Biography

Mr. Mark Wolfe is the Associate Director for the Office of Derivatives Policy and Trading Practices in the agency’s Division of Trading and Markets. He first joined the SEC staff in November 1999 as an attorney in the Office of Compliance Inspections and Examinations’ Market Oversight group. From April 2003 to September 2006, he was a Senior Counsel in the Division of Enforcement and investigated cases involving broker-dealer misconduct, financial fraud, insider trading, and market manipulation. After leaving the Commission in 2006, Mr. Wolfe worked in regulatory affairs and compliance functions at broker-dealers and investment banks including, most recently, as Executive Director of Equities Compliance at J.P. Morgan Securities LLC.

Mr. Wolfe has a bachelor’s degree from James Madison University, a master’s degree from the University of Maine, and law degree from the University of Baltimore School of Law. At the beginning of his career, Mr. Wolfe was an Assistant State’s Attorney in Baltimore County, Maryland.

Associated Items

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Date
Program or Publication
Format
4/15/2019
On-Demand