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Enforcement Actions › Securities Regulation › 10b5-1 Plans

Troutman Pepper Locke

Conviction in Insider Trading Case Brings New Attention to 10b5-1 Plans

Troutman Pepper Locke on

On June 23, the U.S. Department of Justice announced that Terren Scott Peizer, founder of Ontrak Inc., a Miami-based publicly traded health care company, has been sentenced to three and one half years in prison by a...more

Akerman LLP

DOJ Indicts CEO for Allegedly Using Trading Plans to Commit Insider Trading

Akerman LLP on

Critics have repeatedly alleged that executives routinely take advantage of the many loopholes that exist regarding Rule 10b5-1 trading plans to engage in improper conduct. These criticisms finally seem to have been heard by...more

Proskauer - Corporate Defense and Disputes

SEC Defeats Motion to Dismiss Insider-Trading Complaint Alleging Novel “Shadow Trading” Theory

Proskauer - Corporate Defense and Disputes on

The SEC prevailed on a motion to dismiss a closely watched lawsuit alleging that the defendant had engaged in insider trading based on news about a not-yet-public corporate acquisition when he purchased securities of a...more

Proskauer - Corporate Defense and Disputes

SEC Investor Advisory Committee Considers Recommendations to Tighten Rules for Insiders’ Trading Plans

Proskauer - Corporate Defense and Disputes on

The Securities and Exchange Commission’s Investor Advisory Committee (the “IAC”) is considering recommendations from its Owner Subcommittee urging the Commission to tighten the affirmative defense and disclosure requirements...more

Mayer Brown Free Writings + Perspectives

Commissioners Pierce and Roisman Dissent to Broad Interpretation of Internal Accounting Controls

Mayer Brown Free Writings + Perspectives on

On October 15, 2020, the US Securities and Exchange Commission (SEC) issued a cease and desist order (Order), settling charges against a registrant for controls violations relating to a stock buyback plan implemented during...more

Stinson - Corporate & Securities Law Blog

SEC Commissioners Explain Dissent from Enforcement Action Related to 10b5-1 Plan

Stinson - Corporate & Securities Law Blog on

We previously discussed an SEC enforcement action against Andeavor LLC for controls violations relating to a stock buyback plan it implemented while it was in discussion to be acquired by Marathon Petroleum Corp. in 2018....more

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