the Consumers Federation of America says he named Micah Hauptman as Director of Investor Protection, succeeding Barbara Roperwho joined the Security and Exchange Commission last summer.
Hauptman had been a financial services adviser at the CFA from January 2015 to September 2020, according to his LinkedIn profile. He later served as counsel to the SEC Commissioner Caroline Crenshawfocusing on investment firms, broker-dealers, investment adviser reviews and the implementation of SEC’s Best Interest regulations, through January of this year, according to LinkedIn and the CFA.
“Micah’s return to the CFA brings his extraordinary experience as a seasoned and effective advocate for retail investor and retiree protection, as well as market efficiency and fairness,” said the CFA executive director. . Jack Gillis. “His high-level regulatory experience on topical investor issues will contribute to CFA’s continued leadership in investor protection.”
Roper had been director of investor protection at CFA since 1986, according to her LinkedIn profile.
Last August, the SEC appointed Roper Senior Counsel to chair Gary Genslerwhere she oversees retail investor protection policy, broker oversight, investment adviser oversight and reviews, as reported.
Crenshaw, meanwhile, announced earlier this month that she would step down as SEC commissioner once her successor was confirmed, as reported. Crenshaw’s term expires in June.
