Neal Seiden

Senior Accountant, Securities and Exchange Commission

Neal joined the SEC in July 1984, in its Division of Corporation Finance. In this role, he was responsible for the examination and analysis of domestic and foreign registration statements, periodic reports and proxy statements filed with the SEC from an accounting, auditing, and economic perspective to ensure compliance with securities laws, GAAP, GAAS and financial reporting requirements. In June 1988, Neal transferred to the Division of Enforcement where he has specialized in investigating fraudulent financial reporting, defalcations, audit failures, and insider trading cases. In December 1999, Neal received the Ellen B. Ross Award for exemplary commitment, enthusiasm and performance in working to fulfill the SEC’s responsibilities for the fair and effective enforcement of the federal securities laws. In January 2017, Neal received the Ferdinand Pecora Award for exceptional tenacity, creativity, and efficiency by overcoming significant obstacles to enforce the federal securities laws. Over the years he has also received numerous awards from the SEC’s Director of Enforcement for cases he has worked on. He has also served as an EEO counselor, and is currently a Union steward. Immediately prior to joining the SEC, Neal was the Assistant Controller at D.C. National Bank (a publicly-held corporation). Previous to this job, Neal was on the audit staff of Ernst & Whinney (Baltimore). Neal graduated from the University of Maryland (College Park) with a B.S. degree in Accounting, where he was on the Varsity Fencing team (1978 ACC Champions). He is a CPA and a CFE.


Sessions

Session covers what the various stakeholders (i.e., auditors, regulators, management, and the board) expect from an investigation. Both public and private company expectations will be represented More