Aggregated News From Investment Management Regulators

Fort Worth Regional Director David L. Peavler to Leave SEC


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Eric R. Werner and Marshall Gandy named acting co-heads of Fort Worth Office

Washington D.C., Dec. 1, 2022 —

The Securities and Exchange Commission today announced that David L. Peavler, the Director of the Fort Worth Regional Office since 2019, is leaving the agency after more than 19 years of service. Eric R. Werner and Marshall Gandy will serve as the office’s Co-Acting Regional Directors when Mr. Peavler departs.

“I thank David for his long and distinguished service with the SEC,” said SEC Chair Gary Gensler. “At the helm of the Fort Worth Regional Office, David led the EXAMS and Enforcement efforts covering four states, hundreds of examinations, and referrals that led to numerous enforcement actions. For 19 years, David advanced the SEC’s mission, and I commend him for his excellent work. I also would like to thank Eric and Marshall for stepping in to serve as Co-Acting Regional Directors.”

“During David’s tenure, Enforcement staff in Fort Worth have investigated and filed cases that spanned the securities markets, from public-company accounting and disclosure to the dark web and crypto assets,” said Gurbir S. Grewal, Director of the Division of Enforcement. “Investors, the Fort Worth Regional Office, and the Division have all benefited tremendously from his leadership, his skill, and his dedication.”

“As the head of Fort Worth Regional Office, David played a critical role in EXAM’s efforts to promote compliance and protect working families,” said Richard R. Best, Director of the Division of Examinations. “We are grateful to David for his more than 19 years of dedicated public service at the Commission.”

Mr. Peavler said, “It has been a privilege to lead the Fort Worth office and to work with so many talented professionals across the agency who are dedicated to protecting investors. I am especially grateful to my Fort Worth colleagues for their resourcefulness, enthusiasm, and dogged determination to advance the SEC’s mission, no matter the obstacle.”

In addition to serving as the Fort Worth Regional Director, Mr. Peavler served as a Staff Attorney, Branch Chief, Assistant Director, and Associate Director for Enforcement in the Fort Worth office. Mr. Peavler was recognized for his exemplary work by the agency with the Irving M. Pollack and Arthur F. Mathews Awards.

Eric R. Werner currently serves as the Associate Regional Director of Enforcement in the Fort Worth Office. He began his career in the Division of Enforcement in 1995 and subsequently served as a Staff Attorney, Branch Chief, Assistant Regional Director, and Associate Regional Director in the SEC’s Division of Enforcement. Mr. Werner earned a Bachelor of Arts degree in Economics from Occidental College and a law degree from Washington University.

Marshall Gandy currently serves as the Associate Regional Director of Examinations and is the co-head of the Division of Examinations’ national investment adviser/investment company program in the Fort Worth Office. Previously, Mr. Gandy worked as an enforcement trial counsel and attorney in the Fort Worth office. Prior to joining the SEC, Mr. Gandy served as the Presiding Judge and Assistant District Attorney in Dallas County and as Senior Regional Counsel in FINRA’s Dallas District Office. Mr. Gandy received his bachelor’s degree from Sam Houston State University and his law degree from Southern Methodist University.

This news item was originally published by the US Securities and Exchange Commission (SEC US). For more information, see the Source Link.

Regulator Information

Abbreviation: SEC
Jurisdiction: United States

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