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Regulation and Compliance > Federal Regulation > SEC

CFP Board Taps Ex-SEC Official for New Enforcement Role

By Melanie Waddell

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The Certified Financial Planner Board of Standards said Tuesday that former Securities and Exchange Commission official Thomas Sporkin has been appointed to the newly created position of managing director of enforcement.

Sporkin, who joins CFP Board on Jan. 4, will lead a team of attorneys and legal staff to modernize the detection, investigation and prosecution activities at CFP Board.

He will report directly to CFP Board CEO Kevin Keller.

Sporkin, currently a partner at Buckley LLP in Washington, spent 20 years with the SEC’s Enforcement Division, most recently as chief of the Office of Market Intelligence and co-manager of the Office of Internet Enforcement.

“Tom’s experience and expertise will transform and strengthen CFP Board’s enforcement functions,” Keller said in a statement.

“He brings both regulatory and corporate perspectives on enforcement activities and the importance of outcomes that are credible to the public, fair to CFP professionals and appropriate for a voluntary certification program,” explained Keller.

Sporkin received his law degree from the Washington College of Law at American University and earned his bachelor of science degree from University of Maryland.

He also has taught Securities Law at George Mason School of Law and Catholic University of America’s School of Law.

Melanie Waddell

@Think_MelanieW

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