Biography2

Biographies

2011 Webinar - SEC Examinations, Inspections, and Enforcement for Investment Advisers

2011 Webinar - SEC Examinations, Inspections, and Enforcement for Investment Advisers
April 21, 2011

Biographies:

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Mr. David Bergers (U.S. Securities and Exchange Commission)

David Bergers is the Director of the SEC’s Boston Regional Office. David has also worked in private practice for significant law firms in New England on numerous financial matters.

Mr. Paul D. Glenn (Investment Adviser Association)

Paul D. Glenn is Investment Adviser Association Special Counsel in Washington, DC. Paul has also served as a trial attorney in the SEC’s Division of Enforcement, and a Special Counsel in the SEC’s Office of General Counsel. In addition to his work at the Investment Adviser Association he also has compliance experience at financial institutions including an investment adviser.

Mr. Richard D. Marshall (Ropes & Gray LLP)

Richard D. Marshall is a partner with Ropes and Gray in New York City. He has extensive experience counseling investment advisers and other financial institutions in inspections, investigations, and litigation involving the SEC and other regulatory or governmental entities. Rick has served as Senior Associate Regional Administrator in the SEC’s New York office and a Branch Chief in the Division of Enforcement, Washington, DC.