Tom Bednar

Nov 27, 2023 | lexblog.com | Robin Bergen |Matthew Solomon |Tom Bednar |Sarah Choi

On November 14, the Securities and Exchange Commission announced its enforcement results for the 2023 fiscal year,[1] with case numbers up from fiscal year 2022 and monetary sanctions at the second highest level in the agency’s history, though down significantly from last year’s record highs.

Mar 7, 2023 | lexblog.com | Matthew Solomon |Adam J. Fleisher |Tom Bednar |Sarah Choi

On March 1, 2023, the U.S. Department of Justice and the Securities and Exchange Commission announced insider trading charges against Terren Peizer, the CEO and Chairman of a California-based healthcare services company called Ontrak, Inc. (the “Company”) for allegedly selling Company securities while in possession of material, non-public information (“MNPI”) that one of the Company’s major customers was likely to cancel its contract.