Chris Regan

Chris Regan

Orrick, Herrington & Sutcliffe LLP

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DOJ Brings First Criminal Charges for Trades Under a Rule 10b5‐1 Plan

On March 1, 2023, the Department of Justice (DOJ) announced the insider-trading indictment of Terren Peizer, Chairman and former CEO of health-care provider Ontrak. DOJ called this indictment “groundbreaking,” in that it is...more

3/10/2023  /  10b5-1 Plans , Affirmative Defenses , Department of Justice (DOJ) , Enforcement Actions , Insider Trading , Material Nonpublic Information , MNPI , Securities and Exchange Commission (SEC) , Securities Transactions
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