Attorney

Victoria J. Adraktas

**** ***** ******, ****** ******, MD 20902. 301-***-**** ad8ula@r.postjobfree.com PROFESSIONAL EXPERIENCE

United States Securities and Exchange Commission (SEC), Division of Enforcement/ Office of the Whistleblower, Washington, DC Senior Attorney September 2020 – December 2023

Worked with senior staff, attorneys, data analysts, USAO, claimant counsel, and others in connection with claims applications submitted by Whistleblowers alleging their eligibility for Whistleblower awards with respect to assistance to SEC staff prosecuting securities fraud and misconduct. Highlights included:

Experienced in the application, analysis, and process Whistleblower program as it relates to Federal Securities Law, specifically Enforcement and government investigations by the SEC. Experienced in the review process to determine each Whistleblower’s eligibility for award claims. Managed processing Whistleblowers claims analysis, writing the legal analyses in the multiple documents required in a Whistleblower application package. Shepherded each claim from initial development of recovery theory claims through final action memoranda and the process of approval by senior staff and the Commission.

Co-managed the Whistleblower applications process: determining whether applications submitted contained sufficient foundations and sufficiency for entry into the Whistleblower process. United States Securities and Exchange Commission (SEC), Division of Enforcement/ Office of Market Intelligence, Microcap Fraud Section, Washington, DC

Senior Attorney July 2011 – September 2020

Investigated substantive complaints schemes submitted through the SEC tips, complaints, and referrals

(TCR) complaint portal regarding a broad range of misconduct including offering frauds, market manipulation, insider trading, Ponzi schemes, and other securities related malfeasance. Determined validity of securities violation claims against individuals and/or companies and recommend action based upon findings and Commission regulatory and investigative goals. Research possible subjects of investigation using multiple information sources and databases including TCR, Hub, Palantir, Lexis, Westlaw, EDGAR, CRD, PACER, CLEAR and multiple internet sources. Coordinate with Home Office, Regional Points of Contact (POCs) and enforcement attorneys regarding potential and active investigations. Monitor microcap fraud recidivists, companies, subject matter, and issues.

Project Lead: Chairman’s Roundtable on Clearance and Settlement Issues in the Microcap Sector held August 30, 2011.

Researched and drafted memorandum on possible enforcement action theories to proceed against email spammers and internet securities advertisers, which violate the spirit of securities laws but do not have precedent for prosecution.

United States Securities and Exchange Commission (SEC), Office of Compliance, Inspections and Examinations (OCIE), Washington, DC Senior Attorney November 2005 to July 2011

Investigate FINRA District Office programs on an ongoing basis. Reviews FINRA policies and regulatory work product. Areas of review include FINRA disciplinary actions against broker-dealers including those related to sales, customer protection, supervisory responsibility, net capital. Analyzes FINRA operations; interviews management; and investigates specific program areas for deficiencies or failures. Investigated the NYSE’s Financial Operations regulatory program. Reviewed all documents related to the NYSE’s examination of several of its member firms in areas such as net capital computation, reserves, asset verification and clearing activities. Participated in Special Exams designed to target specific problems in various SRO’s operations such as Arbitration Awards, Management of Arbitration Programs, Municipal Bond issuers’ filings, Membership Requirements, and Internal Audits.

Reviewed compliance with listing requirements for companies issuing securities on the former Pacific / Archipelago Exchange, reviewed all SEC filings for specific companies listing common stock and warrants on the Exchange.

United States Securities and Exchange Commission (SEC), Division of Investment Management, Office of Public Utility Regulation (OPUR), Washington, DC

Senior Attorney April 2000 to November 2005

Reviewed applications requesting authority for complex financial transactions regarding securities issuances, mergers and acquisitions and affiliate relationships involving utility holding company systems Researched and drafted notices and orders for approval by Commission or under delegated authority Communicated formally and informally with company counsel and representatives regarding applicants’ compliance with OPUR polices and PUHCA statute and rules Reviewed financial status of companies, including financial statements, securities issuances, sales and acquisitions, acquisitions of assets and new companies or lines of business, and intra-system and affiliate transactions among members of a holding company. Held individual responsibility for ongoing oversight and investigation into activities and financial status of numerous registered holding company systems:

Investigated unregistered companies owning or investing in utility assets based on investment size and type, ownership status, and corporate structure

Assisted in examinations of registered holding company systems by issuing initial and follow-up interrogatories, reviewing and analyzing responses; writing formal reports of findings and recommending further action

Special accomplishments include: Presentation at open Commission meeting recommending approval of largest foreign merger and acquisition of a domestic utility holding company; Employee Service Awards 2001; 2002

National Rural Electric Cooperative Association, Reston, Virginia Legislative and Regulatory Research Attorney, Oct 1999 – Feb 2000 (Temporary Project) Researched, synthesized, and analyzed all state electric utility restructuring statutes, legislation, and regulations, designed project delivery media, interpreted laws and regulations. United States House of Representatives, Office of Congresswoman Patsy T. Mink

Legislative Assistant Oct 1998 to Oct 1999

Prepared memoranda, legislative analysis and briefing materials for Committee hearings, markups and floor activities for Congresswoman. Wrote floor statements, press releases, op-eds, legislative and constituent correspondence. Met with interest groups, lobbyists, state and federal government representatives, and constituents. Joint responsibility for full Government Reform Committee issues. Responsible for Member’s Subcommittee on Government Management, Information, and Technology Multistate Associates, Alexandria, Virginia

Legislative Analyst June 1998 to Oct 1998

Headed statutory research section of firm’s Legislative Information Service by monitoring and reporting on client specified issues in all 50 states’ legislatures. Prepared legislative and policy analyses and reports. Participated in on-site consultations with clients. Legislative Internships Fall 1996 to Winter 1998

United States Senate, Senate Finance Committee; United States Senate, Office of Senator Bryan; World Wildlife Fund; Center for International Environmental Law Prepared policy and legislative analyses for senior legislative staff on environmental, health care, finance and international trade issues

EDUCATION

University of North Carolina at Chapel Hill, School of Law J.D., May 1996.

Honors: Christine Deal Memorial Law Scholar

Arizona State University

B.A. English Summa Cum Laude, May 1991

Honors: Phi Beta Kappa National Honor Society

Junior Fellow in Political Science

Dean’s List, all semesters

BAR ADMISSION: Licensed to practice law in Maryland, 1997; Member of Maryland Bar Association

References available upon request

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