Richard H. Neiman
Superintendent of Banks for the State of New York

New York State
Banking Department
(212) 709-3501
richard.neiman@banking.state.ny.us
One State Street
New York, NY 10004-1511

Richard H. Neiman was appointed by the Governor on March 5, 2007 to serve as New York State's 43rd Superintendent of Banks. Mr. Neiman has extensive experience in the financial industry from a range of perspectives in executive, regulatory, and legal roles.

On November 14, 2008 Mr. Neiman was appointed by House Speaker Nancy Pelosi to serve on the five-member Congressional Oversight Panel created to oversee the implementation of the Emergency Economic Stabilization Act.

Mr. Neiman also serves on the board of the Conference of State Bank Supervisors (CSBS) and Chairs Governor Paterson’s HALT (Halt Abusive Lending Transactions) Task Force to address the housing and foreclosure crisis. In this capacity, Mr. Neiman has taken an expanded leadership role and is responsible for a wide range of initiatives, including enforcement, legislative, consumer outreach, and encouraging loss mitigation efforts.

Mr. Neiman began his career with the Office of the Comptroller of the Currency in Washington, D.C. where he served as Special Assistant to the Chief Counsel. After the Comptroller's Office, he spent 10 years at Citicorp, where he held a variety of legal and regulatory positions, including General Counsel of its Global Equities Group. Mr. Neiman then returned to Washington, D.C. to serve as Director of Regulatory Advisory Services for Price Waterhouse.

In 1994, Mr. Neiman joined TD Waterhouse Group, Inc., a bank holding company and global online financial services firm, as Executive Vice President and General Counsel. He remained with TD Waterhouse until its acquisition by Ameritrade in 2006.

Immediately prior to joining the Banking Department, Mr. Neiman served as President and CEO of TD Bank USA, N.A., a subsidiary of The Toronto-Dominion Bank that provides banking services to the customers of TD Ameritrade.

Mr. Neiman holds a B.A. degree in political science from American University, School of Government and a J.D. degree from Emory University School of Law.

Mr. Neiman is on the Board of Directors and a Vice President of the Henry Street Settlement, one of New York’s oldest social services organizations and provider of shelters for the homeless. He also serves on the Board of the Harlem Educational Activities Fund, a mentoring and college preparatory organization serving students in Harlem and Washington Heights.

Mr. Neiman is married and has two young daughters.

New York State Banking Department:

Established in1851, the New York State Banking Department is the oldest bank regulatory agency in the nation. The Banking Department’s legislative mandate is to ensure the safe and sound conduct of financial entities under its supervision, to conserve assets, to prevent unsound and destructive competition, to maintain public confidence in the banking system, and to protect the public interest and the interests of depositors, creditors and shareholders. The Department’s mission is to allow the financial industry to expand and prosper through judicious regulation and vigilant supervision, to educate and protect consumers while promoting economic growth and ensuring that the financial system is safe and accessible to all.

The Banking Department currently regulates more than 3,500 financial entities providing services in New York State including: domestic and foreign banks, mortgage bankers and brokers; money transmitters, budget planners, check cashers, licensed lenders, sales finance companies, safe deposit companies, and premium finance agencies. The total assets of the depository institutions supervised by the Banking Department exceed $2.4 trillion.