC
- SEC Charges Additional Defendant in Fraudulent ICO Scheme
- Warren Buffett Simply Blew it on Wells Fargo Stock: Dick Bove (Video)
- Barclays and Deutsche Bank to Lag U.S. Trading Peers
- NY AG Schneiderman Seeks to Close Loophole That Could Let Trump Pardons Block State Charges
- 'Fearless Girl' is Moving to NYSE After Year Staring Down 'Charging Bull'
- What's In Your Wallet - American Express Shares Soar After Earnings Release
- Deutsche Bank's Executive Departures Continue Following Change in CEO
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NEWSLETTERS & ALERTS
Marc Berger Named Director of New York Regional Office
The SEC has named Marc Berger as the new Director of the New York Regional Office. He will join the agency in January 2018.
Mr. Berger will lead a staff of more than 390 enforcement attorneys, accountants, investigators, and compliance examiners involved in the investigation and prosecution of enforcement actions and the performance of compliance inspections in the New York region. The New York office has responsibility for the largest concentration of SEC-registered financial institutions, including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds, and hedge funds.
Mr. Berger presently is global co-head of Ropes & Gray’s Securities and Futures Enforcement Practice. Before joining Ropes & Gray, Mr. Berger spent 12 years as an Assistant U.S. Attorney in the Southern District of New York, including time serving as Chief of that office’s Securities and Commodities Fraud Task Force.
As head of the fraud unit, Marc led the investigation and prosecution of many high-profile securities enforcement matters, including a significant number of cases as part of the largest crackdown on hedge fund insider trading in U.S. history. Marc supervised and investigated a wide array of securities cases, including in the areas of insider trading, corporate fraud, complex and structured financial products, the FCPA, offering fraud and fraudulent investment schemes, asset management fraud, broker bribery, market manipulation, and abusive high-frequency trading practices.
Before joining the U.S. Attorney’s Office in Manhattan, he served as a law clerk for the Honorable Richard Berman of the U.S. District Court for the Southern District of New York and was an associate with Orrick, Herrington & Sutcliffe in New York. Mr. Berger earned his bachelor’s degree from Cornell in 1996 and his law degree from UVa School of Law in 1999.