REUTERS/Yuriko Nakao
(Reuters) - Keir Gumbs, who left Covington & Burling three years ago to join Uber Technologies ahead of its 2019 initial public offering, is on the move again. This time he’s leaving his post as Uber’s deputy general counsel to take the top legal role at Broadridge Financial Solutions, one of a slew of recent in-house lawyer hires in the fintech field.
Washington D.C.-based Gumbs will be chief legal officer at Broadridge, which was ADP’s brokerage services unit before spinning off in 2007. The company, which provides technological infrastructure to banks, broker-dealers, asset and wealth managers and public companies, acquired electronic trading platform Itiviti in May. Last month it hired former Bloomberg global CEO of trading solutions Ray Tierney to lead the unit.
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Bloomberg
By Aaron Nicodemus2021-04-22T17:38:00+01:00
New Securities and Exchange Commission (SEC) Chair Gary Gensler has made his first key appointment: Alex Oh as director of the Division of Enforcement.
Oh, named to the post Thursday, was most recently a partner at Paul, Weiss, Rifkind, Wharton & Garrison, where she was co-chair of the law firm’s Anti-Corruption & Foreign Corrupt Practices Act (FCPA) practice group. She previously served as an assistant U.S. attorney in the Criminal Division of the U.S. Attorney’s Office for the Southern District of New York, where she was a member of the Securities & Commodities Fraud Task Force and the Major Crimes Unit.
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Source: SEC
“It has been a privilege to work side by side with the extraordinary and dedicated professionals at the Commission,” Norberg said Thursday in a press release announcing her departure.
Norberg has served as chief of the SEC’s Office of the Whistleblower since 2016, and before that spent four years as the program’s deputy chief. She previously worked 11 years as an attorney at law firm Shearman & Sterling, according to her LinkedIn profile.
The announcement does not give an exact date for Norberg’s departure. The office’s deputy chief, Emily Pasquinelli, will serve as acting chief, according to the SEC.
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Following days of enormous and unusual swings in stocks including GameStop and AMC, as well as concerned comments from the White House, the Securities and Exchange Commission has disclosed it is monitoring the situation. We are aware of and actively monitoring the on-going market volatility in the options and equities markets and, consistent with our mission to protect investors and maintain fair, orderly, and efficient markets, we are working with our fellow regulators to assess the situation and review the activities of regulated entities, financial intermediaries, and other market participants Acting Chair Allison Herren Lee,
Pete Driscoll, Director, Division of Examinations, Christian Sabella, Acting Director, Division of Trading and Markets said in a statement.
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