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Stories of Interest
- FINRA RegNote 17-40: AML/KYC Requirements Under FINRA Rule 3310
- Trump defends Roy Moore: 'He totally denies it'
- Barclays CEO Staley's New Investment Banking Strategy Falters
- FIFO: Senate Plan Lets Mutual Funds Skip A Tax Change That Hurts Individual Investors
- FINRA Introduces New Functionality and Design to Fund Analyzer
- Oyster Bay, NY, and Former Top Official Charged with Defrauding Muni Investors
- 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
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NEWSLETTERS & ALERTS
SEC Announces High Level Additions to its Staff
ROBERT STEBBINS - GENERAL COUNSEL. As GC, Mr. Stebbins will serve as the chief legal officer of the SEC, providing a variety of legal services to the Commission and staff. Mr. Stebbins, a partner at Willkie Farr & Gallagher since 2001, has focused on M&A, private equity, venture capital, investment funds, and capital markets transactions. He also advised clients on SEC compliance issues and corporate governance matters. Mr. Stebbins earned a JD from U. of P. and a BS from Central Michigan U.
JAIME KLIMA - CHIEF COUNSEL. As Chief Counsel, Ms. Klima will serve as senior legal and policy adviser, and will coordinate the rulemaking agenda of the SEC. She will also serve as Chairman Jay Clayton’s representative on the Deputies Committee of the Financial Stability Oversight Council. Most recently, Ms. Klima served as SEC co-chief of staff under then-Acting Chairman Michael Piwowar. Before that, she was counsel to Commissioner Piwowar and Commissioner Troy Paredes. Prior to joining the SEC, Ms. Klima practiced law at Wilmer Cutler Pickering Hale and Dorr, specializing in broker-dealer compliance and regulation. She also clerked for the Honorable Richard Lowell Nygaard of the U.S. Court of Appeals for the Third Circuit. She earned her JD from Duke Law, a Master of Public Policy from Duke, and an Bachelor’s from the U-Va.
LUCAS MOSKOWITZ - CHIEF OF STAFF. Most recently, Mr. Moskowitz was a managing director at Patomak Global Partners, where he provided consulting services to financial services firms and public companies on regulatory and compliance matters. He has served as Chief Investigative Counsel of the U.S. Senate Committee on Banking, Housing, and Urban Affairs. Before joining the Senate Banking Committee staff, Mr. Moskowitz served as a counsel on the Financial Services Committee of the U.S. House of Representatives. Previously at the SEC, Mr. Moskowitz served as a counsel to former Commissioner Daniel Gallagher and also served as an attorney in Enforcement. Mr. Moskowitz clerked for U.S. District Judge Richard Berman, and he practiced securities law for Wilmer Cutler Pickering Hale and Dorr. Mr. Moskowitz received his BA from Princeton and his JD from Georgetown Law.
SEAN MEMON - DEPUTY CHIEF OF STAFF. Mr. Memon arrived at the SEC with experience providing advice to public and private companies in both legal and financial roles. Immediately prior to joining the SEC, Mr. Memon practiced law at Sullivan & Cromwell, focusing on regulatory and transactional matters as they pertained to capital raisings, M&A and joint ventures. Mr. Memon also advised companies on matters involving financial technology and the development of new products and services. He previously was a member of the Finance and Acquisitions department at Time Warner. In financial services, Mr. Memon worked for Raymond James and Morgan Stanley. Mr. Memon earned his JD and MBA from Duke, and an AB in economics from Harvard.
WILLIAM HINMAN - DIRECTOR OF CORPORATION FINANCE. Mr. Hinman recently retired as a partner in the Silicon Valley office of Simpson Thacher & Bartlett, where he advised public and private companies in corporate finance matters. He has advised a wide range of issuers and underwriters in capital-raising transactions and corporate acquisitions, including in the technology, e-commerce, health care, and biopharmaceutical areas. Prior to joining Simpson Thacher as a partner in 2000, Mr. Hinman was managing partner of Shearman & Sterling’s SF and Menlo Park offices. He received his BA from Michigan State and his JD from Cornell Law, where he was a member of the Editorial Board of the Cornell Law Review.