Year: 2014

The SEC has brought a number of custody rule cases as part of its broken windows initiative. Its newest proceeding centered on the custody rule, however, is a contested administrative proceeding which names as Respondents an adviser, its two principals, …

SEC Charges Recidivist Adviser, Co-Founders With Violations of Custody Rule Read More »

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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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