It happens all the time: a public company employee seeks career advice from a mentor, spouse, or friend with whom they have a longstanding relationship of trust and confidence. It could be part of a regular check-in, or it...more
1/10/2025
/ Civil Monetary Penalty ,
Confidential Information ,
Corporate Governance ,
Enforcement Actions ,
Insider Trading ,
Investors ,
Mergers ,
MNPI ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Securities Violations
Shutting down the United States federal government in late 2018 and early 2019 created the unfortunate perception that government watchdogs might not be able to catch up with illegal behavior, like insider trading. The...more