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- 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 Promotes Two in Enforcement
by Howard Haykin
The SEC has promoted Anita Bandy and Carolyn Welshhans to ‘Associate Director’ in its Division of Enforcement. In their new roles, each will each supervise around 40 attorneys, paralegals, and staff who are charged with investigating securities law violations.
Anita Bandy, who fills the position of Gerald Hodgkins, joined the SEC in 2004 … and has been an Assistant Director in Division since 2013. During her time with the agency, Ms. Bandy has led multiple enforcement initiatives and has supervised dozens of investigations. Before joining the SEC, Ms. Bandy served for 5 years as a white collar litigation associate at Proskauer Rose. She earned her J.D. from American University and her undergraduate degree from University of Michigan.
Carolyn Welshhans, who filles the position previously occupied by Scott Friestad (who passed away in April), joined the SEC in 2007 … and has been an Assistant Director in Enforcement’s Market Abuse Unit since 2015. She assumed a dual role as an Assistant Director in the Division’s Cyber Unit after its formation last year. Ms. Welshhans has supervised dozens of investigations and contributed to many complex matters. Ms. Welshhans served for 4 years as a white collar litigation associate at Dechert. She earned her J.D. from Boston College Law and her undergraduate degree from William and Mary.