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Spotlight on
Enron
Enron-Related Enforcement Actions
- Joseph Hirko, et al. (Litigation Release No. 21089, AAER Release No. 2993, June 18, 2009)
- Rex R. Rogers (Administrative Proceeding Release No. 34-59297, AAER Release No. 2927, Jan. 26, 2009)
- Jordan H. Mintz (Administrative Proceeding Release No. 34-59296, AAER Release No. 2926, Jan. 26, 2009)
- Jordan H. Mintz and Rex R. Rogers (Litigation Release No. 20866, AAER Release No. 2925, Jan. 26, 2009)
- Lou L. Pai (Litigation Release No. 20658, July 29, 2008)
- David B. Duncan, CPA (Administrative Proceeding Release No. 57234, AAER Release No. 2778, Jan. 30, 2008)
- Commission Files Settled Action Against Former Arthur Andersen Partner in Connection With the Audits of Enron's Financial Statements (SEC v. David B. Duncan; Litigation Release No. 20441, AAER Release No. 2777, January 28, 2008)
- Thomas H. Bauer, CPA (Administrative Proceeding Release No. 57211, AAER Release No. 2776, Jan. 28, 2008)
- Michael Lowther, CPA (Administrative Proceeding Release No. 57210, AAER Release No. 2775, Jan. 28, 2008)
- Michael Odom, CPA (Administrative Proceeding Release No. 57209, AAER Release No. 2774, Jan. 28, 2008)
- SEC Settles Civil Fraud Charges Against Two Former Enron Executives (SEC v. Jerry K. Castleman and Kathleen M. Lynn; Litigation Release No. 20225, August 6, 2007)
- SEC Charges Former Enron Executive Jeffrey McMahon With Violating Federal Securities Laws (SEC v. Jeffrey McMahon; Litigation Release No. 20159, June 20, 2007)
- SEC Charges Two Former Enron In-House Lawyers with Securities Fraud and Related Violations (SEC v. Jordan H. Mintz and Rex R. Rogers; Litigation Release No. 20058, March 28, 2007)
- SEC Settles Civil Fraud Charges Filed Against Richard A. Causey, Former Enron Chief Accounting Officer; Causey Barred From Acting as an Officer or Director of a Public Company (Litigation Release No. 19996, February 9, 2007)
- Dale G. Rasmussen, Esq. (Administrative Proceeding Release No. 53662, AAER Release No. 2416, Apr. 17, 2003)
- David T. Leboe, CPA (Administrative Proceeding Release No. 53661, AAER Release No. 2415, Apr. 17, 2003)
- SEC Charges Two Former Enron Employees with Violating Federal Securities Laws; David T. Leboe, Former Enron Accountant, and Dale G. Rasmussen, Former Enron Attorney, Simultaneously Settle Charges(Litigation Release No. 19623, March 27, 2006)
- SEC Charges Timothy A. DeSpain, Former Enron Executive, with Violating Federal Securities Laws (Litigation Release No. 19067, February 8, 2005)
- SEC Charges Former Enron Executive Raymond M. Bowen, Jr. with Violating Federal Securities Laws (Litigation Release No. 19063, February 7, 2005)
- SEC Settles Civil Fraud Charges Filed Against Kevin P. Hannon (Litigation Release No. 18862, August 31, 2004)
- SEC Charges Mark E. Koenig, Former Executive Vice-President and Director of Investor Relations at Enron (Litigation Release No. 18849, August 25, 2004)
- SEC Settles Civil Fraud Charges Filed Against Kenneth D. Rice (Litigation Release No. 18815, July 30, 2004)
- SEC Charges Kenneth L. Lay, Enron's Former Chairman and Chief Executive Officer, with Fraud and Insider Trading (Litigation Release No. 18776, July 8, 2004)
- SEC Charges Paula H. Rieker with Violating Federal Securities Laws while Serving as Investor Relations Official at Enron (Litigation Release No. 18582, May 19, 2004)
- SEC Charges Jeffrey K. Skilling, Enron's Former President, Chief Executive Officer and Chief Operating Officer, With Fraud (Litigation Release No. 18582, Feb. 19, 2004)
- SEC Charges Richard A. Causey, Former Enron Chief Accounting Officer, with Fraud (Litigation Release No. 18551, Jan. 22, 2004)
- SEC Settles Civil Fraud Charges Filed Against Andrew S. Fastow, Former Enron Chief Financial Officer (Litigation Release No. 18543, Jan. 14, 2004)
- SEC Charges Canadian Imperial Bank of Commerce and Three Executives With Aiding and Abetting Enron's Accounting Fraud; CIBC Simultaneously Settles Charges, Consenting to a Permanent Anti-Fraud Injunction and Payment of $80 Million in Disgorgement, Penalties and Interest (Litigation Release No. 18517, Dec. 22, 2003)
- SEC Charges Daniel L. Gordon With Aiding and Abetting Enron Accounting Fraud and Falsifying Books and Records of Merrill Lynch (Litigation Release No. 18515, Dec. 19, 2003)
- Former Enron Chairman and Chief Executive Officer Agrees to Stipulation and Order Requiring Production of Documents (Litigation Release No. 18449, Nov. 7, 2003) [For Stipulation and Order, see related materials listed under Litigation Release No. 18372, below.]
- SEC Charges Former Chief Executive Officer of Enron North America and Enron Energy Services with Violating Federal Securities Laws (Litigation Release No. 18435, Oct. 30, 2003)
- SEC Charges Former Chief Accounting Officer of Enron North America With Fraud (Litigation Release No. 18403, Oct. 9, 2003)
- Securities and Exchange Commission Files Subpoena Enforcement Action Against Kenneth L. Lay; Former Enron Chairman and Chief Executive Officer Refuses to Produce Documents on Fifth Amendment Grounds (Litigation Release No. 18372, Sep. 29, 2003)
- SEC Charges Ben F. Glisan, Jr., Enron's Former Treasurer, with Securities Fraud (Litigation Release No. 18335, AAER Release No. 1852, Sep. 10, 2003)
- SEC Settles Enforcement Proceedings against J.P. Morgan Chase and Citigroup (Press Release No. 2003-87, Jul. 28, 2003)
- Citigroup, Inc. (Administrative Proceeding Release No. 48230, AAER Release No. 1821, Jul. 28, 2003)
- SEC Charges J.P. Morgan Chase in Connection with Enron's Accounting Fraud (Litigation Release No. 18252, AAER Release No. 1820, Jul. 28, 2003)
- SEC Files Amended Complaint Charging Five Enron Executives with Fraud and Insider Trading Relating to Enron's Broadband Subsidiary (Press Release No. 2003-58, May 1, 2003)
- Kevin A. Howard, Michael W. Krautz, Kenneth D. Rice, Joseph Hirko, Kevin P. Hannon, Rex T. Shelby, and F. Scott Yeager (Amended Complaint) (Litigation Release No. 18122, AAER Release No. 1771, May 1, 2003)
- Statement by SEC Chairman William H. Donaldson re: Suit against Merrill Lynch and Four Merrill Lynch Executives for Aiding and Abetting Enron Accounting Fraud (Mar. 17, 2003)
- Statement by Enforcement Director Stephen M. Cutler, Remarks to Announce the Filing of SEC v. Merrill Lynch, et al.
(Mar. 17, 2003)
- SEC Charges Merrill Lynch, Four Merrill Lynch Executives with Aiding and Abetting Enron Accounting Fraud (Press Release No. 2003-32, Mar. 17, 2003)
- Merrill Lynch & Co., Inc., Daniel H. Bayly, Thomas W. Davis, Robert S. Furst, Schuyler M. Tilney (Litigation Release No. 18038, AAER Release No. 1742, Mar. 17, 2003)
- A. Howard and Michael W. Krautz Litigation Release No. 18030, AAER Release No. 1738, Mar. 12, 2003)
- SEC Charges Fastow, Former Enron CFO, With Fraud (Press Release No. 2002-143, Oct. 2, 2002)
- Andrew S. Fastow (Litigation Release No. 17762, AAER Release No. 1640, Oct. 2, 2002)
- SEC Charges a Former High-Ranking Enron Official with Fraud (Press Release No. 2002-126, Aug. 21, 2002)
- Michael J. Kopper (Litigation Release No. 17692, AAER Release No. 1617, Aug. 21, 2002)
- Subpoena Enforcement Action against Andrew S. Fastow (Litigation Release No. 17270, Dec. 13, 2001)
Enron's Applications for Exemption under PUHCA
File No. 3-11373
- In the Matter of the Application of Stephen Forbes Cooper, LLC PGE Trust; and Enron Corporation:
Order Granting Request To Withdraw Application for Exemption (Rel. No. 35-27811, Mar. 9, 2004)
- Memorandum Opinion and Order Approving Plan of Reorganization Under Section 11(f) and Issuing Report Under Section 11(g) (Rel. No. 35-27810, Mar. 9, 2004)
- Enron Corp., et al. Memorandum Opinion and Order Authorizing External and Intrasystem Financing and Related Transactions; Authorizing Service Agreements; and Reserving Jurisdiction (Rel. No. 35-27809, Mar. 9, 2004)
- Motion of Enron Corp. Seeking Leave To Withdraw the Application and Requesting an Order of the Commission Dismissing this Administrative Proceeding, Mar. 9, 2004
- Response of Enron Corp. in Opposition to Motion of Public Citizen, Inc., Mar. 9, 2004
- Joint Status Report of the Division of Investment Management and Enron Corp., Mar. 8, 2004
- Motion of Public Citizen, Inc. for Summary Disposition of Enron Corp's Latest PUHCA Exemption Request, and Request for Finding That Application Was Not Made in "Good Faith", Mar. 8, 2004
- Extension Order (regarding the joint motion below), Feb. 6, 2004
- Joint Motion of Enron Corp. and the Division of Investment Management for an Extension of Time for Filing Papers and Postponement of the Hearing in This Proceeding in Order To Permit Completion of Settlement Discussions, Feb. 6, 2004
- Motion of Public Citizen for Leave To Intervene in Opposition to Latest PUHCA Exemption Application of Enron Corporation, Feb. 5, 2004
- Extension Order (regarding the joint motion below), Jan. 30, 2004
- Joint Motion of Enron Corp. and the Division of Investment Management for an Extension of Time for Filing Papers and Postponement of the Hearing in This Proceeding in Order To Permit Completion of Settlement Discussions, Jan. 30, 2004
- Public Utility Holding Company Act of 1935; Application of Stephen Forbes Cooper, LLC, PGE Trust, and Enron Corporation for Exemption Under the Public Utility Holding Company Act of 1935 (No. 70-10190)
Notice of and Order Scheduling Hearing (Rel. No. 35-27793, Jan. 14, 2004)
Federal Register PDF
File No. 3-10909
- Opinion of the Commission, Dec. 29, 2003
- Order Scheduling Oral Argument, Oct. 21, 2003
- Reply of Enron Corp. to the Division of Investment Management's Opposition to the Petitions for Review, Sep. 3, 2003
- Withdrawal of Southern California Edison Company's Petition for Review, Aug. 29, 2003
- Order Denying Motion to Intervene, Aug. 25, 2003
- Division of Investment Management's Brief in Opposition to Petitions for Review of Inital Decision, Aug. 20, 2003
- Reply of Enron Corp. to the Division of Investment Management's Opposition to Enron's Motion for Leave to Adduce Additional Evidence, Jul. 25, 2003
- Opening Brief in Support of Petition for Review of the Public Utility Commission of Oregon, Jul. 21, 2003
- National Association of Regulatory Utility Commissioners' Amicus Brief in Support of the Oregon Public Utility Commission's Opening Brief in Support of Petition for Review, Jul. 21, 2003
- Brief in Support of Petition of FPL Group, Inc. for Review of Initial Decision, Jul. 21, 2003
- Amicus Brief of Edison Electric Institute on Review of Initial Decision, Jul. 21, 2003
- Brief in Support of Petition for Review of Enron Corp. , Jul. 21, 2003
- Motion for Oral Argument, Jul. 21, 2003
- Division of Investment Management's Opposition to Enron's Motion for Leave to Adduce Additional Evidence, Jul. 21, 2003
- Motion of Enron Corp. for Leave to Adduce Additional Evidence, Jul. 15, 2003
- Division of Investment Management's Reply Memorandum in Support of Its Motion for Expedited Consideration of
Enron's Appeal of the Initial Decision, Jun. 30, 2003
- Opposition of Enron to Division of Investment Management's Motion, Jun. 25, 2003
- Division of Investment Management's Motion for Expedited Consideration of Appeal, Jun. 18, 2003
- Commission Order Granting Petitions for Review, Jun. 11, 2003; Release No. 35-27685
- Response of Division of Investment Management: Opposition to the Petitions for Review, Mar. 25, 2003; pdf version
- Amicus Brief of Edison Electric Institute, Mar. 25, 2003
- Motion for Leave To Intervene: National Association of Regulatory Commissioners, Mar. 21, 2003
- Commission Order Directing Response to Petitions for Review, Mar. 11, 2003
- Petition for Review of the Public Utility Commission of Oregon, Feb. 28, 2003
- Petition for Review of Enron Corp., Feb. 27, 2003
- Petition of FPL Group, Inc. for Review of Initial Decision, Feb. 27, 2003
- Southern California Edison Company's Petition for Review, Feb. 27, 2003
- Initial Decision of SEC Administrative Law Judge, Feb. 6, 2003
- Order Designating New Hearing Officer (Rel. No. 35-27606, Nov. 22, 2002)
- Order Denying Motion (Rel. No. 35-27604, Nov. 19, 2002)
- Order Denying Motion (Rel. No. 35-27603, Nov. 19, 2002)
- Order Denying Motion (Rel. No. 35-27595, Nov. 5, 2002)
- Order Denying Motion (Rel. No. 35-27594, Nov. 5, 2002)
- Order Denying Motions (Rel. No. 35-27593, Nov. 5, 2002)
- Scheduling Order (Rel. No. 35-27576, Oct. 10, 2002)
- SEC Sets Hearings on Enron Corp. Applications for Exemptions Under the Public Utility Holding Company Act (Press Release No. 2002-146, Oct. 7, 2002)
- Applications of Enron Corp. for Exemptions Under the Public Utility Holding Company Act of 1935, (Nos. 70-9661 and 70-10056): Order Scheduling Hearing (Rel. No. 35-27574, Oct. 7, 2002)
http://www.sec.gov/spotlight/enron.htm
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