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Home Page > Legislative
Branch > Plum Book > 1996
Edition > Securities and Exchange Commission
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 |
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.......... |
........ |
Washington, DC |
Confidential Assistant |
Veronica Gillette |
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.......... |
........ |
Washington, DC |
Confidential Assistant |
Vacant |
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.......... |
........ |
Washington, DC |
Confidential Assistant |
Estelle Ware |
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.......... |
........ |
Washington, DC |
Confidential Assistant |
Melissa Kimps |
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.......... |
........ |
OFFICE OF THE CHIEF ACCOUNTANT |
Washington, DC |
Secretary |
Pamela Proctor-Sarvis |
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.......... |
........ |
OFFICE OF THE GENERAL COUNSEL |
Washington, DC |
Secretary |
Bettie A. Davis |
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.......... |
........ |
EXECUTIVE STAFF |
Washington, DC |
Confidential Assistant |
Carol L. Morrow |
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.......... |
........ |
OFFICE OF PUBLIC AFFAIRS, POLICY
EVALUATION AND RESEARCH |
Washington, DC |
Director |
Jennifer A. Scardino |
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.......... |
........ |
DIVISION OF MARKET REGULATION |
Washington, DC |
Secretary |
Lajoncy Willis |
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.......... |
........ |
DIVISION OF ENFORCEMENT |
Washington, DC |
Secretary |
Sheila Russell |
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.......... |
........ |
DIVISION OF INVESTMENT MANAGEMENT |
Washington, DC |
Secretary |
Doris Green |
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.......... |
........ |
DIVISION OF CORPORATION FINANCE |
Washington, DC |
Secretary |
Michele Williams |
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.......... |
........ |
OFFICE OF ECONOMIC ANALYSIS |
Washington, DC |
Secretary |
Patrick G. Lent |
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.......... |
........ |
OFFICE OF INTERNATIONAL AFFAIRS |
Washington, DC |
Secretary |
Jacqueline Clay |
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.......... |
........ |
EXECUTIVE STAFF |
Washington, DC |
Confidential Assistant |
Mary D. Middleton |
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.......... |
........ |
DIVISION OF MARKET REGULATION |
Washington, DC |
Secretary |
Jean M. Wade |
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.......... |
........ |
OFFICE OF PUBLIC AFFAIRS, POLICY
EVALUATION AND RESEARCH |
Washington, DC |
Public Affairs Specialist |
Vacant |
|
|
|
.......... |
........ |
Washington, DC |
Confidential Assistant |
Duncan King |
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.......... |
........ |
OFFICE OF THE EXECUTIVE DIRECTOR |
Washington, DC |
Secretary |
Denise B. Green |
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.......... |
........ |
EXECUTIVE STAFF |
Washington, DC |
Speech Writer |
Nicholas Balamaci |
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.......... |
........ |
OFFICE OF LEGISLATIVE AFFAIRS |
Washington, DC |
Director |
Kaye F. Williams |
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|
.......... |
........ |
EXECUTIVE STAFF |
Washington, DC |
Chief of Staff |
Michael Schlein |
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.......... |
.......... |
........ |
OFFICE OF THE EXECUTIVE DIRECTOR |
Washington, DC |
Executive Director |
James M. McConnell |
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.......... |
.......... |
........ |
DIVISION OF ENFORCEMENT |
Washington, DC |
Director of Regional Office Operations |
James A. Clarkson |
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.......... |
.......... |
........ |
DIVISION OF CORPORATION FINANCE |
Washington, DC |
Director |
Brian Lane |
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.......... |
.......... |
........ |
Washington, DC |
Associate Director (Small Business & International Finance) |
Albert S. Dandridge |
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.......... |
.......... |
........ |
DIVISION OF ENFORCEMENT |
Washington, DC |
Director |
William R. McLucas |
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.......... |
.......... |
........ |
Washington, DC |
Chief Counsel |
Joan McKown |
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.......... |
.......... |
........ |
Washington, DC |
Chief Litigation Counsel |
Vacant |
|
.......... |
.......... |
.......... |
........ |
Washington, DC |
Associate Director |
Thomas C. Newkirk |
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.......... |
.......... |
........ |
DIVISION OF INVESTMENT MANAGEMENT |
Washington, DC |
Director |
Barry P. Barbash |
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.......... |
.......... |
........ |
Washington, DC |
Associate Director (Legal & Disclosure) |
Heidi Stam |
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.......... |
.......... |
........ |
Washington, DC |
Associate Director (Regulation) |
Robert E. Plaze |
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.......... |
.......... |
........ |
DIVISION OF MARKET REGULATION |
Washington, DC |
Director |
Richard R. Lindsey |
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.......... |
.......... |
........ |
Washington, DC |
Senior Associate Director (Risk Management & Control) |
Larry E. Bergmann |
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.......... |
.......... |
........ |
OFFICE OF THE CHIEF ACCOUNTANT |
Washington, DC |
Chief Accountant |
Michael H. Sutton |
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.......... |
.......... |
........ |
OFFICE OF THE GENERAL COUNSEL |
Washington, DC |
General Counsel of the Commission |
Richard Walker |
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|
.......... |
.......... |
........ |
Washington, DC |
Associate General Counsel (Litigation & Administrative Practices) |
Richard M. Humes |
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.......... |
.......... |
........ |
Washington, DC |
Associate General Counsel (Appellate Litigation) |
Jacob H. Stillman |
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.......... |
.......... |
........ |
Washington, DC |
Associate General Counsel (Counseling & Regulatory Policy) |
Diane Sanger |
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.......... |
.......... |
........ |
Washington, DC |
Solicitor To The Commission |
Paul Gonson |
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.......... |
.......... |
........ |
REGIONAL OFFICES |
Northeast Regional Office |
New York, NY |
Regional Director |
Carmen Lawrence |
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.......... |
.......... |
........ |
New York, NY |
Senior Associate Regional Director (Enforcement) |
Henry Klehm |
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.......... |
.......... |
........ |
Midwest Regional Office |
Chicago, IL |
Regional Director |
Mary E. Keefe |
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.......... |
.......... |
........ |
Pacific Regional Office |
San Francisco, CA |
Regional Director |
Elaine M. Cacheris |
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.......... |
.......... |
........ |
Southeast Regional Office |
Atlanta, GA |
District Administrator |
Richard P. Wessel |
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.......... |
.......... |
........ |
Northeast Regional Office |
Boston, MA |
District Administrator |
Juan M. Marcelino |
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.......... |
.......... |
........ |
Central Regional Office |
Denver, CO |
Regional Director |
Daniel F. Shea |
|
|
.......... |
.......... |
........ |
Fort Worth, TX |
District Administrator |
Harold Degenhardt |
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.......... |
.......... |
........ |
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 |
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|
.......... |
.......... |
........ |
DIVISION OF ENFORCEMENT |
Washington, DC |
Deputy Chief Litigation Counsel |
Stephen J. Crimmins |
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|
.......... |
.......... |
........ |
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 |
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.......... |
.......... |
........ |
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 |
|
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|
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 |
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5 years |
06/05/1900 |
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