72 pages matching federal securities laws in this book
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The Basics of the False Statements Statute 89
The Plaintiffs Perspective
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11th Cir 2d Cir 9th Cir admitting or denying agreement ALI-ABA antifraud provisions arbitration broker broker-dealer brokerage firm cert churning civil penalty claim client Commission filed company's complaint alleged compliance conduct controlling person Corp corporation counsel court held criminal customer's Dean Witter Reynolds defendants directors disgorgement documents E.F. Hutton employees Enforcement Exchange Act Rel failed to disclose federal securities laws Fenner & Smith fiduciary duty fraud funds Gruntal injunctive insider trading internal investigation investment adviser investors issue Laidlaw LEXIS liability material merger Merrill Lynch million NASD offer offeror officer Paine Webber Pierce plaintiff proceedings purchase reasonably respondeat superior Rule Safety-Kleen scienter section 10(b Securities Litigation shareholders Smith Barney statute stockholders supervise supervisory Supp takeover transactions United unsuitable violations voir dire Voluntary Disclosure work-product doctrine wrongdoing