Securities Litigation: ALI-ABA Course of Study Materials, Volume 1American Law Institute-American Bar Association Committee on Continuing Professional Education, 1997 - Actions and defenses |
Contents
A Critique of the Misappropriation Theory of Insider Trading | 105 |
The Misappropriation Theory of Outsider Trading | 139 |
The Plaintiffs Perspective | 181 |
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11th Cir 2d Cir 9th Cir administrative proceedings admitting or denying ALI-ABA antifraud provisions arbitration Bank breach broker broker-dealer brokerage BT Securities cert Chiarella churning civil penalty claim clients Commission filed company's Complaint alleges conduct consented control person Corp corporation counsel court held criminal customer's damages Dean Witter Reynolds decision defendants directors Dirks disgorgement documents duty to disclose E.F. Hutton employees Exchange Act failed federal securities laws Fenner & Smith fiduciary duty firm funds Gruntal insider trading internal investigation investment adviser investors issue jury liability material merger Merrill Lynch misappropriation theory N.D. Ill NASD nonpublic information Paine Webber plaintiff prejudgment interest profits purchase respondeat superior rule scienter SEA Rel Second Circuit section 10(b securities fraud Securities Litigation shareholders statements stockholders supervise Supp supra Supreme Court tender offer transactions violations wrongdoing