C. Dabney O’Riordan and Alka Patel have been named Associate Directors for Enforcement in the SEC's Los Angeles Regional Office. As Associate Directors, O’Riordan and Patel report to Michele Wein Layne, Director of the L.A. Regional Office, and will oversee the office’s enforcement’s efforts in southern California, Arizona, Nevada, and Hawaii.

 

O’Riordan joined the SEC in its L.A. office in 2005 as a staff attorney. She has been a member of Enforcement’s Asset Management Unit since it was launched in 2010, and was named an Assistant Director for Enforcement in 2012. Patel began working in the SEC's L.A. office in 2001 as a staff attorney and became an Assistant Director in 2009.  Patel has served as a member of Enforcement’s FCPA specialized unit since its inception in 2010. Layne stated that O’Riordan and Patel are "extremely talented lawyers who are widely respected throughout the Los Angeles Regional Office for their fairness, excellent judgment, tenacity, and strong leadership."

 

As of 2012, the Los Angeles office had a staff of over 120 employees who worked in that office's examination and enforcement programs. Over all, as laid out in the map below, the SEC has a total of 11 regional offices in addition to its headquarters in Washington, D.C. The SEC says that its "regional offices are responsible for investigating and litigating potential violations of the securities laws. The offices also have examination staff, who inspect regulated entities such as investment advisers, investment companies and broker-dealers."

 

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