Eric Swanson
| Eric Swanson | |
|---|---|
| Education |
|
| Occupation | Attorney |
| Employer | BATS Global Markets |
| Home town | Minneapolis, Minnesota |
| Title | Senior Vice President, General Counsel, and Secretary |
| Spouse(s) | Shana Madoff |
Eric J. Swanson is an American lawyer and the Senior Vice President, General Counsel, and Secretary of BATS Global Markets, the third-largest stock exchange in the United States.
Swanson worked at the Securities and Exchange Commission as a lawyer from 1996 to 2006, rising to the level of Assistant Director of the Office of Compliance Inspections and Examinations. Subsequently, he worked at Ameriprise Financial as Vice President of Regulatory Strategy.
Swanson is married to Shana Madoff, who worked at the firm of her uncle Bernard Madoff as a rules and compliance officer and attorney until it was closed when the multibillion-dollar Madoff investment scandal was uncovered. Swanson met Shana Madoff originally when he was conducting an SEC examination of whether Bernie Madoff's was front-running customer trades from the market making unit.
Swanson, a Minneapolis, Minnesota, native, graduated from the University of Minnesota (B.A.; 1990) and obtained a law degree from the Hamline University School of Law (J.D.; 1993).
Following a period of time in which he practiced non-securities-related law, Swanson worked at the Securities and Exchange Commission (SEC) as a lawyer from August 1996 to 2006. While at the SEC, he received in August 2004 a Capital Markets Award, related to work in the area of SEC examinations of conflicts of interest. At the end of his tenure, he was Assistant Director of the Office of Compliance Inspections and Examinations, and reported to the head of the SEC's inspection program responsible for regulatory oversight of trading on the securities exchanges and ECNs, supervising 8–18 staffers.
Swanson is the husband of Shana Madoff, who is daughter of Peter Madoff. She is also a niece of Bernard Madoff, who operated a Ponzi scheme that is considered to be the largest financial fraud in U.S. history. She worked under her father at her uncle's firm, Bernard L. Madoff Investment Securities (BMIS), as a rules and compliance officer and attorney. She reported to her father who was responsible for ensuring that BMIS complied with its legal and regulatory obligations, and signed documents assuring the SEC that BMIS's business records were truthful and accurate.
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