Each entry in POGO’s SEC Revolving Door Database represents one post-employment disclosure statement notifying the SEC of a former employee’s intent to represent an employer or client before the agency. Some employees have filed multiple statements.
Wendy D. FoxTweet
Former Division/Office: Regional Office
Former Regional Office: Midwest
Former Title: Attorney-Advisor
New Employer: Ariel Capital Management, LLC, and Ariel Distributors, Inc.
Represented Entity: Ariel Capital Management, LLC, and Ariel Distributors, Inc.
Issue: Will be representing both ACM and ADI in connection with required Commission filings. For example, as an officer of ADM and ADI, I will likely sign various Commission filings on these entities' behalf, which filings will include amendments to ACM's Form ADV and ADI's Form BD. Similarly, I will sign transmittal leters to the Commission containing Commission filings. Please be advised that, on January 7, 2005, in my capacity as an officer of ACM, I signed an amended Form ADV, without previously notifying you of my representation of ACM.
Date of Resignation: 10/01/04
Date of Statement: 01/26/05