The Securities and Exchange Commission’s Office of the Inspector General is looking into anonymous tips that a prominent defense lawyer received preferential treatment from a senior SEC official (Case No. OIG-559), and that a regional office failed to take action regarding a possible financial fraud referred by another regional program (Case No. OIG-554).
In a semiannual report to Congress released May 31, IG H. David Kotz said his office also opened an investigation into whether a senior SEC official made unauthorized disclosures to the subject of an ongoing enforcement inquiry (Case No. OIG-555).
Meanwhile, the OIG is continuing its investigation ...
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