Securities

Recent Posts

SEC Settles FCPA Action on the Eve of Trial
Posted on 7 Jul 2014 by Thomas O. Gorman

The SEC was about to try its first FCPA case. Then the Commission settled, agreeing to drop the bribery charges as well as its demand for monetary sanctions. That ended the case against two Nobel Corporation executives SEC v. Jackson, Civil Action No... Read More

THE SEC’S FIRST NON-PROSECUTION AGREEMENT
Posted on 21 Dec 2010 by Thomas O. Gorman

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... Read More

SEC Settles FCPA Action on the Eve of Trial
Posted on 7 Jul 2014 by Doug Esten

The SEC was about to try its first FCPA case. Then the Commission settled, agreeing to drop the bribery charges as well as its demand for monetary sanctions. That ended the case against two Nobel Corporation executives SEC v. Jackson, Civil Action No... Read More