Securities and Exchange Commission Historical Society

Oral Histories

53 records in this section.

07 October 2013

Katherine Addleman

17 October 2013

Marcia Asquith

17 February 2011

JT Ball

18 April 2016

Barry Barbash

21 May 2013

Curtis Barnette

03 June 2013

Karl Barnickol

17 July 1992

Andrew Barr

Courtesy of the Academy of Accounting Historians, University of Mississippi
28 April 2008

Jeffrey Bartell

21 August 2002

Mary "Mickey" Beach

08 January 2010

Brandon Becker

21 May 2015

David Becker

09 May 2012

Richard Beckler

31 May 2013

Alan Beller

18 April 2011

Dennis Beresford

July 16, 2019

Paul R. Berger

Video: 1:30:54

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.

04 August 2015

David Bergers

Made possible through the support of Sidley Austin LLP
30 April 2007

Robert Birnbaum

January 16-17, 1967

Carman G. Blough

Courtesy of Dr. Stephen A. Zeff
23 September 2013

Shelly Bohlin

March 4, 2020

Charles Bowsher - Founding of the PCAOB

Video: 59:41

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.

November 19, 2019

Richard C. Breeden

Video: 1:33:45

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.

15 July 2014

James Brigagliano

Made possible through the support of Sidley Austin LLP
05 January 2010

William Brodsky

06 October 2008

Lewis Brothers - Part I

21 October 2008

Lewis Brothers - Part II

29 April 2008

Bruce Burditt

27 July 2012

Jonathan Burks

26 March 1976

John C. Burton and Robert T. Sprouse

Courtesy of the Academy of Accounting Historians, University of Mississippi
08 June 2007

Donald Calvin

13 April 2015

Roel Campos

October 29, 2018

Andrew J. Ceresney

Video: 59:00

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.

Made possible through the generous support of Debevoise & Plimpton LLP
07 April 2011

Alger Chapman

08 December 2010

Frank Chin

Made possible through the support of Municipal Securities Rulemaking Board
21 April 2014

David Clapp

01 July 1969

Manuel Cohen

With permission of Jonathan Cohen, the Honorable Susan Borman and the Lyndon B. Johnson Library and Museum
29 November 2001

Milton Cohen

01 August 2011

Jill Considine

Made possible through the support of The Depository Trust & Clearing Corporation
November 15, 2018

Chris Conte

Video: 1:31:31

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.

08 May 2007

G. Bradford Cook

13 May 2007

Edmund Coulson

14 May 2013

Charles Cox

27 June 2013

Meredith Cross

Video: 15:31

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.

December 6, 2018

Steve Cutler

Video: 1:26:34

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.

16 May 2014

Maud Smith Daudon

19 June 2007

Robert Davenport

20 July 2011

William Dentzer

Made possible through the support of The Depository Trust & Clearing Corporation
12 June 2015

Peter Derby

26 August 2011

Dennis Dirks

Made possible through the support of The Depository Trust & Clearing Corporation
19 May 2014

Thomas Doe

08 April 2010

David Doherty

Made possible through the support of ASECA - Association of SEC Alumni, Inc.
02 August 2011

Donald Donahue

Made possible through the support of The Depository Trust & Clearing Corporation
10 March 2010

James R. Doty

Made possible through the support of ASECA - Association of SEC Alumni, Inc.
April 6, 2021

James R. Doty

Video: 1:20:34

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.

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