Intimidating and Controlling Behavior

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towards me, slamming it down on my desk." old us under oath that moved the inbox toward her and "slammed it toyard me, right down on the desk" and it made a huge noise, on the other ha&, swore under oath that she hit the ceder of st as an expression of fixstration and, the lower inbox which caused it to make a loud noise. "was appalled that [she] had done this thing" of slamming her fist on the inbox and that "this went way too far." loud noise, which she described as a ''slam." engaging in a verbal tirade with In d in a "condescending and abu e. she was not angry or condescending to ually if not more outrageous" than her own. seemed more upset as the conversation progressed, with both their voices getting increasingly loud, but that she did not see any inappropriate behavior while she was there. when the inbux was thrown down. Nonetheless, we did find evi encounter, in which even acc slamming her fist o became fearfid after dished the inbox as a weapon, and ot move back corn her desk We xeferred the matter of a possible assault to the Misdemeanor Trial Section of the United States Attorney's Office for the District of Columbia, wwh declined prosecution because they thought there was, at best, a very weak case of ''attiapt to frighten" assault, I (b)(WCf
symptoms, as documented by the SEC Health Unit nurse, as an apparent result of the incident and testified she continues to fear The evidence supports a lack of candor on the part of both n that they minimized ct with regard to this enco the OIG,~ Specifical a colleague a different version of what happened than she testified to, and empted to recreate what happened with the inbox in her testimony, her s actions following the incident are t with her testimony, and her testim istent with what others told us about @)(7)(~) actions and demeanor that day, . The OIG investigation M er uncovered eviden told us that she is difficult to deal with, often her staff and colleagues, and is quick to c and . tills fear in them, We also found evidenc very tight control over her office, even asking her staff about their OIG investigative testimony. In all, the evidence shows that while 's actions do not rise to the level of an assault, we do believe that her actions cons tive acts in the workplace against another ing injury. According1y, in light of this incident and the evidence concerning history of difficult and intimidating behavior, we believe disciplinary action. In addition, we would suggest that bo be reminded about their obligations to provide full and truthful t6stimony to the OIG in an official investigation. Background e Commission's Division of Trading and Markets since 1973, was promoted to her current position of Chief Counsel and Associate Director in 1993. Prior to that served as Special Assistant to the Director, Special Counsel, and Attorney-Advisor. work schedule is generally from 10 a.m. until 6:30 p.m. imd at the Commission's Division of Trading and Markets' Chief exception of serving in the entire We referred the matter of potential false statements to the ~r&d and Public Corruption Unit of the United States Attorney's Office for the District of Columbia, which declined prosecution.
Page 1: I ' To: W. David Kotz . Inspector G
Page 5 and 6: Table of Penalties & Relevant Law C
Page 7 and 8: 34. er testified she did not know w
Page 9 and 10: she was sick the whole evening of O
Page 11 and 12: a two-tiered wooden inbox which was
Page 13 and 14: conference. Id, d~ment & mbw to the
Page 15 and 16: said she then noticed that it was v
Page 17 and 18: she did not know if she should pres
Page 19 and 20: visiti boss, expectations and wants
Page 21 and 22: had been condescending and to1 conv
Page 23 and 24: emove herself from the [si When ask
Page 25 and 26: old us she thought it was od e secr
Page 27 and 28: ed her colleagues about their upcom
Page 29 and 30: people can't get a word in edgewise
Page 31 and 32: This document is subject to the pro
Page 37: This document is subject to the pro

Intimidating and Controlling Behavior

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