As Chief Hearing Officer, Ms. Kuo will preside over disciplinary hearings involving allegations of violations of NYSE rules and federal securities laws by members, member firms and employees of member firms. The NYSE Hearing Board is an independent Exchange division that is not affiliated with the division of Enforcement or any other division in NYSE Regulation.
Ms. Kuo worked most recently at Wilmer Cutler Pickering Hale and Dorr LLP, representing mutual funds, insurance companies, investment banks, and other corporate and not-for profit clients in investigations by the SEC and other securities-industry regulators.
From 1998 to 2002, she was a trial attorney for the United Nations International Criminal Tribunal for the former Yugoslavia in The Hague (The Netherlands), where she investigated and prosecuted war crimes. From 1994 to 1998, Ms. Kuo was trial attorney for the U.S. Department of Justice in Washington D.C., conducting grand jury investigations and legal proceedings concerning federal criminal civil rights statutes. Prior to that, Ms. Kuo served as an Assistant U.S. Attorney, prosecuting criminal matters in the U.S. District Court for the District Court of Columbia and the D.C. Superior Court.
“Peggy brings a wealth of experience in litigation and legal matters and she is exceptionally qualified to lead the Exchange’s Hearing Board,” said Mrs. Kinney. “We look forward to her joining the Exchange, and expect her to make an outstanding contribution to the Exchange’s hearing board process.”
Ms. Kuo received her J.D. cum laude from Harvard Law School and has a B.A. summa cum laude in History from Yale. She is a member of the bars of New York, New Jersey and the District of Columbia.
