- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By 
Aaron Nicodemus2021-04-22T17:38:00
The Securities and Exchange Commission has named Alex Oh to lead an Enforcement Division expected to be more aggressive under new Chair Gary Gensler.
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The SEC announced the appointment of New Jersey Attorney General Gurbir Grewal as director of its Enforcement Division. He is the second individual to be named to the position in three months after the first pick resigned.
Alex Oh resigned as head of the Securities and Exchange Commission’s Enforcement Division for personal reasons after less than one full week on the job.
The Senate voted Tuesday to extend Gary Gensler’s term as chair of the Securities and Exchange Commission through 2026, cementing his control of the top regulator of U.S. financial markets.
Financial services firm Cantor Fitzgerald will pay a $6.75 million fine to the Securities and Exchange Commission for making misleading statements regarding two special purpose acquisition companies that it controlled.
A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
A subsidiary of McKinsey & Co. will pay nearly $123 million to the Department of Justice to settle allegations that it bribed officials in South Africa to win consulting contracts.
