FacultyFaculty/Author Profile

Lourdes Gonzalez

U.S. Securities and Exchange Commission
Assistant Chief Counsel – Sales Practices, Division of Trading and Markets
Washington, DC, USA


Lourdes Gonzalez is Assistant Chief Counsel for Sales Practices in the Division of Trading and Markets at the U.S. Securities and Exchange Commission.  The Office of Sales Practices has program responsibility for a broad range of broker-dealer sales practice issues, as well as broker-dealer supervision, anti-money laundering compliance, and securities arbitration. 

Ms. Gonzalez also has served as Counsel to former SEC Commissioner Laura S. Unger.   Prior to joining the Commission, Ms. Gonzalez worked at the U.S. Department of the Treasury.  She earned her law degree from George Washington University and her undergraduate degree from Georgetown University.

Lourdes Gonzalez is associated with the following items:
Web Segment  Web Segment Evolving Fiduciary Standards - ERISA 2018: The Evolving World, Wednesday, August 08, 2018
MP3 Audio  MP3 Audio Evolving Fiduciary Standards - Evolving Fiduciary Standards, Wednesday, August 08, 2018
Transcripts  Transcripts Evolving Fiduciary Standards - Evolving Fiduciary Standards, Wednesday, August 08, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Evolving Fiduciary Standards - Evolving Fiduciary Standards, Wednesday, August 08, 2018
On-Demand Web Programs  On-Demand Web Programs ERISA 2018: The Evolving World, Monday, August 13, 2018, New York, NY
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