Year: 2010

The Commission entered into its first non-prosecution agreement, marking a significant step forward with the reorganization and rejuvenation of the Enforcement program. Carter’s, Inc., an Atlanta based clothing store, entered into an agreement with the Commission regarding a financial fraud …

THE SEC’S FIRST NON-PROSECUTION AGREEMENT Read More »

The insider trading probes being conducted by the Manhattan U.S. Attorney’s Office are changing insider trading enforcement. Traditionally, insider trading is about trading in the securities markets for ill-gotten gains. In the classic model of insider trading, a high ranking …

TAKING THE TRADING OUT OF INSIDER TRADING Read More »