Sunbeam Corporation / JPR Capital Corporation / Rauscher Pierce Refsnes Inc. / MicroStrategy Inc. / Waste Management Inc. / Arthur Andersen LLP / Baker Hughes Inc. / Duff & Phelps Investment Management Co. / Duff / The Chase Manhattan Bank / U.S. High Yield Investments N.V. / KPMG / IBM-Argentina S.A. / Dain Rauscher Inc. / Legg Mason High Yield Portfolio / Wyser-Pratte and Co. Inc. / Duff & Phelps Investment Management Co. Inc. / Legg Mason / International Business Machines Corp. / Oechsle International Advisors L.L.C. / ABN AMRO Inc. / Wyser-Pratte Management Co. Inc. / Western Asset Management Co. / /
inappropriate accounting reserves / securities law violators / Internet fraud sweep / applicable accounting rules / internal accounting / Internet media / Internet Cases6 / /
Organization
International Brotherhood of Teamsters Union Local / High Yield Fund / U.S. District Court / U.S. Securities and Exchange Commission / Department of Justice / Legg Mason Fund / /
Person
Phillip E. Harlow / Michael Jerry Saylor / Andrew S. Parlin / Stacy L. Hamm / Robert E. Allgyer / Russell A. Kersh / Albert J. Dunlap / Robert G. Kutsenda / Chris Woessner / Robert J. Gluck / Kyle R. Kirkland / Jeffrey Ramson / Donald R. Uzzi / Guy P. Wyser-Pratte / Lee B. Griffith / Robert Algyer / Walter Cercavschi / Angelo Iannone / Trudie D. Whitehead / Sanjeev Bansal / Edward G. Maier / Antoinette A. Parsons / Eric L. Mattson / Mark Steven Lynch / Paul Umansky / David C. Fannin / Wayne C. Stevens / Jeffrey Wolf / James Harris / Charles Hampton / /
Position
chief financial officer / full-time margin clerk / portfolio manager / pension consultant / president / manager / head of international equities sales trading / independent consultant / co-founder and chief executive officer / accountant / Broker-Dealer / full-time margin clerk / and revising its compliance procedures / full-time compliance officer / cofounder and chief operating officer / local government official / corporate controller / investment adviser / vice president of sales / broker / dealer / CFO / controller / Adviser / accounting manager / principal and portfolio manager / former chief financial officer / /
Enforcement The SEC’s enforcement program seeks to promote the public interest by protecting investors and preserving the integrity and efficiency of the securities markets. What We Did