In this oral history, Wayne Carlin discusses his time at the SEC’s Northeast Regional Office where he served as regional director from 2000 to 2004. He reflects on a range of enforcement investigations during his tenure as well as managing the regional office through the aftermath of 9/11 to become the first federal agency to re-open in lower Manhattan after the crisis.
Made possible through the generous support of Wachtell, Lipton, Rosen & Katz.