SEC Digest: Enforcement Actions

	Executive Ethics Subcomponent Folders
Examples of Corporate Code of Ethics View FoldersCODE OF ETHICS AND BUSINESS CONDUCT FOR EMPLOYEES, OFFICERS AND DIRECTORS 2003 Island Pacific Inc CODE OF ETHICS AND CONDUCT Crested Corp 2003CODE OF ETHICS FOR SENIOR FINANCIAL OFFICERS 2004 Emerson Radio CorpCode of Ethics MAIR Holdings Inc For Principal Executive Officer and Principal Financial Officer 2004CODE OF ETHICS Sound Federal Bancorp Inc for Chief Executive Officer and Chief Financial Officer 2004CODE OF ETHICS TeamStaff Inc 2003 IBM Corporate Governance Code of ConductPriceline.com Corporate Code of Conduct and Ethics   Glossary View FoldersRule 10b-5Section 10(b) Violation   Recommended Reading View FoldersCorporate Ethics and AccountabilityExecuCite BookshelfRestoring Trust: Report by Richard Breeden On Corporate Governance   SEC Digest: Enforcement Actions View FoldersIn The Matter of George Wulf, Former Chairman And CEO Wulf International In The Matter Of Kenneth Livesay, CPASEC Administrative Enforcement Action Against General Electric: Welch CompensationSEC Enforcement Action Against Dr. Norman Payson Former CEO Chairman of Oxford HealthSEC Enforcement Action Against Former CEO of Competitive Technologies Inc for Fraudulent Stock ManipulationSEC Enforcement Action Against Former Medical Director of Gliatech, Inc For Insider TradingSEC Enforcement Action Against Four Insiders For Insider Trading On Dean Foods Suiza Foods MergerSEC Enforcement Action Against Scott Anixter, Former Chairman Of Anicom, Inc.SEC Enforcement Action Against Vaso Active Pharmaceuticals And John Masiz CEOSEC Enforcement Action Bristol-Myers Squibb Co. Agrees to Pay $150 Million to Settle Civil Fraud ActionSEC Enforcement Action: Commission Settles Fraud Charges Against Kenneth Rice Former CEO Enron Broadband ServicesSEC Enforcement Action Final Judgment Entered Against Bristol-Myers Squibb CompanySEC Files Cease And Desist Order Against Charter Communications Inc.SEC Files Injunction Against Former Officers Of IBP, Inc. SubsidiarySEC Issues Cease And Desist Order Against Halliburton Co. And Its Former CFOSEC Obtains Jury Verdict In Scholastic Corp. Insider Trading CaseSEC Settles Enforcement Action Against CoPresident of Gemstar/TV Guide

• In The Matter of George Wulf, Former Chairman And CEO Wulf International
  Court orders George Wulf, former Chairman and CEO of Wulf International, Ltd, for fraudulent statements in company press releases.
• In The Matter Of Kenneth Livesay, CPA
  SEC sanctions former Assistant Controller of HealthSouth Corporation, after federal district court granting permanent injunction from future violations of the securities laws. Livesay was also convicted of conspiracy to commit wire fraud, securities fraud, and knowingly and willfully falsifying company records.
• SEC Administrative Enforcement Action Against General Electric: Welch Compensation
• SEC Enforcement Action Against Dr. Norman Payson Former CEO Chairman of Oxford Health
• SEC Enforcement Action Against Former CEO of Competitive Technologies Inc for Fraudulent Stock Manipulation
  SEC sues Connecticut company, CEO and six brokers for nationwide stock manipulation scheme fraudulently inflating company stock price.
• SEC Enforcement Action Against Former Medical Director of Gliatech, Inc For Insider Trading
  Commission alleges former medical director of Gliatech, Inc. profited $1.6 million from insider trading in Gliatech, Inc. stock.
• SEC Enforcement Action Against Four Insiders For Insider Trading On Dean Foods Suiza Foods Merger
  SEC sues four individuals for insider trading in advance of the Dean Foods Suiza Foods merger. Individuals Agree To Pay $306,062.71 In Disgorgement, Penalties And Interest
• SEC Enforcement Action Against Scott Anixter, Former Chairman Of Anicom, Inc.
  Scott Anixter, former Chairman of the Board of Anicom, Inc. charged with fraud.
• SEC Enforcement Action Against Vaso Active Pharmaceuticals And John Masiz CEO
  The Commission's complaint alleges that the defendants made material misrepresentations and omissions in both public statements and filings with the Commission falsely claiming FDA approval for three of the company's products which were not, in fact, FDA approved.
• SEC Enforcement Action Bristol-Myers Squibb Co. Agrees to Pay $150 Million to Settle Civil Fraud Action
  Bristol-Myers Squibb Company agrees to pay $150 million to settle civil fraud action.
• SEC Enforcement Action: Commission Settles Fraud Charges Against Kenneth Rice Former CEO Enron Broadband Services
  SEC settles civil fraud charges filed against Kenneth Rice, former CEO of Enron Broadband Services. Rich to pay $14.7 million; agrees to cooperate in ongoing investigation into Enron.
• SEC Enforcement Action Final Judgment Entered Against Bristol-Myers Squibb Company
  Final judgment entered against Defendant Bristol-Myers Squibb Company.
• SEC Files Cease And Desist Order Against Charter Communications Inc.
  SEC Files Cease And Desist Order Against Charter Communications, Inc.
• SEC Files Injunction Against Former Officers Of IBP, Inc. Subsidiary
  Injunctive action filed against three former officers of IBP, Inc. subsidiary.
• SEC Issues Cease And Desist Order Against Halliburton Co. And Its Former CFO
  SEC issues a cease-and-desist order against Halliburton Company and its former controller and files suit against Halliburton's former chief financial officer for failing to disclose accounting change that materially increased Halliburton's reported income.
• SEC Obtains Jury Verdict In Scholastic Corp. Insider Trading Case
  SEC obtains jury verdict against two defendants in Scholastic Corp. insider trading case.
• SEC Settles Enforcement Action Against CoPresident of Gemstar/TV Guide
  Former Co-President of Gemstar TV Guide International Inc. agrees to settle SEC action.