In the Margins

SEC announces series of personnel movements

November 22, 2016

By Securities and Exchange Commission

The Securities and Exchange Commission has announced a number of personnel moves in recent days. Matthew Solomon, chief litigation counsel for the Enforcement Division, will leave the agency early next month after leading the division’s litigation program since September 2013. Stephen Luparello, director of the Division of Trading and Markets, will leave the agency by the first of the year; he was named director of the office in February 2014. Wesley Bricker has been named chief accountant, succeeding James Schnurr, who plans to retire from the agency. Bricker has served as deputy chief accountant for the accounting group since 2015 and interim chief accountant since July 2016. Read the original announcements regarding Solomon, Luparello, Bricker, and Schnurr from the SEC.

 

 

Most Read

Top of the Agenda - Compensation
IDC: Directors see modest pay increase in 2021

Independent mutual fund director compensation levels increased in 2021, though the year-on-year change was significantly lower than in 2020, according to new data obtained by Fund Board ...

Top of the Agenda - Regulatory
SEC to advisers: Turn over 15(c) documents, info

The Securities and Exchange Commission has begun requesting documentation and information from mutual fund advisers about their funds' 15(c) processes and fees. The Division of Enforcement ...