Securities and Exchange Commission Historical Society
Program

Enforcement in Focus: SEC Stories from Chicago & Beyond

SPONSOR
CRA - Charles River Associates

Baker McKenzie

Baker McKenzie's Chicago office hosted the SEC Historical Society and guests for an exclusive oral history screening on October 14.

The evening featured a screening of curated highlights from the oral histories of Randall Fons, former Regional Director of the SEC’s Denver Office, and David Glockner, former Regional Director of the SEC’s Chicago Office. These firsthand accounts offer unique insights into the evolution of financial regulation, enforcement, examinations and the SEC’s role in shaping market integrity.

Attendees enjoyed networking with local SEC alumni, and peers across the enforcement and regulatory community.

Chicago Reception Photos

Collage of photos from the event.

Watch David Glockner's oral history and Randy Fons.

Hosts

Peter Chan
Peter Chan (Email)
Partner
Trustee, SEC Historical Society
Jerome Tomas
Jerome Tomas (Email)
Partner
Advisor, SEC Historical Society
Kristofer Swanson
Kristofer Swanson
Trustee, SEC Historical Society
Kathleen Graham
Kathleen Graham
Executive Director, SEC Historical Society

The SEC Historical Society, through its virtual museum, preserves the history of financial regulation. The Society is a 501(c)(3) non-profit organization separate from the SEC.

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.