Securities Litigation: ALI-ABA Course of Study Materials, Volume 1American Law Institute-American Bar Association Committee on Continuing Professional Education, 1996 - Actions and defenses |
Contents
Recent SEC Enforcement Cases | 1 |
Selected Issues | 57 |
The Plaintiffs Perspective | 75 |
Copyright | |
8 other sections not shown
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10th Cir 2d Cir 9th Cir Act and Rule administrative proceedings admitting or denying ALI-ABA antifraud provisions Bankers Trust broker broker-dealer brokerage firm BT Securities cause of action cert CFTC Chapnick churning civil penalty claim clients Commission alleged Commission filed company's complaint alleges compliance conduct consented controlling person Corp Corporation court held customer's dealer Dean Witter Reynolds defendants directors disclose disclosure disgorgement DM Swaps E.F. Hutton employees Exchange Act expert failed federal securities laws Fenner & Smith fraud fraudulent funds Gibson insider trading investment adviser investment company investors jury liability merger Merrill Lynch million municipal securities N.D. Ill NASD offer offeror Oppenheimer & Co Paine Webber permanent injunction Pierce plaintiff prejudgment interest procedures purchase respondeat superior risk section 10(b shareholders shares Shearson statements stockholders supervise supervisory Supp takeover trading unsuitable video tape voir dire white knight