C. Patrick Thomas

C. Patrick Thomas

Lowenstein Sandler LLP

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United States Department of Justice Obtains First Insider Trading Conviction Based Exclusively on the Use of a Trading Plan and...

A federal jury in Los Angeles recently convicted the former CEO of Ontrak Inc. (a publicly traded company), Terren Peizer, for engaging in an insider trading scheme using Rule 10b5-1 trading plans. The insider trading...more

7/22/2024  /  10b5-1 Plans , Criminal Convictions , Department of Justice (DOJ) , Financial Industry Regulatory Authority (FINRA) , Insider Trading , Non-Public Information , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Self-Regulatory Organizations
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