The Securities and Exchange Commission today announced the appointment of Marshall Gandy as Associate Regional Director for Examinations in the agency’s Fort Worth Regional Office.
Mr. Gandy has served as a Senior Regional Counsel at FINRA since 2008. Before that he was a trial counsel and enforcement attorney at the SEC, the Presiding Judge in a Dallas County Criminal Court, and an Assistant District Attorney in Dallas County. In his new position as Associate Regional Director for Examinations, Mr. Gandy will lead a staff of approximately 40 accountants, examiners, attorneys, and support personnel responsible for examining broker-dealers, investment companies, investment advisers, and transfer agents in Texas, Oklahoma, and Arkansas.
“Marshall has a deep commitment to public service and the SEC’s core mission, and brings a wealth of experience as a securities lawyer, county court judge, and assistant district attorney,” said David Woodcock, Director of the SEC’s Fort Worth Regional Office. “His experience and leadership make him well-suited for our mission to prevent fraud, promote compliance, monitor risk, and inform policy.”
Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “I am pleased to welcome Marshall to the exam program and back to the SEC. His hard work, experience, and tenacity will make him a real asset in implementing the national examination program’s strategies for investor protection and market integrity at a time of significant regulatory change.”
Mr. Gandy said, “I am thrilled and privileged to have the opportunity to return to the Commission and work with the enormously dedicated team in the Fort Worth Regional Office to help protect investors through administering the SEC's nationwide examination and inspection program.”
Mr. Gandy received his law degree from Southern Methodist University and his bachelor’s degree from Sam Houston State University.