Securities and Exchange Commission Historical Society

Oral Histories

39 records in this section.

04 March 2014

Martha Mahan Haines

05 May 2011

Michael Halloran

04 February 2008

Sara Hanks

29 October 2009

Joseph Hardiman

18 June 2013

David Harding

Made possible through the support of Winton Capital Management Limited
September 6, 2017

Larry Harris

June 2, 2021

Daniel Hawke

This oral history is made possible with the generous support of Arnold & Porter Kaye Scholer LLP.

Daniel M. Hawke started his SEC career in 1999 as a staff attorney in the Division of Enforcement in Washington, D.C, and was promoted to branch chief in 2002. In March 2005, he was appointed as Associate Director for Enforcement in the Philadelphia office and became Regional Director in April 2006. As Director of the SEC's Philadelphia Regional Office for eight years (2006-2014), Mr. Hawke oversaw the Commission's enforcement program and broker-dealer, investment adviser and investment company examination programs in the Mid-Atlantic region.

In 2010, Mr. Hawke became the first chief of the Enforcement Division's Market Abuse Unit where he created the unit's Analysis and Detection Center to identify potential violations of the federal securities laws including those involving insider trading, hacking and cybersecurity schemes. He received the Commission’s Stanley Sporkin Award in 2008 and the Ellen Ross Award in 2001. He left the SEC in 2015 to rejoin the private sector. Mr. Hawke received his J.D. from Boston University School of Law in 1989, and his B.A. from Tulane University in 1985.

14 February 2011

Donald Hayes

09 April 2014

Margaret Henry

11 March 2011

Robert Herz

09 November 2010

Conrad Hewitt

20 December 2002

Roderick Hills

28 October 2004

Howard Hodges

October 28, 2021

Donald M. Hoerl

Donald Hoerl served at the SEC for more than 30 years. He began working at the Commission in 1982 as a trial counsel in the Denver office, and he later became chief trial counsel. Mr. Hoerl went on to lead four different regional offices at various times during his tenure. He headed the Salt Lake office from 1987 to 1993 and led the Philadelphia office from 1993 to 1997 before returning to Denver. He became director of the Denver office in 2008 after serving 11 years as its associate regional director for enforcement. While leading the Denver office, he also served as acting director of the Fort Worth office from April to September 2011. In 2012, Mr. Hoerl received the SEC’s Distinguished Service Award, considered the agency’s highest individual honor. He retired from the agency in August 2013. Mr. Hoerl’s career includes public service as an assistant U.S. attorney in Denver from 1976 to 1982 and as a deputy district attorney in Pueblo, Colo. He received his B.A. degree from the University of California at Los Angeles, and his J.D. from the University of Colorado School of Law.

02 June 2009

John Huber

21 July 2015

Isaac Hunt

September 2, 2021

Kenneth Israel

Kenneth Israel served for nearly four decades at the SEC (1975 – 2013). He began working at the SEC in March 1975 in the Division of Corporate Regulation, where he reviewed Public Utility Holding Company Act filings. He transferred to the SEC’s Denver Regional Office in 1981 to work in the enforcement program. Mr. Israel became a branch chief for enforcement in the Salt Lake branch office in 1987 and was named the office director in 1994. The branch became a regional office in 2007 with Mr. Israel as its first regional director. Among other notable enforcement actions during Mr. Israel’s tenure, the Salt Lake office sued a number of high-pressure boiler room operations both inside and outside the U.S. prior to his retirement from the agency in October 2013. Mr. Israel graduated with honors from the University of Notre Dame and received his law degree with honors from The George Washington University Law School.

13 July 2011

William Jaenike

Made possible through the support of The Depository Trust & Clearing Corporation
January 6, 2023

Jane Jarcho

Jane Jarcho’s SEC career spanned 28 years (1990 – 2018). She began her service at the Commission in 1990 in the Chicago Regional Office’s Division of Enforcement. Here, she held several positions, including Branch Chief, Senior Trial Counsel, and Assistant Regional Director, before joining the Office of Compliance Inspections and Examinations (OCIE) in 2008. In August 2013 she was named as the National Associate Director of the Investment Adviser/Investment Company examination program of OCIE, responsible for overseeing inspections of U.S.-registered investment advisers and investment companies. She had previously served as the Associate Director of the IA/IC examination program in the Chicago regional office. In February 2016, Ms. Jarcho was named Deputy Director of OCIE, overseeing program areas that included Investment Adviser/Investment Company (IA/IC), Broker-Dealer and Exchange, FINRA and Securities Industry Oversight, and Clearance and Settlement until her retirement from the agency in August of 2018. Ms. Jarcho has a bachelor’s degree from Middlebury College and a law degree from the University of Wisconsin Law School.

16 March 2011

Edmund Jenkins

10 May 2010

William Johnston

13 November 2005

Barbara Thomas Judge

08 July 2005

Roberta Karmel

18 November 2005

Roberta Karmel

29 August 2012

Edward E. "Ted" Kaufman

04 April 2014

Lynnette Kelly

17 April 2008

Richard Ketchum - Part I

25 August 2008

Richard Ketchum - Part II

January 30, 2020

Robert J. Kueppers - Founding of the PCAOB

Robert J. Kueppers was a partner with Deloitte LLP from 1986 through his retirement in May 2015. Kueppers served Deloitte in a variety of leadership roles, including Deputy CEO, Vice Chairman, Senior Partner of Global Regulatory & Public Policy for the Deloitte US entities, and Managing Partner of the Center for Corporate Governance. Mr. Kueppers was a founding trustee and president of the SEC Historical Society.

February 20, 2019

Rob Khuzami

Robert S. Khuzami was appointed in 2009 by SEC Chair Mary Schapiro as Director of the SEC’s Enforcement Division where he served until January 2013. During his tenure he initiated the Division’s most significant restructuring in the agency’s history creating specialized prosecution units to concentrate on the high-priority areas of enforcement. The Division also hired private sector and other experts, adopted targeted and risk-based investigative approaches, and increased its overall expertise in the products, transactions, and practices that occur in the securities markets it polices. An Office of Market Intelligence was created to revamp the way the Division handles tips, complaints and referrals. Khuzami also created a program authorizing the use of cooperation agreements to incentivize assistance with SEC investigations and enforcement actions. During his tenure, the agency also established the Office of the Whistleblower to implement the whistleblower program authorized by the Dodd-Frank Act.

04 May 2009

Nelson Kibler

11 October 2016

Thomas Kim

Made possible through the support of Sidley Austin LLP
05 November 2009

Catherine Kinney

31 March 2011

Donald Kirk

15 October 2002

Andrew Klein

01 December 2010

Justin Klein

Made possible through the support of ASECA - Association of SEC Alumni, Inc.
13 September 2001

Milton Kroll

10 November 2010

Robert Kueppers

30 November 2009

Edward Kwalwasser

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