Securities and Exchange Commission Historical Society

Oral Histories

35 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

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

02 June 2009

John Huber

21 July 2015

Isaac Hunt

13 July 2011

William Jaenike

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

Video: 52:51

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

Video: 1:33:40

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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