SEC Appoints Criminal Prosecutor David A.Glockner As Head Of Chicago Office

The US Securities and Exchange Commission yesterday announced the appointment of David A. Glockner As Regional Director of the SEC's

Think Chicago, think venues. The Midwestern metropolis is one of the largest financial centers in the world, and being the second largest in North America, is home to a vast array of electronic trading venues and exchanges.

Overseeing the activities of the financial markets business in Chicago along with ensuring regulations are adhered to, is therefore a major undertaking, and requires significant skill and experience, hence the appointment yesterday by The Securities and Exchange Commission (SEC) of former US Attorney David A. Glockner as director of the Chicago Regional Office.

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David A. Glockner

In his former senior legal role, Mr. Glockner spent 25 years as a criminal prosecutor in the U.S. Attorney’s Office for the Northern District of Illinois, including 11 years as Chief of the Criminal Division. Since last year he has led the Chicago office of digital risk management and investigations firm Stroz Friedberg LLC.

At the SEC, Mr. Glockner will oversee the Chicago office’s enforcement and examination operations covering a nine-state region in the Midwest. He will join the agency in early December.

Welcoming Mr. Glockner to his leadership role, Andrew J. Ceresney, Co-Director of the SEC’s Division of Enforcement made a public statement yesterday: “In his many years as the chief of the criminal division in the U.S. Attorney’s Office, David had a reputation for being a great leader and sound thinker. He helped that office achieve great results.”

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“We are extremely happy that he will be bringing his immense talents to our Chicago office, which has a rich history of outstanding enforcement actions,” concluded Mr. Ceresney.

Andrew J. Bowden, Director of the SEC’s National Exam Program, further stated that, “We are thrilled to have David join our team. Our strategic priorities include examining risks and controls around firms’ use of technology, and using quantitative tools to analyze the large data sets we acquire through our examinations. David’s experience and judgment will help us tremendously.”

Mr. Glockner, who serves as a Managing Director at Stroz Friedberg, served in the U.S. Attorney’s Office from 1987 to 2012. During his tenure as head of the Criminal Division, he supervised a wide range of investigations and prosecutions involving securities fraud, financial institution fraud, public corruption and cybercrime.

Prior to joining the U.S. Attorney’s Office, Mr. Glockner began his legal career as a law clerk to the Honorable Brian Duff of the U.S. District Court for the Northern District of Illinois.

Speaking publicly on his appointment, Mr. Glockner said, “I am honored and excited to have the opportunity to serve as the Regional Director of the SEC’s Chicago office. The talented and dedicated staff in Chicago has a long tradition of effective work to protect investors, and I look forward to working with them to continue and strengthen that tradition.”

Mr. Glockner earned his bachelor’s degree from the University of Chicago in 1982 and his J.D. from the Stanford University Law School in 1985.

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