53 records in this section.
Paul R. Berger was on the staff of the Securities and Exchange Commission for 14 years, from 1992 to 2006. He joined the Commission as a staff attorney in the Division of Enforcement and eventually become Associate Director in 2000. He helped establish and chaired the Commission’s Financial Fraud Task Force and played a leading role in the Commission’s focus on the Foreign Corrupt Practices Act. He was responsible for numerous cases in the areas of financial fraud, foreign payments (bribes), executive compensation, auditor independence, Regulation FD, broker-dealer matters and insider trading.
Charles Bowsher served as the 6th Controller General of the U.S. from 1981-1996. During that period, he led the Government Accountability Office in addressing the savings and loan crisis. He was instrumental in Congress’ passage of the Single Audit Act of 1984 requiring audits for state and local governments, and the Chief Financial Officers Act of 1990, requiring federal departments and agencies to prepare financial statements and undergo annual financial audits. Mr. Bowsher is a graduate of the University of Illinois at Urbana-Champaign, and earned an MBA from the University of Chicago.
Richard C. Breeden served as the 24th Chairman of the U.S. Securities and Exchange Commission from October 1989 to May 1993. Prior to his SEC appointment, he served in a series of government positions during the Administrations of Presidents Reagan, Bush (41) and Clinton. In 1989 as a senior White House economic aide he was the principal architect of the Bush Administration’s program to create the Resolution Trust Corporation and overhaul regulation of the savings and loan industry.
Andrew J. Ceresney served as Director of the SEC’s Enforcement Division from 2013 – 2017 under Chair Mary Jo White where he supervised law enforcement efforts in a range of matters including those related to financial reporting and accounting, asset management, insider trading, market structure, and the Foreign Corrupt Practices Act (FCPA), and helped broaden the use of the SEC’s analytical tools to detect and investigate financial misconduct.
Christopher R. Conte spent 17 years in the Division of Enforcement of the SEC where he became Associate Director. During his tenure he conducted and oversaw significant enforcement matters across all of the SEC's major program areas including actions involving financial fraud, improper accounting and internal controls and disclosure violations, audit failures, unlawful market timing arrangements, illicit payments under the FCPA, manipulative short selling, unlawful IPO allocation practices, and insider trading.
Meredith Cross served two stints at the SEC during times of remarkable change. During her tenure from 1990 – 1998, Ms. Cross dealt with one of the most significant challenges during that period -- bringing the agency into the internet age. The internet presented great new opportunities for businesses to share information with investors, but at the same time provided a vast new frontier for fraudsters, and the securities laws were not written with the internet in mind. With an intervening stint at WilmerHale from 1998 to 2009, Ms. Cross returned to the agency from 2009 - 2013 as Director of the Division of Corporation Finance after the financial crisis, and led the division through the challenges that came with the Madoff scandal and Dodd-Frank and JOBS Acts.
Stephen M. Cutler joined the SEC as Deputy Director of the Enforcement Division in January 1999 and served as Director of the Division from October 2001 to May 2005. He supervised the agency’s investigations of some of the largest financial reporting failures in the nation’s history up to that point, including those at Enron, WorldCom, Adelphia, Qwest, Tyco and HealthSouth. He also oversaw the agency’s investigations into violations by NYSE specialist firms and individual specialists for inter-positioning and trading-ahead violations and played a key role in the historic “global settlement” with brokerage firms over research analyst conflicts of interest.
James R. Doty was appointed by the Securities and Exchange Commission as the Chairman of the Public Company Accounting Oversight Board in January 2011 and served until January 2018.
