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.”

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