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Stories of Interest
- 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
- Reflections of an Economist Commissioner (SEC's Piwowar)
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NEWSLETTERS & ALERTS
SEC Names Peter Uhlmann Managing Executive in Chairman's Office
The SEC announced that Peter Uhlmann will serve as managing executive in the Office of Chairman Jay Clayton. Mr. Uhlmann, who previoiusly served as chief of staff and senior advisor to former Chairman Christopher Cox will advise Chairman Clayton in matters relating to agency administration, operations, and management, and will serve as the Chairman's primary liaison to divisions and offices on these matters.
During his time at the SEC, Mr. Uhlmann has served in a variety of senior leadership positions: (i) managing executive for then-Acting Chairman Michael Piwowar; (ii) managing executive of the SEC's CorpFin Division; and, (iii) senior advisor to the executive director, where he led initiatives to assess and improve the effectiveness of SEC operations.