"We're actively investigating," said Lori A. Richards, the director of the S.E.C. office of compliance, inspections and investigations.
"Compliance is terrible by the market makers and specialists we looked at," said Lori A. Richards, director of the office of compliance inspections and examinations at the S.E.C.
Alan Schoem, director of the commission's office of compliance, said the number of warranty claims alone was enough to tip off Fisher-Price about a problem.
David J. Horowitz, acting director of the office of compliance in the F.D.A.'s Center for Drug Evaluation, refused to discuss the agency's dealings with Schering-Plough or the approval of Clarinex.
"The thing is, a lot of claims we see out there are puffery," said Joseph R. Baca, director of the office of compliance at the F.D.A.'s Center for Food Safety and Applied Nutrition.
Mr. Swanson, 41, arrived at the commission's office of compliance inspections and examinations in 1996 after clerking for a federal appeals court judge in South Carolina.
Howard Sklamberg, director of the office of compliance for the drug division of the Food and Drug Administration, said such unsafe practices could cause contamination of drugs.
Getco, one of the biggest electronic trading firms, hired John McCarthy, a former associate director in the S.E.C.'s office of compliance inspections and examinations, in 2006.
John J. Petillo said UMDNJ will halt all political contributions, create an office of compliance auditor and hire Gary Stein, a retired New Jersey Supreme Court justice, to conduct an independent review of purchasing and waiver procedures.
Two of the most important units of the 3,100-person 3,100-personits enforcommissionitson and its officenforcementance inspections, are undivisioned by hundreds of officiand, experts say, sharply litsting their effectiveness.
"We're asking about what kinds of payments the mutual fund or its investment adviser makes to 401(k) plans, plan consultants and plan platforms," said Lori A. Richards, director of the S.E.C.'s office of compliance inspections and examinations.
