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SEC Names Julie Lutz as Director of Denver Regional Office


Washington D.C., Nov. 20, 2013 —

The Securities and Exchange Commission today announced the appointment of Julie K. Lutz as director of the Denver Regional Office, where she will oversee enforcement and examinations in a seven-state region.

Ms. Lutz has supervised the enforcement program in the Denver office as associate director since 2010.  She has been serving as acting co-director of the office for the past few months. 

“Julie brings a wealth of experience, a passion for the work of the Commission, and an emphasis on getting results,” said Andrew J. Ceresney, co-director of the SEC’s Division of Enforcement.  “The enforcement staff in Denver has flourished under Julie’s leadership, and we are pleased that she has agreed to take on this role.”

Ms. Lutz has led SEC enforcement efforts in a number of major cases out of the Denver office:

  • Charges against three former bank executives for participating in a scheme to understate millions of dollars in losses and mislead investors and federal regulators at the height of the financial crisis.
  • Charges against six executives for misleading investors about the deteriorating financial condition of a public corporation and its two subsidiaries and for engaging in various fraudulent schemes designed to conceal the firm’s rapidly deteriorating loan portfolio.
  • Charges against TD Ameritrade for failing to reasonably supervise its registered representatives, some of whom misled customers when selling shares of the Reserve Yield Plus Fund, a mutual fund that “broke the buck” in September 2008.
  • Charges against a husband and wife for a fraudulent scheme that raised more than $75 million from approximately 450 investors across the U.S., including many senior citizens.

Ms. Lutz joined the SEC staff in 1977 and worked in San Francisco and Washington D.C. before moving to the Denver office in 1996.  She has contributed to the success of the Denver office in a variety of roles ranging from investigative attorney to trial counsel as she has ascended through the ranks to become the leader of the office.

“For more than 35 years, Julie has demonstrated her commitment to working for investors and our markets, and we are especially pleased to bring her considerable experience and talent to the examination program,” said Andrew J. Bowden, director of the SEC’s National Exam Program.

Ms. Lutz said, “The Denver office has an outstanding record of collaboration and accomplishments in the exam and enforcement arenas, which speaks to the great talent and dedication of the staff here.  I am honored to be appointed as regional director and look forward to continuing our strong record of achievement.”

Ms. Lutz earned her bachelor’s degree cum laude from Stanford University and her law degree from Cornell University.


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