News & Analysis as of

Failure to Comply Securities and Exchange Commission (SEC) Publicly-Traded Companies

Kohn, Kohn & Colapinto LLP

Department of Justice Secures Conviction in First Insider Trading Prosecution Based Exclusively on the Use of Rule 10b5-1 Trading...

On June 21, a jury in the U.S. District Court for the Central District of California found the former CEO and Chairman of Ontrak, Inc., a publicly traded healthcare company guilty on one count of securities fraud and two...more

The Volkov Law Group

First American Financial Corporation Settles SEC Case for $487,616 for Cybersecurity Data Breach and Disclosure Failures

The Volkov Law Group on

The Securities and Exchange Commission is gaining traction in the enforcement of cybersecurity and disclosure requirements.  The SEC has a lot on its plate these days – ESG, cybersecurity, and the traditional mix of...more

Fenwick & West LLP

New Law Requires Racial, Ethnic or LGBT Diversity on Boards of California-Based Public Companies

Fenwick & West LLP on

In a move that continues California’s push for increased diversity on corporate boards, Governor Gavin Newsom on September 30, 2020 signed into law a bill that requires publicly held companies headquartered in the state to...more

Stinson - Corporate & Securities Law Blog

SEC Charges Company for Undisclosed Perqs

In a settled enforcement action, the SEC charged Argo Group International Holdings, Ltd. for failure to disclose perqs provided to its CEO and board member, Mark E. Watson III....more

Stinson - Corporate & Securities Law Blog

SEC Charges Contracted Investor Relations Person with Disclosure Violation

Shawn Severson is the owner and manager of EnergyTech Investor, LLC.  Between August 2015 and March 2018, UQM Technologies, Inc., or UQM, retained Severson, through EnergyTech Investor and another firm, to provide investor...more

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