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Data

Each entry in POGO’s SEC Revolving Door Database represents one post-employment disclosure statement notifying the SEC of a former employee’s intent to represent an employer or client before the agency. Some employees have filed multiple statements.

ANALYSIS: See POGO's reports, blog posts, and other work on the SEC revolving door
METHODOLOGY: How POGO organized the information and assembled the database

Full Name	Former Division/Office	Former Title	New Employer	Date of Resignation	Date of Statement
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	01/19/11
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	03/28/11
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	01/19/11
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	09/27/11
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	12/30/10
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	02/28/11
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	09/30/11
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	04/27/11
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	06/30/11
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	12/23/10
Addleman, Kit	Regional Office	Regional Director	Haynes and Boone, LLP	10/09/09	08/03/11
Adelman, James B.	Regional Office	Associate District Administrator	Allmerica Financial Corp.	12/01/00	08/19/02
Adelman, James B.	Regional Office	Associate District Administrator	Allmerica Financial Corp.	12/01/00	10/16/01
Adelman, James B.	Regional Office	Associate District Administrator	Allmerica Financial Corp.	12/01/00	11/18/02
Adelman, James B.	Regional Office	Associate District Administrator	Allmerica Financial Corp.	12/01/00	03/14/01
Adelman, James B.	Regional Office	Associate District Administrator	Allmerica Financial Corp.	12/01/00	02/12/01
Albert, Ross A.	Enforcement	Senior Special Counsel	Morris, Manning & Martin, LLP	09/14/01	01/23/02
Albert, Ross A.	Enforcement	Senior Special Counsel	Morris, Manning & Martin, LLP	09/14/01	11/30/01
Albert, Ross A.	Enforcement	Senior Special Counsel	Morris, Manning & Martin, LLP	09/14/01	12/16/02
Albrecht, Patricia	Trading and Markets	Special Counsel	National Association of Securities Dealers, Inc.	06/01/02	10/02/02
Albrecht, Lauren E.	Regional Office	Senior Counsel	Fidelity Investments	08/27/04	12/02/04
Albrecht, Lauren E.	Regional Office	Senior Counsel	Fidelity Investments	08/27/04	12/02/04
Albrecht, Lauren E.	Regional Office	Senior Counsel	Fidelity Investments	08/27/04	05/02/05
Albrecht, Lauren E.	Regional Office	Senior Counsel	Fidelity Investments	08/27/04	04/26/05
Albrecht, Lauren E.	Regional Office	Senior Counsel	Fidelity Investments	08/27/04	12/02/04
Albrecht, Lauren E.	Regional Office	Senior Counsel	Fidelity Investments	08/27/04	12/02/04
Albrecht, Lauren E.	Regional Office	Senior Counsel	Fidelity Investments	08/27/04	05/12/05
Albrecht, Patricia	Trading and Markets	Special Counsel	National Association of Securities Dealers, Inc.	06/01/02	03/11/03
Alkema, D. Douglas	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/11/04	12/14/05
Alkema, D. Douglas	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/11/04	08/13/04
Alkema, D. Douglas	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/11/04	05/01/06
Alkema, D. Douglas	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/11/04	02/13/06
Anderson, Douglas A.	Regional Office	Compliance Examiner	Canyon Capital Advisors LLC and Canyon Capital Realty Advisors LLC	02/25/05	07/20/05
Attar, Mark M.	Trading and Markets	Special Counsel	Schiff Hardin LLP	05/20/05	09/22/05
Attar, Mark M.	Trading and Markets	Special Counsel	Schiff Hardin LLP	05/20/05	08/31/05
Avakian, Stephanie	Commissioner Paul R. Carey	Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	11/19/99	04/27/01
Avakian, Stephanie	Commissioner Paul R. Carey	Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	11/19/99	03/15/01
Babits, Joseph P.	Corporation Finance	Special Counsel	Royal Dutch Shell, PLC	08/02/05	08/30/05
Bachenheimer, Doria G.	Enforcement	Assistant Regional Director	TIAA-CREF	08/14/08	04/16/09
Bailey, Jr., Andrew D.	Chief Accountant	Deputy Chief Accountant	Grant Thornton LLP	12/10/05	03/06/07
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	01/20/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	02/10/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	05/12/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	07/12/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	08/13/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	06/26/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	10/25/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	03/05/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	05/12/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	01/20/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	09/18/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	01/20/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	10/30/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	07/03/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	06/13/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	05/27/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	03/03/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	02/24/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	11/15/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	04/13/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	06/13/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	09/22/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	10/28/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	01/20/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	02/10/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	03/19/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	05/19/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	06/28/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	08/10/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	09/30/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	03/05/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	05/06/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	06/17/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	09/18/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	09/22/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	10/15/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	11/03/03
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	02/10/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	02/10/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	04/12/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	06/28/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	10/25/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	02/10/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	03/17/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	07/12/04
Baker III, William R.	Enforcement	Associate Director	Latham & Watkins LLP	11/28/02	10/01/04
Barrysmith, Mark	Chief Accountant	Professional Accounting Fellow	KPMG LLP	07/11/08	09/24/09
Bartholomew, Christian R.	Regional Office	Senior Trial Counsel	Morgan, Lewis & Bockius LLP	05/05/00	10/17/01
Bartholomew, Christian R.	Regional Office	Senior Trial Counsel	Morgan, Lewis & Bockius LLP	05/05/00	05/07/01
Bartholomew, Christian R.	Regional Office	Senior Trial Counsel	Morgan, Lewis & Bockius LLP	05/05/00	10/12/01
Batinich, Nicholas M.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	10/21/05	05/07/07
Bayless, David B.	Regional Office	District Administrator	Morrison & Foerster LLP	06/18/99	02/06/01
Bayless, David B.	Regional Office	District Administrator	Morrison & Foerster LLP	06/18/99	03/27/01
Bayless, W. Scott	Chief Accountant	Associate Chief Accountant	Deloitte LLP	09/22/00	01/29/01
Bayless, David B.	Regional Office	District Administrator	Morrison & Foerster LLP	06/18/99	03/27/01
Bayless, David B.	Regional Office	District Administrator	Morrison & Foerster LLP	06/18/99	02/08/01
Bazley, Mathew C.	Corporation Finance	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/24/06	10/04/06
Bazley, Mathew C.	Corporation Finance	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/24/06	03/29/06
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	05/06/03
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	08/12/04
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	04/16/04
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	05/01/03
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	05/28/04
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	06/22/04
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	11/10/03
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	10/29/03
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	03/24/05
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	07/31/03
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	11/20/03
Beaudreault, Lindi L.	Enforcement	Senior Counsel	LeClair Ryan	04/25/03	10/08/03
Becker, David M.	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	05/07/02	12/02/03
Becker, David M.	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	05/07/02	05/08/03
Becker, David M.	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	05/07/02	09/29/03
Becker, David M.	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	05/07/02	05/08/03
Becker, David M.	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	05/07/02	05/08/03
Belevetz, Timothy D.	Enforcement	Staff Attorney	Wilson Sonsini Goodrich & Rosati, P.C.	02/25/00	01/23/01
Beller, Matthew A.	Regional Office	Examiner	GPS Partners LLC	03/01/08	03/03/08
Beller, Alan	Corporation Finance	Director	Cleary Gottlieb Steen & Hamilton LLP	02/24/06	06/27/07
Berger, Paul R.	Enforcement	Associate Director	Debevoise & Plimpton LLP	05/31/06	11/20/07
Berger, Paul R.	Enforcement	Associate Director	Debevoise & Plimpton LLP	05/31/06	06/12/07
Berger, Paul R.	Enforcement	Associate Director	Debevoise & Plimpton LLP	05/31/06	06/12/07
Berger, Paul R.	Enforcement	Associate Director	Debevoise & Plimpton LLP	05/31/06	06/07/07
Berger, Paul R.	Enforcement	Associate Director	Debevoise & Plimpton LLP	05/31/06	06/04/07
Bergmann, Larry E.	Trading and Markets	Senior Associate Director	Willkie Farr & Gallagher LLP	01/03/06	06/05/07
Bergmann, Larry E.	Trading and Markets	Senior Associate Director	Willkie Farr & Gallagher LLP	01/03/06	02/09/07
Bergmann, Larry E.	Trading and Markets	Senior Associate Director	Willkie Farr & Gallagher LLP	01/03/06	01/05/07
Bergmann, Larry E.	Trading and Markets	Senior Associate Director	Willkie Farr & Gallagher LLP	01/03/06	05/11/07
Bergmann, Larry E.	Trading and Markets	Senior Associate Director	Willkie Farr & Gallagher LLP	01/03/06	07/09/07
Bergmann, Larry E.	Trading and Markets	Senior Associate Director	Willkie Farr & Gallagher LLP	01/03/06	01/02/07
Bergmann, Larry E.	Trading and Markets	Senior Associate Director	Willkie Farr & Gallagher LLP	01/03/06	06/04/07
Berman, Kenneth J.	Investment Management	Associate Director	Debevoise & Plimpton LLP	08/11/00	08/07/02
Berman, Kenneth J.	Investment Management	Associate Director	Debevoise & Plimpton LLP	08/11/00	05/29/01
Berman, Kenneth J.	Investment Management	Associate Director	Debevoise & Plimpton LLP	08/11/00	08/02/01
Berman, Jennifer	Investment Management	Staff Attorney	Shearman & Sterling LLP	06/01/03	08/12/04
Berman, Kenneth J.	Investment Management	Associate Director	Debevoise & Plimpton LLP	08/11/00	01/10/01
Berry, William G.	Enforcement	Staff Attorney	Quinn Emanuel Urquhart Oliver & Hedges, LLP	10/10/08	06/09/09
Berry, William G.	Enforcement	Staff Attorney	Quinn Emanuel Urquhart Oliver & Hedges, LLP	10/10/08	01/14/09
Bessin, Sarah A.	Investment Management	Assistant Director	Investment Company Institute	01/07/11	05/24/11
Bessin, Sarah A.	Investment Management	Assistant Director	Investment Company Institute	01/07/11	09/14/11
Bessin, Sarah A.	Investment Management	Assistant Director	Investment Company Institute	01/07/11	08/03/11
Bieber, Tammy P.	Chief Accountant	Attorney-Advisor	Shearman & Sterling LLP	06/01/07	12/10/07
Bieber, Tammy P.	Chief Accountant	Attorney-Advisor	Shearman & Sterling LLP	06/01/07	09/17/07
Bieber, Tammy P.	Chief Accountant	Attorney-Advisor	Shearman & Sterling LLP	06/01/07	04/08/08
Black, Scott L.	Enforcement	Assistant Regional Director	Hudson Bay Capital Management, LP	09/30/10	10/20/10
Black, Scott L.	Enforcement	Assistant Regional Director	Hudson Bay Capital Management, LP	09/30/10	10/20/10
Blackley, Richard Scott	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/06/02	03/14/03
Blackley, Richard Scott	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/06/02	03/21/03
Blackley, Richard Scott	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/06/02	02/12/03
Blackley, Richard Scott	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/06/02	02/14/03
Blackley, Richard Scott	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/06/02	08/08/02
Blackley, Richard Scott	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/06/02	02/12/03
Blackley, Richard Scott	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/06/02	03/25/03
Blackley, Richard Scott	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/06/02	09/23/02
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	01/23/01
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	01/23/01
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	04/23/01
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	04/23/01
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	03/14/02
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	01/23/01
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	08/22/01
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	09/24/02
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	07/16/01
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	03/09/01
Blackman, Sean G.	Enforcement	Senior Counsel	O'Melveny & Myers LLP	12/22/00	08/03/01
Blake, Madeleine M.	Regional Office	Senior Special Counsel	Greenberg Traurig LLP	09/30/06	05/10/07
Bloch, David P.	Enforcement	Assistant Chief Litigation Counsel	LECG, LLC	07/23/04	06/24/05
Bondi, Bradley Joseph	Commissioner Troy Paredes	Counsel	Cadwalader, Wickersham & Taft LLP	11/30/10	04/14/11
Bondi, Bradley Joseph	Commissioner Troy Paredes	Counsel	Cadwalader, Wickersham & Taft LLP	11/30/10	07/20/11
Bondi, Bradley Joseph	Commissioner Troy Paredes	Counsel	Cadwalader, Wickersham & Taft LLP	11/30/10	03/11/11
Bondi, Bradley Joseph	Commissioner Troy Paredes	Counsel	Cadwalader, Wickersham & Taft LLP	11/30/10	03/02/11
Bondi, Bradley Joseph	Commissioner Troy Paredes	Counsel	Cadwalader, Wickersham & Taft LLP	11/30/10	05/07/11
Bondi, Bradley Joseph	Commissioner Troy Paredes	Counsel	Cadwalader, Wickersham & Taft LLP	11/30/10	05/02/11
Bondi, Bradley Joseph	Commissioner Troy Paredes	Counsel	Cadwalader, Wickersham & Taft LLP	11/30/10	05/02/11
Bondi, Bradley Joseph	Commissioner Troy Paredes	Counsel	Cadwalader, Wickersham & Taft LLP	11/30/10	03/02/11
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	09/05/01
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	02/07/01
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	09/05/01
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	04/26/01
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	04/26/01
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	03/23/01
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	09/05/01
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	04/09/01
Bosco, Anthony J.	Enforcement	Branch Chief	Prudential Securities, Inc.	11/03/00	09/05/01
Braganca, Celiza P.	Enforcement	Branch Chief	Ungaretti & Harris	05/31/02	08/30/02
Braganca, Celiza P.	Enforcement	Branch Chief	Sperling & Slater	05/31/02	02/26/04
Braganca, Celiza P.	Enforcement	Branch Chief	Sperling & Slater	05/31/02	03/30/04
Braswell, Mark K.	Enforcement	Branch Chief	Venable LLP	09/11/03	12/18/03
Breheny, Brian V.	Corporation Finance	Deputy Director	Skadden, Arps, Slate, Meagher & Flom LLP	09/03/10	09/06/11
Breheny, Brian V.	Corporation Finance	Deputy Director	Skadden, Arps, Slate, Meagher & Flom LLP	09/03/10	09/07/11
Breheny, Brian V.	Corporation Finance	Deputy Director	Skadden, Arps, Slate, Meagher & Flom LLP	09/03/10	09/19/11
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	09/04/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	09/23/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	03/26/10
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	09/04/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	05/07/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	08/05/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	08/05/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	02/03/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	02/03/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	05/07/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	02/03/09
Bresnan, Peter H.	Enforcement	Deputy Director	Simpson Thacher & Bartlett LLP	12/05/07	11/16/09
Bridwell, Craig	Regional Office	Extern	Morrison & Foerster LLP	05/01/05	03/03/06
Brown, Adam L.	Chief Accountant	Professional Accounting Fellow	BDO Seidman, LLP	06/12/09	10/28/09
Brown, Adam L.	Chief Accountant	Professional Accounting Fellow	BDO Seidman, LLP	06/12/09	10/28/09
Brown, Daniel T.	Enforcement	Branch Chief	Clifford Chance LLP	09/29/00	07/30/01
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	03/22/02
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	01/16/02
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	09/08/03
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	01/08/03
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	02/26/02
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	01/17/02
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	11/02/01
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	09/08/03
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	10/16/02
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	11/01/01
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	02/26/02
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	11/02/01
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	07/11/02
Bruch, Gregory S.	Enforcement	Assistant Director	Foley & Lardner	10/05/01	04/26/02
Bruno, Christopher	Enforcement	Senior Counsel	Bruno & Degenhardt, P.C.	08/09/02	09/27/02
Burke, Samuel L.	Chief Accountant	Associate Chief Accountant	PricewaterhouseCoopers LLP	06/13/03	10/19/03
Burke, Samuel L.	Chief Accountant	Associate Chief Accountant	PricewaterhouseCoopers LLP	06/13/03	08/07/03
Burke, Samuel L.	Chief Accountant	Associate Chief Accountant	PricewaterhouseCoopers LLP	06/13/03	09/12/03
Burns, Robert E.	Chief Accountant	Chief Counsel	Center for Audit Quality	04/30/07	01/17/08
Burns, Robert E.	Chief Accountant	Chief Counsel	Center for Audit Quality	04/30/07	06/25/07
Burns, Robert E.	Chief Accountant	Chief Counsel	Center for Audit Quality	04/30/07	06/06/07
Cadigan, Luke T.	Enforcement	Assistant Regional Director	K&L Gates LLP	07/22/11	09/01/11
Cadigan, Luke T.	Enforcement	Assistant Regional Director	K&L Gates LLP	07/22/11	08/23/11
Cadigan, Luke T.	Enforcement	Assistant Regional Director	K&L Gates LLP	07/22/11	09/01/11
Camp, Noran J.	Chairman Arthur Levitt	Legal Counsel	Gibson, Dunn & Crutcher LLP	07/01/00	09/18/01
Camp, Noran J.	Chairman Arthur Levitt	Legal Counsel	Gibson, Dunn & Crutcher LLP	07/01/00	02/26/01
Camp, Noran J.	Chairman Arthur Levitt	Legal Counsel	Gibson, Dunn & Crutcher LLP	07/01/00	11/16/00
Camp, Noran J.	Chairman Arthur Levitt	Legal Counsel	Gibson, Dunn & Crutcher LLP	07/01/00	08/01/01
Campion, Kevin J.	Trading and Markets	Attorney	Sidley Austin LLP	07/19/04	10/18/04
Campion, Kevin J.	Trading and Markets	Attorney	Sidley Austin LLP	07/19/04	12/03/04
Campos, Roel C.	Commissioner Roel C. Campos	Commissioner	Cooley Godward Kronish	09/12/07	12/11/08
Capone, John S.	Investment Management	Chief Accountant	Arthur Andersen LLP	03/29/01	01/02/02
Carlin, Wayne M.	Regional Office	Regional Director	Wachtell, Lipton, Rosen & Katz	01/23/04	01/26/05
Carlin, Wayne M.	Regional Office	Regional Director	Wachtell, Lipton, Rosen & Katz	01/23/04	01/25/05
Carlin, Wayne M.	Regional Office	Regional Director	Wachtell, Lipton, Rosen & Katz	01/23/04	03/16/05
Carlin, Wayne M.	Regional Office	Regional Director	Wachtell, Lipton, Rosen & Katz	01/23/04	01/10/06
Carlin, Wayne M.	Regional Office	Regional Director	Wachtell, Lipton, Rosen & Katz	01/23/04	02/11/05
Carlin, Wayne M.	Regional Office	Regional Director	Wachtell, Lipton, Rosen & Katz	01/23/04	03/30/05
Carlin, Wayne M.	Regional Office	Regional Director	Wachtell, Lipton, Rosen & Katz	01/23/04	01/25/05
Carney, Eva Marie	General Counsel	Assistant General Counsel	Richards Spears Kibbe & Orbe LLP	10/31/03	05/20/05
Carney, Eva Marie	General Counsel	Assistant General Counsel	Richards Spears Kibbe & Orbe LLP	10/31/03	01/03/05
Carney, Eva Marie	General Counsel	Assistant General Counsel	Richards Spears Kibbe & Orbe LLP	10/31/03	07/06/04
Carney, Eva Marie	General Counsel	Assistant General Counsel	Richards Spears Kibbe & Orbe LLP	10/31/03	06/30/04
Carney, Eva Marie	General Counsel	Assistant General Counsel	Richards Spears Kibbe & Orbe LLP	10/31/03	12/19/03
Carney, Eva Marie	General Counsel	Assistant General Counsel	Richards Spears Kibbe & Orbe LLP	10/31/03	12/19/03
Carney, Eva Marie	General Counsel	Assistant General Counsel	Richards Spears Kibbe & Orbe LLP	10/31/03	03/19/04
Carpenter, Ashley W.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	09/12/08	03/25/09
Carpenter, Ashley W.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	09/12/08	02/20/09
Carpenter, Ashley W.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	09/12/08	11/18/08
Carpenter, Ashley W.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	09/12/08	06/23/09
Carreiro, Lynne M.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	01/03/05	01/17/05
Carreiro, Lynne M.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	01/03/05	07/19/06
Casey, Sean Patrick	Enforcement	Senior Counsel	Skadden, Arps, Slate, Meagher & Flom LLP	10/04/02	12/16/02
Casey, Eric W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/09/00	01/28/02
Casey, Eric W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/09/00	12/07/01
Casey, Eric W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/09/00	02/11/02
Casey, Sean Patrick	Enforcement	Senior Counsel	Skadden, Arps, Slate, Meagher & Flom LLP	10/04/02	12/20/02
Casey, Sean Patrick	Enforcement	Senior Counsel	Skadden, Arps, Slate, Meagher & Flom LLP	10/04/02	01/08/03
Casey, Sean Patrick	Enforcement	Senior Counsel	Skadden, Arps, Slate, Meagher & Flom LLP	10/04/02	04/16/03
Casey, Sean Patrick	Enforcement	Senior Counsel	Skadden, Arps, Slate, Meagher & Flom LLP	10/04/02	10/22/02
Casey, Eric W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/09/00	06/20/01
Casey, Eric W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/09/00	01/04/01
Casey, Eric W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/09/00	04/18/01
Casey, Eric W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/09/00	04/12/01
Caverly, Lauren Albrecht	Regional Office	Senior Counsel	Fidelity Investments	08/27/04	05/11/06
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	08/29/06
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	01/27/06
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	01/30/06
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	05/31/06
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	10/31/05
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	01/12/05
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	12/20/04
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	12/23/04
Cellupica, Paul G.	Investment Management	Assistant Director	MetLife, Inc.	12/01/04	04/25/05
Chatfield, Christopher J.	Enforcement	Senior Counsel	Merrill Lynch	01/13/06	04/10/06
Chatfield, Christopher J.	Enforcement	Senior Counsel	Merrill Lynch	01/13/06	01/26/06
Chatfield, Christopher J.	Enforcement	Senior Counsel	Merrill Lynch	01/13/06	02/14/06
Chatfield, Christopher J.	Enforcement	Senior Counsel	Merrill Lynch	01/13/06	02/21/06
Chatfield, Christopher J.	Enforcement	Senior Counsel	Merrill Lynch	01/13/06	02/08/06
Chatfield, Christopher J.	Enforcement	Senior Counsel	Merrill Lynch	01/13/06	03/29/06
Chatfield, Christopher J.	Enforcement	Senior Counsel	Merrill Lynch	01/13/06	02/22/06
Chung, Christine S.	Enforcement	Branch Chief	Testa, Hurwitz & Thibeault, LLP	07/14/01	02/27/02
Chung, Christine S.	Enforcement	Branch Chief	Testa, Hurwitz & Thibeault, LLP	07/14/01	08/02/01
Chung, Christine S.	Enforcement	Branch Chief	Testa, Hurwitz & Thibeault, LLP	07/14/01	02/28/02
Cohen, Alexander F.	Chairman Christopher Cox	Deputy Chief of Staff	Latham & Watkins LLP	12/20/08	05/13/10
Cohen, Alexander F.	Chairman Christopher Cox	Deputy Chief of Staff	Latham & Watkins LLP	12/20/08	04/21/10
Cohen, Alexander F.	Chairman Christopher Cox	Deputy Chief of Staff	Latham & Watkins LLP	12/20/08	05/11/10
Cohen, Alexander F.	Chairman Christopher Cox	Deputy Chief of Staff	Latham & Watkins LLP	12/20/08	10/25/10
Cohen, Alexander F.	Chairman Christopher Cox	Deputy Chief of Staff	Latham & Watkins LLP	12/20/08	06/29/10
Cohen, Alexander F.	Chairman Christopher Cox	Deputy Chief of Staff	Latham & Watkins LLP	12/20/08	04/15/10
Cohen, Alexander F.	Chairman Christopher Cox	Deputy Chief of Staff	Latham & Watkins LLP	12/20/08	09/15/10
Cohn, Michael J.	Enforcement	Staff Attorney	Fried, Frank, Harris, Shriver & Jacobson	07/25/00	06/14/01
Cohn, Michael J.	Enforcement	Staff Attorney	Fried, Frank, Harris, Shriver & Jacobson	07/25/00	03/29/01
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	05/19/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	05/19/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	07/08/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	05/21/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	04/30/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	04/27/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	11/09/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	07/22/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	04/19/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	11/12/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	07/13/10
Colby, Robert L.D.	Trading and Markets	Deputy Director	Davis Polk & Wardwell LLP	02/20/09	03/11/10
Comerford, Robert J.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/03/05	02/08/07
Comerford, Robert J.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/03/05	02/12/07
Cooke, Christopher	Enforcement	Branch Chief	Cooke Kobrick & Wu LLP	03/05/04	08/03/04
Cooke, Christopher	Enforcement	Branch Chief	Cooke Kobrick & Wu LLP	03/05/04	01/10/05
Corcoran, Joseph P.	Trading and Markets	Special Counsel	Schiff Hardin LLP	07/30/04	08/31/05
Corcoran, Joseph P.	Trading and Markets	Special Counsel	Schiff Hardin LLP	07/30/04	08/31/05
Corey, Ethan D.	Investment Management	Senior Counsel	Dechert	04/14/99	02/28/01
Councill, Stephen D.	Enforcement	Branch Chief	Rogers & Hardin LLP	07/12/03	03/09/04
Councill, Stephen D.	Enforcement	Branch Chief	Rogers & Hardin LLP	07/12/03	11/21/03
Councill, Stephen D.	Enforcement	Branch Chief	Rogers & Hardin LLP	07/12/03	01/12/04
Councill, Stephen D.	Enforcement	Branch Chief	Rogers & Hardin LLP	07/12/03	11/02/04
Craine, Patrick K.	Enforcement	Staff Attorney	Munsch Hardt Kopf & Harr, P.C.	06/23/05	06/30/05
Craine, Patrick K.	Enforcement	Staff Attorney	Munsch Hardt Kopf & Harr, P.C.	06/23/05	04/11/06
Craine, Patrick K.	Enforcement	Staff Attorney	Munsch Hardt Kopf & Harr, P.C.	06/23/05	07/26/05
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Holland & Knight LLP	07/14/01	12/06/01
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Holland & Knight LLP	07/14/01	10/10/01
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Holland & Knight LLP	07/14/01	11/05/01
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Holland & Knight LLP	07/14/01	11/30/01
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Pepper Hamilton LLP	07/14/01	06/18/02
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Pepper Hamilton LLP	07/14/01	08/26/02
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Pepper Hamilton LLP	07/14/01	10/18/02
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Pepper Hamilton LLP	07/14/01	05/07/02
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Pepper Hamilton LLP	07/14/01	06/17/02
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Pepper Hamilton LLP	07/14/01	10/10/02
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Holland & Knight LLP	07/14/01	07/31/01
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Holland & Knight LLP	07/14/01	10/25/01
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Pepper Hamilton LLP	07/14/01	02/02/02
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Holland & Knight LLP	07/14/01	12/27/01
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Holland & Knight LLP	07/14/01	07/31/01
Crimmins, Stephen J.	Enforcement	Deputy Chief Litigation Counsel	Pepper Hamilton LLP	07/14/01	06/25/03
Currier, G. William	Enforcement	Assistant Director	White & Case LLP	03/04/05	04/08/05
Currier, G. William	Enforcement	Assistant Director	White & Case LLP	03/04/05	03/03/06
Currier, G. William	Enforcement	Assistant Director	White & Case LLP	03/04/05	03/03/06
Currier, G. William	Enforcement	Assistant Director	White & Case LLP	03/04/05	09/20/05
Currier, G. William	Enforcement	Assistant Director	White & Case LLP	03/04/05	09/22/05
Curtis, George B.	Enforcement	Deputy Director	Gibson, Dunn & Crutcher LLP	12/04/09	04/04/11
Curtis, George B.	Enforcement	Deputy Director	Gibson, Dunn & Crutcher LLP	12/04/09	04/13/11
Curtis, George B.	Enforcement	Deputy Director	Gibson, Dunn & Crutcher LLP	12/04/09	11/19/10
Cutler, Christopher M.	Enforcement	Senior Counsel	Sutherland Asbill & Brennan LLP	06/19/03	06/26/03
Cutler, Stephen M.	Enforcement	Director	Wilmer Cutler Pickering Hale and Dorr LLP	05/18/05	05/22/06
Cutler, Christopher M.	Enforcement	Senior Counsel	Sutherland Asbill & Brennan LLP	06/19/03	09/02/03
Cutler, Stephen M.	Enforcement	Director	Wilmer Cutler Pickering Hale and Dorr LLP	05/18/05	05/16/06
Cutler, Stephen M.	Enforcement	Director	Wilmer Cutler Pickering Hale and Dorr LLP	05/18/05	05/25/06
Cutler, Christopher M.	Enforcement	Senior Counsel	Sutherland Asbill & Brennan LLP	06/19/03	07/29/03
Cutler, Christopher M.	Enforcement	Senior Counsel	Sutherland Asbill & Brennan LLP	06/19/03	06/26/03
Cutler, Stephen M.	Enforcement	Director	Wilmer Cutler Pickering Hale and Dorr LLP	05/18/05	05/24/06
Dallianis, Diane L.	Regional Office	Attorney-Advisor	Diane Dallianis	03/16/07	04/11/07
Darling, Carrie H.	Corporation Finance	Attorney	Sheppard, Mullin, Richter & Hampton LLP	03/03/06	07/17/07
Darling, Carrie H.	Corporation Finance	Attorney	Sheppard, Mullin, Richter & Hampton LLP	03/03/06	12/27/07
Darling, Carrie H.	Corporation Finance	Attorney	Sheppard, Mullin, Richter & Hampton LLP	03/03/06	07/18/07
Darling, Carrie H.	Corporation Finance	Attorney	Luce, Forward, Hamilton & Scripps LLP	03/03/06	04/04/06
Darling, Carrie H.	Corporation Finance	Attorney	Luce, Forward, Hamilton & Scripps LLP	03/03/06	06/15/06
Darling, Carrie H.	Corporation Finance	Attorney	Sheppard, Mullin, Richter & Hampton LLP	03/03/06	11/05/08
Darling, Carrie H.	Corporation Finance	Attorney	Sheppard, Mullin, Richter & Hampton LLP	03/03/06	07/11/07
Darling, Carrie H.	Corporation Finance	Attorney	Sheppard, Mullin, Richter & Hampton LLP	03/03/06	08/08/07
Darling, Carrie H.	Corporation Finance	Attorney	Sheppard, Mullin, Richter & Hampton LLP	03/03/06	11/05/08
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	06/20/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	07/10/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	07/10/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	05/14/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	06/13/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	03/19/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	02/20/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	06/06/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	01/04/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	01/04/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	02/01/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	07/10/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	04/19/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	04/19/01
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	02/13/00
Davine, Christine	Corporation Finance	Associate Chief Accountant	Deloitte LLP	09/24/99	04/23/01
Davison, Douglas J.	Chairman Arthur Levitt	Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	03/30/01	04/04/01
Davison, Douglas J.	Chairman Arthur Levitt	Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	03/30/01	04/25/01
Davison, Douglas J.	Chairman Arthur Levitt	Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	03/30/01	11/13/01
Day, Jackson M.	Chief Accountant	Acting Chief Accountant	Ernst & Young	05/15/03	12/14/04
Day, Jackson M.	Chief Accountant	Acting Chief Accountant	Ernst & Young	05/15/03	02/19/04
De Leon, Robert S.	Enforcement	Senior Counsel	Hold Brothers On-Line Investment Services, Inc.	04/20/01	07/02/01
De Leon, Robert S.	Enforcement	Senior Counsel	Sanford C. Bernstein & Co., LLC	04/20/01	08/06/02
Degenhardt, Harold F.	Regional Office	District Administrator	Fulbright & Jaworski L.L.P.	09/16/05	05/31/07
Degenhardt, Harold F.	Regional Office	District Administrator	Fulbright & Jaworski L.L.P.	09/16/05	08/31/06
Degenhardt, Harold F.	Regional Office	District Administrator	Fulbright & Jaworski L.L.P.	09/16/05	05/09/07
Degenhardt, Harold F.	Regional Office	District Administrator	Fulbright & Jaworski L.L.P.	09/16/05	06/29/07
Degenhardt, Harold F.	Regional Office	District Administrator	Fulbright & Jaworski L.L.P.	09/16/05	09/07/07
Degenhardt, Harold F.	Regional Office	District Administrator	Fulbright & Jaworski L.L.P.	09/16/05	04/18/07
Degenhardt, Harold F.	Regional Office	District Administrator	Fulbright & Jaworski L.L.P.	09/16/05	08/27/07
Dempsey, Louis J.	Regional Office	Branch Chief	Renaissance Regulatory Services, Inc.	02/17/06	08/23/06
deNeve, J. Jorge	Enforcement	Staff Attorney	O'Melveny & Myers LLP	02/09/07	04/11/07
deNeve, J. Jorge	Enforcement	Staff Attorney	O'Melveny & Myers LLP	02/09/07	02/21/07
deNeve, J. Jorge	Enforcement	Staff Attorney	O'Melveny & Myers LLP	02/09/07	05/07/08
deNeve, J. Jorge	Enforcement	Staff Attorney	O'Melveny & Myers LLP	02/09/07	02/22/07
deNeve, J. Jorge	Enforcement	Staff Attorney	O'Melveny & Myers LLP	02/09/07	03/06/07
deNeve, J. Jorge	Enforcement	Staff Attorney	O'Melveny & Myers LLP	02/09/07	03/08/07
DeTore, Stephen M.	Compliance Inspections and Examinations	Assistant Director	Gabelli Asset Management Company	01/19/01	02/06/01
DiMeglio, Gregory D.	Enforcement	Senior Counsel	Stradley Ronon	07/15/05	11/18/05
DiMeglio, Gregory D.	Enforcement	Senior Counsel	Stradley Ronon	07/15/05	01/27/06
DiMeglio, Gregory D.	Enforcement	Senior Counsel	Stradley Ronon	07/15/05	01/20/06
DiMeglio, Gregory D.	Enforcement	Senior Counsel	Stradley Ronon	07/15/05	01/18/06
DiMeglio, Gregory D.	Enforcement	Senior Counsel	Stradley Ronon	07/15/05	04/12/06
DiMeglio, Gregory D.	Enforcement	Senior Counsel	Stradley Ronon	07/15/05	08/18/05
DiMeglio, Gregory D.	Enforcement	Senior Counsel	Stradley Ronon	07/15/05	11/02/05
DiMeglio, Gregory D.	Enforcement	Senior Counsel	Stradley Ronon	07/15/05	11/23/05
Diver, Michael J.	Enforcement	Branch Chief	Katten Muchin Zavis Rosenman	07/28/00	01/17/01
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	08/07/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	08/13/01
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	04/03/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	09/20/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	09/20/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	09/20/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	09/28/01
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	10/22/01
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	01/09/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	01/22/01
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	03/19/01
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	04/09/01
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	09/20/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	09/20/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	08/26/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	05/29/02
Dolan, Melanie F.	Corporation Finance	Associate Chief Accountant	KPMG LLP	12/08/00	07/12/01
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	03/26/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	02/19/04
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	07/29/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	07/08/02
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	10/02/02
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	03/17/04
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	12/11/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	03/21/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	11/12/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	10/08/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	05/28/04
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	05/23/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	04/18/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	10/31/02
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	07/16/02
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	01/14/04
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	12/11/03
Donnelly, William E.	Trading and Markets	Attorney Fellow	LeClair Ryan	06/28/02	01/02/03
Doyle, Rami	Corporation Finance	Special Counsel	Morgan, Lewis & Bockius LLP	01/21/00	02/20/01
Draeger, Scot E.	Commissioner Roel C. Campos	Counsel	Citigroup	01/21/06	04/26/06
Drogin, Jack P.	Trading and Markets	Assistant Director	Morgan, Lewis & Bockius LLP	06/23/01	01/14/02
Drogin, Jack P.	Trading and Markets	Assistant Director	Morgan, Lewis & Bockius LLP	06/23/01	03/05/03
Drogin, Jack P.	Trading and Markets	Assistant Director	Morgan, Lewis & Bockius LLP	06/23/01	11/28/01
Drogin, Jack P.	Trading and Markets	Assistant Director	Morgan, Lewis & Bockius LLP	06/23/01	04/23/02
Drogin, Jack P.	Trading and Markets	Assistant Director	Morgan, Lewis & Bockius LLP	06/23/01	10/04/02
Drogin, Jack P.	Trading and Markets	Assistant Director	Morgan, Lewis & Bockius LLP	06/23/01	12/13/01
Drogin, Jack P.	Trading and Markets	Assistant Director	Morgan, Lewis & Bockius LLP	06/23/01	01/30/03
Dunbar, Andrew J.	Enforcement	Staff Attorney	Sidley Austin LLP	08/15/08	04/22/09
Dunbar, Andrew J.	Enforcement	Staff Attorney	Sidley Austin LLP	08/15/08	08/26/08
Dunbar, Andrew J.	Enforcement	Staff Attorney	Sidley Austin LLP	08/15/08	09/10/08
Duncan, Russell D.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	02/17/06	10/25/06
Duncan, Russell D.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	02/17/06	05/12/06
Duncan, Russell D.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	02/17/06	04/24/06
Duncan, Russell D.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	02/17/06	09/06/06
Duncan, Russell D.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	02/17/06	04/24/06
Dunn, Martin P.	Corporation Finance	Deputy Director	O'Melveny & Myers LLP	08/31/07	09/11/08
Dunn, Martin P.	Corporation Finance	Deputy Director	O'Melveny & Myers LLP	08/31/07	09/19/08
Dunn, Martin P.	Corporation Finance	Deputy Director	O'Melveny & Myers LLP	08/31/07	09/11/08
Dunn, Martin P.	Corporation Finance	Deputy Director	O'Melveny & Myers LLP	08/31/07	01/05/09
Dunn, Martin P.	Corporation Finance	Deputy Director	O'Melveny & Myers LLP	08/31/07	01/12/09
Eastman, James L.	Commissioner Paul R. Carey	Counsel	Schiff Hardin LLP	06/16/00	06/20/01
Eastman, James L.	Commissioner Paul R. Carey	Counsel	Schiff Hardin LLP	06/16/00	06/11/01
Eastman, James L.	Commissioner Paul R. Carey	Counsel	Schiff Hardin LLP	06/16/00	08/27/01
Eastman, James L.	Commissioner Paul R. Carey	Counsel	Schiff Hardin LLP	06/16/00	03/05/01
Eastman, James L.	Commissioner Paul R. Carey	Counsel	Schiff Hardin LLP	06/16/00	04/10/02
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	04/20/05
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	06/22/05
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	11/16/05
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	12/27/05
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	02/02/06
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	02/22/06
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	02/02/06
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	03/22/06
Ebert, Rebecca F.	Enforcement	Senior Counsel	Sidley Austin LLP	03/10/05	06/17/05
Edmundson, J. Kevin	Enforcement	District Trial Counsel	Haynes and Boone, LLP	09/21/01	02/06/02
Eichenlaub, Theodore E.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	02/09/04
Eichenlaub, Theodore E.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	10/09/02
Eidt, Thomas	Compliance Inspections and Examinations	Assistant Director	GETCO, LLC	07/10/09	06/29/11
Eidt, Thomas	Compliance Inspections and Examinations	Assistant Director	GETCO, LLC	07/10/09	08/19/10
Eidt, Thomas	Compliance Inspections and Examinations	Assistant Director	GETCO, LLC	07/10/09	01/21/11
Eidt, Thomas	Compliance Inspections and Examinations	Assistant Director	GETCO, LLC	07/10/09	10/26/10
Eidt, Thomas	Compliance Inspections and Examinations	Assistant Director	GETCO, LLC	07/10/09	08/26/10
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	01/29/07
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	09/20/05
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	09/07/05
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	08/05/05
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	10/07/05
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	09/20/05
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	08/03/05
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	08/02/05
Ellsworth, Larry P.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	07/31/05	08/12/05
Fahy, John R.	Enforcement	Attorney	Fiserv Investor Services, Inc. and Tradestar Investments, Inc.	09/10/04	09/13/04
Fang, Kenneth C.	Investment Management	Attorney	Morrison & Foerster LLP	01/04/08	12/01/08
Farrell, Sean	Regional Office	Staff Accountant	ACA Compliance Group	06/16/06	09/13/06
Faucette, Gregory A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/11/04	05/19/06
Faucette, Gregory A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/11/04	02/27/06
Faucette, Gregory A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/11/04	03/20/06
Faucette, Gregory A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/11/04	05/15/06
Faucette, Gregory A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/11/04	07/28/05
Faucette, Gregory A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/11/04	12/13/04
Faucette, Gregory A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/11/04	03/07/05
Fausti, Kristina A.	Trading and Markets	Special Counsel	Fiduciary360, LP	04/24/09	10/29/09
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/13/06	06/06/08
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/13/06	06/27/08
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/18/06	05/10/07
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/13/06	08/15/08
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/13/06	01/28/08
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/13/06	12/11/08
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/13/06	01/25/08
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/13/06	06/27/08
Feldman, Stuart P.	Enforcement	Branch Chief	Greenberg Traurig LLP	12/13/06	06/03/08
Field, John J.	Enforcement	Senior Counsel	Nixon Peabody LLP	08/22/03	09/26/03
Field, John J.	Enforcement	Senior Counsel	Nixon Peabody LLP	08/22/03	10/08/03
Fields, Brian W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/08/09	10/06/10
Fields, Brian W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/08/09	08/12/10
Fields, Brian W.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/08/10	06/21/11
Finseth, Eric John	Corporation Finance	Attorney Fellow	Mayer, Brown, Rowe & Maw LLP	08/01/06	02/14/07
Finseth, Eric John	Corporation Finance	Attorney Fellow	Mayer, Brown, Rowe & Maw LLP	08/01/06	07/07/08
Firestone, Frederic D.	Enforcement	Associate Director	McDermott Will & Emery LLP	02/27/10	04/29/11
Firestone, Frederic D.	Enforcement	Associate Director	McDermott Will & Emery LLP	02/27/10	04/29/11
Firestone, Frederic D.	Enforcement	Associate Director	McDermott Will & Emery LLP	02/27/10	04/05/11
Firestone, Frederic D.	Enforcement	Associate Director	McDermott Will & Emery LLP	02/27/10	04/18/11
Firestone, Frederic D.	Enforcement	Associate Director	McDermott Will & Emery LLP	02/27/10	02/10/11
Flynn, Patricia	Regional Office	Assistant Regional Director	Enhanced Investment Technologies, LLC (INTECH)	11/01/05	08/31/06
Fokas, Jimmy	Enforcement	Staff Attorney	Baker & Hostetler LLP	06/10/05	10/04/06
Fokas, Jimmy	Enforcement	Staff Attorney	Baker & Hostetler LLP	06/10/05	10/04/06
Fokas, Jimmy	Enforcement	Staff Attorney	Baker & Hostetler LLP	06/10/05	05/04/06
Fokas, Jimmy	Enforcement	Staff Attorney	Baker & Hostetler LLP	06/10/05	08/01/06
Fokas, Jimmy	Enforcement	Staff Attorney	Baker & Hostetler LLP	06/10/05	06/21/06
Fokas, Jimmy	Enforcement	Staff Attorney	Baker & Hostetler LLP	06/10/05	06/20/05
Fons, Randall J.	Regional Office	Regional Director	Morrison & Foerster LLP	03/17/06	06/28/07
Fons, Randall J.	Regional Office	Regional Director	Morrison & Foerster LLP	03/17/06	09/27/07
Fons, Randall J.	Regional Office	Regional Director	Morrison & Foerster LLP	03/17/06	04/02/07
Fons, Randall J.	Regional Office	Regional Director	Morrison & Foerster LLP	03/17/06	04/20/07
Fons, Randall J.	Regional Office	Regional Director	Morrison & Foerster LLP	03/17/06	10/23/07
Fons, Randall J.	Regional Office	Regional Director	Morrison & Foerster LLP	03/17/06	11/09/07
Forgione, Joshua S.	Chief Accountant	Associate Chief Accountant	Ernst & Young	11/12/10	04/25/11
Forgione, Joshua S.	Chief Accountant	Associate Chief Accountant	Ernst & Young	11/12/10	06/23/11
Forgione, Joshua S.	Chief Accountant	Associate Chief Accountant	Ernst & Young	11/12/10	08/31/11
Forst, John K.	Investment Management	Attorney-Advisor	Dechert	10/01/99	01/17/01
Fox, Wendy D.	Regional Office	Attorney-Advisor	Ariel Capital Management, LLC, and Ariel Distributors, Inc.	10/01/04	01/26/05
Fox III, Robert G.	Chief Accountant	Professional Accounting Fellow	Grant Thornton LLP	06/19/09	08/20/09
Fox III, Robert G.	Chief Accountant	Professional Accounting Fellow	Grant Thornton LLP	06/19/09	08/20/09
Fox III, Robert G.	Chief Accountant	Professional Accounting Fellow	Grant Thornton LLP	06/19/09	10/25/10
Fox III, Robert G.	Chief Accountant	Professional Accounting Fellow	Grant Thornton LLP	06/19/09	10/25/10
Fox III, Robert G.	Chief Accountant	Professional Accounting Fellow	Grant Thornton LLP	06/19/09	10/28/09
Fox III, Robert G.	Chief Accountant	Professional Accounting Fellow	Grant Thornton LLP	06/19/09	10/26/09
Fox III, Robert G.	Chief Accountant	Professional Accounting Fellow	Grant Thornton LLP	06/19/09	08/20/09
Franker, Matthew C.	Corporation Finance	Attorney-Advisor	Covington & Burling	11/30/07	01/10/08
Freeman, Jeremy D.	Enforcement	Staff Attorney	McGuireWoods, LLP	04/23/04	12/22/04
Freeman, Jeremy D.	Enforcement	Staff Attorney	McGuireWoods, LLP	04/23/04	10/21/04
Freeman, Jeremy D.	Enforcement	Staff Attorney	McGuireWoods, LLP	04/23/04	05/03/05
Freeman, Jeremy D.	Enforcement	Staff Attorney	McGuireWoods, LLP	04/23/04	01/21/05
Freeman, Jeremy D.	Enforcement	Staff Attorney	McGuireWoods, LLP	04/23/04	05/16/05
Friedman, Israel	Enforcement	Branch Chief	Kensico Capital Management Corp.	04/09/10	04/01/11
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	03/23/09
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	09/19/08
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	04/18/08
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	03/03/08
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	11/29/07
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	06/12/07
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	07/20/07
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	07/20/07
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	09/19/08
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	10/19/07
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	05/18/07
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	09/19/08
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	04/03/08
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	06/12/07
Fuller, Stacy L.	Investment Management	Branch Chief	K&L Gates LLP	04/03/07	03/31/08
Fuller, Stacy L.	Investment Management	Branch Chief	K&L Gates LLP	04/03/07	10/23/07
Fuller, Alison M.	Investment Management	Assistant Chief Counsel	Stradley Ronon	04/27/07	06/01/07
Fuller, Stacy L.	Investment Management	Branch Chief	K&L Gates LLP	04/03/07	12/20/07
Fuller, Stacy L.	Investment Management	Branch Chief	K&L Gates LLP	04/03/07	06/06/08
Gabinet, Arthur S.	Regional Office	District Administrator	Vanguard Group, Inc.	10/29/05	10/19/06
Galang, Gina P.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	10/31/02	12/02/03
Galang, Gina P.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	10/31/02	07/26/04
Galang, Gina P.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	10/31/02	10/03/03
Galang, Gina P.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	10/31/02	04/28/04
Galang, Gina P.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	10/31/02	03/15/04
Gallagher, Jr., Daniel M.	Trading and Markets	Co-Acting Director	Wilmer Cutler Pickering Hale and Dorr LLP	01/30/10	02/25/11
Gallagher, Jr., Daniel M.	Trading and Markets	Co-Acting Director	Wilmer Cutler Pickering Hale and Dorr LLP	01/30/10	02/24/11
Gallagher, Jr., Daniel M.	Trading and Markets	Co-Acting Director	Wilmer Cutler Pickering Hale and Dorr LLP	01/30/10	02/17/11
Gardner, Mary E.	Enforcement	Senior Counsel	McDermott Will & Emery LLP	06/18/04	06/25/04
Gardner, Mary E.	Enforcement	Senior Counsel	McDermott Will & Emery LLP	06/18/04	06/25/04
Gardner, Mary E.	Enforcement	Senior Counsel	McDermott Will & Emery LLP	06/18/04	05/01/06
Gardner, Mary E.	Enforcement	Senior Counsel	McDermott Will & Emery LLP	06/18/04	06/25/04
Gardner, Mary E.	Enforcement	Senior Counsel	McDermott Will & Emery LLP	06/18/04	07/22/04
Gardner, Mary E.	Enforcement	Senior Counsel	McDermott Will & Emery LLP	06/18/04	11/01/05
Gardner, Mary E.	Enforcement	Senior Counsel	McDermott Will & Emery LLP	06/18/04	11/01/05
Gardner, Mary E.	Enforcement	Senior Counsel	McDermott Will & Emery LLP	06/18/04	03/15/06
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	04/18/03
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	04/11/03
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	09/13/04
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	09/09/03
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	04/10/03
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	05/22/03
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	05/12/03
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	06/03/03
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	05/22/03
Garris, Dennis O.	Corporation Finance	Chief	Alston & Bird LLP	03/14/03	04/18/03
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	08/03/09
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	04/11/08
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	05/01/08
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	11/02/07
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	11/07/07
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	05/13/08
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	03/14/08
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	02/04/08
Gault-Brown, Susan	Investment Management	Senior Counsel	K&L Gates LLP	09/21/07	07/28/09
Geist, Andrew J.	Regional Office	Senior Associate Regional Director	O'Melveny & Myers LLP	04/07/00	06/04/01
Geist, Andrew J.	Regional Office	Senior Associate Regional Director	O'Melveny & Myers LLP	04/07/00	11/30/01
Geist, Andrew J.	Regional Office	Senior Associate Regional Director	O'Melveny & Myers LLP	04/07/00	03/14/02
Geist, Andrew J.	Regional Office	Senior Associate Regional Director	O'Melveny & Myers LLP	04/07/00	06/25/01
Geist, Andrew J.	Regional Office	Assistant Regional Director	O'Melveny & Myers LLP	04/07/00	08/15/01
Geist, Andrew J.	Regional Office	Senior Associate Regional Director	O'Melveny & Myers LLP	04/07/00	03/07/02
Geist, Andrew J.	Regional Office	Senior Associate Regional Director	O'Melveny & Myers LLP	04/07/00	11/26/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	02/26/02
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	01/02/02
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	10/01/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	05/14/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	01/31/02
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	03/28/02
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	01/29/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	10/18/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	11/01/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	03/28/02
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	03/04/02
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	08/24/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	05/16/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	04/11/01
Gerlach, Paul V.	Enforcement	Associate Director	Sidley Austin LLP	04/13/00	04/08/02
Goel, Asheesh	Enforcement	Branch Chief	Kirkland & Ellis LLP	12/30/05	01/27/06
Goel, Asheesh	Enforcement	Branch Chief	Kirkland & Ellis LLP	12/30/05	01/27/06
Goel, Asheesh	Enforcement	Branch Chief	Kirkland & Ellis LLP	12/30/05	01/27/06
Goettsch, Yolanda M.	General Counsel	Senior Counsel	Nasdaq Stock Market	06/10/05	11/29/05
Goettsch, Yolanda M.	General Counsel	Senior Counsel	Nasdaq Stock Market	06/10/05	10/31/05
Gok, Lisa A.	Enforcement	Assistant Regional Director	Transamerica Financial Advisors, Inc.	10/04/05	11/03/05
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	06/14/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	10/31/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	09/02/08
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	09/03/08
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	04/24/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	05/07/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	05/31/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	07/05/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	05/09/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	08/16/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	03/29/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	03/07/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	03/26/08
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	02/12/08
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	09/06/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	03/27/07
Goldfried, Daniel A.	Enforcement	Senior Counsel	Merrill Lynch	03/02/07	06/05/07
Goody, Teresa M.	General Counsel	Attorney	Kalorama Partners, LLC	06/03/11	09/13/11
Graham, Rachel H.	Investment Management	Senior Counsel	Debevoise & Plimpton LLP	10/06/00	05/29/01
Graham, Rachel H.	Investment Management	Senior Counsel	Debevoise & Plimpton LLP	10/06/00	02/27/01
Graham, Rachel H.	Investment Management	Senior Counsel	Debevoise & Plimpton LLP	10/06/00	08/02/01
Grassey, Gary T.	Enforcement	Staff Attorney	Fidelity Investments	07/16/04	09/14/04
Green, Randolph P.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	05/28/04	03/16/06
Green, Randolph P.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	05/28/04	05/09/06
Green, Randolph P.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	05/28/04	05/09/06
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	08/13/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	08/18/00	03/23/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	11/09/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	05/18/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	06/11/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	10/01/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	05/01/02
Greenstein, Louis D.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	08/18/00	01/04/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	06/05/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	05/07/01
Greenstein, Louis D.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	08/18/00	01/15/02
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	02/10/09
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	09/17/08
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	07/14/10
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	06/14/10
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	08/10/09
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	04/14/09
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	01/13/09
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	10/05/09
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	03/26/10
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	12/28/09
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	03/24/10
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	11/13/09
Greer, Amy J.	Regional Office	Regional Trial Counsel	Reed Smith LLP	08/01/08	11/03/08
Grime, Richard W.	Enforcement	Assistant Director	O'Melveny & Myers LLP	06/15/07	01/08/09
Grime, Richard W.	Enforcement	Assistant Director	O'Melveny & Myers LLP	06/15/07	03/13/09
Grime, Richard W.	Enforcement	Assistant Director	O'Melveny & Myers LLP	06/15/07	10/16/07
Grime, Richard W.	Enforcement	Assistant Director	O'Melveny & Myers LLP	06/15/07	12/17/07
Grime, Richard W.	Enforcement	Assistant Director	O'Melveny & Myers LLP	01/15/07	09/20/07
Grime, Richard W.	Enforcement	Assistant Director	O'Melveny & Myers LLP	06/15/07	09/09/08
Grunberg, Nancy R.	Enforcement	Assistant Director	Venable LLP	09/26/02	11/14/02
Grunberg, Nancy R.	Enforcement	Assistant Director	Venable LLP	09/26/02	11/05/02
Grunberg, Nancy R.	Enforcement	Assistant Director	Venable LLP	09/26/02	05/16/03
Grunberg, Nancy R.	Enforcement	Assistant Director	Venable LLP	09/26/02	05/16/03
Grunberg, Nancy R.	Enforcement	Assistant Director	Venable LLP	09/26/02	01/03/03
Grunberg, Nancy R.	Enforcement	Assistant Director	Venable LLP	09/26/02	12/18/03
Grunberg, Nancy R.	Enforcement	Assistant Director	Venable LLP	09/26/02	07/25/03
Grunberg, Nancy R.	Enforcement	Assistant Director	Venable LLP	09/26/02	07/25/03
Gumagay, Paul A.	Enforcement	Senior Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	05/05/04	06/14/04
Gumbs, Keir D.	Commissioner Roel C. Campos	Counsel	Covington & Burling	07/01/05	10/21/05
Gumbs, Keir D.	Commissioner Roel C. Campos	Counsel	Covington & Burling	07/01/05	02/21/06
Gumbs, Keir D.	Commissioner Roel C. Campos	Counsel	Covington & Burling	07/01/05	02/21/06
Hamm, Kathleen M.	Enforcement	Assistant Director	Wilson Sonsini Goodrich & Rosati, P.C.	07/14/00	01/07/01
Hamm, Kathleen M.	Enforcement	Assistant Director	Wilson Sonsini Goodrich & Rosati, P.C.	07/14/00	07/03/01
Hamm, Kathleen M.	Enforcement	Assistant Director	Wilson Sonsini Goodrich & Rosati, P.C.	07/14/00	05/21/01
Hamm, Kathleen M.	Enforcement	Assistant Director	Wilson Sonsini Goodrich & Rosati, P.C.	07/14/00	03/09/01
Hamm, Kathleen M.	Enforcement	Assistant Director	Nasdaq Liffe Markets, LLC	07/14/00	10/15/01
Hamm, Kathleen M.	Enforcement	Assistant Director	Wilson Sonsini Goodrich & Rosati, P.C.	07/14/00	04/05/01
Hamm, Raymond J.	Enforcement	Associate Chief Accountant	Ten Eyck Associates, Inc.	03/19/03	08/14/03
Hamm, Kathleen M.	Enforcement	Assistant Director	Wilson Sonsini Goodrich & Rosati, P.C.	07/14/00	05/10/01
Harnisch, Kevin J.	Enforcement	Branch Chief	Fried, Frank, Harris, Shriver & Jacobson	07/02/99	03/07/01
Harnisch, Kevin J.	Enforcement	Branch Chief	Fried, Frank, Harris, Shriver & Jacobson	07/02/99	05/15/01
Harnisch, Kevin J.	Enforcement	Branch Chief	Fried, Frank, Harris, Shriver & Jacobson	07/02/99	02/01/01
Harris, Ivan P.	Regional Office	Assistant Regional Director	Morgan, Lewis & Bockius LLP	08/19/05	07/13/07
Harris, Ivan P.	Regional Office	Assistant Regional Director	Morgan, Lewis & Bockius LLP	08/19/05	07/13/07
Hashemi, Caz	Enforcement	Staff Attorney	Wilson Sonsini Goodrich & Rosati, P.C.	05/19/00	01/25/01
Heilizer, Deborah G.	Enforcement	Deputy Assistant Director	Deutsche Bank AG	07/12/02	12/09/02
Heilizer, Deborah G.	Enforcement	Deputy Assistant Director	Deutsche Bank AG	07/12/02	07/09/04
Heilizer, Deborah G.	Enforcement	Deputy Assistant Director	Deutsche Bank AG	07/12/02	12/03/03
Heilizer, Deborah G.	Enforcement	Deputy Assistant Director	Deutsche Bank AG	07/12/02	09/05/02
Heilizer, Deborah G.	Enforcement	Deputy Assistant Director	Deutsche Bank AG	07/12/02	08/20/02
Heinrichs, Jane G.	Investment Management	Senior Counsel	Shearman & Sterling LLP	10/27/00	05/02/01
Heinrichs, Jane G.	Investment Management	Senior Counsel	Shearman & Sterling LLP	10/27/00	05/30/01
Heinrichs, Jane G.	Investment Management	Senior Counsel	Shearman & Sterling LLP	10/27/00	02/21/02
Hengst, Steven E.	Regional Office	Securities Compliance Examiner	Kovitz Investment Group, LLC	11/25/05	12/12/06
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	07/10/02
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	07/09/02
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	05/02/01
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	03/07/02
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	01/17/01
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	07/31/02
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	02/28/02
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	04/06/01
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	01/02/01
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	05/02/01
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	01/15/02
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	04/23/02
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	02/07/01
Herr, Mitchell E.	Regional Office	Regional Trial Counsel	Holland & Knight LLP	11/29/00	12/12/01
Heyl, Dorothy	Regional Office	Senior Trial Counsel	Milbank, Tweed, Hadley & McCloy LLP	09/17/04	07/25/06
Heyl, Dorothy	Regional Office	Senior Trial Counsel	Milbank, Tweed, Hadley & McCloy LLP	09/17/04	05/09/06
Heyl, Dorothy	Regional Office	Senior Trial Counsel	Milbank, Tweed, Hadley & McCloy LLP	09/17/04	01/24/06
Heyl, Dorothy	Regional Office	Senior Trial Counsel	Milbank, Tweed, Hadley & McCloy LLP	09/17/04	06/08/06
Heyl, Dorothy	Regional Office	Senior Trial Counsel	Milbank, Tweed, Hadley & McCloy LLP	09/17/04	02/01/06
Heyl, Dorothy	Regional Office	Senior Trial Counsel	Milbank, Tweed, Hadley & McCloy LLP	09/17/04	09/29/05
Heyl, Dorothy	Regional Office	Senior Trial Counsel	Milbank, Tweed, Hadley & McCloy LLP	09/17/04	05/24/06
Hill, Kimberly S.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	04/08/05	11/14/05
Hill, Kimberly S.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	04/08/05	01/22/07
Hill, Kimberly S.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	04/08/05	11/04/05
Hiller, Carolyn L.	Enforcement	Attorney	Dechert	10/31/05	11/08/05
Hiller, Carolyn L.	Enforcement	Attorney	American International Group, Inc.	10/31/05	07/26/07
Hiller, Carolyn L.	Enforcement	Attorney	American International Group, Inc.	10/31/05	08/17/07
Hiller, Carolyn L.	Enforcement	Attorney	Dechert	10/31/05	11/30/05
Hodge, Russell P.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/10/05	11/29/06
Hodge, Russell P.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/10/05	05/10/06
Hodge, Russell P.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/10/05	08/10/06
Hodge, Russell P.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/10/05	03/26/07
Hodge, Russell P.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/10/05	04/26/06
Hoffmann, Vanessa M.	Enforcement	Staff Attorney	Wells Fargo	11/28/05	09/20/06
Hoffmann, Vanessa M.	Enforcement	Staff Attorney	Wells Fargo	11/28/05	12/22/05
Hoffmann, Vanessa M.	Enforcement	Staff Attorney	Wells Fargo	11/28/05	05/09/06
Hong, Peter M.	Investment Management	Staff Attorney	Stradley Ronon		02/28/03
Hong, Peter M.	Investment Management	Staff Attorney	Stradley Ronon		03/11/03
Horwood, Daniel	Corporation Finance	Special Counsel	Mayer, Brown, Rowe & Maw LLP	09/16/05	10/05/05
Horwood, Daniel	Corporation Finance	Special Counsel	Mayer, Brown, Rowe & Maw LLP	09/16/05	03/03/06
Horwood, Daniel	Corporation Finance	Special Counsel	Mayer, Brown, Rowe & Maw LLP	09/16/05	10/05/05
Hubacker, Andrew K.	Chief Accountant	Assistant Chief Accountant	Deloitte LLP	07/12/02	08/18/03
Huntington, David S.	Chairman Christopher Cox	Counsel	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/29/07	12/17/07
Hwa, E. David	Trading and Markets	Special Counsel	Bingham McCutchen LLP	09/30/06	08/18/08
Hwa, E. David	Trading and Markets	Special Counsel	Bingham McCutchen LLP	09/30/06	05/21/07
Hwa, E. David	Trading and Markets	Special Counsel	Bingham McCutchen LLP	09/30/06	04/29/08
Hwa, E. David	Trading and Markets	Special Counsel	Bingham McCutchen LLP	09/30/06	08/19/07
Hwa, E. David	Trading and Markets	Special Counsel	Bingham McCutchen LLP	09/30/06	02/14/08
Hwa, E. David	Trading and Markets	Special Counsel	Bingham McCutchen LLP	09/30/06	02/14/08
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	07/12/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	03/14/03
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	07/09/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	07/09/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	07/12/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	07/12/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	10/21/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	07/12/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	06/17/03
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	07/12/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	07/09/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	12/17/02
Hyatte, Michael	Corporation Finance	Attorney	Sidley Austin LLP	07/27/01	06/18/03
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	06/12/01
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	03/27/02
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	08/14/01
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	06/06/01
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	03/18/02
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	10/23/01
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	05/21/01
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	02/27/01
Intartaglio, Robert A.	Regional Office	Assistant District Administrator	UBS AG	11/10/00	10/26/01
Isenberg, Jerry A.	Enforcement	Assistant Director	McGuireWoods, LLP	11/17/00	03/27/01
Isenberg, Jerry A.	Enforcement	Assistant Director	McGuireWoods, LLP	11/17/00	04/16/01
Isenberg, Jerry A.	Enforcement	Assistant Director	McGuireWoods, LLP	11/17/00	05/29/01
Isenberg, Jerry A.	Enforcement	Assistant Director	McGuireWoods, LLP	11/17/00	09/18/01
Isenberg, Jerry A.	Enforcement	Assistant Director	McGuireWoods, LLP	11/17/00	04/09/01
Isenberg, Jerry A.	Enforcement	Assistant Director	LeClair Ryan	11/17/00	07/17/02
Isenberg, Jerry A.	Enforcement	Assistant Director	LeClair Ryan	11/17/00	07/08/02
Isenberg, Jerry A.	Enforcement	Assistant Director	McGuireWoods, LLP	11/17/00	02/13/01
Isenberg, Jerry A.	Enforcement	Assistant Director	LeClair Ryan	11/17/00	04/12/02
Isenberg, Jerry A.	Enforcement	Assistant Director	LeClair Ryan	11/17/00	04/12/02
Isenberg, Jerry A.	Enforcement	Assistant Director	LeClair Ryan	11/17/00	07/08/02
Isenberg, Jerry A.	Enforcement	Assistant Director	LeClair Ryan	11/17/00	10/24/01
Isenberg, Jerry A.	Enforcement	Assistant Director	LeClair Ryan	11/17/00	05/31/02
Ivascu, John C.	Enforcement	Staff Attorney	Vinson & Elkins LLP	01/02/06	01/05/06
Izower, Rachel	Enforcement	Senior Counsel	Greenberg Traurig LLP	08/24/05	03/08/07
Izower, Rachel	Enforcement	Senior Counsel	Greenberg Traurig LLP	09/24/05	04/05/06
Jack, Jami L.	Compliance Inspections and Examinations	Branch Chief	ACA Compliance Group	10/24/08	02/23/09
Jackson, Gary E.	Enforcement	Senior Trial Counsel	Morgan Stanley	01/31/01	03/18/02
Jackson, Gary E.	Enforcement	Senior Trial Counsel	Morgan Stanley	01/31/01	04/23/01
Jackson, Gary E.	Enforcement	Senior Trial Counsel	Morgan Stanley	01/31/01	03/16/01
Jackson, Gary E.	Enforcement	Senior Trial Counsel	Morgan Stanley	01/31/01	04/18/01
Jacobs, Steven	Corporation Finance	Associate Chief Accountant	Ernst & Young	11/12/10	03/14/11
Jacobs, Steven	Corporation Finance	Associate Chief Accountant	Ernst & Young	11/12/10	12/29/10
Jaconski, Michelle Wilson	Enforcement	Professional Accounting Fellow	PricewaterhouseCoopers LLP	05/15/04	09/07/04
Jivraj, Adeel H.	Investment Management	Assistant Chief Accountant	Ernst & Young	10/09/05	09/18/06
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	03/03/06
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	11/30/05
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	11/22/05
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	10/12/05
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	02/03/06
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	08/31/06
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	04/19/06
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	04/03/07
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	03/20/06
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	02/22/06
Johnson, Treazure R.	Enforcement	Senior Assistant Chief Litigation Counsel	Venable LLP	08/08/05	01/24/06
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	06/25/01
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	12/18/00
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	05/08/01
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	05/03/01
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	05/03/01
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	05/03/01
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	05/07/01
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	06/20/01
Johnston, Lynne E.	Enforcement	Staff Attorney	Lehman Brothers	12/31/99	05/03/01
Jones, Jeffrey N.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/04/99	02/22/01
Jones, Jeffrey N.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/04/99	01/12/01
Jordan, Anthony C.	Enforcement	Branch Chief	StoneTurn Group LLP	09/01/06	02/20/08
Jordan, Anthony C.	Enforcement	Branch Chief	StoneTurn Group LLP	09/01/06	01/16/08
Kamlet, Bradley T.	Corporation Finance	Special Counsel	Nixon Peabody LLP	06/11/04	05/27/05
Kane, David A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/07/02	03/12/03
Kane, David A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/07/02	12/19/02
Kane, David A.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/07/02	01/15/03
Kell, LaShon K.	Enforcement	Staff Attorney	Venable LLP	06/18/03	07/14/03
Kell, LaShon K.	Enforcement	Staff Attorney	Venable LLP	06/18/03	08/27/03
Kell, LaShon K.	Enforcement	Staff Attorney	Venable LLP	06/18/03	10/08/03
Kell, LaShon K.	Enforcement	Staff Attorney	Venable LLP	06/18/03	12/18/03
Kell, LaShon K.	Enforcement	Staff Attorney	Venable LLP	06/18/03	09/23/03
Kepple, Paul R.	Chief Accountant	Professional Accounting Fellow	PricewaterhouseCoopers LLP	06/09/00	11/15/01
Kerwin, Thomas M. J.	Investment Management	Senior Counsel	Marsico Capital Management, LLC	04/20/01	09/17/02
Kerwin, Thomas M. J.	Investment Management	Senior Counsel	Marsico Capital Management, LLC	04/20/01	07/17/01
Kim, Sandie	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/13/08	02/26/09
Kim, Sandie	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/13/08	05/06/09
Kim, Sandie	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/13/08	02/26/09
Kim, Sandie	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/13/08	04/13/10
Kimpel, Katrina	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/21/08	03/19/10
Kinsey, Jr., Walton S.	Enforcement	Branch Chief	Walter S. Kinsey, Jr., Attorney at Law	01/01/06	11/06/07
Kirkpatrick, Christopher E.	Enforcement	Branch Chief	Haynes and Boone, LLP	09/08/00	06/03/02
Kirkpatrick, Christopher E.	Enforcement	Branch Chief	Haynes and Boone, LLP	09/08/00	07/17/01
Kirkpatrick, Christopher E.	Enforcement	Branch Chief	Haynes and Boone, LLP	09/08/00	03/28/01
Kirkpatrick, Christopher E.	Enforcement	Branch Chief	Haynes and Boone, LLP	09/08/00	06/12/02
Klein, Gary T.	Enforcement	Branch Chief	Klein & Sallah LLC	06/04/04	08/18/04
Klein, Gary T.	Enforcement	Branch Chief	Klein & Sallah LLC	06/04/04	08/10/04
Knapton, Donna K.	Enforcement	Senior Counsel	Carlton Fields, P.A.	10/30/06	11/13/06
Knapton, Donna K.	Enforcement	Senior Counsel	Carlton Fields, P.A.	10/30/06	05/18/07
Knuts, Robert	Enforcement	Senior Trial Counsel	Day, Berry & Howard LLP	08/08/03	04/02/04
Knuts, Robert	Enforcement	Senior Trial Counsel	Day, Berry & Howard LLP	08/08/03	12/05/03
Knuts, Robert	Enforcement	Senior Trial Counsel	Day, Berry & Howard LLP	08/08/03	11/17/03
Knuts, Robert	Enforcement	Senior Trial Counsel	Day, Berry & Howard LLP	08/08/03	11/17/03
Knuts, Robert	Enforcement	Senior Trial Counsel	Day, Berry & Howard LLP	08/08/03	12/05/03
Knuts, Robert	Enforcement	Senior Trial Counsel	Day, Berry & Howard LLP	08/08/03	02/03/04
Knuts, Robert	Enforcement	Senior Trial Counsel	Day, Berry & Howard LLP	08/08/03	10/30/03
Knuts, Robert	Enforcement	Senior Trial Counsel	Day, Berry & Howard LLP	08/08/03	02/03/04
Kokenge, Chad A.	Chief Accountant	Professional Accounting Fellow	PricewaterhouseCoopers LLP	06/10/05	02/05/07
Kokenge, Chad A.	Chief Accountant	Professional Accounting Fellow	PricewaterhouseCoopers LLP	06/10/05	04/24/07
Kokenge, Chad A.	Chief Accountant	Professional Accounting Fellow	PricewaterhouseCoopers LLP	06/10/05	11/09/06
Kokenge, Chad A.	Chief Accountant	Professional Accounting Fellow	PricewaterhouseCoopers LLP	06/10/05	05/12/06
Kokenge, Chad A.	Chief Accountant	Professional Accounting Fellow	PricewaterhouseCoopers LLP	06/10/05	05/02/07
Kopecky, James L.	Enforcement	Branch Chief	James L. Kopecky, P.C.	07/12/02	06/07/04
Kopecky, James L.	Enforcement	Branch Chief	James L. Kopecky, P.C.	07/12/02	11/12/03
Kornblau, David L.	Enforcement	Chief Litigation Counsel	Merrill Lynch	08/05/05	06/22/06
Kornblau, David L.	Enforcement	Chief Litigation Counsel	Merrill Lynch	08/05/05	03/27/06
Kornblau, David L.	Enforcement	Chief Litigation Counsel	Merrill Lynch	08/05/05	10/24/06
Kornblau, David L.	Enforcement	Chief Litigation Counsel	Merrill Lynch	08/05/05	09/30/05
Kornblau, David L.	Enforcement	Chief Litigation Counsel	Merrill Lynch	08/05/05	01/11/06
Kostolampros, George	Enforcement	Senior Counsel	Venable LLP	01/19/07	07/25/07
Kostolampros, George	Enforcement	Senior Counsel	Venable LLP	01/19/07	02/15/08
Kreiger, Sean E.	Enforcement	Staff Attorney	K&L Gates LLP	05/10/04	06/10/04
Kreiger, Sean E.	Enforcement	Staff Attorney	K&L Gates LLP	05/14/04	05/19/04
Kroeper, Jon	Chairman Christopher Cox	Counsel	Financial Industry Regulatory Authority	03/02/07	09/10/07
Kroeper, Jon	Commissioner Laura S. Unger	Counsel	Instinet Corporation	01/28/00	08/06/01
Kroeper, Jon	Commissioner Laura S. Unger	Counsel	Instinet Corporation	01/28/00	03/03/01
Kropke, Paul S.	Regional Office	Employee	First Analysis Securities Corporation		01/10/06
Kviz, Timothy S.	Chief Accountant	Professional Accounting Fellow	Freddie Mac	05/30/07	07/27/07
Lackey, Kay L.	Enforcement	Assistant Regional Director	RBS Securities Inc.	08/01/09	03/21/11
Lackey, Kay L.	Enforcement	Assistant Regional Director	RBS Securities Inc.	07/31/09	11/05/10
Lackey, Kay L.	Enforcement	Assistant Regional Director	RBS Securities Inc.	07/31/09	03/18/11
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	03/23/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	05/03/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	07/10/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	07/11/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	11/27/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	11/27/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	11/07/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	02/02/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	08/29/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	01/10/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	06/01/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	03/20/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	05/07/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	06/01/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	07/02/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	10/17/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	08/21/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	03/16/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	04/23/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	05/02/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	06/12/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	08/15/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	08/23/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	09/17/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	09/21/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	10/18/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	10/24/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	11/21/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	12/19/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	12/21/01
Lane, Brian J.	Corporation Finance	Director	Gibson, Dunn & Crutcher LLP	12/31/99	01/31/01
Lavan, David J.	Corporation Finance	Attorney-Advisor	Fleischman and Walsh, L.L.P.	06/02/00	04/18/01
Lavan, David J.	Corporation Finance	Attorney-Advisor	Fleischman and Walsh, L.L.P.	06/02/00	08/07/01
Lavan, David J.	Corporation Finance	Attorney-Advisor	Fleischman and Walsh, L.L.P.	06/02/00	04/12/01
Lawrence, Carmen J.	Regional Office	Regional Director	Fried, Frank, Harris, Shriver & Jacobson	06/30/00	11/05/01
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	04/06/04
Lawrence, Carmen J.	Regional Office	Regional Director	Fried, Frank, Harris, Shriver & Jacobson	06/30/00	12/20/01
Lawrence, Carmen J.	Regional Office	Regional Director	Fried, Frank, Harris, Shriver & Jacobson	06/30/00	01/03/02
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	03/02/04
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	09/14/04
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	09/30/04
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	07/13/05
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	04/06/04
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	04/26/04
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	07/07/04
Lawrence, Carmen J.	Regional Office	Regional Director	Fried, Frank, Harris, Shriver & Jacobson	06/30/00	03/04/02
Lawrence, Carmen J.	Regional Office	Regional Director	Fried, Frank, Harris, Shriver & Jacobson	06/30/00	04/11/02
Lawrence, Carmen J.	Regional Office	Regional Director	Fried, Frank, Harris, Shriver & Jacobson	06/30/00	05/29/02
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	12/17/04
Lawrence, Andrew M.	Enforcement	Staff Attorney	Skadden, Arps, Slate, Meagher & Flom LLP	02/27/04	10/14/04
Lawrence, Carmen J.	Regional Office	Regional Director	Fried, Frank, Harris, Shriver & Jacobson	06/30/00	12/20/01
Lawrence, Gregory T.	Enforcement	Senior Counsel	Conti Fenn & Lawrence LLC	07/31/05	09/26/05
Lawrence, Carmen J.	Regional Office	Regional Director	Fried, Frank, Harris, Shriver & Jacobson	06/30/00	11/09/01
Lazo, Theodore R.	Trading and Markets	Senior Special Counsel	Morgan, Lewis & Bockius LLP	03/26/04	05/03/05
Lazo, Theodore R.	Trading and Markets	Senior Special Counsel	Morgan, Lewis & Bockius LLP	03/26/04	12/02/04
Leder, Paul A.	International Affairs	Deputy Director	Richards Spears Kibbe & Orbe LLP	07/11/99	06/26/01
Lee, David C.	Commissioner Roel C. Campos	Counsel	Gibson, Dunn & Crutcher LLP	07/16/04	09/12/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	03/07/06
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	09/22/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	10/19/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	09/23/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	01/24/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	11/03/04
Lee, Randall R.	Regional Office	Regional Director	Wilmer Cutler Pickering Hale and Dorr LLP	08/19/07	05/27/09
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	04/26/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	09/23/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	09/15/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	07/20/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	05/16/05
Lee, David C.	Commissioner Roel C. Campos	Counsel	Gibson, Dunn & Crutcher LLP	07/16/04	03/25/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	03/15/05
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	02/22/05
Lee, David C.	Commissioner Roel C. Campos	Counsel	Gibson, Dunn & Crutcher LLP	07/16/04	10/12/05
Lee, David C.	Commissioner Roel C. Campos	Counsel	Gibson, Dunn & Crutcher LLP	07/16/04	01/30/06
Lee, Jason P.	Enforcement	Senior Counsel	Shartsis Friese LLP	10/01/04	01/25/06
Lee, Randall R.	Regional Office	Regional Director	Wilmer Cutler Pickering Hale and Dorr LLP	08/19/07	05/18/09
Lee, Randall R.	Regional Office	Regional Director	Wilmer Cutler Pickering Hale and Dorr LLP	08/19/07	07/31/09
Lee, Randall R.	Regional Office	Regional Director	Wilmer Cutler Pickering Hale and Dorr LLP	08/19/07	08/26/08
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	02/15/01
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	12/20/00
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	09/17/01
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	02/15/01
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	10/30/00
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	12/11/01
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	07/02/01
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	08/08/01
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	04/19/01
Lehrer, Frederick M.	Enforcement	Senior Counsel	Hamilton, Lehrer & Dargan, P.A.	01/10/00	11/15/00
Lennon, Wayne A.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	06/18/04	11/29/04
Lesser, Jacob N.	General Counsel	Senior Special Counsel	Public Company Accounting Oversight Board	10/22/04	05/19/06
Lesser, Jacob N.	General Counsel	Senior Special Counsel	Public Company Accounting Oversight Board	10/22/04	10/19/06
Lesser, Jacob N.	General Counsel	Senior Special Counsel	Public Company Accounting Oversight Board	10/22/04	06/29/06
Lesser, Jacob N.	General Counsel	Senior Special Counsel	Public Company Accounting Oversight Board	10/22/04	04/05/06
Lesser, Jacob N.	General Counsel	Senior Special Counsel	Public Company Accounting Oversight Board	10/22/04	10/07/05
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	04/27/07
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	08/17/06
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	10/13/06
Levine, David M.	Enforcement	Senior Advisor	Deutsche Bank AG	11/30/01	02/08/02
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	09/17/06
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	02/11/08
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	07/12/06
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	11/01/07
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	07/31/07
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	05/16/07
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	09/05/06
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	07/27/06
Levine, David M.	Enforcement	Senior Advisor	Deutsche Bank AG	11/30/01	04/29/03
Levine, David M.	Enforcement	Senior Advisor	Deutsche Bank AG	11/30/01	02/07/02
Levine, David M.	Enforcement	Senior Advisor	Deutsche Bank AG	11/30/01	12/26/01
Levine, David M.	Enforcement	Senior Advisor	Deutsche Bank AG	11/30/01	12/03/01
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	09/06/07
Levine, David M.	Enforcement	Senior Advisor	Deutsche Bank AG	11/30/01	04/01/02
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	10/17/06
Levine, Joshua E.	Enforcement	Senior Attorney	Citigroup	06/09/06	06/22/07
Lewis, Jason S.	Enforcement	Staff Attorney	Locke Lord Bissell & Liddell LLP	11/30/07	01/22/08
Lewis, Jason S.	Enforcement	Staff Attorney	Locke Lord Bissell & Liddell LLP	11/30/07	10/13/08
Lewis, Jason S.	Enforcement	Staff Attorney	Locke Lord Bissell & Liddell LLP	11/30/07	01/07/08
Lewis, Jason S.	Enforcement	Staff Attorney	Locke Lord Bissell & Liddell LLP	11/30/07	08/11/08
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	07/22/10
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	09/16/11
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	02/03/10
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	07/27/11
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	03/15/10
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	08/26/10
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	08/05/10
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	05/11/10
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	08/27/10
Loach, Jennifer C.	Enforcement	Branch Chief	RBS Securities Inc.	11/20/09	09/16/11
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	01/07/09
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	03/31/09
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	04/23/09
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	09/23/09
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	02/17/10
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	09/15/09
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	01/19/09
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	11/11/08
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	05/03/10
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	08/14/08
Loftus, Kevin M.	Enforcement	Branch Chief	Paul, Weiss, Rifkind, Wharton & Garrison LLP	05/09/08	07/07/08
Long, Ronald C.	Regional Office	District Administrator	Wachovia	06/18/02	09/08/03
Long, Ronald C.	Regional Office	District Administrator	Wachovia	06/18/02	12/08/03
Long, Ronald C.	Regional Office	District Administrator	Wachovia	06/18/02	11/06/03
Lopez, G. Anthony	Chief Accountant	Associate Chief Accountant	FTI Consulting, Inc.	06/10/06	09/18/06
Lopez, G. Anthony	Chief Accountant	Associate Chief Accountant	FTI Consulting, Inc.	06/10/06	11/01/06
Lopez, G. Anthony	Chief Accountant	Associate Chief Accountant	FTI Consulting, Inc.	06/10/06	06/26/06
Lopez, G. Anthony	Chief Accountant	Associate Chief Accountant	FTI Consulting, Inc.	06/10/06	11/13/06
Lopez, G. Anthony	Chief Accountant	Associate Chief Accountant	FTI Consulting, Inc.	06/10/06	04/12/07
Lopez, G. Anthony	Chief Accountant	Associate Chief Accountant	FTI Consulting, Inc.	06/10/06	08/03/06
Lowman, Michael K.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	08/11/06	11/16/06
Lowman, Michael K.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	08/11/06	12/19/07
Lowman, Michael K.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	08/11/06	08/21/06
Lowman, Michael K.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	08/11/06	10/09/06
Lowman, Michael K.	Enforcement	Assistant Chief Litigation Counsel	Jenner & Block	08/11/06	01/17/07
Lu, Chih-Pin	Enforcement	Senior Counsel	Johnson, Pope, Bokor, Ruppel & Burns, LLP	08/01/05	02/15/06
Lu, Chih-Pin	Enforcement	Senior Counsel	Johnson, Pope, Bokor, Ruppel & Burns, LLP	08/01/05	08/07/06
Lu, Chih-Pin	Enforcement	Senior Counsel	Johnson, Pope, Bokor, Ruppel & Burns, LLP	08/01/05	02/06/06
Lum, Amy E. Gibson	Enforcement	Senior Attorney	Katten Muchin Zavis Rosenman	10/22/04	11/01/04
Lum, Amy E. Gibson	Enforcement	Senior Attorney	Katten Muchin Zavis Rosenman	10/22/04	11/12/04
Lum, Amy E. Gibson	Enforcement	Senior Attorney	Katten Muchin Zavis Rosenman	10/22/04	07/01/05
Lum, Amy E. Gibson	Enforcement	Senior Attorney	Katten Muchin Zavis Rosenman	10/22/04	04/28/05
Lynn, David M.	Corporation Finance	Chief Counsel	Morrison & Foerster LLP	05/25/07	05/13/09
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	02/27/02
Lynn, David M.	Corporation Finance	Chief Counsel	Morrison & Foerster LLP	05/01/07	04/24/09
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	01/24/02
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	08/07/01
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	04/27/01
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	07/17/01
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	10/23/01
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	11/06/01
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	02/27/02
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	05/28/02
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	05/24/01
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	06/06/01
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	04/25/02
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	06/25/02
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	07/24/02
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	11/20/01
Lynn, David M.	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	09/15/00	04/27/01
MacLeod, Lorna	Investment Management	Branch Chief	LeBoeuf, Lamb, Greene and MacRae, LLP	08/05/05	07/27/06
Maco, Paul S.	Trading and Markets	Director	Vinson & Elkins LLP	10/15/00	08/23/02
Maco, Paul S.	Trading and Markets	Director	Vinson & Elkins LLP	10/15/00	03/29/02
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	09/09/05
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	01/18/06
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	09/13/06
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	06/06/06
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/27/05	10/13/06
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	09/07/06
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	01/20/06
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	08/09/07
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	09/02/05
MacPhail, Michael R.	Regional Office	Deputy Assistant Regional Director	Holland & Hart, LLP	08/17/05	06/07/07
Mahar, Mark	Chief Accountant	Associate Chief Accountant	Ernst & Young	07/05/09	01/26/10
Mahar, Mark	Chief Accountant	Associate Chief Accountant	Ernst & Young	07/05/09	04/19/10
Mahar, Mark	Chief Accountant	Associate Chief Accountant	Ernst & Young	07/05/09	03/23/10
Mahar, Mark	Chief Accountant	Associate Chief Accountant	Ernst & Young	07/05/09	01/26/10
Mango, Andrea R.	Compliance Inspections and Examinations	Staff Attorney	Dechert		05/24/01
Mannon, Joseph M.	Enforcement	Staff Attorney	Vedder, Price, Kaufman & Kammholz, P.C.	01/07/05	12/14/06
Mannon, Joseph M.	Enforcement	Staff Attorney	Vedder, Price, Kaufman & Kammholz, P.C.	01/07/05	01/26/05
Mannon, Joseph M.	Enforcement	Staff Attorney	Vedder, Price, Kaufman & Kammholz, P.C.	01/07/05	09/21/06
Mannon, Joseph M.	Enforcement	Staff Attorney	Vedder, Price, Kaufman & Kammholz, P.C.	01/07/05	02/28/06
Mannon, Joseph M.	Enforcement	Staff Attorney	Vedder, Price, Kaufman & Kammholz, P.C.	01/07/05	11/11/05
Mannon, Joseph M.	Enforcement	Staff Attorney	Vedder, Price, Kaufman & Kammholz, P.C.	01/07/05	12/21/05
Mannon, Joseph M.	Enforcement	Staff Attorney	Vedder, Price, Kaufman & Kammholz, P.C.	01/07/05	03/24/05
Manos, Robyn	Corporation Finance	Staff Attorney	Proskauer Rose LLP	12/05/12	05/09/07
Manos, Robyn	Corporation Finance	Staff Attorney	Proskauer Rose LLP	12/01/05	01/05/07
Marcelino, Juan Marcel	Regional Office	District Administrator	Greenberg Traurig LLP	04/16/04	04/21/05
Marcelino, Juan Marcel	Regional Office	District Administrator	Greenberg Traurig LLP	04/16/04	04/21/05
Marcelino, Juan Marcel	Regional Office	District Administrator	Greenberg Traurig LLP	04/16/04	06/27/05
Marder, David E.	Regional Office	Assistant District Administrator	Robins, Kaplan, Miller & Ciresi L.L.P.	07/01/01	10/10/02
Marder, David E.	Regional Office	Assistant District Administrator	Robins, Kaplan, Miller & Ciresi L.L.P.	07/01/01	06/26/02
Marencik, Colleen J.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	10/21/05	05/16/06
Marencik, Colleen J.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	10/21/05	04/05/06
Marencik, Colleen J.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	10/21/05	11/30/06
Markel, Carina C.	Chief Accountant	Professional Accounting Fellow	PricewaterhouseCoopers LLP	03/28/03	08/14/03
Markel, Susan G.	Enforcement	Chief Accountant	AlixPartners LLP	01/02/09	06/05/10
Markle, John S.	Commissioner Paul R. Carey	Counsel	Ameritrade Holding Corporation	07/27/01	03/21/02
Markle, John S.	Commissioner Paul R. Carey	Counsel	Ameritrade Holding Corporation	07/27/01	03/21/02
Martin, David B. H.	Corporation Finance	Director	Covington & Burling	01/11/02	02/11/03
Martin, Craig D.	Regional Office	Staff Attorney	Morrison & Foerster LLP	07/05/02	10/29/02
Martin, David B. H.	Corporation Finance	Director	Covington & Burling	01/11/02	12/31/03
Martin, David B. H.	Corporation Finance	Director	Covington & Burling	01/11/02	12/23/03
Martin, David B. H.	Corporation Finance	Director	Covington & Burling	01/11/02	12/31/03
Martin, Craig D.	Regional Office	Staff Attorney	Morrison & Foerster LLP	07/05/02	08/14/02
Martin, Craig D.	Regional Office	Staff Attorney	Morrison & Foerster LLP	07/05/02	09/16/02
Martin, David B. H.	Corporation Finance	Director	Covington & Burling	01/11/02	10/23/03
Martin, David B. H.	Corporation Finance	Director	Covington & Burling	01/11/02	03/21/03
Martin, Craig D.	Regional Office	Staff Attorney	Morrison & Foerster LLP	07/05/02	12/23/02
Mathews, Walter J.	Enforcement	Senior Counsel	Walter J. Mathews, P.A.	11/10/06	04/25/07
Mathews, Walter J.	Enforcement	Senior Counsel	Walter J. Mathews, P.A.	11/10/06	05/02/08
Mathews, Walter J.	Enforcement	Senior Counsel	Walter J. Mathews, P.A.	11/10/06	06/25/07
Mathews, Walter J.	Enforcement	Senior Counsel	Walter J. Mathews, P.A.	11/10/06	09/08/09
Mathews, Walter J.	Enforcement	Senior Counsel	Walter J. Mathews, P.A.	11/10/06	06/07/07
Mathews, Walter J.	Enforcement	Senior Counsel	Walter J. Mathews, P.A.	11/10/06	11/29/06
Mayhew, Stewart	Risk, Strategy, and Financial Innovation	Deputy Chief Economist	Cornerstone Research	08/15/10	09/22/11
McAndrews, Thomas	Enforcement	Staff Attorney	O'Melveny & Myers LLP	05/01/05	08/02/06
McAndrews, Thomas	Enforcement	Attorney	O'Melveny & Myers LLP	05/01/05	01/11/07
McAndrews, Thomas	Enforcement	Employee	O'Melveny & Myers LLP	05/01/05	01/23/06
McCarty, Charles Barry	Corporation Finance	Senior Counsel	Federal Home Loan Bank of Pittsburgh	06/03/05	06/15/05
McCormick, Kelly A.	Enforcement	Senior Counsel	Crowell & Moring LLP	08/08/03	08/15/03
McCormick, Kelly A.	Enforcement	Senior Counsel	Crowell & Moring LLP	08/08/03	08/18/03
McCormick, Kelly A.	Enforcement	Senior Counsel	Crowell & Moring LLP	08/08/03	09/21/04
McCormick, Kelly A.	Enforcement	Senior Counsel	Crowell & Moring LLP	08/08/03	11/09/04
McCrea, Lisa	Investment Management	Attorney-Advisor	Dechert	05/04/99	03/20/01
McDonald, Bart J.	Regional Office	Branch Chief	Renaissance Regulatory Services, Inc.	12/22/06	04/05/07
McDonald, Bart J.	Regional Office	Branch Chief	Renaissance Regulatory Services, Inc.	12/22/06	01/03/07
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	09/09/09
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	08/07/09
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	05/18/09
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	05/18/09
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	11/24/09
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	09/04/09
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	01/23/09
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	11/24/09
McGee, Carol M.	Corporation Finance	Attorney	Alston & Bird LLP	04/24/08	11/24/10
McGovern, William F.	Enforcement	Assistant Regional Director	Morgan Stanley	06/25/04	07/16/04
McGrath, Joseph D.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/23/07	01/31/08
McGrath, Joseph D.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/23/07	12/05/07
McGrath, Joseph D.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/23/07	10/25/07
McGrath, Joseph D.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	06/23/07	02/25/09
McHale, James T.	Trading and Markets	Special Counsel	Morgan, Lewis & Bockius LLP	09/01/99	05/16/01
McKown, Joan E.	Enforcement	Chief Counsel	Jones Day	07/30/10	09/27/11
McKown, Joan E.	Enforcement	Chief Counsel	Jones Day	07/30/10	09/23/11
McPherson, Chester A.	Trading and Markets	Attorney	Deutsche Bank AG	09/30/99	05/07/01
McPherson, Chester A.	Trading and Markets	Attorney	Deutsche Bank AG	09/30/99	06/04/01
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	03/05/01
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	01/24/01
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	03/05/01
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	06/27/01
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	08/08/01
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	05/03/02
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	08/01/02
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	12/05/01
Mehra, Ajay	Investment Management	Senior Counsel	Shearman & Sterling LLP	09/21/00	04/10/02
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	02/28/05
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	05/16/06
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	08/04/04
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	01/10/05
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	04/08/05
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	04/08/05
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	07/27/04
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	09/20/04
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	07/27/04
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	05/27/05
Meisner, Derek M.	Enforcement	Branch Chief	K&L Gates LLP	07/23/04	05/05/05
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	04/27/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	04/27/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	03/19/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	01/05/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	03/25/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	03/16/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	12/22/09
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	05/04/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	03/12/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	03/10/10
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	06/23/11
Mejia, Luis R.	Enforcement	Chief Litigation Counsel	DLA Piper	12/04/09	04/13/11
Mersman, Jeffrey D.	Regional Office	Staff Accountant	ACA Compliance Group	09/22/08	10/18/09
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	08/08/06
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	11/01/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	11/01/04
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	05/03/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	04/08/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	06/30/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	12/02/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	12/23/04
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	04/29/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	07/07/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	08/16/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	09/28/05
Meyers, James A.	Enforcement	Assistant Chief Litigation Counsel	Orrick, Herrington & Sutcliffe LLP	09/30/04	08/17/05
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	01/28/05
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	05/03/05
Miller, Morgan J.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	12/02/02	04/19/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	01/04/05
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	08/24/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	08/24/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	08/31/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	10/19/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	10/28/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	08/24/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	09/09/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	08/24/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	08/31/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	09/16/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	10/18/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	09/23/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	08/31/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	01/11/05
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	04/08/05
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	11/30/05
Miller, Robert Neil	Corporation Finance	Attorney-Advisor	DLA Piper	10/21/05	02/13/06
Miller, Robert Neil	Corporation Finance	Attorney-Advisor	DLA Piper	10/21/05	12/27/06
Miller, Robert Neil	Corporation Finance	Attorney-Advisor	DLA Piper	10/21/05	03/16/06
Miller, Robert Neil	Corporation Finance	Attorney-Advisor	DLA Piper	10/21/05	06/29/06
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	08/24/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	11/30/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	12/16/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	01/28/05
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	03/30/05
Miller, Morgan J.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	12/02/02	07/27/04
Miller, Robert Neil	Corporation Finance	Attorney-Advisor	DLA Piper	10/21/05	03/07/06
Miller, Robert Neil	Corporation Finance	Attorney-Advisor	DLA Piper	10/21/05	07/26/06
Miller, Robert Neil	Corporation Finance	Attorney-Advisor	DLA Piper	10/21/05	09/18/06
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	11/30/05
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	09/30/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	10/01/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	10/18/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	11/08/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	12/21/04
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	03/07/05
Miller, Kenneth L.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	07/28/04	04/01/05
Min, Susan L.	Corporation Finance	Attorney-Advisor	DLA Piper	06/09/06	09/29/06
Min, David K.	Enforcement	Staff Attorney	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	05/10/05
Min, Susan L.	Corporation Finance	Attorney-Advisor	Wilson Sonsini Goodrich & Rosati, P.C.	06/09/06	09/14/07
Min, Susan L.	Corporation Finance	Attorney-Advisor	Wilson Sonsini Goodrich & Rosati, P.C.	06/09/06	06/01/07
Min, Susan L.	Corporation Finance	Attorney-Advisor	DLA Piper	06/09/06	09/29/06
Min, David K.	Enforcement	Staff Attorney	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	01/10/05
Minarick, Jean E.	Investment Management	Senior Counsel	K&L Gates LLP	09/05/03	12/23/04
Missaghian, Yoss	Executive Director	General Business Specialist	Public Company Accounting Oversight Board	04/20/07	05/11/07
Mital, Manish K.	Enforcement	Senior Counsel	Halcyon Asset Management LLC	01/08/07	02/01/07
Mital, Manish K.	Enforcement	Senior Counsel	Halcyon Asset Management LLC	01/08/07	03/14/08
Mital, Manish K.	Enforcement	Senior Counsel	Halcyon Asset Management LLC	01/08/07	11/26/07
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	10/09/06
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	05/08/06
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	11/02/05
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	10/06/05
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	08/03/05
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	08/03/05
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	08/01/05
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	10/06/05
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	10/20/05
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	11/03/06
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	01/20/06
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	08/16/06
Mitchells, Rebecca A.	Enforcement	Senior Staff Counsel	Wilson Sonsini Goodrich & Rosati, P.C.	06/17/05	06/06/07
Mittelman, David T.	Corporation Finance	Legal Branch Chief	Reed Smith LLP	10/27/06	11/22/06
Mittelman, David T.	Corporation Finance	Legal Branch Chief	Reed Smith LLP	10/27/06	08/02/07
Mittelman, David T.	Corporation Finance	Legal Branch Chief	Reed Smith LLP	10/27/06	08/02/07
Mittelman, David T.	Corporation Finance	Legal Branch Chief	Reed Smith LLP	10/27/06	12/10/07
Mittelman, David T.	Corporation Finance	Legal Branch Chief	Reed Smith LLP	10/27/06	11/27/06
Mittelman, David T.	Corporation Finance	Legal Branch Chief	Reed Smith LLP	10/27/06	02/13/08
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	02/04/02
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	02/23/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	05/10/02
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	03/08/02
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	06/20/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	11/19/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	07/15/02
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	07/01/02
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	03/08/02
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	10/31/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	11/26/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	08/10/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	07/17/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	09/06/02
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	03/12/02
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	09/19/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	10/03/01
Mixter, Christian J.	Enforcement	Chief Litigation Counsel	Morgan, Lewis & Bockius LLP	09/23/00	07/03/01
Mobedshahi, Katy	Investment Management	Staff Attorney	Stradley Ronon		06/27/03
Mojiri-Azad, Nazanin Nina	Corporation Finance	Special Counsel	McDermott Will & Emery LLP	09/02/05	05/24/07
Mojiri-Azad, Nazanin Nina	Corporation Finance	Special Counsel	Sutherland Asbill & Brennan LLP	09/02/05	03/09/06
Moloney, James J.	Corporation Finance	Special Counsel	Gibson, Dunn & Crutcher LLP	05/02/00	01/31/01
Moloney, James J.	Corporation Finance	Special Counsel	Gibson, Dunn & Crutcher LLP	05/02/00	01/30/01
Moloney, James J.	Corporation Finance	Special Counsel	Gibson, Dunn & Crutcher LLP	05/02/00	06/27/01
Moloney, James J.	Corporation Finance	Special Counsel	Gibson, Dunn & Crutcher LLP	05/02/00	02/23/01
Moloney, James J.	Corporation Finance	Special Counsel	Gibson, Dunn & Crutcher LLP	05/02/00	03/06/01
Moore, Alexander T.	Enforcement	Employee	Ameriprise Financial	09/07/07	11/14/07
Moore, Bridget M.	Enforcement	Staff Attorney	Baker Botts LLP	05/02/03	07/23/03
Moore, Bridget M.	Enforcement	Staff Attorney	Baker Botts LLP	05/02/03	07/07/03
Moore, Bridget M.	Enforcement	Staff Attorney	Baker Botts LLP	05/02/03	02/09/04
Moore, Bridget M.	Enforcement	Staff Attorney	Baker Botts LLP	05/02/03	06/27/03
Moore, Bridget M.	Enforcement	Staff Attorney	Baker Botts LLP	05/02/03	02/08/05
Moore, Bridget M.	Enforcement	Staff Attorney	Baker Botts LLP	05/02/03	05/15/03
Moore, Margaret E.	Compliance Inspections and Examinations	Senior Counsel	Financial Services Roundtable	01/13/06	03/13/06
Moore-Wester, Susan H.	Compliance Inspections and Examinations	Examiner	Hansberger Global Investors, Inc. and Hansberger Institutional Series	05/01/05	08/09/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	05/08/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	04/24/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	10/20/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	03/06/07
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	03/27/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	10/19/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	03/09/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	07/31/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	10/18/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	03/09/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	02/09/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	05/26/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	11/01/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	02/07/07
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	09/28/05
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	11/15/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	11/15/05
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	10/30/05
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	07/13/05
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	02/08/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	02/08/06
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	07/07/05
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	12/08/05
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	11/18/05
Morgan, Nicolas	Enforcement	Senior Trial Counsel	DLA Piper	06/10/05	09/30/05
Morse Jr., Adriaen M.	Enforcement	Attorney	Crowell & Moring LLP	03/07/03	02/10/04
Morse Jr., Adriaen M.	Enforcement	Attorney	Crowell & Moring LLP	03/07/03	04/13/04
Morse Jr., Adriaen M.	Enforcement	Attorney	Crowell & Moring LLP	03/07/03	06/11/03
Morse Jr., Adriaen M.	Enforcement	Attorney	Crowell & Moring LLP	03/07/03	03/19/03
Morse Jr., Adriaen M.	Enforcement	Attorney	Crowell & Moring LLP	03/07/03	04/13/04
Morse Jr., Adriaen M.	Enforcement	Attorney	Crowell & Moring LLP	03/07/03	04/19/04
Morse Jr., Adriaen M.	Enforcement	Attorney	Crowell & Moring LLP	03/07/03	08/01/03
Morton, Jeffrey C.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	06/17/03
Morton, Jeffrey C.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	09/05/03
Morton, Jeffrey C.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	06/17/03
Morton, Jeffrey C.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	10/09/02
Munro, Meredith A.	Enforcement	Staff Attorney	Steese & Evans, P.C.	05/01/03	03/20/04
Murphy, Patrick T.	Enforcement	Branch Chief	Wilmer Cutler Pickering Hale and Dorr LLP	08/01/08	07/27/09
Murphy, Patrick T.	Enforcement	Branch Chief	Wilmer Cutler Pickering Hale and Dorr LLP	08/01/08	07/31/09
Murphy, Patrick T.	Enforcement	Branch Chief	Wilmer Cutler Pickering Hale and Dorr LLP	08/01/08	11/20/08
Murphy, Patrick T.	Enforcement	Branch Chief	Wilmer Cutler Pickering Hale and Dorr LLP	08/01/08	06/26/09
Murphy, Patrick T.	Enforcement	Branch Chief	Wilmer Cutler Pickering Hale and Dorr LLP	08/01/08	07/09/09
Murphy, Patrick T.	Enforcement	Branch Chief	Wilmer Cutler Pickering Hale and Dorr LLP	08/01/08	03/29/10
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	02/04/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	03/16/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	02/17/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	03/14/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	05/27/05
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	01/24/06
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	05/24/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	10/20/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	06/21/05
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	04/28/05
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	12/14/05
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	05/27/05
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	12/09/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	06/10/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	11/07/05
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	04/21/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	02/04/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	05/07/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	07/12/04
Neal, Charles S.	Enforcement	Senior Counsel	Wachovia	01/30/04	03/14/04
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	09/02/10
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	05/16/11
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	09/02/10
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	09/22/10
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	09/02/10
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	09/02/10
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	05/16/11
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	09/02/10
Nelson, David	Regional Office	Regional Director	Boies, Schiller & Flexner LLP	08/28/09	09/02/10
Nemeth, Shan L.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/10/06	01/02/07
Nemeth, Shan L.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/10/06	05/01/07
Nemeth, Shan L.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/10/06	05/01/07
Nemeth, Shan L.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/10/06	03/09/07
Nemeth, Shan L.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/10/06	01/02/07
Nemeth, Shan L.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/10/06	01/02/07
Newkirk, Thomas C.	Enforcement	Associate Director	Jenner & Block	11/03/04	10/11/06
Newkirk, Thomas C.	Enforcement	Associate Director	Jenner & Block	11/03/04	09/01/06
Newkirk, Thomas C.	Enforcement	Associate Director	Jenner & Block	11/03/04	08/01/06
Newkirk, Thomas C.	Enforcement	Associate Director	Jenner & Block	11/03/04	03/16/06
Newkirk, Thomas C.	Enforcement	Associate Director	Jenner & Block	11/03/04	01/17/06
Newkirk, Thomas C.	Enforcement	Associate Director	Jenner & Block	11/03/04	11/07/05
Newkirk, Thomas C.	Enforcement	Associate Director	Jenner & Block	11/03/04	10/11/06
Nordlinger, Edwin H.	Regional Office	Deputy Regional Director	Saiber Schlesinger Satz & Goldstein, LLC	02/03/05	06/13/06
Northan, Mark A.	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/23/06	02/27/07
Novack, Laura A.	Investment Management	Senior Counsel	Dechert	06/24/99	03/02/01
Novack, Laura A.	Investment Management	Senior Counsel	Dechert	06/24/99	02/23/01
Novack, Laura A.	Investment Management	Senior Counsel	Dechert	06/24/99	02/23/01
Novack, Laura A.	Investment Management	Senior Counsel	Dechert	06/24/99	02/26/01
O'Connor, R. Daniel	Enforcement	Senior Trial Counsel	Ropes & Gray LLP	01/04/08	06/16/09
O'Connor, R. Daniel	Enforcement	Senior Trial Counsel	Ropes & Gray LLP	01/04/08	03/17/08
O'Connor, R. Daniel	Enforcement	Senior Trial Counsel	Ropes & Gray LLP	01/04/08	02/13/08
O'Connor, R. Daniel	Enforcement	Senior Trial Counsel	Ropes & Gray LLP	01/04/08	07/06/09
O'Connor, R. Daniel	Enforcement	Senior Trial Counsel	Ropes & Gray LLP	01/04/08	06/09/09
O'Connor, R. Daniel	Enforcement	Senior Trial Counsel	Ropes & Gray LLP	01/04/08	05/21/08
O'Connor, R. Daniel	Enforcement	Senior Trial Counsel	Ropes & Gray LLP	01/04/08	03/17/08
O'Connor, R. Daniel	Enforcement	Senior Trial Counsel	Ropes & Gray LLP	01/04/08	04/30/08
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	08/11/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	11/17/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	07/08/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	05/27/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	03/17/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	02/05/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	06/06/05
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	07/09/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	09/27/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	01/09/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	03/31/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	02/15/05
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	04/27/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	02/20/04
Ochs, Brian A.	Enforcement	Assistant Director	K&L Gates LLP	12/26/03	11/08/05
Offill, Jr., Phillip W.	Enforcement	Senior Trial Counsel	Krage & Janvey, L.L.P.	11/05/99	10/06/00
Oldfield, George S.	Economic Analysis	Economic Fellow	The Brattle Group	04/30/06	08/31/06
Olsen, Erik K.	Compliance Inspections and Examinations	Securities Compliance Examiner	Legg Mason	08/01/06	04/01/08
Olson, Susan M.	Investment Management	Senior Counsel	Investment Company Institute	03/16/07	04/11/08
Orenstein, Leo F.	Enforcement	Assistant Chief Litigation Counsel	Foley & Lardner	09/03/99	04/10/01
Patalkis, Debra M.	Enforcement	Assistant Chief Litigation Counsel	Drinker Biddle & Reath	12/02/05	04/26/06
Patalkis, Debra M.	Enforcement	Assistant Chief Litigation Counsel	Drinker Biddle & Reath	12/02/05	09/19/06
Patalkis, Debra M.	Enforcement	Assistant Chief Litigation Counsel	Drinker Biddle & Reath	12/02/05	09/05/07
Patalkis, Debra M.	Enforcement	Assistant Chief Litigation Counsel	Drinker Biddle & Reath	12/02/05	08/21/07
Patalkis, Debra M.	Enforcement	Assistant Chief Litigation Counsel	Drinker Biddle & Reath	12/02/05	02/22/07
Patti-Oliveira, Allison	Chief Accountant	Professional Accounting Fellow	Center for Audit Quality	07/02/10	12/08/10
Paul, Douglas B.	Enforcement	Branch Chief	Hogan & Hartson LLP	01/05/07	06/12/07
Paul, Douglas B.	Enforcement	Branch Chief	Hogan & Hartson LLP	01/05/07	08/31/07
Pennington, Caren Nelson	Enforcement	Assistant Regional Director	Morgan Stanley	05/28/04	06/23/04
Perrell, Jacqueline Wood	Compliance Inspections and Examinations	Staff Attorney	Proskauer Rose LLP	01/16/06	11/30/06
Perrell, Jacqueline Wood	Compliance Inspections and Examinations	Staff Attorney	Proskauer Rose LLP	01/16/06	12/06/06
Perrell, Jacqueline Wood	Compliance Inspections and Examinations	Staff Attorney	Proskauer Rose LLP	01/16/06	12/05/06
Persaud, Chet	Regional Office	Compliance Examiner	UBS AG	09/15/04	11/15/04
Persaud, Chet	Regional Office	Compliance Examiner	UBS AG	09/15/04	11/15/04
Petersen, Susan	Trading and Markets	Special Counsel	Clifford Chance LLP	01/12/01	02/15/01
Peterson, Timothy P.	Enforcement	Senior Counsel	Debevoise & Plimpton LLP	02/28/06	06/14/06
Philip, Fiona A.	Chairman William H. Donaldson	Counsel	Howrey Simon Arnold & White LLP	01/02/04	06/02/04
Philip, Fiona A.	Chairman William H. Donaldson	Counsel	Howrey Simon Arnold & White LLP	01/02/04	03/15/04
Philip, Fiona A.	Chairman William H. Donaldson	Counsel	Howrey Simon Arnold & White LLP	01/02/04	02/03/04
Philip, Fiona A.	Chairman William H. Donaldson	Counsel	Howrey Simon Arnold & White LLP	01/02/04	04/12/05
Philip, Fiona A.	Chairman William H. Donaldson	Counsel	Howrey Simon Arnold & White LLP	01/02/04	04/08/05
Philip, Fiona A.	Chairman William H. Donaldson	Counsel	Howrey Simon Arnold & White LLP	01/02/04	04/12/05
Philip, Fiona A.	Chairman William H. Donaldson	Counsel	Howrey Simon Arnold & White LLP	01/02/04	02/08/05
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	01/16/07
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	06/13/07
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	06/27/06
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	04/13/07
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	08/21/07
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	12/20/07
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	09/06/07
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	01/16/07
Piazza, Michael A.	Enforcement	Supervisory Trial Counsel	Dorsey & Whitney LLP	05/31/06	09/15/06
Pierce, E. Michael	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/07/02	03/25/03
Pilkerton, Christopher M.	Enforcement	Staff Attorney	Ruddy Law Office	02/03/06	03/08/06
Pinkerton, Owen J.	Corporation Finance	Attorney-Advisor	Sutherland Asbill & Brennan LLP	12/29/06	06/06/07
Pinkerton, Owen J.	Corporation Finance	Attorney-Advisor	Sutherland Asbill & Brennan LLP	12/29/06	03/05/08
Pinkerton, Owen J.	Corporation Finance	Attorney-Advisor	Sutherland Asbill & Brennan LLP	12/29/06	08/17/07
Pinkerton, Owen J.	Corporation Finance	Attorney-Advisor	Sutherland Asbill & Brennan LLP	12/29/06	06/06/07
Piracha, Amena	Compliance Inspections and Examinations	Attorney-Advisor	Clifford Chance LLP	07/30/04	05/27/05
Piracha, Amena	Compliance Inspections and Examinations	Attorney-Advisor	Clifford Chance LLP	07/30/04	03/15/05
Plesnarski, Robert	Corporation Finance	Deputy Chief Counsel	O'Melveny & Myers LLP	03/01/06	06/20/06
Plesnarski, Robert	Corporation Finance	Deputy Chief Counsel	O'Melveny & Myers LLP	03/01/06	12/01/06
Plesnarski, Robert	Corporation Finance	Deputy Chief Counsel	O'Melveny & Myers LLP	03/01/06	12/01/06
Plesnarski, Robert	Corporation Finance	Deputy Chief Counsel	O'Melveny & Myers LLP	03/01/06	06/21/06
Pollack-Matz, Fran	Investment Management	Attorney-Advisor	T. Rowe Price Associates, Inc.	02/06/09	08/25/09
Pollack-Matz, Fran	Investment Management	Attorney-Advisor	T. Rowe Price Associates, Inc.	02/06/09	05/12/09
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	02/04/09
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	09/03/10
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	04/07/10
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	04/07/10
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	04/07/10
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	05/18/09
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	04/07/10
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	11/09/10
Pommer III, Robert W.	Enforcement	Assistant Chief Litigation Counsel	Kirkland & Ellis LLP	01/02/09	05/11/09
Ponchione, Marc R.	Investment Management	Staff Attorney	Willkie Farr & Gallagher LLP	02/17/06	07/11/06
Ponchione, Marc R.	Investment Management	Staff Attorney	Willkie Farr & Gallagher LLP	02/17/06	03/06/06
Ponchione, Marc R.	Investment Management	Staff Attorney	Willkie Farr & Gallagher LLP	02/17/06	03/07/06
Ponchione, Marc R.	Investment Management	Staff Attorney	Willkie Farr & Gallagher LLP	02/17/06	10/12/06
Ponchione, Marc R.	Investment Management	Staff Attorney	Willkie Farr & Gallagher LLP	02/17/06	06/14/06
Ponchione, Marc R.	Investment Management	Staff Attorney	Willkie Farr & Gallagher LLP	02/17/06	05/24/06
Poulin, Jane D.	Chief Accountant	Associate Chief Accountant	Corning Incorporated	09/09/05	09/28/05
Pressman, Michael K.	Corporation Finance	Attorney-Advisor	Schering-Plough Corporation	07/03/08	07/23/08
Prezioso, Giovanni	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	02/22/06	11/12/07
Prezioso, Giovanni	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	02/22/06	05/03/07
Prezioso, Giovanni	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	02/22/06	09/24/07
Prezioso, Giovanni	General Counsel	General Counsel	Cleary Gottlieb Steen & Hamilton LLP	02/22/06	08/20/07
Price, Lori H.	Investment Management	Senior Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/25/00	07/19/01
Pruitt, Laura S.	Trading and Markets	Special Counsel	Schiff Hardin LLP	05/04/01	04/02/02
Pruitt, Laura S.	Trading and Markets	Special Counsel	Schiff Hardin LLP	05/04/01	10/15/01
Pruitt, Laura S.	Trading and Markets	Special Counsel	Schiff Hardin LLP	05/04/01	06/05/01
Pruitt, Laura S.	Trading and Markets	Special Counsel	Schiff Hardin LLP	05/04/01	04/29/03
Pruitt, Laura S.	Trading and Markets	Special Counsel	Schiff Hardin LLP	05/04/01	12/07/01
Pruitt, Laura S.	Trading and Markets	Special Counsel	Schiff Hardin LLP	05/04/01	03/22/02
Pucek, Eric	Regional Office	Staff Accountant	UBS AG	01/25/08	03/31/08
Purple, Eric S.	Investment Management	Senior Counsel	Bell, Boyd & Lloyd LLP	07/21/07	08/10/07
Purple, Eric S.	Investment Management	Senior Counsel	Bell, Boyd & Lloyd LLP	07/21/07	09/27/07
Purple, Eric S.	Investment Management	Senior Counsel	Bell, Boyd & Lloyd LLP	07/21/07	10/20/07
Purple, Eric S.	Investment Management	Senior Counsel	Bell, Boyd & Lloyd LLP	07/21/07	11/09/07
Quarles, Eloise	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	02/18/00	08/16/01
Quarles, Eloise	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	02/18/00	02/01/01
Quarles, Eloise	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	02/18/00	01/09/02
Quarles, Eloise	Corporation Finance	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	02/18/00	03/23/01
Radke, Mark S.	Chairman Harvey L. Pitt	Chief of Staff	Howrey Simon Arnold & White LLP	11/27/02	10/09/03
Radke, Mark S.	Chairman Harvey L. Pitt	Chief of Staff	Howrey Simon Arnold & White LLP	11/27/02	11/05/03
Radke, Mark S.	Chairman Harvey L. Pitt	Chief of Staff	Howrey Simon Arnold & White LLP	11/27/02	03/10/03
Radke, Mark S.	Chairman Harvey L. Pitt	Chief of Staff	Howrey Simon Arnold & White LLP	11/27/02	03/03/03
Rae, Michael G.	Trading and Markets	Special Counsel	Legg Mason	08/21/04	10/19/04
Ragozino, Anthony	Enforcement	Branch Chief	Skadden, Arps, Slate, Meagher & Flom LLP	04/02/99	01/29/01
Rasevic, Kimberly Dopkin	Investment Management	Assistant Director	Dechert	05/30/01	10/23/01
Rasevic, Kimberly Dopkin	Investment Management	Assistant Director	Dechert	05/30/01	01/27/03
Rasevic, Kimberly Dopkin	Investment Management	Assistant Director	Dechert	05/30/01	11/05/01
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	02/02/06
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	03/01/06
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	06/17/05
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	09/23/05
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	06/13/05
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	05/04/06
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	07/28/05
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	06/13/05
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	08/11/05
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	09/27/05
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	03/01/06
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	03/09/06
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	02/07/06
Rashkover, Barry W.	Enforcement	Associate Regional Director	Sidley Austin LLP	06/11/04	02/02/06
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	03/26/10
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	07/07/10
Redacted (b)(6), Redacted (b)(6)	Compliance Inspections and Examinations	Senior Special Counsel	Financial Industry Regulatory Authority	05/13/11	08/08/11
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	03/18/11
Redacted (b)(6), Redacted (b)(6)	Enforcement	Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	03/30/01	11/21/02
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	02/28/11
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	11/02/10
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	03/24/11
Redacted (b)(6), Redacted (b)(6)	Enforcement	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	08/13/10	09/07/10
Redacted (b)(6), Redacted (b)(6)	Compliance Inspections and Examinations	Senior Special Counsel	Financial Industry Regulatory Authority	05/13/11	06/23/11
Redacted (b)(6), Redacted (b)(6)	Enforcement	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	08/13/10	03/02/11
Redacted (b)(6), Redacted (b)(6)	Compliance Inspections and Examinations	Senior Special Counsel	Financial Industry Regulatory Authority	05/13/11	07/12/11
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	03/10/11
Redacted (b)(6), Redacted (b)(6)	Enforcement	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	08/13/10	11/09/10
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	03/26/10
Redacted (b)(6), Redacted (b)(6)	Compliance Inspections and Examinations	Senior Special Counsel	Financial Industry Regulatory Authority	05/13/11	05/27/11
Redacted (b)(6), Redacted (b)(6)	Enforcement	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	12/31/10	09/19/11
Redacted (b)(6), Redacted (b)(6)	General Counsel	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	03/27/09	06/17/10
Redacted (b)(6), Redacted (b)(6)	Enforcement	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	08/13/10	10/22/10
Redacted (b)(6), Redacted (b)(6)	Enforcement	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	12/31/10	02/02/11
Redacted (b)(6), Redacted (b)(6)	Enforcement	Redacted (b)(6)	Wilmer Cutler Pickering Hale and Dorr LLP	08/13/10	11/01/10
Reed, Norman M.	Trading and Markets	Special Counsel	Omgeo LLC	02/28/07	10/29/08
Reed, Norman M.	Trading and Markets	Staff Attorney	Omgeo LLC and Depository Trust and Clearing Corporation	02/27/07	03/08/07
Reed, Norman M.	Trading and Markets	Special Counsel	Omgeo LLC	02/28/07	08/10/07
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	04/08/07
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	06/15/06
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	06/15/06
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	07/12/06
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	09/14/06
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	08/07/06
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	05/21/07
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	07/05/06
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	08/29/06
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	11/28/06
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	03/08/07
Reifenberg, Alan	Enforcement	Branch Chief	Credit Suisse	06/09/06	09/15/06
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	01/19/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	03/05/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	04/29/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	04/05/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	01/19/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	06/15/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	10/14/09
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	05/18/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	10/22/09
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	04/05/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	04/20/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	04/20/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	11/17/09
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	12/08/09
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	09/03/09
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	11/17/09
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	04/28/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	11/17/09
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	03/05/10
Ricciardi, Walter G.	Enforcement	Deputy Director	Paul, Weiss, Rifkind, Wharton & Garrison LLP	06/17/08	03/05/10
Richards, Steven E.	Enforcement	Assistant Chief Accountant	FTI Consulting, Inc.	07/11/08	07/25/08
Richards, Steven E.	Enforcement	Assistant Chief Accountant	FTI Consulting, Inc.	07/11/08	07/25/08
Richards, Steven E.	Enforcement	Assistant Chief Accountant	FTI Consulting, Inc.	07/11/08	01/29/09
Richards, Steven E.	Enforcement	Assistant Chief Accountant	FTI Consulting, Inc.	07/11/08	07/16/08
Richardson, Christine M.	Commissioner Laura S. Unger	Counsel	Morgan, Lewis & Bockius LLP	02/12/02	06/06/02
Richardson, Christine M.	Commissioner Laura S. Unger	Counsel	Morgan, Lewis & Bockius LLP	02/12/02	06/06/02
Ritenour, David	Corporation Finance	Special Counsel	Hewlett-Packard Company	07/15/05	06/12/06
Ritenour, David	Corporation Finance	Special Counsel	Hewlett-Packard Company	07/15/05	09/14/06
Ritenour, David	Corporation Finance	Special Counsel	Hewlett-Packard Company	07/15/05	12/06/05
Roberson, Brian	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/23/06	09/10/07
Roberts, Jonathan A.	Enforcement	Senior Attorney	Ernst & Young	01/21/05	08/03/05
Roberts, Jonathan A.	Enforcement	Senior Attorney	Ernst & Young	01/21/05	03/01/05
Robins, Kenneth B.	Investment Management	Professional Accounting Fellow	KPMG LLP	06/28/02	06/04/03
Robnett, Cary Susan	Enforcement	Staff Attorney	Robertson Stephens, Inc.	07/20/01	01/30/02
Robnett, Cary Susan	Enforcement	Staff Attorney	Robertson Stephens, Inc.	07/20/01	03/22/02
Robnett, Cary Susan	Enforcement	Staff Attorney	Robertson Stephens, Inc.	07/20/01	08/22/01
Roche, Jerome J.	Trading and Markets	Attorney-Advisor	Wilmer Cutler Pickering Hale and Dorr LLP	08/25/00	03/12/01
Roche, Jerome J.	Trading and Markets	Attorney-Advisor	Wilmer Cutler Pickering Hale and Dorr LLP	08/25/00	08/21/02
Rodgers, Richard L.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	11/03/00	07/30/01
Rodgers, Richard L.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	11/03/00	04/24/01
Rodgers, Richard L.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	11/03/00	04/11/01
Rodgers, Richard L.	Chief Accountant	Professional Accounting Fellow	Ernst & Young	11/03/00	03/07/01
Roffman, Ian D.	Enforcement	Senior Trial Counsel	Nutter, McClennen & Fish LLP	09/14/07	10/03/08
Roffman, Ian D.	Enforcement	Senior Trial Counsel	Nutter, McClennen & Fish LLP	09/14/07	03/16/09
Roffman, Ian D.	Enforcement	Senior Trial Counsel	Nutter, McClennen & Fish LLP	09/14/07	06/29/09
Roffman, Ian D.	Enforcement	Senior Trial Counsel	Nutter, McClennen & Fish LLP	09/14/07	05/20/09
Roffman, Ian D.	Enforcement	Senior Trial Counsel	Nutter, McClennen & Fish LLP	09/14/07	04/02/09
Roffman, Ian D.	Enforcement	Senior Trial Counsel	Nutter, McClennen & Fish LLP	09/14/07	08/19/09
Rogers, Matthew W.	Enforcement	Associate Chief Accountant	LECG, LLC	10/29/04	03/04/05
Rosenburg, Howard J.	Enforcement	Staff Attorney	Bell, Boyd & Lloyd LLP	12/15/00	06/06/01
Rosenthal, Lisa	Enforcement	Branch Chief	Hoffman Pollok & Pickholz LLP	02/18/00	06/01/01
Rosenthal, Lisa	Enforcement	Branch Chief	Hoffman Pollok & Pickholz LLP	02/18/00	06/01/01
Rosenthal, Lisa	Enforcement	Branch Chief	Hoffman Pollok & Pickholz LLP	02/18/00	01/02/02
Russello, Gerald J.	Enforcement	Branch Chief	Bear, Stearns & Co., Inc.	04/07/06	02/27/07
Russello, Gerald J.	Enforcement	Branch Chief	Bear, Stearns & Co., Inc.	04/07/06	07/17/06
Russello, Gerald J.	Enforcement	Branch Chief	Bear, Stearns & Co., Inc.	04/07/06	04/28/06
Russello, Gerald J.	Enforcement	Branch Chief	Bear, Stearns & Co., Inc.	04/07/06	04/28/06
Russello, Gerald J.	Enforcement	Branch Chief	Bear, Stearns & Co., Inc.	04/07/06	12/13/06
Russello, Gerald J.	Enforcement	Branch Chief	Bear, Stearns & Co., Inc.	04/07/06	07/07/06
Russello, Gerald J.	Enforcement	Branch Chief	Bear, Stearns & Co., Inc.	04/07/06	02/05/07
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	11/28/05
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	06/06/05
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	05/09/05
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	12/15/04
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	11/05/04
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	12/07/04
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	10/12/04
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	03/11/04
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	08/16/05
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	06/16/05
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	03/18/04
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	07/28/04
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	04/08/05
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	04/08/04
Ryan, Russell G.	Enforcement	Assistant Director	King & Spalding LLP	01/30/04	03/18/04
Ryea, Danielle M.	Compliance Inspections and Examinations	Staff Accountant	Ernst & Young	07/27/11	09/08/11
Sanchez, Jose F.	Enforcement	Senior Trial Counsel	Sidley Austin LLP	12/15/06	11/07/07
Sanchez, Jose F.	Enforcement	Senior Trial Counsel	Sidley Austin LLP	12/15/06	05/10/07
Sanchez, Adelbert R.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	02/25/05	03/28/06
Sanchez, Jose F.	Enforcement	Senior Trial Counsel	Sidley Austin LLP	12/15/06	05/16/07
Sanchez, Jose F.	Enforcement	Senior Trial Counsel	Sidley Austin LLP	12/15/06	08/15/08
Sanchez, Jose F.	Enforcement	Senior Trial Counsel	Sidley Austin LLP	12/15/06	02/12/07
Sandler, Kara A.	Corporation Finance	Attorney-Advisor	Schering-Plough Corporation	12/21/04	01/05/05
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	09/30/03
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	02/16/04
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	12/11/03
Sauer, Joel H.	Compliance Inspections and Examinations	Branch Chief	ACA Compliance Group	11/03/08	02/06/09
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	08/18/03
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	04/29/05
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	06/02/04
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	12/30/03
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	07/09/04
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	06/09/04
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	11/13/03
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	06/12/03
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	09/08/03
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	11/10/03
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	12/19/03
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	06/09/04
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	10/04/04
Sauer, Richard C.	Enforcement	Assistant Director	Vinson & Elkins LLP	06/09/03	03/09/05
Savla, Sandeep	Enforcement	Senior Counsel	Wiggin & Dana LLP	01/23/04	04/16/04
Savla, Sandeep	Enforcement	Senior Counsel	Wiggin & Dana LLP	01/23/04	10/06/04
Savla, Sandeep	Enforcement	Senior Counsel	Wiggin & Dana LLP	01/23/04	01/30/04
Savla, Sandeep	Enforcement	Senior Counsel	Wiggin & Dana LLP	01/23/04	11/08/04
Scafe, Jennifer L.	Enforcement	Branch Chief	Wells Fargo	05/07/10	05/19/10
Scafe, Jennifer L.	Enforcement	Branch Chief	Wells Fargo	05/07/10	05/19/10
Scafe, Jennifer L.	Enforcement	Branch Chief	Wells Fargo	05/07/10	05/19/10
Scafe, Jennifer L.	Enforcement	Branch Chief	Wells Fargo	05/07/10	05/19/10
Scafe, Jennifer L.	Enforcement	Branch Chief	Wells Fargo	05/07/10	05/19/10
Scafe, Jennifer L.	Enforcement	Branch Chief	Wells Fargo	05/07/10	05/19/10
Scafe, Jennifer L.	Enforcement	Branch Chief	Wells Fargo	05/07/10	11/08/10
Scafe, Jennifer L.	Enforcement	Branch Chief	Wells Fargo	05/07/10	02/08/11
Scheck, Howard A.	Enforcement	Branch Chief	Deloitte LLP	10/14/05	05/18/07
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	03/21/02
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	01/22/02
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	01/15/02
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	03/11/02
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	09/07/01
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	08/09/01
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	05/04/01
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	05/30/01
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	04/11/02
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	09/27/01
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	04/05/02
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	03/11/02
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	07/06/01
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	01/19/01
Schmidt, Eric M.	Regional Office	Assistant Regional Director	Salomon Smith Barney Inc.	05/12/00	02/08/01
Schneir, Adam D.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	11/24/06	01/12/07
Schneir, Adam D.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	11/24/06	10/12/07
Schneir, Adam D.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	11/24/06	09/29/07
Schneir, Adam D.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	11/24/06	06/06/07
Schneir, Adam D.	Enforcement	Staff Attorney	Paul, Hastings, Janofsky & Walker LLP	11/14/06	10/05/07
Schuppenhauer, Eric J.	Chief Accountant	Professional Accounting Fellow	Fannie Mae	11/24/04	10/25/05
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	07/12/02
Schwartz, Barry P.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	06/17/03
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	04/20/01
Schwartz, Barry P.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	11/18/03
Schwartz, Jeffrey	Trading and Markets	Senior Attorney	Deutsche Bank AG	12/24/99	04/26/01
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	04/17/01
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	10/01/01
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	03/20/02
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	07/01/02
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	05/01/02
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	10/01/01
Schwartz, Jeffrey	Trading and Markets	Senior Attorney	Deutsche Bank AG	12/24/99	02/14/01
Schwartz, Barry P.	Compliance Inspections and Examinations	Staff Accountant	ACA Compliance Group	02/22/02	06/17/03
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	05/07/01
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	02/20/03
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	09/03/02
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	04/15/02
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	05/10/02
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	04/19/02
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	04/23/01
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	10/17/02
Schwartz, Erich T.	Enforcement	Assistant Director	Skadden, Arps, Slate, Meagher & Flom LLP	04/13/01	01/02/02
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/04/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/04/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/04/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	04/08/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	09/20/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/04/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/24/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/24/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	04/12/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/04/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/04/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	04/01/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/04/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	03/04/05
Sena, Joaquin M.	Enforcement	Assistant Chief Litigation Counsel	Bank of America	04/14/04	04/01/05
Seymour, J. Gordon	General Counsel	Assistant General Counsel	Public Company Accounting Oversight Board	02/07/03	07/10/03
Seymour, J. Gordon	General Counsel	Assistant General Counsel	Public Company Accounting Oversight Board	02/07/03	03/10/03
Seymour, J. Gordon	General Counsel	Assistant General Counsel	Public Company Accounting Oversight Board	02/07/03	02/24/03
Seymour, J. Gordon	General Counsel	Assistant General Counsel	Public Company Accounting Oversight Board	02/07/03	03/27/03
Shady, Jeffrey A.	Corporation Finance	Attorney-Advisor	K&L Gates LLP	08/04/06	09/28/06
Shearer, Christopher	Enforcement	Senior Attorney	Grant Thornton LLP	12/23/10	02/09/11
Shearer, Christopher	Enforcement	Senior Attorney	Grant Thornton LLP	12/23/10	08/12/11
Shearer, Christopher	Enforcement	Senior Attorney	Grant Thornton LLP	12/23/10	02/09/11
Shearer, Christopher	Enforcement	Senior Attorney	Grant Thornton LLP	12/23/10	02/09/11
Shearer, Christopher	Enforcement	Senior Attorney	Grant Thornton LLP	12/23/10	02/09/11
Shearer, Christopher	Enforcement	Senior Attorney	Grant Thornton LLP	12/23/10	02/09/11
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	09/27/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	04/16/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	07/01/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	09/05/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	10/31/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	04/07/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	04/23/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	10/28/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	08/15/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	09/03/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	10/22/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	10/31/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	01/10/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	05/05/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	12/02/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	04/01/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	08/11/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	08/21/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	10/09/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	11/05/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	03/05/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	03/11/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	01/31/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	08/13/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	09/25/03
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	09/06/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	09/06/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	08/07/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	08/21/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	08/13/02
Shpetner, Thomas D.	Enforcement	Branch Chief	Lehman Brothers	11/16/01	09/19/03
Shukhman, Alex	Corporation Finance	Attorney-Advisor	Heller Ehrman LLP	03/31/05	03/31/06
Shukhman, Alex	Corporation Finance	Attorney-Advisor	Heller Ehrman LLP	03/31/05	04/19/06
Silverman, Paul	Investment Management	Attorney-Advisor	Skadden, Arps, Slate, Meagher & Flom LLP	01/14/00	04/10/01
Silverman, Paul	Investment Management	Attorney-Advisor	Skadden, Arps, Slate, Meagher & Flom LLP	01/14/00	02/06/01
Simonyi, Peter	Economic Analysis	Economist	Goldman Sachs & Co.	04/01/05	02/16/06
Sirignano, David A.	Corporation Finance	Associate Director	Morgan, Lewis & Bockius LLP	10/30/99	09/17/01
Sirignano, David A.	Corporation Finance	Associate Director	Morgan, Lewis & Bockius LLP	10/30/99	01/11/01
Sirignano, David A.	Corporation Finance	Associate Director	Morgan, Lewis & Bockius LLP	10/30/99	04/17/01
Sirignano, David A.	Corporation Finance	Associate Director	Morgan, Lewis & Bockius LLP	10/30/99	02/14/01
Sirignano, David A.	Corporation Finance	Associate Director	Morgan, Lewis & Bockius LLP	10/30/99	04/17/01
Sirignano, David A.	Corporation Finance	Associate Director	Morgan, Lewis & Bockius LLP	10/30/99	05/11/01
Sirri, Erik R.	Trading and Markets	Director	Babson College	04/09/09	11/17/10
Sirri, Erik R.	Trading and Markets	Director	Babson College	04/09/09	02/10/11
Sirri, Erik R.	Trading and Markets	Director	Babson College	04/09/09	12/22/10
Sirri, Erik R.	Trading and Markets	Director	Babson College	04/09/09	03/30/11
Sirri, Erik R.	Trading and Markets	Director	Babson College	04/09/09	04/04/11
Sirri, Erik R.	Economic Analysis	Chief Economist	Babson College	06/28/99	02/21/01
Sirri, Erik R.	Trading and Markets	Director	Babson College	04/09/09	09/09/11
Sjoblom, Thomas V.	Enforcement	Staff Attorney	Dilworth Paxson LLP	08/27/99	05/10/01
Slansky, Jill	Regional Office	Senior Attorney	N/A	12/31/09	06/23/10
Slovick, David S.	Enforcement	Senior Attorney	Katten Muchin Zavis Rosenman	03/19/04	06/24/04
Slovick, David S.	Enforcement	Senior Attorney	Katten Muchin Zavis Rosenman	03/19/04	07/01/05
Slovick, David S.	Enforcement	Senior Attorney	Katten Muchin Zavis Rosenman	03/19/04	02/03/05
Slovick, David S.	Enforcement	Senior Attorney	Katten Muchin Zavis Rosenman	03/19/04	03/24/05
Smith, Daniel Y.	Regional Office	Staff Accountant	ACA Compliance Group	04/01/04	04/08/05
Smith, Daniel Y.	Regional Office	Staff Accountant	ACA Compliance Group	04/01/04	01/06/05
Smith, Jacob D.	Enforcement	Staff Attorney	Luther King Capital Management Corporation	06/29/06	07/14/06
Somer-Greif, Penny	Corporation Finance	Attorney-Advisor	Arnold & Porter	05/11/00	12/06/01
Somer-Greif, Penny	Corporation Finance	Attorney-Advisor	Arnold & Porter	05/11/00	11/13/01
Somer-Greif, Penny	Corporation Finance	Attorney-Advisor	Arnold & Porter	05/11/00	03/02/01
Southerling, E. Andrew	Enforcement	Staff Attorney	Morgan, Lewis & Bockius LLP	12/03/04	09/22/05
Southerling, E. Andrew	Enforcement	Staff Attorney	Morgan, Lewis & Bockius LLP	12/03/04	12/21/04
Southerling, E. Andrew	Enforcement	Staff Attorney	Morgan, Lewis & Bockius LLP	12/03/04	02/07/05
Southerling, E. Andrew	Enforcement	Staff Attorney	Morgan, Lewis & Bockius LLP	12/03/04	12/21/04
Spirgel, Larry M.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	05/08/00	04/19/01
Spirgel, Larry M.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	05/08/00	04/12/01
Spirgel, Larry M.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	05/08/00	04/19/01
Spirgel, Larry M.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	05/08/00	04/12/01
Spirgel, Larry M.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	05/08/00	06/29/01
Spivey, Alison T.	Chief Accountant	Associate Chief Accountant	Ernst & Young	01/02/07	01/30/08
Spivey, Alison T.	Chief Accountant	Associate Chief Accountant	Ernst & Young	01/02/07	05/14/07
Spivey, Alison T.	Chief Accountant	Associate Chief Accountant	Ernst & Young	01/02/07	11/20/07
Spivey, Alison T.	Chief Accountant	Associate Chief Accountant	Ernst & Young	01/02/07	06/12/07
Spivey, Alison T.	Chief Accountant	Associate Chief Accountant	Ernst & Young	01/02/07	03/12/07
Spivey, Alison T.	Chief Accountant	Associate Chief Accountant	Ernst & Young	01/02/07	03/12/07
Spivey, Alison T.	Chief Accountant	Associate Chief Accountant	Ernst & Young	01/02/07	04/20/07
Steele, Shauna	International Affairs	Branch Chief	Ernst & Young	05/11/11	07/11/11
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	05/24/06
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	12/13/05
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	03/23/06
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	06/19/06
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	12/22/05
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	06/17/05
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	03/07/05
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	03/17/05
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	10/28/04
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	07/05/06
Stegman, Laurie M.	Enforcement	Special Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	08/06/04	05/30/06
Stettner, Barbara A.	Trading and Markets	Special Counsel	Orrick, Herrington & Sutcliffe LLP	10/06/00	02/13/01
Stevenson, Michael	General Counsel	Senior Special Counsel	Public Company Accounting Oversight Board	05/27/03	06/06/03
Stidvent, Christopher T.	Enforcement	Staff Attorney	Dell Inc.	09/01/06	09/05/06
Stokes, Sondra	Corporation Finance	Associate Chief Accountant	Deloitte LLP	03/07/08	12/11/08
Stokes, Sondra	Corporation Finance	Associate Chief Accountant	Deloitte LLP	03/07/08	08/12/09
Stokes, Sondra	Corporation Finance	Associate Chief Accountant	Deloitte LLP	03/07/08	11/06/08
Stokes, Sondra	Corporation Finance	Associate Chief Accountant	Deloitte LLP	03/07/08	05/13/09
Stokes, Sondra	Corporation Finance	Associate Chief Accountant	Deloitte LLP	03/07/08	07/28/09
Stokes, Sondra	Corporation Finance	Associate Chief Accountant	Deloitte LLP	03/07/08	12/15/08
Stone, Christopher B.	Trading and Markets	Counsel	National Association of Securities Dealers, Inc.	03/04/05	08/05/05
Stone, Christopher B.	Trading and Markets	Counsel	National Association of Securities Dealers, Inc.	03/04/05	08/29/05
Stone, Christopher B.	Trading and Markets	Counsel	National Association of Securities Dealers, Inc.	03/04/05	11/18/05
Strasser, Richard C.	Trading and Markets	Assistant Director	Nasdaq Stock Market	04/22/00	04/05/01
Stratton, Grayson D.	Enforcement	Senior Counsel	DLA Piper	11/16/07	04/03/08
Stratton, Grayson D.	Enforcement	Senior Counsel	DLA Piper	11/16/07	09/12/08
Stratton, Grayson D.	Enforcement	Senior Counsel	DLA Piper	11/16/07	02/25/08
Stratton, Grayson D.	Enforcement	Senior Counsel	DLA Piper	11/16/07	12/11/07
Stuart, David M.	Enforcement	Branch Chief	General Electric Company	01/12/06	01/24/07
Stuart, David M.	Enforcement	Branch Chief	General Electric Company	01/12/06	02/04/07
Stuart, David M.	Enforcement	Branch Chief	General Electric Company	01/12/06	06/30/06
Stuart, David M.	Enforcement	Branch Chief	General Electric Company	01/12/06	01/30/07
Stuart, David M.	Enforcement	Branch Chief	General Electric Company	01/12/06	01/22/07
Stuart, David M.	Enforcement	Branch Chief	General Electric Company	01/12/06	02/16/06
Sullivan, John L.	Investment Management	Senior Counsel	Thrivent Financial for Lutherans	03/30/07	01/02/08
Swanson, Eric J.	Compliance Inspections and Examinations	Employee	Ameriprise Financial	09/15/06	10/31/06
Swanson, Eric J.	Compliance Inspections and Examinations	Employee	Ameriprise Financial	09/15/06	10/27/06
Tate, Carol L.	Enforcement	Senior Attorney	Motorola, Inc.	10/02/06	11/14/06
Taub, Scott A.	Chief Accountant	Professional Accounting Fellow	Arthur Andersen LLP	06/08/01	09/04/01
Taub, Scott A.	Chief Accountant	Professional Accounting Fellow	Arthur Andersen LLP	06/08/01	02/06/02
Taub, Scott A.	Chief Accountant	Professional Accounting Fellow	Arthur Andersen LLP	06/08/01	08/30/01
Taub, Scott A.	Chief Accountant	Professional Accounting Fellow	Arthur Andersen LLP	06/08/01	05/07/02
Taub, Scott A.	Chief Accountant	Professional Accounting Fellow	Arthur Andersen LLP	06/08/01	12/20/01
Taub, Scott A.	Chief Accountant	Professional Accounting Fellow	Arthur Andersen LLP	06/08/01	01/15/02
Taub, Scott A.	Chief Accountant	Professional Accounting Fellow	Arthur Andersen LLP	06/08/01	10/10/01
Taub, Scott A.	Chief Accountant	Professional Accounting Fellow	Arthur Andersen LLP	06/08/01	02/26/02
Teakell, John R.	Enforcement	Trial Attorney	Law Office of John R. Teakell	11/29/02	08/26/03
Teakell, John R.	Enforcement	Trial Attorney	Law Office of John R. Teakell	11/29/02	02/03/03
Teakell, John R.	Enforcement	Trial Attorney	Law Office of John R. Teakell	11/29/02	11/10/03
Thaemert, Marilyn M.	Chief Accountant	Assistant Chief Accountant	Marriott International, Inc.	05/26/06	06/26/06
Thomas, Jordan A.	Enforcement	Assistant Director	Labaton Sucharow LLP	07/11/11	08/17/11
Thomas, Jordan A.	Enforcement	Assistant Director	Labaton Sucharow LLP	07/11/11	08/07/11
Thomas, Jordan A.	Enforcement	Assistant Director	Labaton Sucharow LLP	07/11/11	08/17/11
Thomas, Jordan A.	Enforcement	Assistant Director	Labaton Sucharow LLP	07/11/11	08/17/11
Thomas, Jordan A.	Enforcement	Assistant Director	Labaton Sucharow LLP	07/11/11	08/17/11
Thompson, Michael S.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	04/04/03	06/28/04
Thompson, Michael S.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	04/04/03	01/20/05
Thompson, Michael S.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	04/04/03	09/01/04
Thompson, Michael S.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	04/04/03	01/20/05
Thompson, Michael S.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	04/04/03	12/08/03
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	04/14/10
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	11/10/10
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	02/25/11
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	01/28/11
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	12/03/10
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	01/18/11
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	04/02/10
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	08/26/10
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	03/01/10
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	01/18/11
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	09/01/10
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	05/21/10
Thomsen, Linda Chatman	Enforcement	Director	Davis Polk & Wardwell LLP	02/28/09	05/17/10
Thorpe, Andrew D.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	04/01/05	09/29/06
Thorpe, Andrew D.	Corporation Finance	Senior Counsel	Morrison & Foerster LLP	04/01/05	04/10/06
Thorpe, Andrew D.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	04/01/05	09/15/05
Thorpe, Andrew D.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	04/01/05	09/30/05
Thorpe, Andrew D.	Corporation Finance	Special Counsel	Morrison & Foerster LLP	04/01/05	09/30/05
Tokar, Mary	Chief Accountant	Senior Associate Chief Accountant	KPMG LLP	07/26/00	02/27/02
Tomas, Jerome P.	Enforcement	Senior Attorney	Baker & McKenzie LLP	11/25/05	03/22/06
Tomas, Jerome P.	Enforcement	Senior Attorney	Baker & McKenzie LLP	11/25/05	10/18/07
Tomas, Jerome P.	Enforcement	Senior Attorney	Baker & McKenzie LLP	11/25/05	01/15/07
Tomas, Jerome P.	Enforcement	Senior Attorney	Baker & McKenzie LLP	11/25/05	06/07/07
Toton, Rebekah J.	Corporation Finance	Attorney-Advisor	O'Melveny & Myers LLP	10/23/07	01/02/08
Toton, Rebekah J.	Corporation Finance	Attorney-Advisor	O'Melveny & Myers LLP	10/23/07	06/05/08
Toton, Rebekah J.	Corporation Finance	Attorney-Advisor	O'Melveny & Myers LLP	10/23/07	01/22/08
Toton, Rebekah J.	Corporation Finance	Attorney-Advisor	O'Melveny & Myers LLP	10/13/07	02/01/08
Toton, Rebekah J.	Corporation Finance	Attorney-Advisor	O'Melveny & Myers LLP	10/13/07	02/01/08
Toton, Rebekah J.	Corporation Finance	Attorney-Advisor	O'Melveny & Myers LLP	10/13/07	09/11/08
Troe, Lisa L.	Enforcement	Branch Chief	FTI Consulting, Inc.	10/08/05	10/20/05
Troe, Lisa L.	Enforcement	Branch Chief	FTI Consulting, Inc.	10/08/05	08/03/06
Troe, Lisa L.	Enforcement	Branch Chief	FTI Consulting, Inc.	10/08/05	05/22/06
Troe, Lisa L.	Enforcement	Branch Chief	FTI Consulting, Inc.	10/08/05	08/04/06
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	01/25/02
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	02/26/01
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	10/10/01
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	04/16/02
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	03/23/01
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	03/23/01
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	04/26/01
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	07/25/02
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	01/25/02
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	01/05/01
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	02/26/01
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	03/27/01
Tsirigotis, Peter L.	Investment Management	Attorney-Advisor	Dechert	08/19/00	04/11/01
Turbis, Lisa	Enforcement	Staff Attorney	Autodesk, Inc.	03/16/06	10/11/06
Ucuzoglu, Joseph	Chief Accountant	Senior Advisor	Deloitte LLP	08/25/07	05/27/08
Ucuzoglu, Joseph	Chief Accountant	Senior Advisor	Deloitte LLP	08/25/07	06/01/09
Ucuzoglu, Joseph	Chief Accountant	Senior Advisor	Deloitte LLP	08/25/07	02/09/09
Ucuzoglu, Joseph	Chief Accountant	Senior Advisor	Deloitte LLP	08/25/07	11/09/07
Ucuzoglu, Joseph	Chief Accountant	Senior Advisor	Deloitte LLP	08/25/07	11/08/07
Ucuzoglu, Joseph	Chief Accountant	Senior Advisor	Deloitte LLP	08/25/07	06/02/09
Uhl, Robert	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/04/99	04/12/01
Uhl, Robert	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	06/04/99	04/12/01
Ungar, Michael A.	Enforcement	Branch Chief	McDermott Will & Emery LLP	02/13/10	04/20/10
Ungar, Michael A.	Enforcement	Branch Chief	McDermott Will & Emery LLP	02/13/10	04/29/11
Ungar, Michael A.	Enforcement	Branch Chief	McDermott Will & Emery LLP	02/13/10	04/20/10
Ungar, Michael A.	Enforcement	Branch Chief	McDermott Will & Emery LLP	02/13/10	04/20/10
Ungar, Michael A.	Enforcement	Branch Chief	McDermott Will & Emery LLP	02/13/10	11/23/10
Ungar, Michael A.	Enforcement	Branch Chief	McDermott Will & Emery LLP	02/13/10	04/29/11
Ungar, Michael A.	Enforcement	Branch Chief	McDermott Will & Emery LLP	02/13/10	05/28/10
Ungar, Michael A.	Enforcement	Branch Chief	McDermott Will & Emery LLP	02/13/10	04/13/11
Venezia, Teresa M.	Enforcement	Deputy Assistant Regional Director	Fried, Frank, Harris, Shriver & Jacobson	10/20/00	03/29/01
Venezia, Teresa M.	Enforcement	Deputy Assistant Regional Director	Fried, Frank, Harris, Shriver & Jacobson	10/20/00	06/14/01
Venezia, Teresa M.	Enforcement	Deputy Assistant Regional Director	Fried, Frank, Harris, Shriver & Jacobson	10/20/00	07/17/01
Venezia, Teresa M.	Enforcement	Deputy Assistant Regional Director	Fried, Frank, Harris, Shriver & Jacobson	10/20/00	03/04/02
Venezia, Teresa M.	Enforcement	Deputy Assistant Regional Director	Fried, Frank, Harris, Shriver & Jacobson	10/20/00	01/03/02
Vietmeyer, N. Blair	Enforcement	Senior Counsel	E*Trade Brokerage Services, Inc.	08/24/07	04/03/08
Vietmeyer, N. Blair	Enforcement	Senior Counsel	E*Trade Brokerage Services, Inc.	08/24/07	04/03/08
Vlcek, Ann L.	Investment Management	Senior Attorney	Securities Industry Association	12/01/00	03/28/02
Vlcek, Ann L.	Investment Management	Senior Attorney	Securities Industry Association	12/01/00	08/22/02
Vlcek, Ann L.	Investment Management	Senior Attorney	Securities Industry Association	12/01/00	02/12/02
Walker, Richard H.	Enforcement	Director	Deutsche Bank AG	09/01/01	10/08/02
Walker, Richard H.	Enforcement	Director	Deutsche Bank AG	09/01/01	10/28/02
Walker, Jr., Donald A.	Corporation Finance	Senior Assistant Chief Accountant	FTI Consulting, Inc.	05/29/08	10/31/08
Walker, Jr., Donald A.	Corporation Finance	Senior Assistant Chief Accountant	FTI Consulting, Inc.	05/29/08	06/24/08
Warkol, Craig S.	Enforcement	Senior Counsel	Bracewell & Giuliani LLP	06/23/06	08/22/06
Warkol, Craig S.	Enforcement	Senior Counsel	Bracewell & Giuliani LLP	06/23/06	07/19/06
Wegrzyn, Kent L.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	05/18/07	10/15/07
Wegrzyn, Kent L.	Regional Office	Securities Compliance Examiner	ACA Compliance Group	05/18/07	08/19/08
Weigel III, Russell C.	Regional Office	Special Counsel	Montello & Kenney, P.A.	02/23/01	06/05/01
Weigel III, Russell C.	Regional Office	Special Counsel	Montello & Kenney, P.A.	02/23/01	06/04/01
Weigel III, Russell C.	Regional Office	Special Counsel	Montello & Kenney, P.A.	02/23/01	02/13/03
Weimer, Marilyn H.	Enforcement	Senior Counsel	Public Company Accounting Oversight Board	05/16/03	07/14/03
Weiner, Leora R.	Regional Office	Securities Compliance Examiner	Pacific Financial Research, Inc.	06/28/04	09/07/04
Weingarten, Ilan S.	Trading and Markets	Staff Attorney	Morgan, Lewis & Bockius LLP	04/07/00	05/10/01
Werbitt, Jeffrey B.	Corporation Finance	Staff Attorney	Akin, Gump, Strauss, Hauer & Feld LLP	03/30/07	11/19/07
Werbitt, Jeffrey B.	Corporation Finance	Staff Attorney	Akin, Gump, Strauss, Hauer & Feld LLP	03/30/07	12/04/08
West, Lawrence A.	Enforcement	Associate Director	Latham & Watkins LLP	12/22/05	10/01/07
White, John W.	Corporation Finance	Director	Cravath, Swaine & Moore LLP	12/31/08	07/28/10
White, John W.	Corporation Finance	Director	Cravath, Swaine & Moore LLP	12/31/08	10/18/10
White, John W.	Corporation Finance	Director	Cravath, Swaine & Moore LLP	12/31/08	11/04/10
White, John W.	Corporation Finance	Director	Cravath, Swaine & Moore LLP	12/31/08	09/21/10
White, William E.	Regional Office	Senior Trial Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	07/31/99	05/31/01
White, William E.	Regional Office	Senior Trial Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	07/31/99	11/16/00
White, William E.	Regional Office	Senior Trial Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	07/31/99	06/11/01
White, William E.	Regional Office	Senior Trial Counsel	Wilmer Cutler Pickering Hale and Dorr LLP	07/31/99	11/09/00
Wiggins, C. Hunter	Enforcement	Deputy Assistant Director	Sonnenschein Nath & Rosenthal LLP	05/10/04	02/21/05
Wiggins, C. Hunter	Enforcement	Deputy Assistant Director	Sonnenschein Nath & Rosenthal LLP	05/10/04	11/16/04
Wiggins, C. Hunter	Enforcement	Deputy Assistant Director	Sonnenschein Nath & Rosenthal LLP	05/10/04	04/20/06
Wiggins, William F.	Executive Director	Chief Management Analyst	Public Company Accounting Oversight Board	05/12/06	05/22/06
Wilgenburg, Arie S.	Chief Accountant	Professional Accounting Fellow	Deloitte LLP	07/02/10	02/23/11
Young, Oscar M.	Chief Accountant	Assistant Chief Accountant	Freddie Mac	01/11/08	02/26/08
Zablow, Rachel	Corporation Finance	Staff Accountant	Kost Forer Gabbay & Kasierer	12/14/07	05/04/08
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	08/06/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	02/16/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	02/24/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	05/03/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	08/25/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	11/10/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	11/10/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	12/20/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	03/11/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	04/12/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	05/06/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	01/03/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	02/04/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	01/26/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	11/10/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	05/03/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	09/20/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	03/29/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	11/19/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	01/02/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	01/10/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	01/26/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	06/21/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	08/22/05
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	07/02/04
Zaccaro, Thomas A.	Regional Office	Regional Trial Counsel	Akin, Gump, Strauss, Hauer & Feld LLP	12/12/03	08/03/04
Zelenko, Daniel L.	Enforcement	Branch Chief	Crowell & Moring LLP	01/04/08	06/23/09
Zelenko, Daniel L.	Enforcement	Branch Chief	Crowell & Moring LLP	01/04/08	07/30/08
Zelenko, Daniel L.	Enforcement	Branch Chief	Crowell & Moring LLP	01/04/08	09/16/08
Zelenko, Daniel L.	Enforcement	Branch Chief	Crowell & Moring LLP	01/04/08	04/07/08
Zubairi, Junaid A.	Enforcement	Senior Attorney	Vedder, Price, Kaufman & Kammholz, P.C.	02/29/08	11/13/08
[Illegible], [Illegible]	Chief Accountant	Professional Accounting Fellow	KPMG LLP	06/30/09	08/16/10

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