FacultyFaculty/Author Profile
Karol Pollock

Karol Pollock

US Securities and Exchange Commission
Deputy Associate Regional Director, Los Angeles Regional Office
Los Angeles, CA, USA


Karol Pollock is the Deputy Associate Regional Director in the Los Angeles Regional Office of the U.S. Securities and Exchange Commission’s National Exam Program.  Ms. Pollock oversees examinations of broker-dealers, investment advisers, investment companies, municipal advisors, and transfer agents.  Ms. Pollock is Co-Chair of the National Exam Program’s Marketing and Sales Practices Working Group.  Previously, Ms. Pollock was an attorney in the SEC’s Division of Enforcement, general counsel of a publicly traded internet company, regional counsel in FINRA’s Los Angeles Office, General Counsel of the New Mexico Securities Division, a litigator with Brobeck, Phleger & Harrison, and Law Clerk to the Honorable Albert Lee Stephens, Jr., Chief Judge, United States District Court for the Central District of California.  Ms. Pollock holds a BA from the University of Illinois and a JD from Loyola University School of Law. 

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