Attorney General Matthew J. Platkin has appointed Keith A. Alt as the Acting Chief of the New Jersey Bureau of Securities, effective immediately. Alt, who previously served as the Bureau's Chief of Enforcement, brings a wealth of experience in securities regulation to his new role. The Bureau operates within the Division of Consumer Affairs and is responsible for protecting investors from fraud and regulating the securities industry in New Jersey.
"I am proud to announce Keith Alt as the Acting Bureau Chief of the New Jersey Bureau of Securities. Keith’s stellar work as Chief of Enforcement helped enhance protections for New Jersey investors and advance the Bureau’s position as a national leader in securities regulations," said Attorney General Platkin. "Keith’s vast professional experience and intimate knowledge of the Bureau make him uniquely fit to serve as acting chief and lead its mission to protect investors and maintain the integrity of New Jersey’s financial markets."
The Bureau collaborates with agencies nationwide to enforce actions against violations of the New Jersey Uniform Securities Law. It also regulates firms and individuals providing investment advice to ensure compliance, aiming to prevent investor harm through education programs that empower residents.
Alt steps into this role following Elizabeth M. Harris's appointment as Acting Director of the Division of Consumer Affairs. Harris expressed confidence in Alt's capabilities: "During my tenure as Bureau Chief, I worked closely with Keith and relied on his sound judgment and trusted counsel," she said. "He brings to this new leadership role a deep understanding of securities law and regulatory enforcement that will prove invaluable to the Bureau and the investors it serves."
Alt acknowledged his new responsibilities: "Throughout my career, while working for both regulators and regulated entities, the New Jersey Bureau of Securities has been widely recognized as a leader in securities regulation and the fight against investment fraud," he stated. "This reputation is built on the devotion of the Bureau staff who work tirelessly to protect investors, and I am honored that the Attorney General has asked me to serve as their leader in furthering the Bureau’s mission."
In his previous role, Alt supervised investigations into potential violations within securities law, advised on regulatory initiatives, industry trends, enforcement priorities, and overall administration matters. His background includes positions at major financial regulatory bodies such as FINRA and NYSE, along with roles at BNP Paribas North America Inc., and MUFG Securities Americas Inc.
Alt holds degrees from several institutions: a B.A. and M.A. from University of Scranton; a J.D. from Villanova University School of Law; an LL.M. in Banking and Financial Law from Boston University School of Law.
