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Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
SEC Enforcement Has New Chief for Complex Financial Instruments Unit
The SEC announced that Daniel Michael has been named chief of the Enforcement Division’s Complex Financial Instruments Unit. Mr. Michael, who’s been with the Commission since 2010, will lead a specialized unit of attorneys and industry experts, based across the country, who investigate potential misconduct related to complex financial products and practices involving sophisticated market participants.
DAVID MICHAEL PROFESSIONAL CREDENTIALS. Mr. Michael joined the SEC in 2010, and has served as an assistant director based in the New York Regional Office since 2014. He has played a key role in a number of significant enforcement actions, including charges against Merrill Lynch for violating the SEC’s Customer Protection Rule.
Before joining the SEC, Mr. Michael worked in private practice in New York City and was a law clerk to U.S. District Judge Richard Berman of the U.S. District Court for the Southern District of New York. He received his JD from Harvard Law, and his BA magna cum laude from New York University.