July 2018

SEC Investigation Into Client Stock Plan Curtailed

North America - United States

The U.S. Securities and Exchange Commission (SEC) dropped its investigation into a large, privately held company for alleged improprieties in operation of its employee stock plan. The investigation included subpoenas and implied enforcement action against the client's CEO and CFO. Through effective advocacy of Faegre Baker Daniels team members, who possessed securities litigation and stock plan expertise, the SEC staff was persuaded to curtail its investigation.

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