Daily Archives: August 6, 2015, 1:37 pm

SEC Tries Flipping Witnesses – WSJ

The trader was the first cooperating witness to take the stand for the Securities and Exchange Commission in a courtroom battle—a milestone for an agency that in its civil enforcement actions that hasn’t historically used that tactic. The SEC brings civil actions related to alleged securities violations, and until recently hasn’t relied on cooperators in the way that criminal prosecutors…

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