Office of Inspector General Investigative Reports

2022 | 2016 | 2015 | 2014 | 2012 | 2011 | 2010 | 2009

• 2022 Investigative Reports
  • August 29, 2022
    Findings Related to the Former SEC Ombudsman
• 2016 Investigative Reports
  • Final Report of Investigation, Administrative Law Judges (PDF), 15-ALJ-0482-I
• 2015 Investigative Reports
  • August 7, 2015
    Interim Report of Investigation, Administrative Law Judges (PDF), 15-ALJ-0482-I
• 2014 Investigative Reports
  • March 5, 2014
    Unauthorized Disclosure of Nonpublic Information From Executive Session Commission Meeting (PDF), OIG-601
• 2012 Investigative Reports
  • August 30, 2012
    Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets (PDF), OIG-557
• 2011 Investigative Reports
  • October 5, 2011
    Destruction of Records Related to Matters Under Inquiry and Incomplete Statements to the National Archives and Records Administration Regarding that Destruction by the Division of Enforcement (PDF), OIG-567
  • September 27, 2011
    Investigation into Allegations of Improper Preferential Treatment and Special Access in Connection with the Division of Enforcement's Investigation of Citigroup, Inc., (PDF), OIG-559
  • September 16, 2011
    Investigation of Conflict of Interest Arising from Former General Counsel’s Participation in Madoff-Related Matters (PDF), OIG-560
  • September 7, 2011
    Excessive Payment of Living Expenses in Contravention of OPM Guidance for a Headquarters Senior Official (PDF), OIG-561
  • August 22, 2011
    Allegations of Enforcement Staff Misconduct in Insider Trading Investigation (PDF), OIG-511
  • May 16, 2011
    Improper Actions Relating to the Leasing of Office Space (PDF), OIG-553
  • February 14, 2011
    Investigation of Abuse of Compensatory Time for Travel by a Headquarters Manager and Ineffective Supervision by Management (PDF), OIG-538
• 2010 Investigative Reports
  • January 12, 2010
    Unauthorized Disclosure of Non-Public Information (PDF), OIG-512
  • January 8, 2010
    Allegations of Conflict to Interest, Improper Use of Non-Public Information and Failure to Take Sufficient Action Against Fraudulent Company (PDF), OIG-496
  • December 14, 2010
    Improprieties in the Selection of Information Technology and the Award of a Sole-Source Contract (PDF), OIG-523
  • December 3, 2010
    Investigation Concerning the Role of Political Appointees in the SEC’s Response to Requests Pursuant to the Freedom of Information Act and From Members of Congress (PDF), OIG-543
  • October 26, 2010
    Investigation of the Failure of the SEC's Los Angeles Regional Office to Uncover Fraud in Westridge Capital Management Notwithstanding Investment Adviser Examination Conducted in 2005 and Inappropriate Conduct on the Part of Senior Los Angeles Official. (PDF), OIG-533
  • September 30, 2010
    Allegations of Improper Coordination Between the SEC and Other Governmental Entities Concerning the SEC's Enforcement Action Against Goldman Sachs & Co. (PDF), OIG-534
  • September 30, 2010
    Investigation of the Circumstances Surrounding the SEC’s Proposed Settlements with Bank of America, Including a Review of the Court’s Rejection of the SEC’s First Proposed Settlement and an Analysis of the Impact of Bank of America’s Status as a TARP Recipient. (PDF), OIG-522
  • August 11, 2010
    Allegations of Failure of SEC to Investigate Illegal Insider Trading and Accounting Fraud; Alleged Misconduct by SEC Staff (PDF), OIG-531
  • June 8, 2010
    Investigation of Alleged Misconduct by the Atlanta Regional Office in its Investigation of Krispy Kreme Doughnuts, LLC (PDF), OIG-529
  • March 31, 2010
    Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme (PDF), OIG-526
  • February 26, 2010
    Failure to Timely Investigate Allegations of Financial Fraud (PDF), OIG-505
• 2009 Investigative Reports
  • November 24, 2009
    Disclosures of Non-Public Procurement Information and Lack of Candor at Headquarters (PDF), OIG-515
  • November 19, 2009
    Allegations of Retaliatory Conduct by Division of Enforcement Staff (PDF), OIG-487
  • November 6, 2009
    Allegations of Misconduct by Current and Former SEC Officials at the Boston Regional Office (PDF), PI 09-38
  • September 30, 2009
    Allegations of Improper Disclosures and Assurances Given (PDF), OIG-502
  • August 31, 2009
    Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme (PDF), OIG-509
  • List of Exhibits to Report of Investigation (DOC), OIG-509
  • Exhibits to Report of Investigation (HTML), OIG-509
  • June 19, 2009
    Investigation of Fort Worth Regional Office's Conduct of the Stanford Investigation (PDF), OIG-516