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.
Former Division/Office: Regional Office
Former Regional Office: Southeast
Former Title: Compliance Examiner
New Employer: UBS AG
Represented Entity: UBS AG
Issue: Staff the from Midwest Regional Office is planning to conduct an examination on UBS concerning its mutual funds and advisory operations in Chicago...Furthermore, UBS is currently undergoing a "wall to wall" examination on its New York operations and imminent examination on its anti-money laundering operations.
Date of Resignation: 09/15/04
Date of Statement: 11/15/04