美國證管會講師簡歷
Alka N. Patel
Associate Regional Director- Enforcement
U.S. Securities and Exchange Commission
Los Angeles Regional Office
Alka N. Patel is the Associate Regional Director supervising the enforcement program in the Los Angeles Regional Office of the Securities and Exchange Commission. She joined the SEC in July 2001. She served as an Assistant Regional Director for more than five years and has previously served in the Enforcement Division’s Foreign Corrupt Practices Act Specialized Unit. Before joining the SEC staff, Ms. Patel worked as a litigation and transactional associate in Irvine, Calif., and St. Louis, and as an auditor at two international accounting firms. In addition to being a Certified Public Accountant (inactive), Ms. Patel received her Law degree from Southwestern University School of Law, her Master’s degree in Business Taxation from the University of Southern California, and her Bachelors in Business Administration from California State University, Northridge.
Thomas M. Piccone Associate Regional Director- Examinations
U.S. Securities and Exchange Commission
Denver Regional Office
Thomas M. Piccone is the Associate Regional Director managing the examination program in the Securities and Exchange Commission’s Denver Regional Office (“DRO”). The DRO administers the Commission’s examination program for an eight state region including Colorado, Utah, Wyoming, New Mexico, Kansas, Nebraska, North Dakota, and South Dakota. Mr. Piccone joined the Commission’s staff in 1997, and worked in the Enforcement Division as an Attorney, Branch Chief, Trial Counsel, and Special Counsel before transitioning into the examination program. He served as the Assistant Regional Director for the DRO’s investment adviser and investment company examination program from 2009 until moving into his current position in 2014. Prior to joining the SEC, Mr. Piccone worked as an attorney with Gibson, Dunn & Crutcher; served as a law clerk for U.S. District Court Judge Alfred A. Arraj; and was employed as a member of the management information consulting division of Arthur Andersen & Co. He became a certified public accountant in Colorado (currently inactive) in 1988. Mr. Piccone received his bachelor’s degree in business (accounting) magna cum laude from the University of Colorado in 1983. He earned his law degree from the University of Colorado Law School in 1987, where he was awarded the Order of the Coif.
U.S. Securities and Exchange Commission
Los Angeles Regional Office
Alka N. Patel is the Associate Regional Director supervising the enforcement program in the Los Angeles Regional Office of the Securities and Exchange Commission. She joined the SEC in July 2001. She served as an Assistant Regional Director for more than five years and has previously served in the Enforcement Division’s Foreign Corrupt Practices Act Specialized Unit. Before joining the SEC staff, Ms. Patel worked as a litigation and transactional associate in Irvine, Calif., and St. Louis, and as an auditor at two international accounting firms. In addition to being a Certified Public Accountant (inactive), Ms. Patel received her Law degree from Southwestern University School of Law, her Master’s degree in Business Taxation from the University of Southern California, and her Bachelors in Business Administration from California State University, Northridge.
Thomas M. Piccone Associate Regional Director- Examinations
U.S. Securities and Exchange Commission
Denver Regional Office
Thomas M. Piccone is the Associate Regional Director managing the examination program in the Securities and Exchange Commission’s Denver Regional Office (“DRO”). The DRO administers the Commission’s examination program for an eight state region including Colorado, Utah, Wyoming, New Mexico, Kansas, Nebraska, North Dakota, and South Dakota. Mr. Piccone joined the Commission’s staff in 1997, and worked in the Enforcement Division as an Attorney, Branch Chief, Trial Counsel, and Special Counsel before transitioning into the examination program. He served as the Assistant Regional Director for the DRO’s investment adviser and investment company examination program from 2009 until moving into his current position in 2014. Prior to joining the SEC, Mr. Piccone worked as an attorney with Gibson, Dunn & Crutcher; served as a law clerk for U.S. District Court Judge Alfred A. Arraj; and was employed as a member of the management information consulting division of Arthur Andersen & Co. He became a certified public accountant in Colorado (currently inactive) in 1988. Mr. Piccone received his bachelor’s degree in business (accounting) magna cum laude from the University of Colorado in 1983. He earned his law degree from the University of Colorado Law School in 1987, where he was awarded the Order of the Coif.