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Privately Held Corporations Securities Violations

BCLP

SEC Again Cracks Down on Companies That Restrict Whistleblowers

BCLP on

As discussed in our December 15, 2023 client alert, the SEC has waged an aggressive effort to enforce alleged violations of the whistleblower protection rule.  On September 9, 2024, the SEC announced settled charges resulting...more

Oberheiden P.C.

Ten Key Facts about SEC Investigations for CEOs and In-House Counsel

Oberheiden P.C. on

The U.S. Securities and Exchange Commission (SEC) investigates publicly-traded and privately-held companies for a broad range of statutory and regulatory violations. SEC investigations can target issues ranging from...more

Oberheiden P.C.

Defending Against Securities Fraud Litigation Triggered by an SEC Investigation

Oberheiden P.C. on

For public and private companies in all industries, the risk of being targeted in a U.S. Securities and Exchange Commission (SEC) investigation is a very real concern. As new and innovative securities offerings continue to be...more

Farella Braun + Martel LLP

Private Company Employee Stock Sales Highlight Hidden Dangers of Compliance Failures

We noted with interest the latest moves by some Bay Area tech giants to permit their employees to sell restricted stock to help them realize the stock value as part of their compensation: See New York Times reporting here. ...more

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