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Practice Management > Building Your Business

SEC Names McNeil First Ombudsman

By Melanie Waddell

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The Securities and Exchange Commission announced Friday that Tracey L. McNeil has been selected as the first ombudsman for the agency, reporting to the agency’s first Investor Advocate Rick Fleming.

McNeil, who will begin on Sept. 22, is currently a senior counsel in the SEC’s Office of Minority and Women Inclusion (OMWI), an office created by the Dodd-Frank Act.

Dodd-Frank called for the creation of the office of the ombudsman and requires the investor advocate to appoint an ombudsman who will act as a liaison in resolving problems that retail investors may have with the Commission or self-regulatory organizations.

The ombudsman also will establish safeguards to maintain the confidentiality of communications with investors.

“Investors will soon discover that Tracey McNeil is a person who cares deeply about their concerns,” said Fleming, in a statement. “In addition, her strong securities law background, solid legal and analytical skills, sound judgment, and well-established relationships with other offices and stakeholders will serve us well as we move forward in fulfilling our statutory mandate.”

Prior to joining OMWI in 2011, McNeil spent three years in the Division of Corporation Finance, where she worked to ensure that investors were given adequate disclosure as required by law.

McNeil has a bachelor’s degree from Cornell University and a master’s degree from Columbia University. She received her J.D. degree from Fordham University School of Law, where she was a notes and articles editor of the Fordham Urban Law Journal and a recipient of the Dean’s Award.

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