Acting co-heads of the Fort Worth Office are Eric R. Werner and Marshall Gandy
After more than 19 years of service to the agency, David L. Peavler will be leaving his position as Director of the Fort Worth Regional Office, which he has held since 2019. The announcement was made today by the Securities and Exchange Commission. When Mr. Peavler leaves his post, Eric R. Werner and Marshall Gandy will step in to fill the role of Co-Acting Regional Director for the office.
Gary Gensler, the chair of the SEC, expressed his gratitude to David for his lengthy and illustrious service to the organization. “While David was in charge of the Fort Worth Regional Office, he oversaw the EXAMS and Enforcement efforts, which encompassed a total of four states, hundreds of examinations, and referrals that resulted in a large number of enforcement actions.
David has been dedicated to advancing the mission of the SEC for the past 19 years, and I applaud him for the outstanding work that he has done. I would also like to extend my gratitude to Eric and Marshall for filling in as co-acting regional directors in my absence.
Gurbir S. Grewal, the Director of the Division of Enforcement, stated that “During David’s tenure, Enforcement staff in Fort Worth have investigated and filed cases that spanned the securities markets.
These cases ranged from public-company accounting and disclosure to the dark web and crypto assets. “During David’s tenure, Enforcement staff in Fort Worth have filed cases that spanned the securities markets,” “His leadership, his skill, and his dedication have been of tremendous benefit to investors, the Fort Worth Regional Office, and the Division,” “As the head of the Fort Worth Regional Office, David played a critical role in EXAM’s efforts to promote compliance and protect working families,” said Richard R. Best, Director of the Division of Examinations.
“David’s contributions to EXAM’s efforts to promote compliance and protect working families were invaluable.” “We would like to express our appreciation to David for the more than 19 years that he has devoted to serving the public at the Commission.”
According to Mr. Peavler, “It has been an honor to lead the Fort Worth office and to work with so many skilled professionals across the agency who are committed to defending the interests of investors.” I am especially thankful to my colleagues in Fort Worth for their ingenuity, enthusiasm, and unwavering commitment to advancing the SEC’s mission, regardless of the challenges they face.
In addition to his role as Regional Director for Fort Worth, Mr. Peavler held previous positions in the Fort Worth office including those of Staff Attorney, Branch Chief, Assistant Director, and Associate Director for Enforcement in the Fort Worth office. The agency presented Mr. Peavler with the Irving M. Pollack and Arthur F. Mathews Awards in recognition of the outstanding work he has done over the years.
In his current role as Associate Regional Director of Enforcement in the Fort Worth Office, Eric R. Werner is a highly respected and accomplished professional. In 1995, he started his professional career in the Division of Enforcement at the SEC. Since then, he has held positions there including Staff Attorney, Branch Chief, Assistant Regional Director, and Associate Regional Director in the Division of Enforcement. Both his undergraduate degree in Economics from Occidental College and his graduate degree in Law from Washington University were earned by Mr. Werner.
Marshall Gandy is currently serving as the Associate Regional Director of Examinations and as the co-head of the national investment adviser/investment company program in the Fort Worth Office of the Division of Examinations. In addition, he is a member of the Board of Examiners. Prior to that, Mr. Gandy was employed in the office of the enforcement trial counsel and attorney in the city of Fort Worth.
Before accepting a position with the Securities and Exchange Commission, Mr. Gandy held the positions of Presiding Judge and Assistant District Attorney in Dallas County, as well as Senior Regional Counsel in the Dallas District Office of the Financial Industry Regulatory Authority (FINRA). Mr. Gandy attended Sam Houston State University for his undergraduate studies and Southern Methodist University for his legal education.
To read more posts by NfoNews, click here.
