York / SAN FRANCISCO / DALLAS / Houston / TOKYO / GENEVA / Shanghai / PALO ALTO / New York / SYDNEY / BEIJING / LOS ANGELES / FRANKFURT / LONDON / BRUSSELS / CHICAGO / /
Company
Tyco International Ltd. / United Rentals Inc. / Goldman Sachs Group / Morgan Stanley / Digi International Inc. / Pfizer Inc. / General Electric Company / Huntsman Corporation / Oracle Corporation / CFOs / Terex Corporation / CITIGROUP / Wyeth LLC / Hercules Offshore Inc. / Sidley Austin Nishikawa Foreign Law Joint Enterprise / GE / JP Morgan Chase / FalconStor Software Inc. / Sidley Austin LLP / Orthofix International N.V. / Bloomberg / U.S. Securities and Exchange Commission / /
Continent
Asia / /
Country
Switzerland / Bulgaria / China / India / Croatia / Italy / Mexico / Serbia / Kazakhstan / Russia / United States / Singapore / Czech Republic / /
securities law violations / unauthorized travel / oil and gas / abetted securities law violations / internal accounting / real estate / bank economic interests / bank / law firms / services contractor / public mining / actual earnings management / securities law violation / earnings management / securities regulatory solutions / financial services conglomerates / investment banks / fire security products / fraudulent accounting scheme / pharmaceutical products / boat services / /
Organization
Enforcement Division / SEC’s Asset Management Unit / U.S. Securities and Exchange Commission / House Committee on Financial Services / SEC’s Enforcement Division / FINRA / Mexico’s government / Richman court / SEC’s Division of TOO THIN / Securities and Exchange Commission / Los Angeles Regional Office / SEC’s office of Compliance Inspections and Examinations / DOJ / UN Court / /
Person
Compliance / Andrew J. Bowden / Robert Khuzami / Subramanian Krishnan / Jed Rakoff / Robert Kaplan / Joseph Apuzzo / Garth Peterson / Eileen Rominger / Rosalind Tyson / Marshall Sprung / Julie Riewe / Michele Wein Layne / Norm Champ / Brian Stoker / Matthew Martens / Paula Drake / Bruce Karpati / Paul V. Gerlach Barry / Jose F. Sanchez / / /
Position
enforcement and disclosure counsel / jury foreman / Attorneys General / OFFICIAL / director for real estate in China / managing director / Ethics Officer / Regional Director / relatively low-level executive / Chief Financial Officer / Attorney / Director of Enforcement / federal judge / Director of the agency / manager / foreman / Chief Counsel and Chief / co-chief / securities enforcement counsel / Deputy Director / relatively junior executive / Director / chief litigation counsel / oil and gas services contractor / judge / CFO / former Chief Financial Officer / former mid-level manager / /
ProvinceOrState
Minnesota / New York / Texas / Illinois / Delaware / /
SEC ENFORCEMENT QUARTERLY 3rd Quarter 2012 Each quarter, Sidley’s SEC Enforcement Practice publishes this review of recent developments in SEC enforcement and