Inspector General

Rep. Kanjorski to SEC IG Kotz: Work Faster!!!

Bruce Carton June 16, 2009

Let's try to quickly catch up on the back and forth that has gone on since yesterday between House Financial Services Capital Markets Subcommittee Chairman Paul Kanjorski and SEC Inspector General H. David Kotz. Yesterday, Kanjorski announced that he sent a letter to Kotz calling for an update by the...

SEC's IG Reports on Possible Insider Trading by Staff

Bruce Carton May 15, 2009

UPDATE: A copy of the SEC Inspector General’s Report entitled, “Employee’s Securities Transactions Raise Suspicions of Insider Trading and Create Appearances of Impropriety” is available here. (via CBS News). CBS News reports in this video on two attorneys at the SEC who are reportedly under "active" criminal investigation by the...

Mark Cuban Weighs in on the SEC IG’s Semiannual Report to Congress

Bruce Carton November 30, 2008

Mark Cuban has apparently devoted some time, like us, to reading the SEC IG's Semiannual Report to Congress over this holiday weekend. And he has some thoughts about it that he is very happy to share on his "blog maverick" blog. He writes:It never crossed my mind that it would...

A "Stunning" Decision to Reject Discipline Against SEC Officials

Bruce Carton November 17, 2008

As widely reported last week, Brenda Murray, the Initiating Official tasked with reviewing and acting on the disciplinary recommendations of the SEC's Inspector General in two high-profile matters, rejected the IG's calls that discipline be imposed on several senior Enforcement officials. In separate reports dated November 7, 2008, Murray found...

"That's All Folks?" ALJ Rejects IG's Disciplinary Recommendations

Bruce Carton November 10, 2008

After an investigation by the SEC Inspector General concerning allegations by Gary Aguirre that his supervisors in the Enforcement Division gave preferential treatment to the Chairman and CEO of Morgan Stanley in an investigation, the IG concluded in a report dated September 30, 2008 that senior Enforcement officials including Director...

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