38 records in this section.
Laura Phillips served as the Deputy Chief Auditor of the Public Company Accounting Oversight Board (PCAOB) from 2003 – 2007 during which time she was instrumental in developing the PCAOB’s standards that implement the internal control audit requirement established by the Sarbanes-Oxley Act of 2002. She began her career in 1991 as an auditor with Ernst and Young LLP in Cleveland. After her stint at the PCAOB, she joined General Motors Company as its Assistant Corporate Controller, then Brown-Forman Corporation as its Corporate Controller. She completed her undergraduate work at Miami University majoring in accounting and finance.
From 1968 to 1978, Harvey Pitt served on the staff of the SEC, eventually becoming the agency's youngest-ever General Counsel in 1975 at age 30. From 2001 - 2003 he was the 26th SEC Chairman. For nearly 25 years prior to serving as SEC Chairman, Mr. Pitt was a partner in the law firm, Fried, Frank LLP. After he left the SEC, he founded the strategic consulting firm, Kalorama Partners, LLC. He was a founding trustee and first President of the SEC Historical Society.
Harvey Pitt, in this interview with Daniel Goelzer, explains how he, David Ruder and Paul Gonson worked together to establish the SEC Historical Society in 1999. Until his nomination as SEC Chairman in August 2001, he was integral to the Society's early operations, including the provision of office space for the early organization at the Fried Frank law firm where he was a partner. Once in his role as Chairman of the SEC, Pitt remained a strong supporter of the Society, including through the challenges brought about by the terrorist attacks on September 11 of that year.
From October 2005 to June 2008, when he left to join the firm of Paul Weiss Rifkind Wharton & Garrison, LLP, Walter Ricciardi was the Deputy Director of the SEC's Division of Enforcement, where his duties included managing the enforcement efforts of the Commission's eleven regional offices. He was promoted to Deputy Director from his post as head of the SEC’s Boston Regional office which is responsible for enforcement and examination programs for the New England region, a position he had held since April 2004. Prior to joining the SEC, Walter spent 20 years with PricewaterhouseCoopers and its predecessor, Coopers & Lybrand.
Lori A. Richards served in roles of increasing responsibility at the U.S. Securities and Exchange Commission for over 24 years, from 1985 to 2009. She joined the SEC as a staff attorney in Enforcement in the Los Angeles Regional Office, and there held positions of increasing responsibility, up through Associate Director for Enforcement. She then moved to the home office in 1994 to become Chairman Arthur Levitt’s Executive Assistant/Chief of Staff. Following that, she was asked to take on the role of Director of the newly created Office of Compliance, Inspections, and Examinations (OCIE), encompassing the SEC’s nationwide examination functions.She spent the next 14 years leading OCIE before leaving for private practice in 2009.
In this interview, David Ruder talks with Daniel Goelzer about his role as the SEC Historical Society’s founding Chairman of the Board of Trustee. Working closely with Paul Gonson and Harvey Pitt, he describes the key challenges and successes in getting the non-profit organization off the ground, including a major issues conference which proved to be an important example of both. As it turns out, Northwestern Pritzker School of Law figured significantly in early viability of the fledgling organization.
