Joseph P. Ceglio
About Joseph P. Ceglio
Joseph P. Ceglio serves as Senior Counsel in the Division of Enforcement, Complex Financial Instruments Unit at the U.S. Securities and Exchange Commission. He has a diverse legal background, including service as a Lieutenant in the U.S. Navy's Judge Advocate General's Corps and experience at various legal institutions, including the U.S. Department of Justice and the Los Angeles County District Attorney's Office.
Current Role at U.S. Securities and Exchange Commission
Joseph P. Ceglio serves as Senior Counsel in the Division of Enforcement, Complex Financial Instruments Unit (CFIU) at the U.S. Securities and Exchange Commission (SEC). He has held this position since 2010, contributing to various high-profile enforcement actions and regulatory initiatives from the SEC's New York office. His work primarily focuses on complex financial instruments and ensuring compliance with federal securities laws.
Previous Experience in Legal Practice
Before joining the SEC, Joseph Ceglio held several legal positions. He served as a Lieutenant in the Judge Advocate General's Corps of the U.S. Navy from 2004 to 2009, where he worked with both the Navy and Marines. He also worked as a Federal Extern in the Civil Rights Division of the U.S. Department of Justice in 1998 and as a California Certified Law Clerk at the Los Angeles County District Attorney's Office in 2002. Additionally, he was a Navy Special Assistant U.S. Attorney in the Civil Division of the Southern District of California from 2006 to 2007.
Educational Background and Qualifications
Joseph P. Ceglio has a strong academic background in law. He earned a Master of Laws (LL.M.) from Georgetown University Law Center and a Doctor of Law (J.D.) from Loyola Law School in Los Angeles. He also holds a Bachelor of Arts (B.A.) from the University of California, Davis, and completed college-preparatory studies at Mater Dei High School.
Significant Cases and Enforcement Actions
Ceglio has been involved in several notable enforcement actions during his tenure at the SEC. He played a key role in SEC v. Marrone Bio and SEC v. Absi, which resulted in a $1.75 million penalty for financial fraud. He also contributed to the SEC v. Bergstein case, which involved defrauding investors out of $5.6 million. His efforts in the enforcement action against Citibank N.A. led to over $38.7 million in monetary sanctions for improper practices. Furthermore, he participated in the SEC v. FalconStor case, which resulted in a $2.9 million civil penalty.