Marshall Gandy
Associate Regional Director-examinations - Fort Worth Regional Office @U.S. Securities And Exchange Commission
Fort Worth, TX, US
EMAILS
MOBILE NUMBERS
+91 *********19
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WORK HISTORY
Mar 2012 — Present
Associate Regional Director-examinations - Fort Worth Regional Office @U.S. Securities And Exchange Commission
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EDUCATION
1976 — 1979
Southern Methodist University
Doctor of Law (JD)
SKILLS
Series 24Investment Advisers ActFraudCorporate GovernanceTrialsLitigation ManagementSecurities LitigationFinancial RegulationInternal InvestigationsAmlArbitrationLitigationSecurities RegulationSecuritiesHedge FundsFinraInvestmentsBroker-Dealer ComplianceLegal CompliancePrivate PlacementsBroker-DealerWhite Collar Criminal DefenseSecurities OfferingsSecFcpaCourtsCommercial LitigationUSA Patriot Act
ABOUT MARSHALL GANDY
Marshall Gandy is a Senior Officer and Investment Adviser/Investment Company Program…
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