NAA Inc & NAA Institute
Board Member
Partner
Locke Lord LLP
Mr. Roel C. Campos, J.D. serves as a Senior Partner at Cooley Godward Kronish LLP. He is a Founding Member of the New America Alliance. Mr. Campos serves as a Partner with the law firm of Locke Lord Bissell & Liddell LLP, which he joined in April 2011. He is the Firm's National Chair of Securities Regulation and Enforcement. He practices in the areas of securities regulation, corporate governance and securities enforcement. Mr. Campos was a Commissioner at Securities ... and Exchange Commission from August 22, 2002 to 2007. He advocated for transparency in mutual fund products and for improved rules under the Investment Company Act. Beginning in 2002, Mr. Campos was appointed twice by the President George W. Bush and confirmed by the U.S. Senate as a Commissioner of the Securities and Exchange Commission (SEC), and served until 2007. On June 2, 2005, Mr. Campos was nominated by President George W. Bush for a second term, and was confirmed by the Senate on July 29, 2005. He served for five years as the Commission’s liaison to the international regulatory community and became well known among international regulators. During his tenure, Commissioner Campos presided over hundreds of complex enforcement cases, applying the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. He facilitated the development of international auditing and accounting standards through his work as the Chairman of the Monitoring Group and Vice Chair of the International Organization of Securities Commissions (IOSCO). Mr. Campos extensively participated in the crafting and adoption of all of the SEC’s major regulatory initiatives, including: the Sarbanes-Oxley Act, mutual fund governance and compliance rules, and the new National Market System. Prior to being nominated to the Commission, he was a Principal and Co-Founder at El Dorado Communications. Mr. Campos began his career as an Officer in the U.S. Air Force. He worked in Los Angeles for major law firms as a corporate transactions/securities lawyer and litigator. In 1985, he was a Federal Prosecutor for five years in the U.S. Attorney's Office in Los Angeles. He prosecuted complex and violent narcotics cartels. Mr. Campos also serves on several corporate boards. He has been a Director of Regional Management Corp. since March 27, 2012. He has been a Director of Liquidnet Holdings, Inc. since November 1, 2011. Mr. Campos is a Trustee for the Managed Portfolio Series, an open-end mutual fund registered with the SEC under the Investment Company Act. Mr. Campos served as also a member of President Obama's Transition Team Economic Advisory Board. He has been a Director of WellCare Health Plans, Inc. since January 8, 2013. Mr. Campos serves as a Member of the Advisory Board of Gratio Capital and helps shape the firm's strategy and assist in regulatory compliance. In 2008, Mr. Campos was named to The National Law Journal's 50 Most Influential Minority Lawyers in America. Mr. Campos was selected by President Barack Obama to serve on his citizen Presidential Intelligence Advisory Board. From 2008-2013, Mr. Campos served with DOD Secretary Chuck Hagel and other national security experts on the Presidential Intelligence Advisory Board (PIAB).He has spoken and published extensively in the areas of the implementation of the Sarbanes-Oxley Act, corporate governance, director liability, corporate penalties, international accounting and auditing standards, Securities Act reform, SRO and market reform, retirement investment protection, research analyst conflicts, and the internationalization of the securities markets. Mr. Campos' practice consists of advising and defending corporate management teams and boards of directors with respect to SEC enforcement, FCPA and internal investigations, criminal prosecutions, securities and international regulation, and corporate governance. Mr. Campos earned his J.D. from Harvard Law School in 1979, M.B.A. from UCLA 1972, and B.S. from the U.S. Air Force Academy in 1971.
