[United States Government Policy and Supporting Positions (Plum Book), 1996] [Independent Agencies and Government Corporations] [Securities and Exchange Commission] [From the U.S. Government Printing Office, www.gpo.gov]The Plum Book (United States Government Policy and Supporting Positions): 1996 Edition
BRANCH: EXECUTIVE
SECURITIES AND EXCHANGE COMMISSION
| Location | Position Title | Name of Incumbent | Pay Plan |
Type of Appt. |
Level Grade or Pay |
Tenure |
Expires |
|---|---|---|---|---|---|---|---|
| EXECUTIVE STAFF | |||||||
| Washington, DC | Confidential Assistant | Ida M. Williams | .......... | ........ | |||
| Washington, DC | Confidential Assistant | Veronica Gillette | .......... | ........ | |||
| Washington, DC | Confidential Assistant | Vacant | .......... | ........ | |||
| Washington, DC | Confidential Assistant | Estelle Ware | .......... | ........ | |||
| Washington, DC | Confidential Assistant | Melissa Kimps | .......... | ........ | |||
| OFFICE OF THE CHIEF ACCOUNTANT | |||||||
| Washington, DC | Secretary | Pamela Proctor-Sarvis | .......... | ........ | |||
| OFFICE OF THE GENERAL COUNSEL | |||||||
| Washington, DC | Secretary | Bettie A. Davis | .......... | ........ | |||
| EXECUTIVE STAFF | |||||||
| Washington, DC | Confidential Assistant | Carol L. Morrow | .......... | ........ | |||
| OFFICE OF PUBLIC AFFAIRS, POLICY EVALUATION AND RESEARCH | |||||||
| Washington, DC | Director | Jennifer A. Scardino | .......... | ........ | |||
| DIVISION OF MARKET REGULATION | |||||||
| Washington, DC | Secretary | Lajoncy Willis | .......... | ........ | |||
| DIVISION OF ENFORCEMENT | |||||||
| Washington, DC | Secretary | Sheila Russell | .......... | ........ | |||
| DIVISION OF INVESTMENT MANAGEMENT | |||||||
| Washington, DC | Secretary | Doris Green | .......... | ........ | |||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Secretary | Michele Williams | .......... | ........ | |||
| OFFICE OF ECONOMIC ANALYSIS | |||||||
| Washington, DC | Secretary | Patrick G. Lent | .......... | ........ | |||
| OFFICE OF INTERNATIONAL AFFAIRS | |||||||
| Washington, DC | Secretary | Jacqueline Clay | .......... | ........ | |||
| EXECUTIVE STAFF | |||||||
| Washington, DC | Confidential Assistant | Mary D. Middleton | .......... | ........ | |||
| DIVISION OF MARKET REGULATION | |||||||
| Washington, DC | Secretary | Jean M. Wade | .......... | ........ | |||
| OFFICE OF PUBLIC AFFAIRS, POLICY EVALUATION AND RESEARCH | |||||||
| Washington, DC | Public Affairs Specialist | Vacant | .......... | ........ | |||
| Washington, DC | Confidential Assistant | Duncan King | .......... | ........ | |||
| OFFICE OF THE EXECUTIVE DIRECTOR | |||||||
| Washington, DC | Secretary | Denise B. Green | .......... | ........ | |||
| EXECUTIVE STAFF | |||||||
| Washington, DC | Speech Writer | Nicholas Balamaci | .......... | ........ | |||
| OFFICE OF LEGISLATIVE AFFAIRS | |||||||
| Washington, DC | Director | Kaye F. Williams | .......... | ........ | |||
| EXECUTIVE STAFF | |||||||
| Washington, DC | Chief of Staff | Michael Schlein | .......... | .......... | ........ | ||
| OFFICE OF THE EXECUTIVE DIRECTOR | |||||||
| Washington, DC | Executive Director | James M. McConnell | .......... | .......... | ........ | ||
| DIVISION OF ENFORCEMENT | |||||||
| Washington, DC | Director of Regional Office Operations | James A. Clarkson | .......... | .......... | ........ | ||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Director | Brian Lane | .......... | .......... | ........ | ||
| Washington, DC | Associate Director (Small Business & International Finance) | Albert S. Dandridge | .......... | .......... | ........ | ||
| DIVISION OF ENFORCEMENT | |||||||
| Washington, DC | Director | William R. McLucas | .......... | .......... | ........ | ||
| Washington, DC | Chief Counsel | Joan McKown | .......... | .......... | ........ | ||
| Washington, DC | Chief Litigation Counsel | Vacant | .......... | .......... | .......... | ........ | |
| Washington, DC | Associate Director | Thomas C. Newkirk | .......... | .......... | ........ | ||
| DIVISION OF INVESTMENT MANAGEMENT | |||||||
| Washington, DC | Director | Barry P. Barbash | .......... | .......... | ........ | ||
| Washington, DC | Associate Director (Legal & Disclosure) | Heidi Stam | .......... | .......... | ........ | ||
| Washington, DC | Associate Director (Regulation) | Robert E. Plaze | .......... | .......... | ........ | ||
| DIVISION OF MARKET REGULATION | |||||||
| Washington, DC | Director | Richard R. Lindsey | .......... | .......... | ........ | ||
| Washington, DC | Senior Associate Director (Risk Management & Control) | Larry E. Bergmann | .......... | .......... | ........ | ||
| OFFICE OF THE CHIEF ACCOUNTANT | |||||||
| Washington, DC | Chief Accountant | Michael H. Sutton | .......... | .......... | ........ | ||
| OFFICE OF THE GENERAL COUNSEL | |||||||
| Washington, DC | General Counsel of the Commission | Richard Walker | .......... | .......... | ........ | ||
| Washington, DC | Associate General Counsel (Litigation & Administrative Practices) | Richard M. Humes | .......... | .......... | ........ | ||
| Washington, DC | Associate General Counsel (Appellate Litigation) | Jacob H. Stillman | .......... | .......... | ........ | ||
| Washington, DC | Associate General Counsel (Counseling & Regulatory Policy) | Diane Sanger | .......... | .......... | ........ | ||
| Washington, DC | Solicitor To The Commission | Paul Gonson | .......... | .......... | ........ | ||
| REGIONAL OFFICES | |||||||
| Northeast Regional Office | |||||||
| New York, NY | Regional Director | Carmen Lawrence | .......... | .......... | ........ | ||
| New York, NY | Senior Associate Regional Director (Enforcement) | Henry Klehm | .......... | .......... | ........ | ||
| Midwest Regional Office | |||||||
| Chicago, IL | Regional Director | Mary E. Keefe | .......... | .......... | ........ | ||
| Pacific Regional Office | |||||||
| San Francisco, CA | Regional Director | Elaine M. Cacheris | .......... | .......... | ........ | ||
| Southeast Regional Office | |||||||
| Atlanta, GA | District Administrator | Richard P. Wessel | .......... | .......... | ........ | ||
| Northeast Regional Office | |||||||
| Boston, MA | District Administrator | Juan M. Marcelino | .......... | .......... | ........ | ||
| Central Regional Office | |||||||
| Denver, CO | Regional Director | Daniel F. Shea | .......... | .......... | ........ | ||
| Fort Worth, TX | District Administrator | Harold Degenhardt | .......... | .......... | ........ | ||
| Northeast Regional Office | |||||||
| Philadelphia, PA | District Administrator | Donald M. Hoerl | .......... | .......... | ........ | ||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Associate Director (Regulatory Policy) | Mauri L. Osheroff | .......... | .......... | ........ | ||
| OFFICE OF ECONOMIC ANALYSIS | |||||||
| Washington, DC | Chief Economist | Erik Sirri | .......... | .......... | ........ | ||
| DIVISION OF ENFORCEMENT | |||||||
| Washington, DC | Associate Director | Paul V. Gerlach | .......... | .......... | ........ | ||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Chief Accountant | Robert A. Bayless | .......... | .......... | ........ | ||
| REGIONAL OFFICES | |||||||
| Midwest Regional Office | |||||||
| Chicago, IL | Associate Regional Director (Enforcement) | Randall J. Fons | .......... | .......... | ........ | ||
| EXECUTIVE STAFF | |||||||
| Washington, DC | Counselor to the Chairman | Carrie E. Dwyer | .......... | .......... | ........ | ||
| DIVISION OF ENFORCEMENT | |||||||
| Washington, DC | Deputy Chief Litigation Counsel | Stephen J. Crimmins | .......... | .......... | ........ | ||
| REGIONAL OFFICES | |||||||
| Pacific Regional Office | |||||||
| Los Angeles, CA | Associate Regional Director (Enforcement) | Sandra J. Harris | .......... | .......... | ........ | ||
| DIVISION OF MARKET REGULATION | |||||||
| Washington, DC | Deputy Director | Robert L. Colby | .......... | .......... | ........ | ||
| OFFICE OF THE GENERAL COUNSEL | |||||||
| Washington, DC | Associate General Counsel (Legal Policy) | Vacant | .......... | .......... | .......... | ........ | |
| DIVISION OF INVESTMENT MANAGEMENT | |||||||
| Washington, DC | Associate Director (Chief Counsel) | Jack W. Murphy | .......... | .......... | ........ | ||
| OFFICE OF THE EXECUTIVE DIRECTOR | |||||||
| Washington, DC | Associate Executive Director (Information Technology) | Michael E. Bartell | .......... | .......... | ........ | ||
| OFFICE OF THE SECRETARY | |||||||
| Washington, DC | Secretary of the Commission | Jonathan Katz | .......... | .......... | ........ | ||
| DIVISION OF ENFORCEMENT | |||||||
| Washington, DC | Chief Accountant | George H. Diacont | .......... | .......... | ........ | ||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Senior Legal Advisor | David A. Sirignano | .......... | .......... | ........ | ||
| DIVISION OF MARKET REGULATION | |||||||
| Washington, DC | Associate Director (Chief Counsel) | Catherine Mcguire | .......... | .......... | ........ | ||
| Washington, DC | Associate Director (Risk Management & Control) | Michael A. Macchiaroli | .......... | .......... | ........ | ||
| OFFICE OF THE EXECUTIVE DIRECTOR | |||||||
| Washington, DC | Associate Executive Director (Reports & Information) | Wilson A. Butler | .......... | .......... | ........ | ||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Associate Director (Accounting Operations) | Wayne E. Carnall | .......... | .......... | ........ | ||
| REGIONAL OFFICES | |||||||
| Northeast Regional Office | |||||||
| New York, NY | Associate Regional Director (Broker/Dealer) | Robert A. Sollazzo | .......... | .......... | ........ | ||
| Pacific Regional Office | |||||||
| Los Angeles, CA | Associate Regional Director (Regulation) | Rosalind R. Tyson | .......... | .......... | ........ | ||
| Midwest Regional Office | |||||||
| Chicago, IL | Associate Regional Director (Regulation) | Patricia C. Holland | .......... | .......... | ........ | ||
| Northeast Regional Office | |||||||
| New York, NY | Associate Regional Director (Enforcement) | Robert B. Blackburn | .......... | .......... | ........ | ||
| New York, NY | Associate Regional Director (Investment Management) | Douglas Scarff | .......... | .......... | ........ | ||
| OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS | |||||||
| Washington, DC | Associate Director | Mary A. Gadzaila | .......... | .......... | ........ | ||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Senior Associate Director | William E. Morley | .......... | .......... | ........ | ||
| REGIONAL OFFICES | |||||||
| Pacific Regional Office | |||||||
| San Francisco, CA | District Administrator | David B. Bayless | .......... | .......... | ........ | ||
| OFFICE OF THE EXECUTIVE DIRECTOR | |||||||
| Washington, DC | Director, SEC Headquarters Renovation Program | Kenneth A. Fogash | .......... | .......... | ........ | ||
| DIVISION OF MARKET REGULATION | |||||||
| Washington, DC | Senior Associate Director (Market Supervision) | Howard L. Kramer | .......... | .......... | ........ | ||
| REGIONAL OFFICES | |||||||
| Southeast Regional Office | |||||||
| Miami, FL | Regional Director | Charles V. Senatore | .......... | .......... | ........ | ||
| DIVISION OF ENFORCEMENT | |||||||
| Washington, DC | Deputy Director | Colleen P. Mahoney | .......... | .......... | ........ | ||
| OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS | |||||||
| Washington, DC | Director | Lori A. Richards | .......... | .......... | ........ | ||
| Washington, DC | Associate Director (Examinations Support) | Gladwyn Goins | .......... | .......... | ........ | ||
| REGIONAL OFFICES | |||||||
| Central Regional Office | |||||||
| Denver, CO | Associate Regional Director (Enforcement) | Vacant | .......... | .......... | .......... | ........ | |
| OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS | |||||||
| Washington, DC | Associate Director (IA/IC Examinations) | Gene A. Gohlke | .......... | .......... | ........ | ||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Senior Associate Director | Abigail Arms | .......... | .......... | ........ | ||
| OFFICE OF THE GENERAL COUNSEL | |||||||
| Washington, DC | Associate General Counsel (Adjudication) | Anne E. Chafer | .......... | .......... | ........ | ||
| DIVISION OF ENFORCEMENT | |||||||
| Washington, DC | Associate Director | Gary N. Sundick | .......... | .......... | ........ | ||
| DIVISION OF MARKET REGULATION | |||||||
| Washington, DC | Associate Director (Market Supervision) | Holly H. Smith | .......... | .......... | ........ | ||
| REGIONAL OFFICES | |||||||
| Northeast Regional Office | |||||||
| New York, NY | Associate Regional Director (Enforcement) | Vacant | .......... | .......... | ........ | ||
| New York, NY | Deputy Regional Director | Edwin H. Nordlinger | .......... | .......... | ........ | ||
| OFFICE OF INTERNATIONAL AFFAIRS | |||||||
| Washington, DC | Director, Office of International Affairs | Michael D. Mann | .......... | .......... | ........ | ||
| DIVISION OF CORPORATION FINANCE | |||||||
| Washington, DC | Deputy Director | Meredith B. Cross | .......... | .......... | ........ | ||
| EXECUTIVE STAFF | |||||||
| Washington, DC | Chairman | Arthur Levitt | 5 years |
06/05/1998 |
|||
| Washington, DC | Commissioner | Steven M. Wallman | 5 years |
06/05/1997 |
|||
| Washington, DC | Commissioner | Vacant | 5 years |
........ | |||
| Washington, DC | Commissioner | Norman Johnson | 5 years |
06/05/1999 |
|||
| Washington, DC | Commissioner | Isaac Hunt | 5 years |
06/05/1900 |
|||