Carlos is Senior Counsel, Division of Enforcement, in the San Francisco Regional Office of the U.S. Securities and Exchange Commission. Carlos is responsible for the review and investigation of complaints directed to the San Francisco office. Carlos is also a member of the Division of Enforcement’s JOBS Act Task Force and one of the principal organizers of the SEC’s Silicon Valley Initiative program with the Stanford Rock Center for Corporate Governance. Before his current position, Carlos worked as a staff attorney and investigated a wide range of matters related to accounting fraud, stock options back dating, Ponzi schemes, the Foreign Corrupt Practices Act and other violations of the federal securities laws. Prior to joining the SEC, he worked in private practice representing issuers, directors and officers in securities class actions and SEC investigations. Carlos received his Juris Doctor from Harvard Law School in 1994 and his Bachelor of Arts from the University of Texas at Austin in 1991.

Cate is an Enforcement attorney in Headquarters, where she also serves as a steward. She previously served as a steward in the San Francisco Regional Office.

Sam Wice works as a Special Counsel in Trading and Markets and has been at the SEC since 2014. He was previously an Analyst at the Congressional Budget Office. He holds a B.A. in economics from Grinnell College and a J.D. from Duke University School of Law.