Kathryn A. Pyszka named as Associate Regional Director for Enforcement in the SEC’s Chicago office

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The Securities and Exchange Commission (SEC) announced that Kathryn A. Pyszka has been named an Associate Regional Director for Enforcement in the SEC’s Chicago Office. Ms. Pyszka succeeds Timothy L. Warren, who retired from the SEC in January. In her new role, Ms. Pyszka will co-lead the Chicago Office’s Enforcement program with Robert Burson, who serves as the office’s other Associate Regional Director for Enforcement.

Ms. Pyszka has over 19 years of experience at the SEC. She joined the SEC as a staff attorney in the Enforcement Division in 1997, was promoted to branch chief in 1998, and became senior trial counsel in 2000. After a brief time in private practice, she rejoined the SEC as senior trial counsel and was promoted to Assistant Regional Director in 2007. She joined the Division’s Market Abuse Unit in 2010.

Ms. Pyszka has supervised a number of significant investigations within the Enforcement Division, including those that resulted in the SEC’s charges against:

  • Credit Suisse Securities (USA) LLC for violations of the federal securities laws arising from its operation of Light Pool, an alternative trading system;
  • Two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets for failing to accurately describe the order types being used on the exchanges;
  • Several alleged perpetrators behind a $78 million pump-and-dump scheme involving the stock of Jammin’ Java; and
  • A Chicago-area alternative energy company, its former CEO, and its CFO for accounting and disclosure violations.

Kay’s significant experience and keen intellect and judgment position her perfectly to join the leadership of the SEC’s Chicago enforcement team,” said Stephanie Avakian, Co-Director of the SEC’s Enforcement Division. “We look forward to continued success from the Chicago enforcement team under Kay’s leadership.

David Glockner, Regional Director of the SEC’s Chicago Office, added:

Kay has an outstanding track record as a vigorous but fair enforcer of the federal securities laws and will bring extraordinary judgment and knowledge to her new role as a leader of the Chicago office’s talented enforcement staff.

Ms. Pyszka said:

I am honored by this appointment and look forward to leading the Chicago office’s talented group of enforcement professionals as we seek to protect investors and hold wrongdoers accountable for their misdeeds.

Before joining the SEC staff in 1997, Ms. Pyszka worked in the private sector in Chicago and served as a law clerk for the Honorable Joe Billy McDade in the U.S. District Court for the Central District of Illinois. Ms. Pyszka earned her law degree from the University of Illinois College of Law and her bachelor’s degree from the University of Wisconsin-Madison. Ms. Pyszka received the SEC’s Paul R. Carey award in 2011 and the Stanley Sporkin award in 2014.

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Kathryn A. Pyszka named as Associate Regional Director for Enforcement in the SEC’s Chicago office


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