SKINNER - Key Persons
Job Titles:
- Special Advisor and Investor Engagement Manager
Adam Moore - Chief Legal Officer
Job Titles:
- Associate Director of the Event and Emerging Risk Examination Team
Job Titles:
- Associate Regional Director ( Enforcement )
Job Titles:
- National Associate Director of the Clearance and Settlement Examination Program
Job Titles:
- Senior Financial Economist With the Office of the Investor Advocate
Alycia Chin is a Senior Financial Economist with the Office of the Investor Advocate. Her research focuses on the psychological and economic factors that influence consumers' and investors' financial behavior. Her recent work examines the efficacy of financial product disclosure, the formation of consumer stock market expectations, and the characteristics of individuals who seek out financial education.
Prior to joining the SEC, Dr. Chin worked at several financial regulators. During her time at the Federal Reserve Board, she contributed to research on money market funds, residential real estate values, and the Great Depression. At the Consumer Financial Protection Bureau, she led some of the agency's first experimental research on mortgages and financial disclosure. Finally, at the Public Company Accounting Oversight Board, she founded a group conducting behavioral research for the purpose of regulatory post-implementation review. She holds a B.A. in Economics and Politics, magna cum laude, from Scripps College and a Ph.D. in Behavioral Decision Research from Carnegie Mellon University. Her research has been published in journals including Emotion, Behavioural Public Policy, the Journal of Public Policy & Marketing, and the Journal of Experimental Psychology: Applied.
Job Titles:
- Principal Economic Advisor and Chief Economist
Job Titles:
- Chief Financial Officer
- Office of Financial Management
Caryn E. Kauffman was named the Securities and Exchange Commission's Chief Financial Officer in May 2018.
Ms. Kauffman was previously the Deputy Chief Financial Officer since June 2013. Before that, she served as the Commission's Chief Accounting Officer since March 2011.
Ms. Kauffman is responsible for planning and directing the strategy, development, reporting and policy relative to the financial management of the SEC. Before joining the Commission, Caryn spent twelve years in the assurance practice of PricewaterhouseCoopers.
Ms. Kauffman received her Bachelor's degree in accounting from the University of Richmond. She is a Certified Public Accountant licensed in the Commonwealth of Virginia.
Job Titles:
- Senior Counsel
- Senior Counsel to the Investor Advocate
Charles Kwon currently serves as Senior Counsel to the Investor Advocate. As part of the Legal and Policy team in the Office, Mr. Kwon analyzes the potential impact of proposed SEC actions on investors, particularly those relating to the Securities Act of 1933, the Securities Exchange Act of 1934, and other federal securities laws that affect public companies. Mr. Kwon serves as liaison to the SEC's Division of Corporation Finance and, prior to joining the Office, served in various roles in the Division, including in the Division's Office of Rulemaking and Office of Chief Counsel.
Before joining the SEC, Mr. Kwon was an attorney in private practice, where he worked on capital markets transactions, mergers and acquisitions, and general corporate matters. He received a J.D., cum laude, from Georgetown University Law Center, an M.A. from Columbia University, and an A.B. from Dartmouth College.
Dan M. Berkovitz serves at the Securities and Exchange Commission as its General Counsel. Prior to joining the SEC's staff in November 2021, Mr. Berkovitz was a Commissioner for three years at the U.S. Commodity Futures Trading Commission, where he previously served as General Counsel from 2009 to 2013. In between those CFTC roles, he was a Partner and Co-Chair of the futures and derivatives practice at the law firm of WilmerHale, an Adjunct Professor at Georgetown University Law School, and Vice Chair of the American Bar Association Derivatives and Futures Law Committee. Earlier in his career, Mr. Berkovitz was a Senior Counsel for the U.S. Senate Permanent Subcommittee on Investigations and Deputy Assistant Secretary in the Department of Energy's Office of Environmental Management. He received an A.B. in Physics from Princeton University and a J.D. from the University of California, Hastings College of the Law.
Job Titles:
- Ethics Counsel
- Office of the Ethics Counsel
- SEC in 2010 As an Assistant Ethics Counsel
Danae Serrano was named the U.S. Securities and Exchange Commission's Ethics Counsel in March 2019. She previously served as Acting Ethics Counsel since December 2018.
Ms. Serrano joined the SEC in 2010 as an Assistant Ethics Counsel, and has served as the Deputy Ethics Counsel and Alternate Designated Agency Ethics Official since 2013. Ms. Serrano also served as the Agency's Acting Chief Compliance Officer until August 2018.
Before joining the SEC, Ms. Serrano served as an attorney in the General Counsel's Office of the Pension Benefit Guaranty Corporation (PBGC), where she advised on government ethics and administrative law matters. Prior to PBGC, Ms. Serrano served as an attorney and ethics official in the United States Air Force, Office of the General Counsel.
Ms. Serrano received her law degree from the University of Connecticut School of Law, where she was an Executive Editor of the Connecticut Insurance Law Journal. She received her B.A. in History from Yale University.
Job Titles:
- Chief Information Officer
David Bottom was named as the Securities and Exchange Commission's Chief Information Officer in December 2019 and officially joined the agency in January 2020.
Before coming to the SEC, Mr. Bottom was on special assignment to the Chief Information Officer in the U.S. Office of Management and Budget, where he led government-wide projects on federal agency deployment of cloud and artificial intelligence technologies. Prior to that, Mr. Bottom was Chief Information Officer and Chief Data Officer at the Department of Homeland Security's Office of Intelligence and Analysis. Mr. Bottom served for 10 years as a senior executive at the National Geospatial-Intelligence Agency, including as Director of its Information Technology Directorate and Deputy Director of Enterprise Operations. In addition to his federal service, Mr. Bottom was Chief Innovation Officer in IBM's federal intelligence practice.
Mr. Bottom is a graduate of the Massachusetts Maritime Academy and holds a Master's of Science in Information Systems Management from George Washington University.
Job Titles:
- Financial Economist Fellow
Job Titles:
- Associate Regional Director ( Examinations )
- Associate Regional Director ( Examinations ) Boston Regional Office
Job Titles:
- Regional Director ( Examinations )
Job Titles:
- Regional Director
- Director of the Miami Regional Office
- Director, Miami Regional Office
- Regional Director ( Bio and Photo )
Eric I. Bustillo currently serves as Director of the Miami Regional Office ("MIRO") of the U.S. Securities and Exchange Commission ("SEC"). As Director, he is responsible for leading the functions of the MIRO, including the supervision of the office's Enforcement and Examination programs, which jurisdiction covers the states of Florida, Mississippi, and Louisiana, as well as the U.S. Virgin Islands and Puerto Rico. The MIRO employs numerous professionals, including attorneys, accountants, and examiners, as well as support personnel who are assigned to these programs.
Between March 1995 and February 2010, Mr. Bustillo was employed by the United States Attorney's Office for the Southern District of Florida ("USAO-SDFL") as an Assistant United States Attorney ("AUSA") where for the last five years of his tenure with the office he served as Chief of the USAO-SDFL's Economic & Environmental Crimes Section, in charge of supervising a group of AUSAs and other professionals. Mr. Bustillo supervised and prosecuted criminal matters involving, among other things, securities/corporate fraud, health care fraud, environmental crimes, commodities fraud, mail fraud, wire fraud, bank fraud, tax fraud, and money laundering violations.
Between February 1990 and March 1995, Mr. Bustillo was employed by the MIRO where he last served as Chief of one of the office's Enforcement branches, in charge of supervising a group of enforcement attorneys and an accountant. He supervised and prosecuted complex matters involving, among other things, financial fraud, insider trading, stock manipulation, fraudulent sale of unregistered securities, broker-dealer/investment adviser fraudulent practices, and corporate accounting controls violations. Prior to joining the SEC, Mr. Bustillo worked, briefly, at a private law firm doing commercial litigation and some corporate/real estate transactional work.
Mr. Bustillo attained a Bachelor of Business Administration degree with a major in Economics from the University of Miami School of Business and a Juris Doctor degree from the University of Miami School of Law. Mr. Bustillo currently serves as an Adjunct Faculty member of the Litigation Skills Program at the University of Miami School of Law where he teaches Trial Advocacy Skills. He also is a frequent speaker at securities and white collar crime seminars around the country.
Job Titles:
- Co - Acting Regional Director, Associate Regional Director ( Enforcement )
Job Titles:
- Associate Regional Director ( Enforcement )
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC's Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor's degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Job Titles:
- Associate Regional Director ( Examinations )
- Associate Regional Director ( Examinations ) Miami Regional Office
Job Titles:
- Acting Chief Risk and Strategy Officer
Job Titles:
- Regional Director
- Acting Co - Regional Director
Job Titles:
- Division of Economic and Risk Analysis
Job Titles:
- Associate Regional Director ( Examinations )
- Associate Regional Director ( Examinations ) New York Regional Office
Job Titles:
- Acting Co - Regional Director
- Regional Director ( Vacant )
John Foley - Chief Legal Officer
Job Titles:
- Senior Counsel
- Senior Counsel to the Investor Advocate
John Foley currently serves as Senior Counsel to the Investor Advocate. As part of the Legal and Policy team in the Office, he analyzes the potential impact of proposed SEC actions on investors, focusing particularly on actions relating to the Investment Company Act of 1940, the Investment Advisers Act of 1940, and other federal securities laws that affect the asset management industry. Mr. Foley is the Office's liaison to the SEC's Division of Investment Management and, prior to joining the Office, served for several years as a staff attorney in the Division of Investment Management's Rulemaking Office.
Before joining the SEC, Mr. Foley worked in-house as an attorney and senior compliance manager for a DC-area asset management firm, and as an associate in the investment management group of law firms in DC and Philadelphia. He also served as an economist for the U.S. Bureau of Labor Statistics. Mr. Foley received his J.D. from Georgetown Law and his B.S. from Penn State University.
Job Titles:
- National Associate Director of the Broker Dealer and Exchange Examination Program
Job Titles:
- Financial Economist With the Office of the Investor Advocate
Jonathan Cook is a Financial Economist with the Office of the Investor Advocate. He is an applied researcher with interests in policy and statistical methods. His research spans accounting, economics, finance, and machine learning and has been published in journals that include Economics Letters, Journal of Accounting and Economics, and Pattern Recognition Letters.
Prior to joining the SEC, Jonathan worked at the Public Company Accounting Oversight Board (PCAOB) for almost eight years. At PCAOB, he pioneered the use of advanced analytics at the organization and created an economic modeling group. He received his PhD in Economics and MA in Mathematical Behavioral Sciences from the University of California at Irvine.
Job Titles:
- Acting Deputy Director
- Associate Regional Director ( Examinations )
- Associate Regional Director ( Examinations ) Salt Lake Regional Office
Job Titles:
- Associate Regional Director ( Enforcement )
Job Titles:
- Associate Regional Director ( Enforcement )
Job Titles:
- Associate Regional Director ( Enforcement )
Job Titles:
- National Associate Director of the Technology Controls Program
Job Titles:
- Chief Operating Officer
- Office of the Chief Operating Officer
Job Titles:
- National Associate Director of the FINRA and Securities Industry Oversight Examination Program
Job Titles:
- Acting Co - Regional Director
- Associate Regional Director ( Examinations )
- Associate Regional Director ( Examinations ) Chicago Regional Office
Job Titles:
- Director
- Office of Investor Education and Advocacy
Job Titles:
- Associate Regional Director ( Examinations )
Job Titles:
- Associate Regional Director ( Broker - Dealer )
- Associate Regional Director, Broker Dealer and Exchange Examination Program
Job Titles:
- Chief
- Counsel
- Acting Investor Advocate
Job Titles:
- Associate Regional Director ( Examinations ) Los Angeles Regional Office
- Co - Acting Regional Director, Co - National Associate Director, IA - IC Examinations ( OCIE )
- Co - National Associate Director of the Investment Adviser / Investment Company Examination Program
Job Titles:
- Associate Regional Director ( Investment Management ) and Acting Regional Director
- Associate Regional Director, Investment Adviser / Investment Company Examination Program
Job Titles:
- Associate Regional Director ( Broker - Dealer )
Job Titles:
- Co - National Associate Director of the Investment Adviser / Investment Company Examination Program
Job Titles:
- Director and Chief FOIA Officer
- Office of Support Operations
Job Titles:
- Director
- Office of Minority and Women Inclusion
Job Titles:
- Associate Regional Director ( Enforcement )
Job Titles:
- Acting Chief Accountant
- Office of Chief Accountant
Job Titles:
- Division of Corporation Finance
Job Titles:
- Director of the Division of Examinations
- Division of Examinations
Job Titles:
- Associate Regional Director ( Enforcement )
Job Titles:
- Associate Regional Director ( Enforcement )
Job Titles:
- Acting Managing Executive
Job Titles:
- Associate Regional Director ( Investment Management )
- Associate Regional Director, Investment Adviser / Investment Company Examination Program
Job Titles:
- Associate Regional Director ( Enforcement ) and Acting Regional Director
Job Titles:
- Acting Co - Regional Director
- Associate Regional Director ( Examinations )
- Associate Regional Director ( Examinations ) Fort Worth Regional Office
Job Titles:
- Associate Regional Director ( Examinations )
Job Titles:
- Regional Director
- Regional Director / San Francisco Regional Office
Job Titles:
- Associate Regional Director ( Examinations )
- Associate Regional Director, Investment Adviser / Investment Company Examination Program