Chris Gerold


Chief

New Jersey Bureau of Securities


Christopher W. Gerold is the Chief of the New Jersey Bureau of Securities (“Bureau”) and, pursuant to N.J.S.A. 49:3-66(a), acts as its principal executive officer. As Bureau Chief, Mr. Gerold is responsible for the administration and enforcement of the New Jersey Uniform Securities Law. The primary mission of the Bureau is the protection of New Jersey investors. The Bureau regulates the offer and sale of securities in New Jersey through its registration of securities offerings, financial professionals and companies, examinations, enforcement actions, and investor education initiatives.

Mr. Gerold is also the current President of the North American Securities Administrators Association (“NASAA”) and former Chair of NASAA’s Enforcement Section.

Mr. Gerold started his legal career as a Deputy Attorney General in the Securities Fraud Prosecution Section of the New Jersey Division of Law, where from 2005 to 2010 he represented the Bureau during investigations and was a lead trial attorney in litigated matters. Mr. Gerold represented the Bureau in some of its most complex and contentiously litigated matters, including cases involving suitability, Ponzi schemes, penny stock fraud, failures to supervise, and registration.

Before returning to public service, Mr. Gerold was an attorney with the law firm of Chiesa, Shahinian & Giantomasi PC (“CSG”). While at CSG, Mr. Gerold was a member of the firm’s Securities Litigation and Enforcement Group, where he conducted internal investigations for broker-dealers. Mr. Gerold also represented financial professionals and companies during regulatory investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and various state securities regulators.

Mr. Gerold received his J.D. degree from Seton Hall Law and his B.S. degree in finance from Villanova University. Prior to attending law school, Mr. Gerold was a registered representative, having passed the Series 7 and 63 securities exams. Mr. Gerold is admitted to the bar in New Jersey and New York.


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