Current position:
Senior Vice President and Associate General Counsel at LPL Financial

Bio Highlights:

• Senior Vice President and Chief Compliance Officer OCC (2013 – 2016)
• Partner at Foley & Lardner LLP (2008 – 2013)
• Vice president and chief counsel in the Financial Industry Regulatory Authority’s (FINRA) Market Regulation Department (2001-2008)
• Counsel in the Financial Industry Regulatory Authority’s (FINRA) Market Regulation Department (1996-2001)
• Branch chief and attorney with the Securities and Exchange Commission’s Division of Enforcement (1990-1996)
• Law degree from Berkeley Law, University of California

Richard G. Wallace, Esq.’s Resume  

 

Affidavit, select quote:
“Dr. Chen effected the Up-to Congestion Transactions for a legitimate business purpose, and similar activity has been accepted as legitimate in the securities markets.”

Richard G. Wallace, Esq.’s Affidavit