SEC Faculty: Alka Patel

SECAlka Patel is an Associate Regional Director for Enforcement in the U.S. Securities and Exchange Commission’s Los Angeles Regional Office. Ms. Patel began working in the Los Angeles office in 2001 as a staff attorney and became an Assistant Director in 2009.  She has served as a member of the Division of Enforcement’s Foreign Corrupt Practices Act since its inception in 2010.

Ms. Patel has investigated and litigated a broad spectrum of significant securities laws matters.  Some examples include an action against a California based company for making improper payments disguised as commissions to foreign agents, charges against three former sales managers with insider trading ahead of a major acquisition, an action against a medical imaging company and its CEO for disclosure violations, and an action against three San Diego stock promoters and a Canadian citizen in a market manipulation scheme.

Before joining the SEC, Ms. Patel worked as a litigation and transactional associate in Irvine, Calif., and St. Louis and as an auditor at two international accounting firms.  Ms. Patel received her law degree from Southwestern University School of Law, her master’s degree in business taxation from the University of Southern California, and her undergraduate degree from California State University, Northridge.

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When: Tuesday, May 12, 2020
8:15 am - 5:30 pm
Where: Virtual (online only)
CLE Credit:
7.5 hours


Links to materials available here.

CLE Information and Forms

SEF2014 CLE -sm7.5 hrs CLE credit approved in DE, NC. Pending in CA. Forms available here.

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