Carol Williams Lally is the Supervisory Attorney of the Complaints and Inquiries Branch of the Los Angeles Regional Office of the Securities and Exchange Commission. She serves as the office’s lead liaison to other agencies, helps the office set its enforcement and examination priorities by managing the evaluation of all tips, complaints, and referrals, and oversees the office’s investor outreach programs. Previously, Carol worked for eleven years in the SEC’s Division of Enforcement. As Senior Counsel she played a significant role in many SEC actions, including obtaining emergency and permanent relief against the perpetrators of the multi-million dollar Mx Factors, Learn Waterhouse and Next Components offering frauds, successfully instituting and resolving one of the SEC’s early Rule 105 cases, Lion Gate Capital, and prosecuting investment adviser Total Wealth and its principals for misrepresentations to its clients invested in a $90 million private fund. She also served on the Division of Enforcement’s EB-5 Working Group, during which time she served as a principal liaison to USCIS and brought one of the SEC’s first EB-5 enforcement actions, American Immigrant Investor Fund. Prior to working at the SEC, Carol served as the Director of Legal Affairs for the Authors Guild and was an associate at Finnegan Henderson Farabow Garret & Dunner (DC) and Arnold & Porter (DC). Carol is a graduate of the Colorado College and Duke University School of Law.