Securities and Exchange Commission Historical Society

Oral Histories

38 records in this section.

23 March 2012

William O'Brien

Made possible through the support of Direct Edge
01 April 2011

Shaun O'Malley

08 May 2013

John Olson

08 June 2015

Mauri Osheroff

09 March 2012

Michael Oxley

12 July 2011

Paul Pacter

22 June 2015

Troy Paredes

25 February 2008

Phillip Parker

07 November 2005

Aulana Peters

19 June 2015

Fiona Philip

22 July 2008

Richard Phillips

December 11, 2019

Laura Phillips

Laura Phillips served as the Deputy Chief Auditor of the Public Company Accounting Oversight Board (PCAOB) from 2003 – 2007 during which time she was instrumental in developing the PCAOB’s standards that implement the internal control audit requirement established by the Sarbanes-Oxley Act of 2002. She began her career in 1991 as an auditor with Ernst and Young LLP in Cleveland. After her stint at the PCAOB, she joined General Motors Company as its Assistant Corporate Controller, then Brown-Forman Corporation as its Corporate Controller. She completed her undergraduate work at Miami University majoring in accounting and finance.

16 April 2009

Lee Pickard

12 March 2010

John Pinto

11 May 2007

Harvey Pitt - Part I

  • Video: 18.46

  • edited transcript (pdf)

From 1968 to 1978, Harvey Pitt served on the staff of the SEC, eventually becoming the agency's youngest-ever General Counsel in 1975 at age 30. From 2001 - 2003 he was the 26th SEC Chairman. For nearly 25 years prior to serving as SEC Chairman, Mr. Pitt was a partner in the law firm, Fried, Frank LLP. After he left the SEC, he founded the strategic consulting firm, Kalorama Partners, LLC. He was a founding trustee and first President of the SEC Historical Society.

12 May 2008

Harvey Pitt - Part II

7 February 2019

Harvey L. Pitt - Historical Society Founders Interview

Harvey Pitt, in this interview with Daniel Goelzer, explains how he, David Ruder and Paul Gonson worked together to establish the SEC Historical Society in 1999. Until his nomination as SEC Chairman in August 2001, he was integral to the Society's early operations, including the provision of office space for the early organization at the Fried Frank law firm where he was a partner. Once in his role as Chairman of the SEC, Pitt remained a strong supporter of the Society, including through the challenges brought about by the terrorist attacks on September 11 of that year.

07 June 2016

Robert Plaze

16 January 2002

Irving Pollack

  • - Part 1
  • - Part 2
  • - Part 3
  • edited transcript (pdf)
12 March 2014

Robert Dean Pope

17 January 2007

Norman Poser

25 January 2011

Richard Posner

06 May 2015

Giovanni Prezioso

31 October 2013

Therese Pritchard

07 June 2017

John Ramsay

06 August 2002

David Ratner

17 April 2008

Thomas Riesenberg

May 6, 2021

Walter Ricciardi

This interview is made possible with the generous support of Paul, Weiss, Rifkind, Wharton & Garrison LLP

From October 2005 to June 2008, when he left to join the firm of Paul Weiss Rifkind Wharton & Garrison, LLP, Walter Ricciardi was the Deputy Director of the SEC's Division of Enforcement, where his duties included managing the enforcement efforts of the Commission's eleven regional offices. He was promoted to Deputy Director from his post as head of the SEC’s Boston Regional office which is responsible for enforcement and examination programs for the New England region, a position he had held since April 2004. Prior to joining the SEC, Walter spent 20 years with PricewaterhouseCoopers and its predecessor, Coopers & Lybrand.

25 February 2009

Willis Riccio

July 16, 2021

Lori A. Richards

This oral history was made possible with the generous financial support of the following individuals: Andrew J.Bowden, Peter B. Driscoll, Carlo di Florio, and Marc Wyatt.

Lori A. Richards served in roles of increasing responsibility at the U.S. Securities and Exchange Commission for over 24 years, from 1985 to 2009. She joined the SEC as a staff attorney in Enforcement in the Los Angeles Regional Office, and there held positions of increasing responsibility, up through Associate Director for Enforcement. She then moved to the home office in 1994 to become Chairman Arthur Levitt’s Executive Assistant/Chief of Staff. Following that, she was asked to take on the role of Director of the newly created Office of Compliance, Inspections, and Examinations (OCIE), encompassing the SEC’s nationwide examination functions.She spent the next 14 years leading OCIE before leaving for private practice in 2009.

15 May 2014

Richard Roberts

22 June 2016

Eric Roiter

12 June 2007

Alan Rosenblat

14 May 2007

Eugene Rotberg

24 May 2004

Richard Rowe

  • - Part 1
  • - Part 2
  • - Part 3
  • edited transcript (pdf)
21 June 2016

Paul Roye

27 May 2015

David Ruder

28 November 2018

David S. Ruder - Historical Society Founders Interview

In this interview, David Ruder talks with Daniel Goelzer about his role as the SEC Historical Society’s founding Chairman of the Board of Trustee. Working closely with Paul Gonson and Harvey Pitt, he describes the key challenges and successes in getting the non-profit organization off the ground, including a major issues conference which proved to be an important example of both. As it turns out, Northwestern Pritzker School of Law figured significantly in early viability of the fledgling organization.

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