FacultyFaculty/Author Profile

Robert A. Marchman

NYSE Regulation
Executive Vice President, Division of Enforcement and Risk Group
New York, NY, USA


ROBERT A. MARCHMAN is currently an Executive Vice President in New York Stock Exchange Regulation heading up the Division of Enforcement as well as the Regulatory Risk Group.  Robert assumed these responsibilities in August 2007. Prior to his current role, Robert was appointed in September 2004 to Division Head of the NYSE’s Division of Market Surveillance during a challenging period due to, among other things, the implementation of a new trading market model . 

Before joining Market Surveillance, Robert worked in NYSER’s Division of Enforcement where he started his career and rose to a senior level manager. While in Enforcement, Robert served as the lead supervisor in connection with the NYSE’s ground breaking investigation into investment bank research analysts conflicts of interest.  The investigation, along with the efforts of the SEC and NASD, resulted in a historic settlement of over $1.4 billion with Wall Street’s largest brokerage and investment banking firms.  Robert also served as the lead supervisor in the disciplinary actions brought jointly by the NYSE and SEC against specialist firms which resulted in monetary sanctions exceeding $250 million. 

Robert serves as Chairman of the New York Stock Exchange NYSER’s Euronext’s  Diversity Council, a position he has held since 1999, which leads diversity management efforts at the company and serves as an advisory group to NYSE executive management on such matters such as management training and financial literacy efforts.  In addition, Robert is a member of the Board of the New York Stock Exchange Foundation, Inc.

During Robert’s career at the New York Stock Exchange he has accomplished a number of firsts in the history of the institution that is the center of financial world including becoming the first Person of Color to attain the position of Executive Vice President and Division Head.

Prior to joining the Exchange in 1989, Robert was an attorney at the SEC’s Division of Enforcement (Washington, D.C. office) where he started his career in securities regulation in 1983 and last held the position of Branch Chief. While an attorney at the SEC Robert brought the case against Boyd L. Jeffries, a significant disciplinary action that was part of SEC’s celebrated case against Ivan Boesky.

Robert received his B.A. Degree from Allegheny College (Meadville, Pennsylvania) where he graduated in 1980 with Magna Cum Laude and Phi Beta Kappa Honors.  (He is currently a member of the College’s Board of Trustees.) Upon graduating from Allegheny College he attended the University of Pennsylvania Law School where he received his J.D. Degree in 1983. He is also a graduate of Harvard Business School’s Program for Management Development.

Active involvement in community affairs has and continues to be a high priority for Robert. Among other associations, he currently serves as a member of Operation HOPE’s Northeast Regional Board. The organization is well-recognized for its efforts to enhance financial literacy.

Robert has been the recipient of awards for professional accomplishments as well as community and civic service: Allegheny College for professional accomplishments and the establishment of a Scholarship Fund; Harlem YMCA (African – American Achiever Award); the Western Pennsylvania Regional Consortium for Diversity in Higher Education; Junior Achievement; The Urban League of Essex County; The South Orange Civic Association; and “Wall Street in Black” Pioneer Award.
 

Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.