Marc P. Berger named Director of SEC New York Regional Office

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The Securities and Exchange Commission (SEC) announced that Marc P. Berger has been named Director of the New York Regional Office. He will join the agency in January 2018.

Mr. Berger is presently global co-head of Ropes & Gray LLP’s Securities and Futures Enforcement Practice. Before joining Ropes & Gray, Mr. Berger spent 12 years as an Assistant U.S. Attorney in the Southern District of New York, including serving as Chief of that office’s Securities and Commodities Fraud Task Force. In that role, he supervised the investigation and prosecution of some of the nation’s highest profile financial and investment fraud cases, including the largest crackdown on hedge fund insider trading in U.S. history. Mr. Berger also has significant experience conducting and investigating violations of the federal securities laws, as well as extensive trial and appellate experience.

Mr. Berger will lead a staff of more than 390 enforcement attorneys, accountants, investigators, and compliance examiners involved in the investigation and prosecution of enforcement actions and the performance of compliance inspections in the New York region. The New York office has responsibility for the largest concentration of SEC-registered financial institutions, including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds, and hedge funds.

We are thrilled that Marc will bring his substantial experience and judgment to the SEC as the leader of our New York office,” said Stephanie Avakian, Co-Director of the SEC’s Enforcement Division. “I’m confident that Marc will help the Commission provide rigorous oversight of Wall Street and be a strong contributor to its overall mission of investor protection.

Marc has served with great distinction as a supervisor and prosecutor of securities and other white collar matters,” said Steven Peikin, Co-Director of the SEC’s Enforcement Division. “He is well-known in the SEC’s New York office and throughout the securities bar as a strong and effective leader who has a keen mind and sound judgment. We are very fortunate to have him join the SEC staff.

Marc is a proven leader who brings a wealth of expertise to this role,” said Peter B. Driscoll, Director of the SEC’s Office of Compliance Inspections and Examinations. “From his experience in the U.S. Attorney’s Office to his securities practice, Marc has demonstrated leadership and outstanding legal skills. I am delighted that he will be joining the dedicated examination team in New York.

Mr. Berger added:

I am honored and excited to return to public service and join the SEC’s New York office. As a federal prosecutor in New York, I had the privilege to work with many of the lawyers, accountants, and examiners in the New York office and see firsthand their talent and dedication. I now look forward to joining their ranks and leading the office’s efforts to protect investors and maintain fair markets.

Mr. Berger earned his bachelor’s degree with distinction from Cornell University in 1996 and his law degree from the University of Virginia School of Law in 1999. Before joining the U.S. Attorney’s Office in Manhattan, he served as a law clerk for the Honorable Richard M. Berman of the U.S. District Court for the Southern District of New York and was an associate with Orrick, Herrington & Sutcliffe LLP in New York.

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Marc P. Berger named Director of SEC New York Regional Office


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