First 10b5-1 Insider Trading Case Raises Compliance Issues

By Kenneth Breen, Phara Guberman and Elizabeth Gorman · April 17, 2024, 5:10 PM EDT

Before last year, the U.S. Department of Justice had never brought insider trading charges against an executive based primarily on the filing of 10b5-1 plans. But, last month, U.S. v. Peizer...

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