Non-Public Reports of Investigation by the

Securities and Exchange Commission Office of Inspector General

2009-Present

Violations of Employee Securities Transactions Rules and Possible Insider Trading

(Report No. OIG-481, issued March 3, 2009)

Lack of Impartiality by Assistant Director in Performance of Official Duties (Report No.

OIG-499, issued March 5, 2009)

Allegation of Retaliation by Managers in the Los Angeles Regional Office (issued March
16, 2009)

False Statement Allegations and Finding of Lack of Candor in Interview with OIG
Investigator (Report No. OIG-477, issued March 17, 2009)

Financial Analyst’s Chronic Leave Abuse and History of Non-Compliance with

Management Directives (Report No. OIG-492, issued March 18, 2009)

Unauthorized Disclosure of Non-Public Information by SEC Staff Attorney (Report No.

OIG-501, issued March 30, 2009)

Allegation of Conflict of Interest by Senior SEC Official (issued April 21, 2009)

Allegations of Failure to Conduct Timely Investigation in the Fort Worth Regional Office
(issued June 19, 2009)

Allegation of Abuse of Authority (issued June 24, 2009)

Possession of a Weapon Inside SEC Headquarters (Report No. OIG-514, issued July 9,
2009)

Misuse of Government Computer Resources (Report No. OIG-506, issued July 9, 2009)

Retaliation by Senior Officers in a Regional Office (OIG-494A, issued September 15,

2009)

Violations of Standards of Ethical Conduct With Regard to Official Government Travel

by Managers in the Fort Worth Regional Office (OIG-494B, issued September 25, 2009)

Misuse of Position, Government Resources, and Official Time in a Regional Office and
Headquarters (Report No. OIG-519, issued September 30, 2009)
Participation in Fraudulent Scheme by Contract Employee Using SEC Resources (issued
September 30, 2009)

Assistance with the Operation of a Ponzi Scheme by Former SEC Employee Using SEC
Resources (Report No. OIG-504, issued September 30, 2009)

Allegation of Unauthorized Disclosure of Non-Public Information (September 30, 2009)

Allegations of Improper Staff Conduct During Litigation and Collection (Report No.
OIG-527, issued November 20, 2009)

Disclosures of Non-Public Procurement Information and Lack of Candor at

Headquarters (Report No. OIG-515, issued November 24, 2009)

Allegations of Enforcement Failure to Investigate (Report No. OIG-521, issued

December 9, 2009)

Misuse of Government Resources and Official Time at Headquarters (Report No. OIG-
517, issued December 16, 2009)

Allegations of Conflict of Interest, Improper Use of Non-Public Information and Failure

to Take Sufficient Action Against Fraudulent Company (Report No. OIG-496, issued
January 8, 2010)

Unauthorized Disclosure of Non-Public Information by Regional Office Attorneys

(Report No. OIG-512, issued January 12, 2010)

Allegations of Conflict of Interest and Investigative Misconduct (Report No. OIG-470,

issued February 24, 2010)

Allegation of Preferential Treatment of a Former SEC Attorney (Report No. OIG-528,

issued March 16, 2010)

Whistleblower Allegations of Fraudulently Obtained Award Fees by SEC Contractor

(Report No. OIG-491, issued March 29, 2010)

Inappropriate Conduct by a Current SEC Employee and Unauthorized Computer Access

by a Former SEC Employee (Report No. OIG-508, issued March 29, 2010)