Securities Litigation: ALI-ABA Course of Study Materials, Volume 1American Law Institute-American Bar Association Committee on Continuing Professional Education, 1998 - Actions and defenses |
Contents
Recent SEC Enforcement Cases | 1 |
The Basics of the False Statements Statute | 89 |
The Plaintiffs Perspective | 103 |
7 other sections not shown
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11th Cir 2d Cir 9th Cir admitting or denying agreement antifraud provisions arbitration broker broker-dealer 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 fraud funds Gruntal injunctive insider trading internal investigation investment adviser investors issue Laidlaw LEXIS liability material merger Merrill Lynch million N.D. Ill NASD offer offeror officer Oppenheimer & Co Paine Webber Pierce plaintiff proceedings punitive damages purchase reasonably respondeat superior Rule Safety-Kleen scienter section 10(b shareholders Shearson Smith Barney statute stockholders supervise supervisory Supp takeover transactions United unsuitable violations voir dire Voluntary Disclosure work-product doctrine wrongdoing