Month: October 2014

Carter’s, Inc. is the investigation that just keeps on generating cases. The investigation has yielded seven SEC actions charging insider trading and financial fraud. Hedge fund manager Stephen Slawson became the eight person charged in the investigation. SEC v. Slawson, …

The SEC’s Carter’s, Inc. Investigation Yields Another Insider Trading Case Read More »

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Layne Christensen, a global water management, construction and drilling company resolved FCPA bribery and books and records and internal controls charges with the SEC. In the Matter of Layne Christensen Company, Adm. Proc. File No. 3-16216 (October 27, 2014). There …

Self-reporting, Extensive Cooperation Yields Reduced Fine In SEC FCPA Action Read More »

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