Results 1 to 5 of 7

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…

Emily M. Fulginiti, Kevin Roggow

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…

Luke T. La Rocca

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”…

Seth Popick, Lindsey Stillwell

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…

Andrew C. Punzo, Linda Regis-Hallinan

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…

Linda Regis-Hallinan