Joseph Dever
Cozen O'Connor
Articles
SEC Finds 10b5-1 Trading Plan was Misused, Charges Tech Company Executives with Insider Trading
USA - September 29 2022 A recent Securities and Exchange Commission (SEC) enforcement action charged two executives with insider trading violations despite the fact that the…
SEC Suspends Trading in 15 Public Companies for Suspicious Social Media & Trading Activity
USA - March 4 2021 On February 26, 2021, the Securities and Exchange Commission (SEC) issued an order that suspended the trading of securities in 15 OTC public…
Proposed Conditional Exemption Intended to Address the Issue of Capital Access for Small Companies
USA - October 13 2020 On October 7, 2020, the Securities and Exchange Commission (SEC) voted to provide much needed clarity to the regulatory status of so-called “finder”…
Public Company COVID-19 Disclosures and Mitigating Securities Litigation Risks
USA - March 16 2020 The global outbreak of the coronavirus disease (COVID-19) will impact public companies in numerous ways, including their required disclosures to…
Supreme Court Appears Likely to Curtail SEC Disgorgement Authority
USA - March 6 2020 The fate of the Securities & Exchange Commission (SEC)’s ability to obtain disgorgement moved one step closer to a decision this week with oral…
