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Stories of Interest
- 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
- Reflections of an Economist Commissioner (SEC's Piwowar)
- Billionaire HF Manager and The Fed Chair Runner-Up are Investing in New Cryptocurrency
- Court Finds 2 Brokers Liable for Fraud Involving Mortgage-Backed Securities
- One FINRA: An Organization’s Commitment to Diversity and Inclusion
- 2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
- Barclays Eyes Move Into Cryptocurrency Trading
- Goldman Breaks From Wall Street Pack with Bond-Trading Boom
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NEWSLETTERS & ALERTS
Say Goodbye to SEC Director of Chicago Office
David Glockner, Director of the Chicago Regional Office, is leaving the SEC this month. Since late 2013, Mr. Glockner has led a staff of approximately 270 enforcement attorneys, accountants, investigators, and compliance examiners involved in the investigation and prosecution of enforcement actions and the performance of compliance inspections in the 9-state Chicago region that is home to roughly 20% of the nation’s population.
Mr. Glockner also has served as chair of the SEC’s Cybersecurity Working Group and is generally recognized as one of the agency’s experts on cybersecurity matters related to examinations and enforcement.
PROFESSIONAL CAREER. Before joining the SEC in December 2013 as the Chicago office’s Regional Director, Mr. Glockner was:
- 2012-2013: Managing Director and Head of the Chicago office of Stroz Friedberg - a digital risk management and investigations firm.
- 2000-2012: Chief, Criminal Division, U.S. Attorney’s Office for the Northern District of Illinois.
- 1987-2000: Asst U.S. Attorney, U.S. Attorney’s Office for the Northern District of Illinois.
- 1985-1987: Law Clerk to the Honorable Brian Duff of the U.S. District Court for the Northern District of Illinois.
- 1985: J.D. from Stanford Law School.
- 1982: A.B. from the University of Chicago.