Tag: non-prosecution agreement

Current market volatility was addressed this week when the Commission announced that the exchanges and FINRA would be filing updated circuit breaker rules. In addition, the staff issued an Alert regarding the use of sub-accounts in market manipulations, money laundering, …

THIS WEEK IN SECURITIES LITIGATION (September 30, 2011) Read More »

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The executive at the center of the fraud at Carter’s, Inc., Joseph Elles, was named as a defendant in a 32 count indictment. The charges include securities fraud and wire fraud. U.S. v. Elles, 11 CR 445 (N.D. Ga.). The …

SALES EXECUTIVE AT CENTER OF CARTER’S, INC. FRAUD INDICTED Read More »

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