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Watchdog Digs Into Conduct At SEC: Reports Focus on Use of Influence And Stock Trades

Date: May 17, 2009

Author: Zachary A. Goldfarb

QUOTE: A Securities and Exchange Commission official attempted "to intimidate and influence" a family member's broker on multiple occasions by invoking her position, potentially violating agency rules, according to the agency's inspector general.

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Article MetaInformation:

Key People:

• Sen. Charles "Chuck" E. Grassley
• H. David Kotz

Key Organizations:

• Citigroup Inc. (Citicorp)
• Morgan Stanley
• Securities and Exchange Commission (SEC)
• Washington Post Newspaper

Subject & Geographic Categories:

• Abstract Principles
  • Abuse of Power (Interpersonal)
  • Information
    • Truth / Honesty / Lying / Cheating
      • Hide/Mislead
        • Disclosure/Conflicts of Interest
          • Disclosure/Conflict of Interest (Individual)

• Businesses & Organizations
  • Industry-Specific Issues
    • Securities (Wall Street)

• Government & Politics / History
  • Government (General)
    • Government Jobs / Civil Service

• North America
  • United States of America/USA

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