The Securities and Exchange Commission’s Office of Municipal Securities has added three new staff members that broadens its coverage in offices throughout the country.
Soo Im-Tang has been added as senior counsel out of the Los Angeles regional office; Preston Swapp joins as senior counsel based out of the Chicago regional office and Matthew Turner joins as senior counsel out of the Commission’s Atlanta regional office.
Tang has worked previously as an enforcement attorney at the Financial Industry Regulatory Authority for 14 years, both out of its New York and Los Angeles offices, and also worked as in-house counsel for a Fortune 500 company advising on its broker-dealer business and providing corporate governance support and legal advice across the organizations.
Prior to those, she worked in private practice, specializing in securities and civil litigation. She holds a law degree from Duke University of Law and a bachelor’s in political science from University of California, Berkeley.
Swapp comes to the Commission with more than a decade of experience in municipal securities, serving as bond, disclosure, underwriter and credit/liquidity bank counsel for Chapman & Cutler, Norton Rose Fulbright and Sidley Austin.
He earned his law degree from the University of Chicago Law School and his bachelor’s in philosophy from the University of Utah.
Newman also worked in private practice before joining the OMS, representing financial services industry clients, public and private companies, as well as their officers and directors in securities law compliance matters, SEC investigations and complex securities litigation for firms such as Alston & Bird, DLA Piper and Buckley.
Before getting his law degree from Washington University in St. Louis, he interned with the SEC’s Division of Enforcement, the Consumer Financial Protection Bureau’s Office of Enforcement as well as the legal and compliance divisions of a national broker-dealer. He earned his bachelor’s in political science from the University of Florida.
The SEC declined to comment on the new hires.