Hannah Welsh

Ballard Spahr LLP

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Ontrak Indictment Showcases DOJ-SEC Collaboration

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

3/10/2023  /  10b5-1 Plans , Department of Justice (DOJ) , Insider Trading , Securities and Exchange Commission (SEC)
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