Washington, D.C., Nov. 29, 2005 – LAWFUEL- The Law News Network – The…

Washington, D.C., Nov. 29, 2005 – LAWFUEL- The Law News Network – The Securities and Exchange Commission today announced the appointment of Lucile A. Corkery as Associate District Administrator for Examinations in the Commission’s Boston District Office. In this position, Corkery will have overall responsibility for the Commission’s examination program in the six New England states and will direct a staff of accountants and examiners that conducts inspections of broker-dealers, investment advisers, investment companies and transfer agents throughout the region. This is the first time the SEC has appointed an Associate District Administrator for Examinations in the Boston District Office. Corkery joined the Commission in 1989 as an examiner and was promoted to branch chief in 1995. She was appointed Assistant District Administrator in March 2004.

Lori A. Richards, Director of the SEC’s Office of Compliance Inspections and Examinations, said, “This appointment reflects the increasing importance of the Boston office’s work in carrying out the Commission’s investor protection mission. Lucy has a thorough understanding of the industry and the issues currently at the forefront of the Commission’s agenda. She is a real asset for investors and the Commission.”

Walter G. Ricciardi, District Administrator for the Boston District Office, said, “Lucy has been a major force in the Boston office’s efforts to protect investors. She will provide outstanding leadership to our team of examination professionals.”

While serving as an examiner and manager in the Boston District Office’s examination program, Corkery coordinated and supervised several high profile examinations that uncovered significant wrongdoing and led to important Commission enforcement actions. Under her leadership, the examination staff made substantial contributions to recent SEC enforcement cases against Raymond James for the fraud of one of its brokers, two subsidiaries of FleetBoston for improper market timing agreements, and five former Prudential brokers for deceptive market timing practices.

Before joining the Commission staff, Corkery spent several years in the private sector working in both the broker-dealer and investment management areas of the financial services industry. Corkery received her B.A. from Boston College in 1978.

Scroll to Top