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Introduction Insider trading is a term that often evokes images of financial scandal and corporate malfeasance. At its core, insider trading involves the buying or selling of a publicly-traded company’s stock by someone who has non-public, material information about that stock. While the concept may seem straightforward, the legal landscape surrounding insider trading is complex and nuanced. This guide aims

In a blow to a law that some in the law enforcement community have hailed as the most significant anti-money laundering reform in decades, a federal district court in Alabama has ruled that the Corporate Transparency Act (“CTA”) is unconstitutional. Beginning in January of this year, the CTA requires qualifying companies, including foreign-registered entities doing business in the U.S., to

Recently, the Securities and Exchange Commission (SEC) initiated a 102(e) administrative proceeding against Clark Schaefer Hackett & Co. (“CSH”), a public accounting firm, pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), and Rule 102(e)(1)(ii) of the Commission’s Rules of Practice.  Rule 102(e)(1)(ii) provides, in pertinent part, that: The Commission may . . .

Section 13(a) of the Securities Exchange Act of 1934 (“Exchange Act”) and the rules promulgated thereunder require issuers of securities registered pursuant to Exchange Act Section 12 to file with the Commission current and accurate information in periodic reports, even if the registration is voluntary under Section 12(g). Specifically, Rule 13a-1 requires issuers to file annual reports, and Rule 13a-13

Fridman Fels & Soto, PLLC is pleased to announce that Santiago Andrés Nieto, an Argentine lawyer specializing in Litigation, Arbitration, Compliance, Bankruptcy, and White-Collar Criminal Defense, has joined FFS for one year as an International Law Clerk. Santiago is a senior associate with the highly regarded Argentinean law firm of Tavarone, Rovelli, Salim & Miani. Santiago will be working with