Securities Litigation: ALI-ABA Course of Study Materials, Volumes 1-2American Law Institute-American Bar Association Committee on Continuing Professional Education, 2003 - Actions and defenses |
Contents
Recent SEC Enforcement Cases | 1 |
SEC Administrative Proceedings | 49 |
Defending an SEC Administrative Proceeding | 59 |
Copyright | |
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11th Cir 2d Cir 9th Cir aff'd aiding and abetting ALI-ABA alleged arbitration attorney attorney-client privilege audit auditor broker Central Bank claims class action class certification class members client Commission company's complaint control person Corp corporation counsel court held damages Dean Witter Reynolds decision defendants directors disclose disclosure district court documents due diligence duty employees Enron Exchange Act false or misleading federal securities laws filed firm fraudulent Industry insider trading investigation investment investors issue issuer lead plaintiff liability loss causation material fact Merrill Lynch misleading statements misrepresentations misstatement motion to dismiss N.D. Cal N.D. Ill NASD Ninth Circuit omission party pleading PSLRA purchase reasonable Reform Act reliance Rule Sarbanes-Oxley Sarbanes-Oxley Act scienter Second Circuit Section 10(b securities fraud Securities Litigation settlement shareholders stockholders summary judgment Supp tender offer transaction violation WorldCom Zandford