Lori Schock

Areas of Expertise: securities law, investor protection

 

Email: help@sec.gov

 

Biography:

Lori Schock is the director of the Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (OIEA), the mission of which includes helping investors understand the operations of the securities markets and the federal securities laws, assisting investors in resolving complaints with regulated entities, and advising the SEC about problems encountered by retail investors. OIEA responds to thousands of questions and complaints from individual investors each year and participates in investor education outreach events throughout the country. The office publishes investor alerts and other educational materials on numerous investing topics and maintains Investor.gov, the SEC’s website dedicated to investor education, which was recently ranked as one of the best in the federal government.

 

Lori returned to the SEC in 2009. Under her leadership, the OIEA has been the driving force for multiple investor testing initiatives and diverse studies on investor issues for the SEC. Lori has testified before Congress and is regularly quoted by the media on investor protection issues. She often presents workshops to investors across the United States and seminars to other regulators and market participants both domestically and internationally. 

 

Before returning to the SEC, Lori worked for FINRA's Office of Investor Education and helped launch the Center for Audit Quality. She started her career at the SEC in 2001 as a staff attorney, served as special counsel to the director and was promoted to deputy director all in the same office that she leads today. 

 

Lori received her J.D. and masters of taxation from the University of Akron and her B.A. from Furman University.