• Home
  • Newsletter
  • Upcoming Events
  • Past Events
  • Webcasts
  • About
  • Contact
Securities Docket
Experts in Risk
  • Class Actions
  • Criminal
  • Features
  • Global
  • People
  • SEC
Browse: Home / 2015 / August / 06 / SEC Tries Flipping Witnesses – WSJ

SEC Tries Flipping Witnesses – WSJ

By Securities Docket on August 6, 2015, 11:09 am

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 do.

Mr. King testified as part of an expanding cooperation program, started in 2010 but now drawing widespread attention. The agency has signed 91 cooperation agreements so far and has more on the way, officials said. Three cooperators have testified in court, including Mr. King.

via SEC Tries Flipping Witnesses – WSJ.

Posted in SEC, Top | Tagged Cooperation

« Previous Next »

Subscribe

‘Enforcement 40’ for 2020

The inside story behind the collapse of Queensland Nickel

Our Sponsors

Securities-Docket_260x125_14Sec

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2023 Securities Docket.

  • Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
  • Criminal
  • Class Actions
  • Features
  • Global
  • People
  • SEC