Intimidating and Controlling Behavior

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if she was often right she stated, "Yeah, I often am." checks to be sure she is right by staying attune to don't work alone. I work for people. I try to do what my job is. I am not a loose [cannon]," Id. she would never do anything to hurt anyone at the. e givmmy life to the SEC in terms of work and would nevm knowingly I recommend that you provide a copy of this report to the Director of Trading and Markets, the Executive Director, the Associate Executive Director for Human Resources, the Associate General Counsel for Litigation and Administrative Practice, and the Ethics Counsel. Concur: Date: k/3 1 107 Brian Bressman Approved: Date: e C. 3 1, bawl
This document is subject to the provisions of the Privacy Act of 1974, and may require redaction before disclosure to third parties. No redaction has been performed by the OfTice of Inspector General. Recipients of this report should not disseminate or copy it without the Inspector General's approval. TED STATES SECURIT CO SSION CE OF INSPECTOR GENE Case No. OIC-472 Disruptive Act in the Worlkplace; Intimidating and Controlling Introduction and Backmound The Office of Inspector General (OIG) initially opened this investigation on October 12, 2007, into an allegation that Securities and Markets Associate Director/Chief Counsel Office of Compliance Inspections and Ex Qctobar 10,2007. On December 31,2007, the OIG issued a Report of Investigat caused a disruption in the wo engaged in a verbal tirade w investigation further found a history of intimidating an the workplace, and that she her investigative testimony. stigative iindings, we recommended that the Agency take discipIinary and that she be reminded of her obligation to prov of our investigative findings, the Agency removed Chief Counsel position, upervisory duties, and proposed a two disciplinary action against as a result of our investigative findings is ms report is a sumnzary of a supplemental investigation conducted after the OIG was ad approached several of her former subordinates for an affidavit statin ing or controlling. The informant for an &davit, gave us the names of others who he believ Our supplemental investigation revealed that quested affidavits in an 1 We understand that a draft counseling memorandum fo ad been prepared but that it has not been finalized as of this date.
Page 1 and 2: I ' To: W. David Kotz . Inspector G
Page 3 and 4: symptoms, as documented by the SEC
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: people can't get a word in edgewise
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Intimidating and Controlling Behavior

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