LISA GOK
Chief Legal Officer
Cetera Financial Group
A key voice within the Los Angeles legal community for more than 25 years, Lisa a decade. Gok began her career as an assistant US attorney in the departments of organized crime and public corruption for the DOJ, where she handled complex cases pertaining to money laundering schemes and ‘Operation Broken Faith,’ one of the largest instances of police corruption in DC history. She credits her current ability to conduct effective internal investigations as in-house counsel to the several hundred hours she spent interviewing witnesses as part of her duties at DOJ.
After joining the US Securities and Exchange Commission’s Los Angeles office as assistant regional director, Gok developed her knowledge of the inner workings and complex standards enforced by the regulatory agency, preventing Ponzi schemes, implanting investor protection methods and keeping capital markets clean.
Today, Gok leads Cetera’s legal team, which currently consists of 18 lawyers and nine paralegals, helping the financial services firm manage litigation and navigate its regulatory landscape. She works closely with the company’s finance team to provide strategic counsel for growth, which necessitates her working on major M&A activity. Within the last year, Gok guided Cetera through its largest acquisition in company history, bringing on the retail wealth and trust business from Securian representing nearly $50 billion in assets and nearly 1,000 financial professionals, along with 150 home office staff. She now serves on the Board of Directors of Cetera Trust Company, N.A., which will expand the company’s capabilities and services to advisors and clients.
