SEC Office of Inspector General Reports

The following reports are currently available. Additional OIG records are located at OIG Recent Reports.

• OIG Report 601, "Unauthorized Disclosure of Nonpublic Information From Executive Session Commission Meeting"
  • Report of Investigation
• OIG Report 557, "Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets"
  • Report of Investigation
• OIG Report 559, "Investigation into Allegations of Improper Preferential Treatment and Special Access in Connection with the Division of Enforcement's Investigation of Citigroup, Inc."
  • Report of Investigation
• OIG Report 567, "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"
  • Report of Investigation
• OIG Report 511, "Allegations of Enforcement Staff Misconduct in Insider Trading Investigation"
  • Report of Investigation
• OIG Report 561, "Excessive Payment of Living Expenses in Contravention of OPM Guidance for a Headquarters Senior Official"
  • Report of Investigation
• OIG Report 560, "Investigation of Conflict of Interest Arising from Former General Counsel's Participation in Madoff-Related Matters"
  • Report of Investigation
• OIG Report 553, "Improper Actions Relating to the Leasing of Office Space"
  • Report of Investigation
• OIG Report 522, "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"
  • Report of Investigation
• OIG Report 533, "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"
  • Report of Investigation
• OIG Report 534, "Allegations of Improper Coordination Between the SEC and Other Governmental Entities Concerning the SEC's Enforcement Action Against Goldman Sachs & Co."
  • Report of Investigation
• OIG Report 526, "Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme"
  • Report of Investigation
  • Further Information Regarding the OIG Investigation
  • List of Exhibits for OIG Report 526
  • Exhibits 1 to 19
  • Exhibits 20 to 48
  • Exhibits 49 to 94
  • Exhibits 95 to 144
  • Exhibits 145 to 200
• OIG Report 505, "Failure to Timely Investigate Allegations of Financial Fraud"
  • Report of Investigation
• OIG Report 487, "Allegations of Retaliatory Conduct by Division of Enforcement Staff"
  • Report of Investigation
• OIG Report PI No. 09-38, "Allegations of Misconduct by Current and Former SEC officials at the Boston Regional Office (BRO)"
  • Memorandum of Inquiry
• OIG Report 502, "Allegations of Improper Disclosures and Assurances Given"
  • Report of Investigation
• OIG Report 509, "Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme"
  • Report of Investigation
  • Exhibits
  • Executive Summary
• OIG Report No. 516, "Investigation of Fort Worth Regional Office's Conduct of the Stanford Investigation"
  
  The redacted version of the report and all releasable exhibits are shown below. Certain exhibits (3, 4, 5, 6, 9 and 10) were withheld under the FOIA.
  • Report of Investigation
  • Exhibit 1 - SEC Complaint Against Stanford
  • Exhibit 2 - SEC's First Amended Complaint Against Stanford
  • Exhibit 7 - June 19, 2009 Indictment of Leroy King for, Inter Alia, Criminal Obstruction of the SEC's Stanford Investigation
  • Exhibit 8 - Stanford Subpoena (June 5, 2007)
  • Exhibit 11 - Receiver's Motion for Order Authorizing Release of Certain Customer Assets (filed March 4, 2009)
  • Exhibit 12 - Second Amended Complaint