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Stories of Interest
- SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
- SEC Charges Former Bitcoin Exchange and Its Founder With Fraud
- JPMorgan Chase to Replace NYC Headquarters with 70-Story Skyscraper
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
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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.