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Author : Susan D. Sawtelle
Publisher : DIANE Publishing
ISBN 13 : 1437989357
Total Pages : 47 pages
Book Rating : 4.4/5 (379 download)
Download or read book Securities Fraud Liability of Secondary Actors written by Susan D. Sawtelle and published by DIANE Publishing. This book was released on 2012-10-14 with total page 47 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States Government Accountability Office
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781983715983
Total Pages : 48 pages
Book Rating : 4.7/5 (159 download)
Download or read book Securities Fraud Liability of Secondary Actors written by United States Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2018-01-11 with total page 48 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities Fraud Liability of Secondary Actors
Author : Susan D. Sawtelle
Publisher :
ISBN 13 :
Total Pages : 47 pages
Book Rating : 4.:/5 (13 download)
Download or read book Securities fraud liability of secondary actors written by Susan D. Sawtelle and published by . This book was released on 2011 with total page 47 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Ronald J. Colombo
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (137 download)
Download or read book Cooperation with Securities Fraud written by Ronald J. Colombo and published by . This book was released on 2009 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Secondary actors, such as lawyers, accountants, and bankers, are oftentimes critical players in securities fraud. The important question of their liability to private plaintiffs has been, and remains, one of considerable confusion. In Stoneridge Inv. Partners LLC v. Scientific-Atlanta, Inc., the U.S. Supreme Court could have, but failed to, dispel some of this confusion. Contrary to the common understanding, Stoneridge did not foreclose liability on the part of secondary actors who manage to remain anonymous participants in securities fraud. Read carefully, Stoneridge instead held that proximity to fraud should drive the liability determination. Although "proximity" is itself an indefinite concept, we are not without tools in deciphering it. For we have at our disposal a well-developed, long-tested method of analyzing proximity with an eye toward the just imposition of culpability: moral theology's "principles of cooperation." By turning to these principles, we have at our fingertips a ready-made set of factors to consider in assessing whether one's conduct should be deemed proximate versus remote to another's fraud. The principles of cooperation also provide a framework around which we can organize securities fraud jurisprudence in general. For the insights gleaned from the principles regarding moral culpability in many respects parallel the conclusions reached by courts and commentators construing liability under the securities laws. Perhaps, in addition to the assistance it provides us in resolving the difficult issue of proximity, this framework could serve as a useful aid in resolving other, and future, securities fraud questions.
Author : United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Crime and Drugs
Publisher :
ISBN 13 :
Total Pages : 400 pages
Book Rating : 4.:/5 (327 download)
Download or read book Evaluating S. 1551 written by United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Crime and Drugs and published by . This book was released on 2010 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Robert A. Prentice
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (137 download)
Download or read book Scheme Liability, Federal Securities Fraud, and John Wayne's I-Pod written by Robert A. Prentice and published by . This book was released on 2008 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Supreme Court held in Central Bank that if Congress had wanted to include an aiding and abetting form of secondary liability in Section 10(b of the 1934 Securities Exchange Act), it would have done so. Strictly construed, this is a defensible holding. After Central Bank, defrauded investors have been forced to (a) argue for a broad view of primary liability, and (b) assert "scheme liability" claims under subsections (a) and (c) of Rule 10b-5. Most lower courts have rejected both these approaches and thereby excused from liability many parties, particularly investment banks, that knowingly participated in issuers' securities fraud. This article initially demonstrates that Congress did not include an aiding and abetting provision as a form of secondary liability under Section 10(b) because it necessarily expected "aiding" or "aiding and abetting" of securities fraud to constitute a primary violation of Section 10(b) with or without any explicit mention in the statute. In 1934, the common law of fraud and virtually every statutory antecedent of Section 10(b) imposed liability upon those who "participated" in fraud. The law of intentional torts in 1934 made virtually no distinction between primary and secondary liability. Aiding and abetting as a form of secondary activity in the field of securities fraud was invented by the lower federal courts in 1966. It became meaningful only after 1994 when lower courts began applying Central Bank's reasoning in a narrow way. Lower courts have been able to justify their narrow interpretation of Central Bank's holding only by committing the anachronistic error of assuming that the law of deceit was the same in 1934 as in 1994. The Supreme Court has often warned against the making of such anachronistic errors. This article then demonstrates the unquestionable validity of "scheme liability" under subsections (a) and (c) of Rule 10b-5. The lower courts that have rejected scheme liability have misread Central Bank, ignored the plain language of both Section 10(b) and Rule 10b-5, and committed a host of other mistakes.
Author : Gary Bishop
Publisher :
ISBN 13 :
Total Pages : 47 pages
Book Rating : 4.:/5 (13 download)
Download or read book A Framework for Analyzing Attorney Liability Under Section 10(b) and Rule 10b-5 written by Gary Bishop and published by . This book was released on 2014 with total page 47 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article analyzes recent developments in the law of secondary party liability under the general antifraud provision of the Securities Exchange Act of 1934, section 10(b), and its corresponding Securities and Exchange Commission rule, Rule 10b-5. The article focuses on a specific type of secondary party, securities lawyers, who make their living representing securities issuers and face a myriad of challenges in doing so. Among those challenges are defrauded investors seeking recovery of their losses from both the issuer of the failed investment securities and from the lawyers who represent the issuer.These securities fraud actions against lawyers raise serious questions about the proper scope of liability under the federal securities laws. The recent developments discussed in the article indicate that the standard for secondary party liability is increasingly becoming one that attorneys acting in the traditional role of adviser and draftsperson to securities issuers will not satisfy.
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher :
ISBN 13 :
Total Pages : 356 pages
Book Rating : 4.0/5 (1 download)
Download or read book Abandonment of the Private Right of Action for Aiding and Abetting Securities Fraud/staff Report on Private Securities Litigation written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1994 with total page 356 pages. Available in PDF, EPUB and Kindle. Book excerpt: Distributed to some depository libraries in microfiche.
Author :
Publisher :
ISBN 13 :
Total Pages : 730 pages
Book Rating : 4.F/5 ( download)
Download or read book Nuts and Bolts of Securities Law written by and published by . This book was released on 2003 with total page 730 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas Lee Hazen
Publisher : West Group Publishing
ISBN 13 :
Total Pages : 632 pages
Book Rating : 4.F/5 ( download)
Download or read book Treatise on the Law of Securities Regulation written by Thomas Lee Hazen and published by West Group Publishing. This book was released on 2005 with total page 632 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Celia Taylor
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (137 download)
Download or read book Breaking the Bank written by Celia Taylor and published by . This book was released on 2008 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article argues that aiding and abetting liability should be reinstated for secondary actors in securities frauds. Such liability was eliminated by the Supreme Court's 1994 decision in Central Bank of Denver, N.A., v. First Interstate Bank of Denver, N.A. Since that decision, corporate fiascos such as Enron and Worldcom have shown the need to enhance our ability to deter fraud in the corporate marketplace. The article recognizes that the Supreme Court is unlikely to change course on this issue, and suggests that Congress should act by adding a provision the Public Company Accounting and Investor Protection Act of 2002 (commonly known as Sarbanes-Oxley, or SOX) expressly granting a private right of action for aiding and abetting liability under Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934.
Author : William Savitt
Publisher :
ISBN 13 : 9781910813645
Total Pages : 310 pages
Book Rating : 4.8/5 (136 download)
Download or read book The Securities Litigation Review written by William Savitt and published by . This book was released on 2017 with total page 310 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Greene et al.
Publisher : Wolters Kluwer
ISBN 13 : 1454887389
Total Pages : 1680 pages
Book Rating : 4.4/5 (548 download)
Download or read book U.S. Regulation of the International Securities and Derivatives Markets, 12th Edition written by Greene et al. and published by Wolters Kluwer. This book was released on 2017-05-17 with total page 1680 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Marc I. Steinberg
Publisher : Law Journal Press
ISBN 13 : 9781588520210
Total Pages : 1220 pages
Book Rating : 4.5/5 (22 download)
Download or read book Securities Regulation written by Marc I. Steinberg and published by Law Journal Press. This book was released on 1984 with total page 1220 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
Author : Jerry Markham
Publisher : Routledge
ISBN 13 : 1317466373
Total Pages : 456 pages
Book Rating : 4.3/5 (174 download)
Download or read book Law Enforcement and the History of Financial Market Manipulation written by Jerry Markham and published by Routledge. This book was released on 2015-01-28 with total page 456 pages. Available in PDF, EPUB and Kindle. Book excerpt: First Published in 2014. This book maps the issues and traces the U.S. government's efforts to properly regulate, monitor, and prevent financial speculation and price manipulation in various markets. It begins with the period from the late nineteenth century to the first congressional efforts at regulation in the 1930s and continues on to the present, with a full chapter on the legal and financial aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The book also discusses the difficulty of initiating successful prosecutions of financial fraud and price manipulation and proposes a new approach to preventing manipulative practices.
Author : James D. Cox
Publisher : Aspen Publishing
ISBN 13 : 1543838480
Total Pages : 1408 pages
Book Rating : 4.5/5 (438 download)
Download or read book Securities Regulation written by James D. Cox and published by Aspen Publishing. This book was released on 2021-10-31 with total page 1408 pages. Available in PDF, EPUB and Kindle. Book excerpt: Buy a new version of this textbook and receive access to the Connected eBook on CasebookConnect, including: lifetime access to the online ebook with highlight, annotation, and search capabilities, plus an outline tool and other helpful resources. Connected eBooks provide what you need most to be successful in your law school classes. Learn more about Connected eBooks. The Tenth Edition of Securities Regulation: Cases and Materials encompasses the sea changes that have recently occurred in the securities laws and capital markets, brought about by both SEC rulemaking and shifts in underwriting practices. The casebook carries forward its long-held standard of providing students with an in-depth, sophisticated, practical look at contemporary securities law. As it has since its first edition, this volume contains a highly teachable mix of problems, cases, and textual material, encouraging students to build their knowledge base by being active problem-solvers. Always forward-thinking, stressing current developments and controversies, the book is also highly modular, so that professors can easily pick and choose how to structure their courses without being locked into any given progression. New to the Tenth Edition: Developments involving cryptocurrencies and coin offerings Commentary on market developments such as issues arising with the retailization of trading markets The SEC’s procedures for direct listings and the regulatory issues surrounding the explosion of SPACs The sweeping November 2020 reforms to the issuer transaction exemptions from registration, and the new standards for evaluating whether offerings will be integrated The Supreme Court’s most recent Goldman Sachs decision addressing fraud on the market Coverage of several developments affecting the SEC’s enforcement powers The SEC’s new rules for proxy advisory services and shareholder proposals Where the law stands today regarding the obligations of broker-dealers in the wake of Regulation Best Interest Professors and students will benefit from: The book’s highly modular organization, enabling different teaching formats and coverage Extensive use of problems that build student awareness of the fundamentals, with directions in the Teacher’s Manual on how best to teach them Concise notes that introduce the reader to both theory and real-life practice issues A book that is always up-to-date and on the cutting edge
Author : W. Bradley Wendel
Publisher : Aspen Publishing
ISBN 13 : 1543815197
Total Pages : 658 pages
Book Rating : 4.5/5 (438 download)
Download or read book Examples & Explanations for Professional Responsibility written by W. Bradley Wendel and published by Aspen Publishing. This book was released on 2019-08-20 with total page 658 pages. Available in PDF, EPUB and Kindle. Book excerpt: Examples & Explanations for Professional Responsibility, Sixth Edition, is a thorough and comprehensive text that can be used by students as a study aid and by professional responsibility teachers as a class text. It covers the whole field of professional responsibility, focusing not only on the ABA Model Rules, but on the often-complex relationship between the rules and doctrines of agency, tort, contract, evidence, and constitutional law. Beginning with the formation of the attorney-client relationship, the book proceeds through topics including attorneys’ fees, malpractice and ineffective assistance of counsel, confidentiality and privilege rules, conflicts of interest, witness perjury and litigation misconduct, advertising and solicitation, admission to practice, and the organization of the legal profession. Coverage includes all subjects that are tested on the Multistate Professional Responsibility Exam (MPRE), including: A chapter on judicial ethics, a subject tested on the MPRE and not often covered thoroughly, if at all, in law school professional responsibility courses. Updated discussion and examples based on recent developments in the law, including the ABA’s simplification of the rules on advertising and solicitation, new Model Rule 8.4(g) on discrimination in the practice of law, the California Supreme Court’s Sheppard Mullin opinion on advance waivers of conflicts, and continuing developments in the impact of technology on the practice of law. More MPRE-style multiple-choice questions in the Examples. New to the Sixth Edition: Revised and updated to reflect recent developments in the law having to do with lawyering, including new ABA rules, ethics opinions, and cases. New and revised examples and explanations in many chapters. Professors and students will benefit from: Comprehensive, updated coverage of all areas of professional responsibility, with attention to areas that are particularly challenging for students (as well as many practicing lawyers!), such as conflicts of interest and privilege and confidentiality. A study aid that without “teaching to the test,” provides students with thorough preparation for the MPRE, which is the first licensing exam that many law students take.
