SEC veteran named to lead inspections of broker-dealers
A longtime securities regulator has been named to lead the Securities and Exchange Commission's inspections of broker-dealers.
A longtime securities regulator has been named to lead the Securities and Exchange Commission’s inspections of broker-dealers.
Kevin W. Goodman, 53, was named national associate director of the broker-dealer examination program in the SEC’s Office of Compliance Inspections and Examinations, according to a statement from the agency. The office includes some 300 lawyers, accountants and examiners.
Mr. Goodman has held the post on an interim basis since May while also acting as regional director and associate director for the SEC’s regional office in Denver. He started at the SEC in 1992 at the Los Angeles regional office after working as a private-sector corporate and securities lawyer.
The position was previously held by Julius Leiman-Carbia, who left earlier this year to become chief compliance officer at JPMorgan Chase & Co.
Learn more about reprints and licensing for this article.
