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Rating:SEC Names its Examinations Chief in Boston Not Rated 0.0 Email Routing List Email & Route  Print Print
Monday, December 19, 2011

SEC Names its Examinations Chief in Boston

Reported by Armie Margaret Lee

The SEC tapped Michael Garrity as head of the examination program in its Boston regional office. Garrity will lead a group of 60 accountants, examiners, attorneys and support staff.

His team is responsible for examining broker-dealers, investment companies, investment advisers and transfer agents in six New England states.

Garrity's predecessor, Lucy Corkery, was appointed associate regional director for strategic initiatives last year, according to SEC spokeswoman Judith Burns.

Garrity, 54, has been with the SEC since 2001. He joined the Boston office as an examiner and rose to become assistant regional director, a post he held for the past five years.

Before joining the SEC, Garrity, a former reporter and public school teacher, was with law firm Bingham, Dana & Gould (now Bingham McCutchen) and worked as an enforcement attorney for the Massachusetts Secretary of State's Securities Division.
Press Release

MICHAEL GARRITY NAMED HEAD OF EXAMINATION PROGRAM IN SEC's BOSTON REGIONAL OFFICE

Washington, D.C., Dec. 19, 2011 The Securities and Exchange Commission today announced the appointment of Michael E. Garrity to lead the examination program in its Boston Regional Office.

Mr. Garrity, who immediately begins in his new position as Associate Regional Director for Examinations, will direct a staff of 60 accountants, examiners, attorneys and support staff responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents in the six New England states.

Mr. Garrity joined the SEC's Boston office as an examiner in 2001 and has served as an Assistant Regional Director for the past five years. Mr. Garrity received the SEC Chairman's Examination Award for Excellence in 2005.

"Mike brings a true passion to the job along with a unique blend of experience as a former private sector lawyer, financial services reporter, and state regulator," said David Bergers, Director of the SEC's Boston Regional Office. "His background and his 10 years of experience conducting exams of investment advisers and investment companies throughout New England are a perfect combination to help the Boston examination program continue to fulfill its mission of investor protection."

Carlo di Florio, Director of the SEC's Office of Compliance Inspections and Examinations, added, "Mike has contributed significantly to the transformation of our national exam program over the past 18 months. His energy, SEC experience, and knowledge of the financial services industry make him a great addition to the examination program's local and national leadership."

Mr. Garrity said, "It is an honor to be part of the national exam leadership team and continue serving investors, particularly those individuals and institutions investing to create a secure retirement for Americans. I am fortunate to continue working with the professionals in the Boston office, throughout the SEC, and at other government and regulatory organizations to further the investor protection mission."

Prior to his SEC employment, Mr. Garrity practiced law at Bingham, Dana & Gould (now Bingham McCutchen) and served as an enforcement attorney for the Massachusetts Secretary of State's Securities Division. Mr. Garrity also spent approximately 10 years as a reporter for several newspapers and financial services news outlets, and was a public school teacher.

Mr. Garrity, 54, obtained his bachelor's degree, cum laude, from Marquette University and his law degree from Boston College.
 

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