Bloomberg Law
Nov. 10, 2020, 10:55 PM

Cetera Switches General Counsel Amid SEC Inquiry Into Affiliate

Brian Baxter
Brian Baxter

Cetera Financial Group Inc., one of the largest independent broker-dealers in the U.S., announced Tuesday its promotion of Lisa Gok to general counsel.

Gok, a former federal prosecutor and longtime assistant regional director for the Securities and Exchange Commission in Los Angeles, has been deputy general counsel at Cetera since 2012. Over the past eight years, Gok has overseen litigation matters at Cetera and acted as a key liaison with regulators.

She succeeds former Cetera legal chief David Greene, who joined the privately held financial services company a year ago after spending nearly two decades at the Financial Industry ...

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