Tag Archives: securities and exchange commission

Current U.S. SEC Inspector General speaks the truth

Posted on May 21, 2011 by Michael Brozzetti

“Specifically, we have issued investigative reports regarding a myriad of allegations, including claims of failures by the Division of Enforcement (Enforcement) to pursue investigations vigorously or in a timely manner, improper securities trading by Commission employees, conflicts of interest by … Continue reading →

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Most famous U.S. SEC enforcement director speaks the truth

Posted on May 21, 2011 by Michael Brozzetti

“It’s a house you’ve got to tear down and build back up.”  – Stanley Sporkin, Famous U.S. SEC Enforcement Director (retired)  Source: Zachary Goldfarb. “At SEC enforcement unit, storied chief’s son makes a name.. ” Washington Post. July 6, 2010.

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Former U.S. SEC enforcement attorney speaks the truth

Posted on May 21, 2011 by Michael Brozzetti

“What we really need is a new paradigm for due diligence when it comes to fraud.”  – Pat Huddleston, Former SEC Enforcement Attorney  Source: John Buchanan. “It Could Happen to You.” Conference Board Review – Spring 2011

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