BROWSE BY TOPIC
Stories of Interest
- Deutsche Bank ‘Beyond Repair’ as Trading Drops - Autonomous Research
- Guggenheim Partners CEO Might Step Down
- Wachovia Customer Sues Wells Fargo Over FundSource Losses - Bill Singer
- Credit Downgrade for Wells Fargo Due to Fake Account Scandal
- CFTC Commissioner Quintenz Named Sponsor of the Technology Advisory Committee
- Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker - Bill Singer
- Equifax Suffered a Hack Almost Five Months Earlier Than the Date It Disclosed
- The World’s Biggest Wealth Fund Hits $1 Trillion
- At Jefferies, Like Wall Street, Trading Cedes to Banking
- Ex-SAC Trader Who Pleaded Guilty to Insider Trading Just Remembered He’s Innocent
- JPMorgan Turns to Amazon for Retail 'Customer Experience'
- Goldman Sachs Names Ken Hitchner as New Chairman for Asia Pacific
- Judge All but Tosses SEC Case Against ‘Rogue’ Trader And Ex-FBI Informant Guy Gentile
- 'Boys are #1 Among NFL's Most Valuable Teams
- Fake Tax Returns - Your Next Worry After the Equifax Breach
- FINRA DR Recruiting Arbitrators, Mediators at Congressional Black Caucus Conference
- JPMORGAN: Here's who we think will replace Warren Buffett at Berkshire Hathaway
- Mueller to Search Facebook for Russia-Linked Accounts
- Mark Gomes, Market Analyst and Trade Scalper Settles with SEC
- Equifax Waives Credit Lock Fees For Consumers, Amid Criticism
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
SEC Names 3 Senior Officials in Enforcement, Corporate Finance
Robert Evans III Joins SEC Corporate Finance Unit as Deputy Director. Mr. Evans will join Deputy Director Shelley Parratt as a senior advisor to CorpFin Director William Hinman. Most recently, Mr. Evans worked at Shearman & Sterling as a partner in the firm’s capital markets practice. He has experience advising on public and private offerings, securities law compliance, and corporate governance.
Mr. Evans has been a frequent speaker and writer on securities law, compliance, and legal ethics. In addition to his extensive transactional practice, he was a member of the TriBar Opinion Committee, the Working Group on Legal Opinions, the American Law Institute, and Co-Chair of Shearman & Sterling’s Opinion Committee. Mr. Evans received his bachelor’s degree from Harvard College and law degree from Boston University School of Law, both cum laude.
Kathryn Pyszka Named Associate Regional Enforcement Director in Chicago. Ms. Pyszka succeeds Timothy Warren, who retired from the SEC in January. In her new role, Ms. Pyszka will co-lead the Chicago Office’s Enforcement program with Robert Burson, who serves as the office’s other Associate Regional Director for Enforcement.
Ms. Pyszka joined the SEC in 1997 as a staff attorney in Enforcement. She was promoted to branch chief in 1998, and became senior trial counsel in 2000. After a brief time in private practice, she rejoined the SEC as senior trial counsel and was promoted to Assistant Regional Director in 2007. She joined the Division’s Market Abuse Unit in 2010. Before joining the SEC, Ms. Pyszka worked in the private sector in Chicago and served as a law clerk for the Honorable Joe Billy McDade in the U.S. District Court for the Central District of Illinois.
Kelly Gibson Named Associate Regional Enforcement Director in Philadelphia. Ms. Gibson succeeds Jeffrey Boujoukos, who became Regional Director of the SEC’s Philadelphia office in January.
Ms. Gibson joined the SEC in 2008 as a staff attorney in Enforcement. When the Division was reorganized in 2010, she joined the Market Abuse Unit. In 2013, she was promoted to Assistant Regional Director. Before joining the SEC, Ms. Gibson worked as a litigation associate for Ballard Spahr Law in Philadelphia, PA.