Year: 2012

Another Enforcement Action Tied to Carter’s Inc.

Atlanta based closing manufacturer Carter’s, Inc. continues to spawn enforcement activity. It began with a non-prosecution agreement. Under the arrangement the Commission agreed not to prosecute the company in return for its cooperation. As part of the arrangement, announced in

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This Week In Securities Litigation (Week ending October 19, 2012)

Significant events this week included the proposal by the SEC of additional swaps rules regarding security-based swap dealers and major participants. Enforcement settled a “suspicious trading” insider trading action with a Hong Kong based entity while initiating a case against

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