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Work experience

Jan 2012Present

Acting Inspector General

U.S. Securities and Exchange Commission

·Directly oversee OIG Office of Investigations:  supervise investigative staff as well as personally investigate allegations of fraud or misconduct, including investigations into economic data reporting, employee misconduct, and whistleblower complaints.  Decide what allegations to investigate; manage priority of investigations.  Draft, review and edit all reports of investigation issued by office.  Personally conduct all high-profile investigations and testimonial interviews.

·Have oversight of the Office of Audits:  directly supervise the Assistant Inspector General for Audits and audit staff.  Manage and set priorities for audits conducted by the OIG.  Review and edit audit reports to ensure compliance with GAGAS and other applicable standards. 

Jul 2008Jan 2012

Deputy Inspector General

U.S. Securities and Exchange Commission

·Manage and oversee all Office of Inspector General (OIG) investigations, audits, staff and operations, including direct responsibility for OIG Office of Investigations and Office of Audits.         

·Lead the strategic planning and performance management initiatives for the OIG. 

•Carry out a wide range of responsibilities regarding all aspects of OIG operations, including administrative, financial, and human capital management; strategic planning and policy development; and information systems management.  

Primarily responsible for the drafting, issuance and implementation of all OIG policy, to include strategic and continuity of operations planning.
Jan 2005Jul 2008

Senior Counsel

U.S. Securities and Exchange Commission

·Represented and defended the agency in litigation and administrative proceedings, drafted policy and regulations, and counseled agency staff on varied matters.

·Served as agency subject matter expert on Freedom of Information Act (FOIA) and Privacy Act. Counseled agency staff on the assertion of governmental privileges, the issuance of and responses to subpoenas and motions to compel.

·Counseled agency on confidentiality issues regarding Bank Secrecy Act, FINCEN Suspicious Activity Reports, Privacy Impact Assessments, the E-Gov Act, and Electronic Discovery.  Authored related agency policy and drafted revisions to Federal Register.

·Prevailed in several lawsuits brought against agency, including published decisions:                         LaRoche v. SEC, 2006 WL 2868972 (N.D.Cal. Oct. 6, 2006)                         Abraham, Fruchter & Twersky v. SEC, 2006 WL 785285(S.D.N.Y. March 29, 2006)


Sep 1994May 1997

Juris Doctor

Rutgers University School of Law
Sep 1990May 1994


The College of New Jersey