Lori Richards

Lori A. Richards (born 1960) is an American lawyer who served as the inaugural director of the Office of Compliance Inspections and Examinations (OCIE) at the Securities and Exchange Commission (SEC) from 1995 to 2009.

Early life and education Richards was born in 1960. She earned a B.A. in political science from Northern Illinois University in 1982. Later, she attended the American University Washington College of Law, where she graduated with a J.D. in 1985.

Career Lori Richards began her career with the Securities and Exchange Commission (SEC) in 1985 in the Enforcement program in Los Angeles. From July 1992 to May 1994, she served as Associate Director for Enforcement of the SEC's Pacific Regional Office, overseeing the agency's enforcement program in that region. As Director of the OCIE, Richards implemented a risk assessment program to strengthen the surveillance of SEC-registered firms.

In April 2022, Richards became a board member of Wahed.

Awards and recognition 1992: Irving Pollack Award 1997: Presidential Rank Award for Meritorious Service 2001: Presidential Rank Award for Distinguished Service 2008: SEC's Distinguished Service Award