Three UMass Amherst alums who all work together at the Boston office of the Securities and Exchange Commission will visit campus to share the diverse career paths they followed from our campus to their current work investigating and prosecuting white collar crime. Two are lawyers and one is a former FBI agent, and the stories they have to tell will both captivate and inform. Brief bios appear below, but you’ll want to attend this panel to hear about what they do, and how they got to where they are now.
John T. Dugan has served since October 2006 as the Associate Regional Director for Enforcement in the U.S. Securities and Exchange Commission’s Boston Regional Office. John manages the SEC’s enforcement function in the six-state New England Region, including enforcement of the federal securities laws that cover such areas as accounting fraud, insider trading, and regulation of broker-dealers and investment advisers. John joined the SEC initially in 1999 as an enforcement attorney and subsequently served in several management positions before assuming his current position. Prior to joining the SEC, John was an attorney with the Federal Trade Commission, where he conducted investigations and brought enforcement actions under federal antitrust, consumer protection, and trade regulation statutes. John received his law degree from the George Washington University Law School in 1993 and his undergraduate degree in history from the University of Massachusetts at Amherst in 1988.
Rua M. Kelly has served since 2010 as Senior Trial Counsel in the U.S. Securities and Exchange Commission’s Boston Regional Office. In her role, Rua investigates and litigates various types of securities fraud, including insider trading, Ponzi schemes, fraud by investment banks and brokerage firms, and more. Prior to joining the SEC, Rua served as an Assistant United States Attorney in the United States Attorney’s Office for the Southern District of New York (Manhattan) from 2005 to 2010, where she handled complex criminal cases, including jury trials and appeals related to public corruption, drug trafficking, and financial fraud. Rua previously worked as an Assistant District Attorney in Middlesex County (Cambridge) from 2002 to 2005 and as a litigation associate at Ropes & Gray (Boston) from 1999 to 2002. Rua is a 1992 graduate of the University of Massachusetts at Amherst (with a political science major) and received her law degree from Stanford Law School in 1999.
David Makol has served since 2015 as a Specialist in the Market Abuse Unit at the U.S. Securities and Exchange Commission. In his role, David generates new cases and conducts investigations relating to insider trading and other securities fraud matters. David works parallel criminal investigations and serves as a liaison with criminal law enforcement as well as with international regulatory and law enforcement agencies. Prior to the SEC, David worked as a Special Agent at the Federal Bureau of Investigation in both the New York Office and the Boston Office, primarily working securities fraud investigations. David is a 1992 graduate of the University of Massachusetts at Amherst, with a degree in Accounting and received his M.B.A from Boston University.