Daily Update from Securities Docket

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• Securities Docket News Wire for Sept. 9, 2010
• Joseph Lombard Joins Murphy & McGonigle in Washington, D.C.
• Kevin McCarthy Rejoins WilmerHale in New York
• Kevin Puvalowski Joins Sheppard, Mullin in New York
• Nathan Finch Joins Motley Rice in Washington, D.C.
• Michael Rivera Joins SIGTARP as Deputy Chief Investigative Counsel

Securities Docket News Wire for Sept. 9, 2010 Posted: 09 Sep 2010 06:40 AM PDT Overheard In Hollywood http://p2.to/XzH # Former National Lampoon CEO gets 45 months for conspiracy http://p2.to/XzE # Goldman Has Erred, But So Has the SEC http://p2.to/XzB # Aircraft Leasing Company, Its Owner, and Six Other Defendants Indicted in Alleged $50 Million Fraudulent Financing Scheme http://p2.to/XzA # NY Republican candidate: I’m no sheriff of Wall St http://p2.to/Xzz # SEC Judge Finds Investment Bank GC was not Negligent in Supervising Rogue Broker http://p2.to/XyS # Goldman fined £20m by FSA http://p2.to/XyQ # Introducing Corporate CopWatch: Tracking the "Facade of Enforcement" http://p2.to/XyP # Kevin McCarthy Rejoins WilmerHale in New York http://p2.to/Xy1 # Kevin Puvalowski Joins Sheppard, Mullin in New York http://p2.to/XxY # Michael Rivera Joins SIGTARP as Deputy Chief Investigative Counsel http://p2.to/Xxn #

Joseph Lombard Joins Murphy & McGonigle in Washington, D.C. Posted: 09 Sep 2010 06:38 AM PDT Joseph C. Lombard has joined law firm Murphy & McGonigle as a partner in its Washington, D.C. office. The firm announced this week that Lombard will work with its SEC Enforcement Group. Previously, Lombard was an executive with Archipelago Holdings, where he was President of Wave Securities, the company's institutional electronic brokerage subsidiary. He has also worked as Managing Director in the Global Equities division of Merrill Lynch. From 1999 to 2001, Lombard was Senior Counsel for Market Regulation to SEC Chairman Arthur Levitt. He also served as a staff attorney in the Division of Enforcement of the SEC. Read the Murphy & McGonigle press release Mr. Lombard gained the core of his business experience as a member of the executive team at Archipelago Holdings, where he was President of Wave Securities, the company's institutional electronic brokerage subsidiary, from 2001 to 2006. He reported during that time to the CEO of Archipelago Holdings. He also held the senior executive position at the company's U.K and Canadian subsidiaries. He was a key participant in the sale of Wave to Merrill Lynch in early 2006, the time of the closing of the historic NYSE/Archipelago merger. From 2006 to 2007, Mr. Lombard served as Managing Director in the Global Equities division of Merrill Lynch, reporting to the head of Global Cash Equity Trading. In addition to facilitating the integration of Wave into Merrill Lynch's institutional business, Mr. Lombard co-ran the broker-dealer execution services business during his tenure there. In early 2008, he joined a leading routing and linkage broker as an advisor and member of the board of directors. He served in those capacities until October 2009. Prior to his tenure at Archipelago, Mr. Lombard was Senior Counsel for Market Regulation to SEC Chairman Arthur Levitt from 1999 to 2001. He advised Chairman Levitt on all matters relating to equity and options market structure during that time, with a particular focus on policy and legal issues relating to electronic markets. From 1995 to 1999, Mr. Lombard practiced law at the Washington, D.C. office of O'Melveny & Myers, counseling broker-dealer and investment advisor clients and representing them in regulatory and enforcement inquiries. During that time, he was also Adjunct Professor at Georgetown University Law Center, teaching a masters level course on the enforcement of the federal securities laws. Mr. Lombard began his legal career in 1990 as a staff attorney in the Division of Enforcement of the SEC. Since 2000, Mr. Lombard has been a member of the board of directors of Recovery Point, a leading provider of integrated disaster recovery and business continuity solutions. Education J.D., cum laude, Georgetown University Law Center, 1990 M.Sc. (Econ) with distinction London School of Economics, 1987 B.A., cum laude, Georgetown University College of Arts and Sciences, 1986 Admissions Maryland Virginia District of Columbia Legal Experience Murphy & McGonigle, Washington, DC, 2010 to present OES Holdings, Princeton, New Jersey, 2007 – 2009 Merrill Lynch & Co., Chicago, Illinois, 2006 – 2007 Archipelago Holdings, Chicago, Illinois, 2001 – 2006 Securities and Exchange Commission, Office of the Chairman, Washington, DC, 1999 – 2001 O’Melveny & Myers, Washington, DC, 1995 – 1999 McSweeney, Burtch & Crump, Richmond, Virginia, 1993 – 1995 Securities and Exchange Commission, Division of Enforcement, Washington, DC, 1990 – 1993

Kevin McCarthy Rejoins WilmerHale in New York Posted: 08 Sep 2010 12:14 PM PDT J. Kevin McCarthy has rejoined law firm WilmerHale as a partner in its New York office. The firm announced yesterday that McCarthy has joined its Securities Department and the Securities Litigation and Enforcement Group. McCarthy rejoins the firm from the Cowen Group, Inc., a financial services company where he had been general counsel since 2007.  Before joining the Cowen Group, McCarthy was a partner at WilmerHale from 2004-2007.  McCarthy was also Managing Director and Global Head of Litigation at Credit Suisse First Boston prior to joining the firm in 2004. Read the WilmerHale press release

Kevin Puvalowski Joins Sheppard, Mullin in New York Posted: 08 Sep 2010 11:54 AM PDT Kevin R. Puvalowski has joined law firm Sheppard, Mullin, Richter & Hampton LLP as a partner in its New York office. The firm announced yesterday that Puvalowski has joined its Business Trial practice group, where he will concentrate on white collar and civil fraud defense. Puvalowski joins Sheppard, Mullin from the Office of the Special Inspector General for the Troubled Asset Relief Program (“SIGTARP”), where he served as Deputy Special Inspector General. Previously, he was an Assistant United States Attorney in the Southern District of New York. Read the Sheppard, Mullin press release

Nathan Finch Joins Motley Rice in Washington, D.C. Posted: 08 Sep 2010 11:37 AM PDT Nathan D. Finch has joined plaintiffs’ law firm Motley Rice LLC as a member in its Washington, D.C. office.  The firm announced last week that Finch will work with its teams on behalf of investors, consumers and others harmed by corporate negligence and malfeasance. Finch joins Motley Rice after nearly two decades with law firm Caplin & Drysdale. His work in the securities area includes representing investors in the In re MBNA and In re Vivendi Universal, S.A. Securities Litigation. Read the Motley Rice press release

Michael Rivera Joins SIGTARP as Deputy Chief Investigative Counsel Posted: 08 Sep 2010 10:11 AM PDT Michael Rivera has joined the Office of the Special Inspector General for the Troubled Asset Relief Program (SIGTARP) as Deputy Chief Investigative Counsel. Rivera joins SIGTARP after practicing the past 17 years at the law firm of Fried, Frank, Harris, Shriver & Jacobson, where he was a partner in the firm’s Securities Enforcement and Regulation group. Rivera also previously served as a Staff Attorney in the SEC’s Enforcement Division in Washington, D.C. At SIGTARP, Rivera will lead criminal and civil investigations aimed at detecting and prosecuting fraud and abuse relating to the Troubled Asset Relief Program.

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