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Pitt, Harvey
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Records of the Office of Presidential Personnel (George W. Bush Administration)
Katja Bullock's Files
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2014-0370-F
[
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Tuesday, April 21, 2015
FOIA Marker
This is not a textual record. This FOIA Marker indicates that material has been removed
during FOIA processing by George W. Bush Presidential Library staff.
Presidential Personnel, White House Office of
Bullock, Katja
Location or
NARA Number:
FRC ID:
OA Number:
Stack: Row: Sect.: Shelf: Pos.:
Hollinger ID:
W
13
29
5
1
13694
26557
14084
15375
Folder Title:
Pitt, Harvey
Withdrawn/Redacted Material
The George W. Bush Library
DOCUMENT FORM
SUBJECT/TITLE
PAGES
DATE
RESTRICTION(S)
NO.
001
Report
Harvey Lloyd Pitt - From: Dina Powell
1
N.D.
P6/b6;
002
Report
Harvey Lloyd Pitt - From: Dina Powell
1
N.D.
P6/b6;
003
Report
Harvey Lloyd Pitt - From: Dina Powell
1
N.D.
P6/b6;
004
Email
Re: Harvey Pitt - To: Timothy C. Stout - From: Dina
2
05/16/2001
P5;
Powell
005
Report
Harvey Lloyd Pitt - From: Dina Powell
1
N.D.
P6/b6;
006
Report
Harvey Lloyd Pitt
1
05/02/2001
P6/b6;
007
Report
Harvey Lloyd Pitt - From: Dina Powell
1
N.D.
P6/b6;
COLLECTION TITLE:
Presidential Personnel, White House Office of
SERIES:
Bullock, Katja
FOLDER TITLE:
Pitt, Harvey
FRC ID:
13694
RESTRICTION CODES
Presidential Records Act - [44 U.S.C. 2204(a)]
Freedom of Information Act - [5 U.S.C. 552(b)]
P1 National Security Classified Information [(a)(1) of the PRA]
b(1) National security classified information [(b)(1) of the FOIA]
P2 Relating to the appointment to Federal office [(a)(2) of the PRA]
b(2) Release would disclose internal personnel rules and practices of
P3 Release would violate a Federal statute [(a)(3) of the PRA]
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
b(3) Release would violate a Federal statute [(b)(3) of the FOIA]
financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
P5 Release would disclose confidential advise between the President
information [(b)(4) of the FOIA]
and his advisors, or between such advisors [a)(5) of the PRA]
b(6) Release would constitute a clearly unwarranted invasion of
P6 Release would constitute a clearly unwarranted invasion of
personal privacy [(b)(6) of the FOIA]
personal privacy [(a)(6) of the PRA]
b(7) Release would disclose information compiled for law enforcement
purposes [(b)(7) of the FOIA]
PRM. Personal record misfile defined in accordance with 44 U.S.C.
b(8) Release would disclose information concerning the regulation of
2201(3).
financial institutions [(b)(8) of the FOIA]
b(9) Release would disclose geological or geophysical information
Deed of Gift Restrictions
concerning wells [(b)(9) of the FOIA]
A. Closed by Executive Order 13526 governing access to national
Records Not Subject to FOIA
security information.
B. Closed by statute or by the agency which originated the document.
Court Sealed - The document is withheld under a court seal and is not subject to
C. Closed in accordance with restrictions contained in donor's deed
the Freedom of Information Act.
of gift.
2014-0370-F
Page 1 of 2
This document was prepared on Tuesday, April 28, 2015
2014-0563-F
Withdrawn/Redacted Material
The George W. Bush Library
DOCUMENT FORM
SUBJECT/TITLE
PAGES
DATE
RESTRICTION(S)
NO.
008
Report
Harvey L. Pitt
1
N.D.
P6/b6;
COLLECTION TITLE:
Presidential Personnel, White House Office of
SERIES:
Bullock, Katja
FOLDER TITLE:
Pitt, Harvey
FRC ID:
13694
RESTRICTION CODES
Presidential Records Act - [44 U.S.C. 2204(a)]
Freedom of Information Act - [5 U.S.C. 552(b)]
P1 National Security Classified Information [(a)(1) of the PRA]
b(1) National security classified information [(b)(1) of the FOIA]
P2 Relating to the appointment to Federal office [(a)(2) of the PRA]
b(2) Release would disclose internal personnel rules and practices of
P3 Release would violate a Federal statute [(a)(3) of the PRA]
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
b(3) Release would violate a Federal statute [(b)(3) of the FOIA]
financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
P5 Release would disclose confidential advise between the President
information [(b)(4) of the FOIA]
and his advisors, or between such advisors [a)(5) of the PRA]
b(6) Release would constitute a clearly unwarranted invasion of
P6 Release would constitute a clearly unwarranted invasion of
personal privacy [(b)(6) of the FOIA]
personal privacy [(a)(6) of the PRA]
b(7) Release would disclose information compiled for law enforcement
purposes [(b)(7) of the FOIA]
PRM. Personal record misfile defined in accordance with 44 U.S.C.
b(8) Release would disclose information concerning the regulation of
2201(3).
financial institutions [(b)(8) of the FOIA]
b(9) Release would disclose geological or geophysical information
Deed of Gift Restrictions
concerning wells [(b)(9) of the FOIA]
A. Closed by Executive Order 13526 governing access to national
Records Not Subject to FOIA
security information.
B. Closed by statute or by the agency which originated the document.
Court Sealed - The document is withheld under a court seal and is not subject to
C. Closed in accordance with restrictions contained in donor's deed
the Freedom of Information Act.
of gift.
2014-0370-F
Page 2 of 2
This document was prepared on Tuesday, April 28, 2015
2014-0563-F
SEC
Chairman
-pls - returnto Diva
-
-
PREPARED BY: Dina Powell
NAME:
Harvey Lloyd Pitt
NAME & STATE
Harvey Pitt of North Carolina
POSITION:
Commissioner of the Securities and Exchange Commission and
Upon Confirmation Designate Chairman
TYPE: (bold one)
PAS
PA
SES
FT
PT
TERM:
Remainder
of term
expiring
6/5/02 and a
new 5 year
term expiring
6/5/07
VICE:
Paul R. Carey
GENDER:
M
DOB:
(b)(6)
BIRTHPLACE:
Brooklyn, NY
PARTY:
(b)(6)
SSN:
ETHNIC HERITAGE:
Polish American
RACE:
White
CHILDREN:
Emily, Jonathan, Robert,
SPOUSE:
Saree
Sally
VOTING CITY, STATE
Washington, DC
HOME
Washington, DC
(in 2000)
STATE:
CURRENT HOME
CURRENT
Partner, Fried, Frank,
ADDRESS:
POSITION AND
Harris, Shriver &
(b)(6)
Jacobson, Chairman of
WORK ADDRESS:
the DC Office
1001 Pennsylvania Ave,
NW Washington DC
20004
HOME PHONE:
(b)(6)
WORK PHONE:
202-639-7100
EDUCATION:
JD St. John's
AWARDS:
University Law
School
BA City
University of New
York- Brooklyn
College
PREVIOUS
General Counsel
MILITARY
None
POSITIONS HELD:
SEC
SERVICE:
PREVIOUS
None
PRESIDENTIAL
APPOINTMENTS:
President approved:
Security package sent:
INDEPENDENT AGENCIES
DATE
TERM
NAME
POL.
STATE
APPOINTED
EXPIRES
*
SABINE RIVER COMPACT ADMINISTRATION (Texas and Louisiana)
Federal Representative of the United States
Peggy E. Montano
CO
3/30/95
*
SECURITIES AND EXCHANGE COMMISSION (5) (BI-PARTISAN)
Pill
R 20005
4
Isaac C. Hunt, Jr.
D
OH
1/29/96
6/5/00
Laura S. Unger (ACTING CHAIR) Glassman
R
NY
11/1/97
6/5/01
HURF
Paul R. Carey (dead) - Johns Glassan D R
NY
10/31/97
6/5/02
Arthur Levitt, Jr. Hatury Pi#
R
NY
4/7/98
6/5/03
(ALevitt, Jr. rsg. 2/9/02, eff. 2/9/01;
R
15/904
3 longest -save Johnson cre singled Atkins
Znd
SECURITIES INVESTOR PROTECTION CORPORATION (5)
Deborah Dudley Branson (Public) (VICE CHAIR
TX
6/30/95
12/31/96
Charles L. Marinaccio (Sec. Ind.)
DC
6/30/95
12/31/96
James Clifford Hudson (Public) (CHAIR)
OK
10/7/94
12/21/97
Marianne C. Spraggins (Sec. Ind.)
NY
6/30/95
12/31/97
Albert James Dwoskin (Sec. Ind.)
VA
12/26/95
12/31/98
*
SECURITY POLICY ADVISORY BOARD (5)
Thomas A. Brooks
VA
3/29/96
3/28/99
Larry D. Welch (CHAIR)
VA
9/5/00
9/4/03
James H. Bilbray
NV
1/12/01
1/11/04
Nina J. Stewart
TX
1/12/01
1/11/04
*
SELECTIVE SERVICE
Director
Gil Coronado
TX
10/7/94
(Gcoronado rsg. 12/7/00, will remain as head agency transition
officer (agency designee)
Alfred Rascon
R
CA
*
National Selective Service Appeal Board (3)
Betsy Levin
DC
3/30/95
Leo M. Romero
NM
3/30/95
Jan Craig Scruggs
MD
3/30/95
Barbara W. White
TX
3/30/95
Jane H. Macon
TX
3/16/00
TALKING POINTS FOR PRESENTMENT OF NOMINEES TO THE PRESIDENT
NAME:
Harvey Pitt
POSITION:
Chairman of the Securities and Exchange Commission
CRITERIA:
Expertise and credibility in the Securities Markets, Wall Street,
Accounting Firms, Legal Community, and Congress
Primary Mission is to protect investors and maintain the integrity of the
securities markets.
Primary overseer and regulator of the U.S. securities markets
EXPERIENCE:
Youngest General Counsel of the SEC
Considered one of the top securities attorneys in the country
Partner, Fried Frank - Top Securities Firm
EDUCATION:
JD - St. John's Law School
BA - City University of New York
PREPARED BY: Dina Powell
NAME:
Harvey Lloyd Pitt
NAME & STATE
Harvey Pitt of North Carolina
POSITION:
Commissioner of the Securities and Exchange Commission and
Upon Confirmation Designate Chairman
TYPE: (bold one)
PAS
PA
SES
FT
PT
TERM:
Remainder
of term
expiring
6/5/02 and a
new 5 year
term expiring
Paul carey
6/5/07
VICE:
Hunt
GENDER: M
DOB:
(b)(6)
BIRTHPLACE:
Brooklyn, NY
PARTY:
(b)(6)
SSN:
ETHNIC HERITAGE: Polish American
RACE:
White
CHILDREN:
Emily, Jonathan, Robert,
SPOUSE:
Saree
Sally
VOTING CITY, STATE
Washington, DC
HOME
Washington, DC
(in 2000)
STATE:
CURRENT HOME
CURRENT
Partner, Fried, Frank,
ADDRESS:
(b)(6)
POSITION AND
Harris, Shriver &
Jacobson, Chairman of
WORK ADDRESS:
the DC Office
1001 Pennsylvania Ave,
NW Washington DC
20004
HOME PHONE:
(b)(6)
WORK PHONE:
202-639-7100
EDUCATION:
JD St. John's
AWARDS:
University Law
School
BA City
University of New
York- Brooklyn
College
PREVIOUS
General Counsel
MILITARY
None
POSITIONS HELD:
SEC
SERVICE:
PREVIOUS
None
PRESIDENTIAL
APPOINTMENTS:
President approved:
Security package sent:
PREPARED BY: Dina Powell
NAME:
Harvey Lloyd Pitt
NAME & STATE
Harvey Pitt of North Carolina
POSITION:
Commissioner of the Securities and Exchange Commission and
Upon Confirmation Designate Chairman
TYPE: (bold one)
PAS
PA
SES
FT
PT
TERM:
Remainder
of a 5 year
term
expiring
6/5/05
VICE:
Issac Hunt
GENDER:
M
DOB:
(b)(6)
BIRTHPLACE: Brooklyn, NY
PARTY:
(b)(6)
SSN:
ETHNIC HERITAGE:
Polish American
RACE:
White
CHILDREN:
Emily, Jonathan, Robert,
SPOUSE:
Saree
Sally
VOTING CITY, STATE
Washington, DC
HOME
Washington, DC
(in 2000)
STATE:
CURRENT HOME
CURRENT
Partner, Fried, Frank,
ADDRESS:
(b)(6)
POSITION AND
Harris, Shriver &
Jacobson, Chairman of
WORK ADDRESS:
the DC Office
1001 Pennsylvania Ave,
NW Washington DC
20004
HOME PHONE:
(b)(6)
202-639-7100
EDUCATION:
JD St. John's
School
BA City
University of New
WORK OU PHONE:
AWARDS:
University Law
York- Brooklyn
College
PREVIOUS
General Counsel
MILITARY
None
POSITIONS HELD:
SEC
SERVICE:
PREVIOUS
None
PRESIDENTIAL
APPOINTMENTS:
President approved:
Security package sent:
Withdrawal Marker
The George W. Bush Library
FORM
SUBJECT/TITLE
PAGES
DATE
RESTRICTION(S)
Email
Re: Harvey Pitt - To: Timothy C. Stout - From: Dina Powell
2
05/16/2001
P5;
This marker identifies the original location of the withdrawn item listed above.
For a complete list of items withdrawn from this folder, see the
Withdrawal/Redaction Sheet at the front of the folder.
COLLECTION:
Presidential Personnel, White House Office of
SERIES:
Bullock, Katja
FOLDER TITLE:
Pitt, Harvey
FRC ID:
FOIA IDs and Segments:
13694
2014-0563-F
OA Num.:
2014-0370-F
15375
NARA Num.:
14084
RESTRICTION CODES
Presidential Records Act - [44 U.S.C. 2204(a)]
Freedom of Information Act - [5 U.S.C. 552(b)]
P1 National Security Classified Information [(a)(1) of the PRA]
b(1) National security classified information [(b)(1) of the FOIA]
P2 Relating to the appointment to Federal office [(a)(2) of the PRA]
b(2) Release would disclose internal personnel rules and practices of
P3 Release would violate a Federal statute [(a)(3) of the PRA]
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
b(3) Release would violate a Federal statute [(b)(3) of the FOIA]
financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
P5 Release would disclose confidential advise between the President
information [(b)(4) of the FOIA]
and his advisors, or between such advisors [a)(5) of the PRA]
b(6) Release would constitute a clearly unwarranted invasion of
P6 Release would constitute a clearly unwarranted invasion of
personal privacy [(b)(6) of the FOIA]
personal privacy [(a)(6) of the PRA]
b(7) Release would disclose information compiled for law enforcement
purposes [(b)(7) of the FOIA]
PRM. Personal record misfile defined in accordance with 44 U.S.C.
b(8) Release would disclose information concerning the regulation of
2201(3).
financial institutions [(b)(8) of the FOIA]
b(9) Release would disclose geological or geophysical information
Deed of Gift Restrictions
concerning wells [(b)(9) of the FOIA]
A. Closed by Executive Order 13526 governing access to national
Records Not Subject to FOIA
security information.
B. Closed by statute or by the agency which originated the document.
Court Sealed - The document is withheld under a court seal and is not subject to
C. Closed in accordance with restrictions contained in donor's deed
the Freedom of Information Act.
of gift.
This Document was withdrawn on 4/24/2015 by DRS
NAME:
Haway Pitt
A.D.
Dina Powell
POTENTIAL POSITION: SEC Chairman
AGENCY: SEC
RECOMMENDED BY:
see inside Shelt
DATE RECEIVED BY OPA: 5/2 3:45pm
DATE DUE TO PPO:
PREVIOUS POLITICAL POSITIONS:
B/C STATE LEADERSHIP:
GOP STATE CHAIR:
BUSH ACTIVITY:
RNC CM/CW:
COALITION SIGN-OFF (If relevant):
OTHER:
OFFICE OF Nathculem POLITICAL AFFAIRS
/
5/2/07
RANKING
DATE
Criteria for SEC Chairman
Knowledge of critical issues facing the SEC---no learning curve
Industry experience --- hands-on dealing with SEC regulations
Loyal to the POTUS and his agenda
Respected among enforcement and industry constituencies
Fair-minded, honest reputation
Balanced approach to reviewing, overturning and implementing old and new regulations
Harvey Pitt
Experience:
Youngest general counsel of the SEC (1975-1978)
Partner, Fried Frank - Top Securities Firm
Member of the NASD Legal Advisory Board
Member of the Advisory Subcommittee, Federal Regulations of SEC, ABA
Qualities:
Considered one of the top securities attorneys in the country
Loyal to the President and his agenda (early supporter)
Familiar with and agrees with the President's policies and vision for the SEC
Highly respected by top wall street firms, top accounting firms, former SEC officials,
legal and enforcement constituencies
Knows SEC very well-will not be captive of the staff
Strong reputation: seen as fair-minded, balanced and honest
Questions:
Known as tough negotiator; alienated some who were on the other side of him in legal
battles
Has represented many clients from industry before the SEC, including a controversial
individual: Ivan Boesky
Could be seen as too close to big industry (Charles Schwabb issue)
References: (bolded names contacted)
Donald Marron, Director & Chairman of UBS PaineWebber, Inc.
David Komansky, Chairman & CEO of Merrill Lynch
Frank Zarb, Chairman & CEO of the NASD
Philip Laskawy, CEO of Ernst & Young LLP
Dick Grasso, Chairman & CEO of the New York Stock Exchange, Inc.
Ede Holiday, Cabinet Sec'y, '89-90, GC Treas. Dept. '90-'92
Barry Melancon, President & CEO of the AICPA
Professor Jon Macey, Cornell Law School
Jim Schiro, CEO of Pricewaterhouse Coopers
Matt Fink, President of the Investment Company Institute
John C. Whitehead, AEA Investors 212-755-3131
Judith Soltz, Executive V.P. & General Counsel of CIGNA,
Tom Green, General Counsel of Dell Computer 512-728-0355
Others who weighed in:
Chris DeMuth (President, AEI)
Senator Gramm
Name, Last
First
Middle
Title
Occupation
PITT
HARVEY
Mr.
Lawyer
Position Sought
Position
Firm / Agency
SEC Chairman
Corporate Partner
Fried Frank's Washington, D.C. and
Resident
New York offices
1978-Present
Notables
According To A Recent Washington Post Article, Pitt Is The Frontrunner For
The SEC Post: "Washington securities lawyer Harvey L. Pitt, who was the
youngest general counsel in Securities and Exchange Commission history in the
1970s and has since represented many clients before the agency, has emerged as
the Bush administration's leading candidate to become the new SEC chairman.
Several congressional sources and industry lobbyists said yesterday that
administration officials have told them Pitt is the top choice and that background
checks are being conducted on him."
According To The New York Post Sources Close To Pitt Denied He Would
Take The Job As Wall Street Cop. "It's just not something he would do; he is
gainfully employed," a source close to Pitt said.
Former SEC Chairman Arthur Levitt Recently Said Pitt Would Make An
Excellent SEC Chairman Because, Among Other Things, "He Knows And
Respects The Agency."
Pitt's Name Has Appeared In The National Law Journal As A Potential SEC
Chairman Candidate. The name at the top of the list to replace Chairman Levitt
is James R. Doty, a partner in the Washington, D.C., office of Baker Botts LLP
and former SEC general counsel under President George Bush. Two other names
being floated are Harvey L. Pitt, a partner in the Washington, D.C., office of
Fried, Frank, Harris, Shriver & Jacobson and another former SEC general counsel;
and U.S. Representative Rick Lazio, R-N.Y.
-
At 30, Pitt Became The Youngest General Counsel At The S.E.C.
-
Pitt Has Been Called "The Best-Known Securities Lawyer In The World."
-
Pitt Was A Major Force In The Insider Trading Scandals, While
Representing Dennis Levine, He Helped Uncover Ivan Boesky's Criminal
Activities. In the Salomon bond debacle, former Salomon top lawyer Donald
Last printed 05/02/01 3:18 PM
1
Feuerstein hired Mr. Pitt to represent him before the SEC; the SEC cleared Mr.
Feuerstein of any misconduct.
Pitt Said Michael Milken's Lengthy Prison Term "Puts A Fitting Conclusion
To Four Years Of Deception And Lying." Mr. Milken, he said, "contended that
he hadn't violated the law, that Boesky was a liar and that the government had a
vendetta against him." Mr. Pitt and others were quick to criticize the legal tactics
of Mr. Milken's sizable defense team, led by Arthur Liman, a partner at the New
York firm of Paul, Weiss, Rifkind, Wharton & Garrison. The expertise of his
lawyers cost Mr. Milken and Drexel an estimated $100 million.
Pitt Has Been Concerned About Municipal Bond Underwriters' Political
Contributions To Public Officials Involved In Bond Offerings. "The
allegations of people making campaign contributions to get business are going to
have some significant impacts on (political) races and certainly on the
regulatory side," says former SEC general counsel Harvey L. Pitt.
Pitt Has Said That Corporate Insiders Risk Running Afoul Of The Law If
They Buy Or Sell Stock On The Eve Of Public Announcements That Can
Affect The Value Of The Company's Stock. "When they sell or buy (in those
circumstances)," said Pitt, now a corporate securities specialist for the Washington
law firm of Fried, Frank, Harris, Shriver & Jacobson, "they have a potential
breach of fiduciary duty to the company and its shareholders, and they may be
guilty of insider trading.
It's an ill-advised transaction."
In 1987, Two Proposed Definitions Of Insider Trading Were Offered In
Congress. One, introduced in the Senate as S. 1380, was drafted by a committee
of lawyers headed by Harvey L. Pitt, John F. Olson, and Theodore A. Levine
acting at the request of Senator Donald Riegle, Democrat of Michigan. The
Securities and Exchange Commission offered the second. Both bills would cure
the Chestman majority's finding that the commission's Rule 14e-3 -- which
proscribes trading while in possession of material nonpublic information
concerning a forthcoming possible tender offer -- exceeded the scope of its
rulemaking authority under Section 14(e) of the Securities Exchange Act of 1934.
Section 16A(c)(2) of S. 1380 would prohibit tips by defined persons concerning
certain specific corporate transactions.
Pitt Became A Key Contributor To Laws Defining Insider Trading. Key to
the compromise of the 1987 legislation was the commission's willingness to adopt
the approach of the lawyers group, headed by Harvey L. Pitt - defining illegal
insider trading as the "wrongful use" of "material nonpublic information" about a
corporation that affects its stock market price, or trading on the basis of such
information that was "obtained wrongfully."
Last printed 05/02/01 3:18 PM
2
Pitt Has Been Bothered By The Way Wall Street's Image Has Been
Tarnished By Insider Trading. Of the insider trading scandals that have
tarnished Wall Street's image, Pitt says "the public perceptions might be skewed
somewhat" by the accompanying publicity. "The facts are our system works.
That ought to give investors an enormous sense of confidence in our markets."
Then he cautioned: "There is more of this than most people suspected, but we're
talking about an enormous industry. There were problems with individuals
abusing an informational advantage, and they are being dealt with."
After Being Snubbed By The Justice Department, U.S. District Judge Stanley
Sporkin Hired Harvey Pitt To Represent Him Against A Writ Of Mandamus
Requested By The Federal Republic Of Germany. The German government
filed the motion in 1984 after Sporkin initially declined to obey a decision of the
U.S. Court of Appeals for the D.C. Circuit to dismiss the case filed against
Germany by Holocaust survivor Hugo Princz; instead, Sporkin allowed Princz to
substitute four German companies as defendants.
In 1987, Pitt Called On President Reagan To Increase Funding For The SEC.
"There can be little doubt that the commission lacks both the resources and the
remedies that are necessary if the agency is to deter securities law violations in the
most efficacious manner," said Pitt, a former SEC general counsel. While
President Reagan's 1988 budget called for a 26 percent budget increase for the
SEC, Pitt said, "I am nevertheless concerned that the agency is seeking too little,
too late."
Pitt Recently Said He Disagrees That Antitrust Work Tends To Lag Under
GOP Presidents. Pitt says, "I think, if anything, the new administration will
encourage and stimulate the demand for antitrust counsel. Who better to lead our
group than someone who is a veteran of the last two Republican administrations?"
Flags
Pitt Was Ivan Boesky's Lawyer. "As Ivan F. Boesky's lawyer, Mr. Pitt has had
to deal not only with a flood of press calls and S.E.C. negotiations, but an ever-
expanding insider trading case that appears to be shaking even the most seasoned
of professionals in the Wall Street trading community. It could include some of
the most prominent old-line brokerage firms and their top executives. Moreover,
Mr. Pitt, a partner at Fried, Frank, Harris, Shriver & Jacobson, was obviously
concerned about the effects of the case and the growing publicity on his client,
whom he has known since 1978. Mr. Pitt has represented Mr. Boesky in a number
of other matters before the S.E.C. In the end, however, Mr. Boesky will pay a
Last printed 05/02/01 3:18 PM
3
high price for his trading on nonpublic information about takeovers."
In November 1986, Boesky Paid A Record $100 Million Fine To Settle A
Securities And Exchange Commission Complaint That He Misused Private
Information To Profit In Securities Transactions. He was banished from the
securities business for life.
Pitt's Association With Mr. Boesky Dates Back To Late 1978 When He Left
The S.E.C. General Council's Office To Become A Partner At Fried, Frank.
He said he had represented Mr. Boesky "in an assortment of matters relating to his
arbitrage activity or S.E.C. inquiries," and that finally earlier in the year when the
S.E.C. began pursuing its latest case against the Wall Street speculator, Mr.
Boesky "came to me, and asked that I sit down with him and discuss the situation
and try to figure out where he stood, which we did."
Despite Also Donating To Republicans, Pitt Has Contributed Money To
Numerous Democrats, Including: Sen. Max Baucus (D-MT), Rep. John Dingell
(D-MI), Sen. Tim Wirth (D-CO) and Bob Eckhardt (D-TX).
Last printed 05/02/01 3:18 PM
4
PREPARED BY: Dina Powell
NAME:
Harvey Lloyd Pitt
NAME & STATE Harvey Pitt of North Carolina
POSITION: Commissioner it the Securities Exchange ( ammission
and UPIN Disognate Chairman
remamder it 5 y-
TYPE: (bold one) PAS PA SES FT PT
TERM: term expiraz
VICE: Arthur Levilt, Jr.
6/5/03
GENDER:
M
DOB:
(b)(6)
BIRTHPLACE: Brooklyn, NY
PARTY:
R
SSN:
(b)(6)
ETHNIC HERITAGE: Polish American
RACE:
White
CHILDREN:
Emily Laura, Jonathon,
SPOUSE:
Saree
Robert, Sally
VOTING CITY, STATE Washington, DC
HOME
Washington, DC
(in 2000)
STATE:
CURRENT HOME
CURRENT
Chairman and Partner in
ADDRESS:
POSITION AND
the Washington, DC office
(b)(6)
of Fried, Frank, Harris,
WORK ADDRESS:
Shriver & Jacobson
1001 Pennsylvania Ave,
NW Washington DC
20004
HOME PHONE:
(b)(6)
WORK PHONE:
202-639-7100
EDUCATION:
JD St. Johns
AWARDS:
University
BA City
University of New
York- Brooklyn
College
PREVIOUS
General Counsel MILITARY
None
POSITIONS HELD:
SEC
SERVICE:
PREVIOUS
None
PRESIDENTIAL
APPOINTMENTS:
President approved:
Security package sent:
Withdrawal Marker
The George W. Bush Library
FORM
SUBJECT/TITLE
PAGES
DATE
RESTRICTION(S)
Report
Harvey Lloyd Pitt
1
05/02/2001
P6/b6;
This marker identifies the original location of the withdrawn item listed above.
For a complete list of items withdrawn from this folder, see the
Withdrawal/Redaction Sheet at the front of the folder.
COLLECTION:
Presidential Personnel, White House Office of
SERIES:
Bullock, Katja
FOLDER TITLE:
Pitt, Harvey
FRC ID:
FOIA IDs and Segments:
13694
2014-0563-F
OA Num.:
2014-0370-F
15375
NARA Num.:
14084
RESTRICTION CODES
Presidential Records Act - [44 U.S.C. 2204(a)]
Freedom of Information Act - [5 U.S.C. 552(b)]
P1 National Security Classified Information [(a)(1) of the PRA]
b(1) National security classified information [(b)(1) of the FOIA]
P2 Relating to the appointment to Federal office [(a)(2) of the PRA]
b(2) Release would disclose internal personnel rules and practices of
P3 Release would violate a Federal statute [(a)(3) of the PRAJ
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
b(3) Release would violate a Federal statute [(b)(3) of the FOIA]
financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
P5 Release would disclose confidential advise between the President
information |(b)(4) of the FOIA]
and his advisors, or between such advisors [a)(5) of the PRA]
b(6) Release would constitute a clearly unwarranted invasion of
P6 Release would constitute a clearly unwarranted invasion of
personal privacy [(b)(6) of the FOIA]
personal privacy [(a)(6) of the PRA]
b(7) Release would disclose information compiled for law enforcement
purposes [(b)(7) of the FOIA]
PRM. Personal record misfile defined in accordance with 44 U.S.C.
b(8) Release would disclose information concerning the regulation of
2201(3).
financial institutions [(b)(8) of the FOIA]
b(9) Release would disclose geological or geophysical information
Deed of Gift Restrictions
concerning wells [(b)(9) of the FOIA]
A. Closed by Executive Order 13526 governing access to national
Records Not Subject to FOIA
security information.
B. Closed by statute or by the agency which originated the document.
Court Sealed - The document is withheld under a court seal and is not subject to
C. Closed in accordance with restrictions contained in donor's deed
the Freedom of Information Act.
of gift.
This Document was withdrawn on 4/24/2015 by DRS
PREPARED BY: Dina Powell
NAME:
Harvey Lloyd Pitt
NAME & STATE
Harvey Pitt of North Carolina
POSITION:
Commissioner of the Securities and Exchange Commission and
Upon Confirmation Designate Chairman
TYPE: (bold one)
PAS
PA
SES
FT
PT
TERM:
Remainder
of a5 year
term
expiring
6/5/03
VICE:
Arthur Levitt, Jr.
GENDER:
M
DOB:
(b)(6)
BIRTHPLACE:
Brooklyn, NY
PARTY:
(b)(6)
SSN:
ETHNIC HERITAGE:
Polish American
RACE:
White
CHILDREN:
Emily, Jonathan, Robert,
SPOUSE:
Saree
Sally
VOTING CITY, STATE
Washington, DC
HOME
Washington, DC
(in 2000)
STATE:
CURRENT HOME
CURRENT
Partner, Fried, Frank,
ADDRESS:
POSITION AND
Harris, Shriver &
(b)(6)
Jacobson, Chairman of
WORK ADDRESS:
the DC Office
1001 Pennsylvania Ave,
NW Washington DC
20004
HOME PHONE:
(b)(6)
WORK PHONE:
202-639-7100
EDUCATION:
JD St. John's
AWARDS:
University Law
School
BA City
University of New
York- Brooklyn
College
PREVIOUS
General Counsel
MILITARY
None
POSITIONS HELD:
SEC
SERVICE:
PREVIOUS
None
PRESIDENTIAL
APPOINTMENTS:
President approved:
Security package sent:
HARVEY L PITT
SUITE 800
1001 PENNSYLVANIA AVENUE, N.W.
WASHINGTON, D.C. 20004-2505
(202/639-7100)
PERSONAL
Fifty-five years old, Born on
(b)(6)
in New York City
Married to Saree Ruffin Pitt (Winston-Salem, N.C.)
Four Children, Emily Laura, age 32; Jonathan Bradley, age 28;
Robert Garrett, age 11; and Sara (Sally) Dillard, age 9
(b)(6)
Resident of Washington, D.C.
(b)(6)
PROFESSIONAL BACKGROUND
Managing Partner
Fried, Frank, Harris, Shriver & Jacobson
1001 Pennsylvania Avenue, N.W.
Washington, D.C. 20004-2505
1978-Present
Practice Specialties Include Corporate, Securities, Banking and
Administrative Law
Emphasis on the Representation of Fortune 500 Companies,
Financial Institutions, in Connection with Mergers, Acquisitions,
Divestitures, Leveraged Buyouts, Negotiated and Unsolicited
Tender Offers, Mutual Fund Regulation, Disclosure Obligations,
Securities Regulation and Securities Enforcement Matters
Responsible for the Management of the Firm's Washington, D.C.
Office of 130 Attorneys
Member of Firm's Governance Committee
* * *
2
General Counsel
United States Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, D.C. 20549
1975-1978
Chief Legal Officer of the Securities and Exchange Commission
Responsible for the Administration and Interpretation of the Federal
Securities Laws, Representation of the Securities and Exchange
Commission in the Federal Courts and before Other Federal
Agencies, Working with Congress in the Development of
Legislation; Serving as White House Liaison, and Agency Liaison
with the Central Intelligence Agency, and Agency Ombudsman
Draftsman of Several Major Pieces of Securities Legislation for the
Securities and Exchange Commission, Including the Securities Acts
Amendments of 1975 and the Foreign Corrupt Practices Act of 1977
Appointed During the Ford Administration; Served Three Chairmen - --- Ray
Garrett, Jr., Roderick M. Hills, and Harold M. Williams
* * *
Executive Assistant to the Chairman
United States Securities and Exchange Commission
1973-1975
Chief Legal Advisor to the Chairman of the Securities and Exchange
Commission, Ray Garrett, Jr.
Served During the Ford and Nixen Administrations
* * *
Chief Counsel of the Division of Market Regulation
United States Securities and Exchange Commission
1972-1973
Senior Legal Advisor to the Division of the Securities and Exchange
Commission Responsible for the Regulation of the Nation's Stock
Exchanges, Trading Markets, Options Markets, and the
Professionals Who Trade on Those Markets
3
Served During the Nixon Administration
* * *
Editor, Institutional Investor Study
United States Securities and Exchange Commission
1971
One of Four Attorneys Who Authored and Edited Major Securities and
Exchange Commission Study of Institutional Investors and Their
Impact on the Nation's Securities Markets for the United States
Congress
* * *
Special Study to the General Counsel
United States Securities and Exchange Commission
1969-1970
Supervisory Attorney in the Securities and Exchange Commission's Office
of General Counsel, Responsible for the Preparation and
Presentation of the Commission's Appellate and Supreme Court
Litigation; Review of Proposed Regulations; and Interpretation of
Existing Statutory and Regulatory Provisions
* * *
Legal Assistant to Commissioner Francis M. Wheat
United States Securities and Exchange Commission
1968-1969
Principal Legal Advisor to Presidential Appointee to the Securities and
Exchange Commission
EDUCATIONAL ACTIVITIES AND BACKGROUND
Thomas A. O'Boyle Distinguished Visiting Professor
University of Pennsylvania School of Law
1984
* * *
4
Adjunct Professor of Law
University of Pennsylvania School of Law
1983-1984
* * *
Adjunct Professor of Law
Georgetown University Law Center Graduate Program
1974-1984
* * *
Adjunct Professor Of Law
The George Washington University Law School
1972-1982
* * *
J.D. Degree
St. John's University Law School
New York, New York
1969
* * *
B.A. Degree
City University of New York (Brooklyn College)
1965
Harvey Pitt
Experience:
Youngest general counsel of the SEC (1975-1978)
Partner, Fried Frank - Top Securities Firm
Member of the NASD Legal Advisory Board
Member of the Advisory Subcommittee, Federal Regulations of SEC, ABA
Qualities:
Considered one of the top securities attorneys in the country
Loyal to the President and his agenda (early supporter)
Familiar with and agrees with the President's policies and vision for the SEC
Highly respected by top wall street firms, top accounting firms, former SEC officials,
legal and enforcement constituencies
Knows SEC very well-will not be captive of the staff
Chuck Schwabb issue: He was not his first choice, although he does not have one. He did
speak with Linnet Deily and understands where we are in the process and that the
President needs to make an appointment. He would like to meet with him when we make
the announcement. In addition, it was brought to his attention that Pitt has represented
Schwabb several times in the past. If we proceed, we will make sure he meets with him
ASAP.
References: (bolded names contacted)
Donald Marron, Director & Chairman of UBS Paine Webber, Inc.
David Komansky, Chairman & CEO of Merrill Lynch
Frank Zarb, Chairman & CEO of the NASD
Philip Laskawy, CEO of Ernst & Young LLP
Dick Grasso, Chairman & CEO of the New York Stock Exchange, Inc.
Ede Holiday, Cabinet Sec'y, '89-90, GC Treas. Dept. '90-'92
Barry Melancon, President & CEO of the AICPA
Professor Jon Macey, Cornell Law School
Jim Schiro, CEO of Pricewaterhouse Coopers
Matt Fink, President of the Investment Company Institute
John C. Whitehead, AEA Investors 212-755-3131
Judith Soltz, Executive V.P. & General Counsel of CIGNA,
Tom Green, General Counsel of Dell Computer 512-728-0355
Others who weighed in:
Chris DeMuth (President, AEI)
Senator Gramm