M. Alexander
Koch
(Alec)

From 2002 to 2016, Alec was a member of the SEC’s Division of Enforcement, where he supervised, conducted, and litigated investigations and enforcement actions of all types, including matters involving: regulated entities such as broker-dealers, credit rating agencies, and investment advisors; public company accounting and disclosure; the Foreign Corrupt Practices Act; whistleblowers; insider trading; securities offerings; and microcap fraud. Throughout his time at the SEC, Alec had significant responsibility for the SEC’s obligations under the landmark Global Research Analyst Settlement (“GRAS”). He also served as one of the liaisons between the Division of Enforcement and the SEC’s Office of Credit Ratings (“OCR”). In these roles, he collaborated frequently with the SEC's other divisions and offices, as well as with FINRA, federal criminal authorities, and state and foreign securities regulators.

While at the SEC, Alec was a member of the Division of Enforcement’s Broker-Dealer Task Force Steering Committee, which was responsible for developing and overseeing investigative initiatives regarding broker-dealers. He also served as the co-chair of the Division of Enforcement’s Priorities and Resources Subcommittee. In that role, Alec helped to conduct a review to evaluate the Division’s priorities and allocation of resources, and made recommendations that led to the establishment of the Division’s Financial Reporting and Audit Task Force, Microcap Fraud Task Force, and Broker-Dealer Task Force. He also served as a member of the Hiring Committee. He received the SEC's Capital Markets Award in 2004 and numerous Division Director Awards.

Prior to joining the SEC, Alec was an associate at King & Spalding from 1997-2002. He rejoined the firm in 2016.