Vedder Price

Insider Trading Vedder Service

Insider trading is a perennial high priority issue for the SEC, the DOJ and other state and federal regulators.

It is an area of law that is constantly evolving, our attorneys are highly knowledgeable regarding insider trading law. Our attorneys can identify key areas of potential exposure in order to best protect our clients’ interests. Our team has successfully handled insider trading defense relating to a broad range of matters for both companies and individuals – including cases involving corporate disclosures, mergers and acquisitions, executive compensation, and tipper/tippee liability on behalf of targets of insider trading investigations, as well as inadvertent participants.

Recent Experience

  • Currently representing former officer of public company in an SEC investigation involving company stock options sales in advance of a corporate restatement
  • Currently representing investment adviser and investment funds in an ongoing SEC investigation
  • Successfully represented a bank during an insider trading investigation brought by the SEC
  • Successfully represented an executive during an insider trading investigation by the SEC relating to a complex hedging transaction
  • Successfully represented family members of respondent during an SEC insider trading investigation in connection with trades made in a joint account with target
  • Successfully represented four public company employees in an SEC insider trading investigation regarding trading in advance of negative corporate disclosure impacting stock price
  • Successfully represented an investment adviser during an SEC investigation of potential insider trading by a mutual fund portfolio manager
  • Represented public company in connection with an SEC investigation involving potential insider trading by an employee
  • Vedder Price also assists companies in drafting and evaluating insider trading policies, as well as in providing training to employees on insider trading issues