The rules surrounding insider trading and securities violations are extensive and can be complicated. In order to determine if an executive selling or buying stock in their own company or if a company member trading on information provided to them, either directly or indirectly, is acting appropriately, it’s important to become familiar with the securities rules.
Joining me on the podcast to shed light on this topic is Sarah Aberg, an attorney in Sheppard Mullin’s New York office. Sarah’s practice encompasses securities regulation, compliance, and litigation as well as internal investigations and white collar defense.
What We Discuss in this Episode:
Dirks v. SEC (1983)
United States v. Newman (2014)
United States v. Martoma (2018)
Salman v. United States (2016)
SEC Rule 10b-5
Sarah’s Sheppard Mulling attorney profile
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This podcast is for informational and educational purposes only. It is not to be construed as legal advice specific to your circumstances. If you need help with any legal matter, be sure to consult with an attorney regarding your specific needs.