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Insider Trading › 10b5-1 Plans › White Collar Crimes

Bass, Berry & Sims PLC

(Insider) Trading under a Rule 10b5-1 Plan

Bass, Berry & Sims PLC on

In June 2025, Terren Scott Peizer, the former chief executive officer, executive chairman and chairman of the board of directors of Ontrak, Inc. (Ontrak), was sentenced to 42 months imprisonment, ordered to pay a $5.25...more

Akerman LLP

First-Ever Prosecution for Sales Under Rule 10b5-1 Trading Plan

Akerman LLP on

Executive Sentenced to 42 Months in Prison - Company insiders rely upon Rule 10b5-1 trading plans to sell stock pursuant to predetermined trades, allowing them to later trade securities even though they may be in...more

Jenner & Block

Client Alert: DOJ and SEC Used Data Analytics to Target Insider Trading with 10b5-1 Plans

Jenner & Block on

The DOJ and SEC have made no secret of their interest in combatting potential insider trading by high-level executives misusing Rule 10b5-1 plans. Those plans provide a potential safe harbor for executives trading their...more

Ballard Spahr LLP

Public Companies Face Heightened Risk of Insider Trading Due to COVID-19 Volatility

Ballard Spahr LLP on

COVID-19 has injected significant uncertainty into our daily lives and enormous volatility into our markets. In the last two weeks alone, many major domestic and international indices have experienced their largest daily...more

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