Richard Szuch

Rich started his career as a prosecutor in 1988, and tried approximately 40 criminal cases to verdict by the age of 30. From 1992 until 2019, he represented national and regional banks, broker dealers and investment advisers and counseled them with respect to their legal and regulatory obligations. He helped coordinate the defense of some of the largest securities claims in the country, including cases related to the fallout from the 2000 and 2008 market crashes and Puerto Rico’s debt repricing in 2013.

Since 2019, he has served as the Enforcement Chief for the New Jersey Bureau of Securities. New Jersey has jurisdiction over more than 200,000 registered agents. The enforcement unit handles investigations and makes recommendations about enforcement actions related to securities law violations, whether by Investment Advisers, Broker Dealers (and their agents) or unregistered persons. He has acted as lead interrogator in some of the country’s largest fraud investigations and has worked continuously with his counterparts at the SEC, FINRA and other agencies in an effort to investigate and prosecute fraud in the securities markets.

Rich Chairs NASAA’s Senior Issues Committee, which devotes its time to coordinate national efforts among federal and state agencies and the financial services industry to mitigate harm to older and vulnerable investors. He also hosts NASAA’s new webinar series, NASAA Presents, which gives airtime to the best and brightest minds working in the at-risk investor protection space.