SEC, Analyst OK Deal In Alleged Carter's Insider Trading Plot

Law360, New York (October 29, 2013, 7:45 PM EDT) -- A retired stock market analyst has settled claims that he traded shares of Carter's Inc. based on inside tips from a former executive at the children’s clothing firm who previously pled guilty in the alleged scheme, the U.S. Securities and Exchange Commission said Tuesday.

The SEC filed and settled a suit in Georgia federal court alleging Dennis Rosenberg, a retired hedge fund investment consultant and market analyst who once covered the stock of Carter’s, earned about $500,000 by trading on nonpublic information from Eric Martin, the...
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Case Information

Case Title

Securities And Exchange Commission v. Rosenberg

Case Number



Georgia Northern

Nature of Suit



Amy Totenberg

Date Filed

October 28, 2013


Government Agencies

UK Financial Services

UK Financial Services

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