The SEC’s ongoing inquiry into possible insider trading in shares of Restoration Hardware has raised some interesting issues of spousal immunity. On Friday, however, a court ruled that Lena Yan may not avoid testifying before the SEC in its ongoing investigation into possible insider trading by her husband, Daniel Hew. Full details are available in this post on my Enforcement Action blog over at Compliance Week.
‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn