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SEC Names David Glockner as Director of Chicago Regional Office


Washington D.C., Nov. 5, 2013 —

The Securities and Exchange Commission today announced the appointment of David A. Glockner as director of the Chicago Regional Office.

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.

“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,” said Andrew J. Ceresney, co-director of the SEC’s Division of Enforcement.  “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.”

Andrew J. Bowden, director of the SEC’s National Exam Program, added, “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 is a managing director at Stroz Friedberg, served in the U.S. Attorney’s Office from 1987 to 2012.  As criminal division chief, 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.

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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