Summary -
The recently unsealed indictment of health care company Ontrak for insider trading marks the first criminal prosecution alleging an executive’s fraudulent use of a 10b5-1 trading plan to facilitate unlawful...more
Summary -
A proposal by the Securities and Exchange Commission to amend Rule 10b5-1, as well as recent enforcement activity relating to these plans, suggest that the SEC is concerned that the rule has been used as cover...more
The U.S. Securities and Exchange Commission (SEC) and the U.S. Department of Justice (DOJ) brought actions against SpaceX engineer James Roland Jones for selling insider information on what’s known as the dark web....more
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
3/31/2020
/ 10b5-1 Plans ,
Business Disruption ,
Confidential Information ,
Coronavirus/COVID-19 ,
Disclosure Requirements ,
Financial Markets ,
Form 8-K ,
Insider Trading ,
Non-Public Information ,
Publicly-Traded Companies ,
Securities Regulation ,
Stock Prices ,
White Collar Crimes
The United States Securities and Exchange Commission (SEC) announced yesterday, August 20, 2019, that it charged TherapeuticsMD, Inc., a pharmaceutical company headquartered in Boca Raton, Florida, with violations of...more
8/21/2019
/ Disclosure Requirements ,
Enforcement Actions ,
FDA Approval ,
Financial Markets ,
Food and Drug Administration (FDA) ,
Insider Trading ,
Non-Public Information ,
Pharmaceutical Industry ,
Publicly-Traded Companies ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Stock Prices