Compliance and Enforcement
Title: Director of Compliance and Enforcement
Randy serves as Director of Compliance and Enforcement and is responsible for the regulatory oversight of broker-dealers and investment advisers in Kansas as well as supervision of administrative and criminal investigations of alleged violations of the Kansas Uniform Securities Act and Kansas Loan Brokers Act. Randy began his regulatory career with the Office of the Securities Commissioner in 1997 as an investigator on enforcement cases alleging fraud, unregistered securities and unregistered loan brokers. Randy served as an Examiner for the NASD from 2002 to 2005 in the Boston District Office. In 2006, Randy rejoined the KSC office and became Assistant Director of Compliance. From 2006 to 2011, Randy served as a volunteer member of the NASAA (North American Securities Administrators Association) Investment Adviser Training Project Group. Prior to his regulatory career, Randy served for 20 years as a member of the Wichita Police Department, retiring in 1997 at the rank of sergeant. Randy resides in Wichita with his wife Carol. Randy is a graduate of Friends University with a bachelor's degree in history.
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