by The Compliance Exchange on June 1, 2012
Two senior U.S. Securities and Exchange Commission investigators are stepping down this month to join private law firms, leaving vacancies atop two units formed in 2010 in an overhaul of the enforcement division.
They are Robert Kaplan and Thomas Sporkin, pictured above second and third from the right.
Robert Kaplan, co-chief of a 75-person unit that investigates misconduct at hedge funds and private-equity firms, will join Debevoise & Plimpton LLP in Washington as a partner on June 5, the firm said in a statement today. Thomas Sporkin, who heads an SEC group tasked with vetting and handling tips, is moving to BuckleySandler LLP in the coming weeks, according to a statement by that firm.
Kaplan, who holds degrees from New York University and Columbia University, joined the SEC in 1995 as a staff attorney and later became a litigator in the trial unit. At Debevoise, he will advise investment adviser clients on enforcement and compliance matters, the firm said.
Sporkin, a 20-year veteran of the SEC’s enforcement division, helped create the Office of Market Intelligence and the Whistleblower Office mandated by the Dodd-Frank Act. He will join BuckleySandler June 18, the firm said.
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