Noller Quoted on the Latest SEC Sweep

13 October 2014 Agenda News


Partner Lisa Noller was quoted in an Agenda article, “SEC’s Broken Windows Sweep a ‘Game-Changer’ for Directors,” on October 13, 2014. The article discusses the Securities and Exchange Commission’s recent investigation of nearly three dozen individuals and companies after their respective boards and directors failed to follow disclosure procedures on insider transactions. Noller was quoted saying, “If they [company boards] detect outliers in their own trading patterns or their employees’ then they need to act on it and investigate. If you ignore the data and let the SEC find it first, you’re not only failing to discharge your duties as officers and directors, you’re also opening yourself up to an investigation.”

Related Services


A Review of Recent Whistleblower Developments
19 July 2019
Legal News: Whistleblower Developments
Cloud security inadequate for Cyber threats, are you surprised?
19 July 2019
Internet, IT & e-Discovery Blog
Blockchain: A Tool With a Future in Healthcare
18 July 2019
Health Care Law Today
Do You Know What IMMEX Stands For?
16 July 2019
Dashboard Insights
Review of 2020 Medicare Changes for Telehealth
11 December 2019
Member Call
2019 NDI Executive Exchange
14-15 November 2019
Chicago, IL
MAGI’s Clinical Research Conference
29 October 2019
Las Vegas, NV
Association for Corporate Counsel Annual Meeting 2019
27-30 October 2019
Phoenix, AZ