Richard G. Wallace, Esq.

Current position:
Senior Vice President and Chief Compliance Officer at the Options Clearing Corporation.

Bio Highlights:

  • 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

Richard G. Wallace, Esq.