The Securities and Exchange Commission today announced the promotion of Donna Esau to Associate Regional Director for Examinations in the agency's Atlanta Regional Office.
Ms. Esau will direct a staff of approximately 40 accountants, examiners, and attorneys responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across five southeastern states (Alabama, Georgia, North Carolina, South Carolina, and Tennessee). She will assume her new post Aug. 6.
"Donna is a very strong and experienced leader and manager. She has excellent technical skills, and understands the firms and capital markets which we regulate. Donna also understands the risks faced by retail investors in our region," said Walter Jospin, Director of the SEC's Atlanta Regional Office. "I am really pleased that Donna will be part of the Atlanta office's senior management team."
Ms. Esau added, "I am grateful for this opportunity, and I look forward to leading the examination team in Atlanta as we continue to serve the public, protect investors, and help ensure market integrity. I am also excited about continuing to work with the experienced team of professionals in Atlanta."
Ms. Esau began her career at the SEC as an examiner in the Atlanta office's examination program in 1996. She has served as a senior program adviser in the National Examination Program and most recently as Acting Associate Regional Director in the Atlanta office. In 2009, she joined the SEC's Fort Worth Regional Office as an Assistant Regional Director, and in 2011 returned to the Atlanta Regional Office as an Assistant Regional Director.
Ms. Esau holds a Bachelor of Science in business from the University of North Carolina at Pembroke, a master's degree in accounting from Kennesaw State University, and is a certified public accountant in the state of Georgia.
SEC Press Release
--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer.
