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1-185 out of 185 article(s)
Title Author Type Date Words
Regulation by Selective Enforcement: The SEC and Initial Coin Offerings. Park, James J.; Park, Howard H. May 28, 2020 13980
Embrace the SEC. Rodrigues, Usha R. May 28, 2020 9239
Addressing the Auditor Independence Puzzle: Regulatory Models and Proposal for Reform. Gelter, Martin; Gurrea-Martinez, Aurelio May 1, 2020 19498
Securities & Exchange Commission vs. Elon Musk & the First Amendment. Markham, Jerry W. Dec 22, 2019 17341
Corporate Dualism: Applying a Dual-Standard of Liability Under Section 14(e)'s Tender Offer Antifraud Provisions. Bay, Katlyn M. Sep 22, 2019 8594
Federal White Collar Crime: Cases and Materials, 7th Edition. Book review Jun 1, 2019 139
International justice boosts Africa's fight against corruption. Games, Dianna Feb 1, 2019 518
Taxpayers are again denied theft loss for 'pump and dump' fraud: The taxpayers could not prove on remand there was no reasonable prospect of recovery by the end of the tax year. Reichert, Charles J. Feb 1, 2019 909
The White Law Group Announce Securities Fraud Investigation Into Nov 28, 2018 247
The "Reg.A Money Show" Publishes Podcast Explaining Whether or Not Security Token Offerings Require Blue Sky Law Registration. Aug 5, 2018 429
Lemelson CIO calls on Congress to probe SEC failure to prosecute Ligand. Jul 13, 2018 255
Company could be liable for employee fraud. Lightle, Rebecca M. Mar 12, 2018 1751
Medical reimbursement scheme was material omission. Lightle, Rebecca M. Mar 5, 2018 1593
Kokesh v. SEC: The Demise of Disgorgement. Chang, Jacqueline K. Mar 1, 2018 10166
Law Firm Nightmare: Clients Using Lawyer Services for Ponzi Schemes. Fucile, Mark J. Jan 1, 2018 2253
The Seventh Circuit Widens a Split Among the Circuits on SLUSA Preemption of State Class Actions. Roeder, Steven J. Jan 1, 2018 3852
Lessons to learn from SEC accounting and auditing enforcements: 5 principles can help prevent, detect, or correct the most frequent securities law violations adjudicated by the SEC. Kanter, Howard A. Dec 1, 2017 2221
Celesq[R] Announces August 2017 CLE: IP; Cybersecurity, Data Privacy and Security; Corporate, Securities, White Collar Law. Jul 27, 2017 738
The role of blue sky laws after NSMIA and the JOBS act. Campbell, Rutheford B., Jr. Dec 1, 2016 12044
Enforcement: Class-Action Plaintiff Recruiter Bilked Retirees, SEC Says. Apr 22, 2016 1189
The intersection of fee-shifting bylaws and securities fraud litigation. Sjostrom, William K., Jr. Feb 1, 2016 17441
Distortion other than price distortion. Velikonja, Urska Feb 1, 2016 12567
Federal securities fraud litigation as a lawmaking partnership. Fisch, Jill E. Feb 1, 2016 15535
Market intermediation, publicness, and securities class actions. Sale, Hillary A.; Thompson, Robert B. Feb 1, 2016 7748
Market intermediation, publicness, and securities class actions. Sale, Hillary A.; Thompson, Robert B. Feb 1, 2016 22127
Price impact, materiality, and Halliburton II. Ferrell, Allen; Roper, Andrew Feb 1, 2016 12735
How the SEC's crowdfunding rules for funding portals save the two-headed snake: drawing the proper balance between integrity and cost. Archambault, Patrick Jan 1, 2016 14010
Are you afraid of the dark? How the New York Attorney General is shedding light on dark pools and high frequency trading. Marciello, Jordan M. Jan 1, 2016 12633
Do the merits matter? Empirical evidence on shareholder suits from options backdating litigation. Curtis, Quinn; Myers, Minor Jan 1, 2016 7574
Do the merits matter? Empirical evidence on shareholder suits from options backdating litigation. Curtis, Quinn; Myers, Minor Jan 1, 2016 14282
Rethinking Janus: preserving primary-participant liability in SEC antifraud enforcement actions. Gaught, Greg Dec 1, 2015 18421
Morrison, the restricted scope of Securities Act section 11 liability, and prospects for regulatory reform. Grundfest, Joseph A. Sep 22, 2015 10770
Morrison, the restricted scope of Securities Act section 11 liability, and prospects for regulatory reform. Grundfest, Joseph A. Sep 22, 2015 34278
News for whistleblowers. Balbi, Amanda Brief article Sep 1, 2015 175
Slouching towards Monell: the disappearance of vicarious liability under section 10(b). Lipton, Ann M. Jul 1, 2015 9116
Slouching towards Monell: the disappearance of vicarious liability under section 10(b). Lipton, Ann M. Jul 1, 2015 22057
Iterative regulation of securities markets after Business Roundtable: a principles-based approach. Cox, James D. Jun 22, 2015 11323
Halliburton and the dog that didn't bark. Lipton, Ann M. Mar 22, 2015 11070
Halliburton II: a loser's history. Pritchard, A.C. Mar 22, 2015 11589
Form vs. function in rule 10b-5 class actions. Rose, Amanda M. Mar 22, 2015 5097
Halliburton and the integrity of the public corporation. Park, James J. Mar 22, 2015 5862
The future of price distortion in federal securities fraud litigation. Fisch, Jill E. Mar 22, 2015 7181
Public compensation for private harm: evidence from the SEC's fair fund distributions. Velikonja, Urska Feb 1, 2015 7137
Leave time for trouble: the limitations periods under the securities laws. Kaufman, Michael J.; Wunderlich, John M. Sep 22, 2014 39156
Innocent abroad? Morrison, Vilar, and the extraterritorial application of the Exchange Act. Herz-Roiphe, Daniel E. Apr 1, 2014 5846
Sword or shield? Setting limits on SLUSA's ever-growing reach. Glass, Cecilia A. Mar 1, 2014 19318
Bull in the China market: the gap between investor expectations and auditor liability for Chinese financial statement frauds. Barber, Phillip Dec 22, 2013 7518
Bull in the China market: the gap between investor expectations and auditor liability for Chinese financial statement frauds. Barber, Phillip Dec 22, 2013 16675
US' SEC Fines UBS $50m For CDO Securities Fraud. Aug 7, 2013 560
Fraud-on-the-market class certification: theory, tolling and materiality. Kelly, William J., III Jul 1, 2013 2268
The Knowledge Congress Has Scheduled a Live Webcast on Securities Law: Fraud-on-the-Market Theory Demystified. Jun 25, 2013 504
The truth-on-the-market defense and its relevance in SEC enforcement actions. Chang, Lucy Jun 22, 2013 12299
Promoting fictitious bonds for tax payments leads to conviction for "sovereign citizen". Nevius, Alistair M. Jun 1, 2013 433
The cost of securities fraud. Velikonja, Urska May 1, 2013 7294
The cost of securities fraud. Velikonja, Urska May 1, 2013 20273
The trouble with Basic: price distortion after Halliburton. Fisch, Jill E. Apr 1, 2013 17497
Lies without liars? Janus Capital and conservative securities jurisprudence. Langevoort, Donald C. Apr 1, 2013 15651
Scienter pleading and Rule 10b-5: empirical analysis and behavioral implications. Donelson, Dain C.; Prentice, Robert A. Dec 22, 2012 5862
Scienter pleading and Rule 10b-5: empirical analysis and behavioral implications. Donelson, Dain C.; Prentice, Robert A. Dec 22, 2012 25718
The thirteenth stroke: an approach to "ultimate authority" after Janus. Power, Andrew Nov 1, 2012 18509
Beyond Morrison: the effect of the "presumption against extraterritoriality" and the transactional test on foreign tender offers. Soshkina, Vladislava Oct 1, 2012 13290
Janus Capital Group: how "making" a statement leads to insulation from liability. Talia, Colin Sep 22, 2012 10554
Baviera case: A dangerous precedent? Aug 30, 2012 790
Allocating regulatory resources. Aviram, Amitai Jun 22, 2012 17454
Will JOBS act enable more securities fraud? The recently passed JOBS Act eliminates regulatory requirements in initial public offerings and loosens other reporting obligations of public companies. These changes will weaken a number of investor protections and could provide opportunities for greater securities fraud. Verschoor, Curtis C. Jun 1, 2012 1583
The JOBS Act creates opportunities ... and risks: The JOBS Act will dramatically change the legal and regulatory landscape across the U.S. by encouraging IPOs through relaxed regulation. But what are the potential effects of reduced regulatory burden and increased risk of securities fraud litigation? Stocker, Michael Jun 1, 2012 1981
Securities fraud and the theft-loss deduction. Chambers, Valrie; Elzweig, Brian Apr 1, 2012 1680
The SEC v. Goldman Sachs: reputation, trust, and fiduciary duties in investment banking. Davidoff, Steven M.; Morrison, Alan D.; Wilhelm, William J. Mar 22, 2012 13652
Promises of leniency: whether companies should self-disclose violations of the Foreign Corrupt Practices Act. Marberg, Sarah Mar 1, 2012 17772
What happens in London, stays in London: the long and "strong" arms of Dodd-Frank's extraterritorial provisions. Moore, Varen R. Mar 1, 2012 12184
The effects of an undefined "ultimate authority" standard for rule 10b-5 claims: Janus Capital Group, Inc. v. First Derivative Traders. King, Brian P. Mar 1, 2012 12832
What's your fraud IQ? Taylor, Dawn; McNeal, Andi Feb 1, 2012 2283
Taming Twombly: an update after Matrixx. Hartnett, Edward A. Jan 1, 2012 10199
A modest proposal for securities fraud pleading after Tellabs. Miller, Geoffrey Jan 1, 2012 6450
Amputating the long arm of the law: an analysis of the U.S. Supreme Court's decision in Morrison and why (section)10(B) still reaches issuers of ADRS. Maslo, Paul B. Jan 1, 2012 3631
Obstruction of justice: unwarranted expansion of 18 U.S.C. (section) 1512(c)(1). Schrup, Sarah O'Rourke Jan 1, 2012 19935
In spite of its good intentions, the Dodd-Frank Act has created an FCPA monster. Hansberry, Heidi L. Jan 1, 2012 13851
Securities law in the Roberts court: agenda or indifference? Pritchard, A.C. Dec 22, 2011 21746
Morrison v. National Australia Bank Ltd.: a clear statement rule or a confusing standard. Marshall, Brett R. Dec 22, 2011 10109
Life after Morrison: extraterritoriality and RICO. Mello, R. Davis Nov 1, 2011 13499
The SEC's whistleblower program and its effect on internal compliance programs. Miralem, Iskra Sep 22, 2011 8333
Apples and oranges: securities market losses should be treated differently for major white-collar criminal sentencing under the federal guidelines. Esterhay, John D. Sep 22, 2011 13128
Morrison v. National Australia Bank Ltd.: adventures on the Barbary Coast: Morrison and enforcement in a globalised securities market. Spender, Peta; Tarlowski, Michael Apr 1, 2011 18991
Toward a just measure of repose: the statute of limitations for securities fraud. Kaufman, Michael J.; Wunderlich, John M. Apr 1, 2011 29432
Confidential witnesses in securities litigation. Mark, Gideon Mar 22, 2011 37767
Private Securities Litigation Reform Act of 1995: safe harbor for the innocent or modern day Port of Tortuga for the buccaneers of Wall Street? Lasker, Cory A. Mar 22, 2011 13094
Regulation S-K Item 402(s): regulating compensation incentive-based risk through mandatory disclosure. Higgins, Danielle Angott Mar 22, 2011 13881
Mismatch: the misuse of market efficiency in market manipulation class actions. Korsmo, Charles R. Mar 1, 2011 30698
Re-evaluating holder actions: giving defrauded securities holders a fighting chance. Taylor, Robert W. Feb 1, 2011 11019
Revitalizing motive and opportunity pleading after Tellabs. Lowenthal, Marvin Feb 1, 2011 16396
Insider trading inside the beltway. Bainbridge, Stephen M. Jan 1, 2011 14716
Permanently reviving the temporary insider. Prentice, Robert A. Jan 1, 2011 27959
Morrison v. National Australia Bank Ltd. Pender, James; Kerridge, Sally Jan 1, 2011 2638
Rule 10b-5 and the rise of the unjust enrichment principle. Park, James J. Nov 1, 2010 31223
Blowing the whistle: how to make money from securities fraud without committing it. Pugsley, Mark W. Nov 1, 2010 904
Jersey Sure? Nov 1, 2010 1360
Breaking past the parallax: finding the true place of lawyers in securities fraud. Adams, Marianne C. Oct 1, 2010 21164
Immaterial lies: condoning deceit in the name of securities regulation. Padfield, Stefan J. Sep 22, 2010 23953
SEC bounty hunters: Dodd-Frank and the SEC's zeal make it easier and more lucrative for whistleblowers to tip the feds off to securities violations. Lindorff, Dave Sep 1, 2010 1067
Reading Stoneridge carefully: a duty-based approach to reliance and third-party liability under rule 10B-5. Langevoort, Donald C. Jun 1, 2010 21985
Facilitating economic recovery and sustainable growth through reform of the securities class-action system: exploring arbitration as an alternative to litigation. Bondi, Bradley J. Mar 22, 2010 12349
The distorting incentives facing the U.S. Securities and Exchange Commission. Macey, Jonathan R. Mar 22, 2010 12580
Cleaning the murky safe harbor for forward-looking statements: an inquiry into whether actual knowledge of falsity precludes the meaningful cautionary statement defense. Horwich, Allan Mar 22, 2010 25776
The implications of IFRS on the functioning of the securities antifraud regime in the United States. Phillips, Lance J. Feb 1, 2010 15561
Losing the loss calculation: toward a more just sentencing regime in white-collar criminal cases. Vollrath, Derick R. Feb 1, 2010 15218
Aiding and abetting, a Madoff family affair: why secondary actors should be held accountable for securities fraud through the restoration of the private right of action for aiding and abetting liability under the federal securities laws. Nunziato, Melissa C. Jan 1, 2010 17935
The Madoff scandal, market regulatory failure and the business education of lawyers. Rhee, Robert J. Jan 1, 2010 17329
Shareholder compensation as dividend. Park, James J. Dec 1, 2009 25021
Loss causation and class certification. Serajeddini, Steven Nov 1, 2009 11688
Avoiding pitfalls of False Claims Act liability. Heffes, Ellen M. Nov 1, 2009 359
Deducting Ponzi scheme losses: practical issues. Takacs, Natalie Bell Aug 1, 2009 4100
Deducting losses for defrauded investors. Zimmerman, John C. Jul 1, 2009 9898
Ponzi schemes: the implications for defrauded investors. Odom, Dianne Apr 1, 2009 1946
Enforcement is 'back' at SEC. Heffes, Ellen M. Apr 1, 2009 447
A necessary gatekeeper: the fiduciary duties of the lead plaintiff in shareholder derivative litigation. Koopmann, Amy M. Mar 22, 2009 14279
Fraud on the market gets a minitrial: Eisen through in re IPO. Groot, Patricia Mar 1, 2009 13196
SEC starts fraud prosecution overhaul. Feb 18, 2009 222
White collar crime's gray area: the anomaly of criminalizing conduct not civilly actionable. Couture, Wendy Gerwick Jan 1, 2009 25512
Assessing the materiality of financial misstatements. Park, James J. Jan 1, 2009 30567
Class action certification in private securities litigation: endangered species? Caulfield, Margaret Anne Jan 1, 2009 8592
Milberg's monopoly: restoring honesty and competition to the plaintiffs' bar. McDonald, James P. Dec 1, 2008 18124
Free writing. Thel, Steve Jun 22, 2008 26221
Stock option "springloading": an examination of loaded justifications and new SEC disclosure rules. Hughes, William Mar 22, 2008 10654
Securities law - First Circuit limits scope of "safe harbor" disclosure loophole under misappropriation theory of insider trading. Manning, Matthew R. Mar 22, 2008 5738
Freedom to defraud: Stoneridge, primary liability, and the need to properly define section 10(B). Souza, Travis S. Feb 1, 2008 11294
Houldsworth: an obsolete piece in the legislative puzzle. Nehme, Marina; Hyland, Margaret Jan 1, 2008 12378
Corporate law - primary-violator liability under 10(b) applies to outside business partners in suits brought by shareholders - Simpson v. AOL Time Warner, Inc. Gentile, Donald Dec 22, 2007 4162
Striking a balance: while the Tellabs decision finds middle ground between investors and corporate executives, it is expected to have little impact on D&O coverage. Galban, Anthony Oct 1, 2007 1285
Sons of Gwalia Ltd v Margaretic: the shifting balance of shareholders' interests in insolvency: evolution or revolution? Hargovan, Anil; Harris, Jason Aug 1, 2007 15467
The corporate monitor: the new corporate Czar? Khanna, Vikramaditya; Dickinson, Timothy L. Jun 1, 2007 21572
A business ethics perspective on Sarbanes-Oxley and the organizational sentencing guidelines. Hess, David Jun 1, 2007 18612
Getting the word out about fraud: a theoretical analysis of whistleblowing and insider trading. Macey, Jonathan R. Jun 1, 2007 19624
Options backdating, tax shelters, and corporate culture. Fleischer, Victor Mar 22, 2007 13800
Worldwide: looters have a foothold: accounting fraud is the corporate criminals' weapon of choice. Black, William K. Jan 1, 2007 1827
Conscripting attorneys to battle corporate fraud without shields or armor? Reconsidering retaliatory discharge in light of Sarbanes-Oxley. Vu, Kim T. Oct 1, 2006 16231
The potent and broad-ranging implications of the accounting and record-keeping provisions of the Foreign Corrupt Practices Act. Deming, Stuart H. Jan 1, 2006 19135
Tax consequences to investors of broker fraud and theft: there are a number of ways tax advisers can help clients who are victims of investment fraud or theft. This article discusses the tax issues faced when trying to recoup some of the loss. Montgomery, Gwendolyn A. Jan 1, 2006 3802
Fraud on the market: short sellers' reliance on market price integrity. Smith, Douglas A. Dec 1, 2005 22722
Letting billions slip through your fingers: empirical evidence and legal implications of the failure of financial institutions to participate in securities class action settlements. Cox, James D.; Thomas, Randall S. Nov 1, 2005 23004
Small business, big losses: audits and hotlines stack up as the best crime busters in a new ACFE study. Wells, Joseph T. Dec 1, 2004 3019
Tax benefits of IRC Sec. 165. Siegel, Bart H. Sep 1, 2004 1936
From Nike v. Kasky to Martha Stewart: first amendment protection for corporate speakers' denials of public criminal allegations. Caillavet, Cynthia A. Jun 22, 2004 15464
Building a strong corporate physique: why Sarbanes-Oxley is good for business. Strand, Phillip G. Mar 1, 2004 1630
SEC enforcement heuristics: an empirical inquiry. Cox, James D.; Thomas, Randall S.; Kiku, Dana Nov 1, 2003 18622
Corporate misdeeds and their impact upon enforceability of executive employment agreement indemnification provisions. Lechner, Jay P. May 1, 2003 3187
Balance sheet becomes breeding ground for fraud. Lundelius, Charles R., Jr. May 1, 2003 476
Partners in crime: Enron and WorldCom couldn't have happened without the help of accountants, bankers, and lawyers. After a decade of lax regulation and laissez-faire court decisions, these secondary actors are facing harsher scrutiny. Sidener, Steven O. Apr 1, 2003 2520
Holding the accountant accountable: accountants' underhanded dealings can have far-reaching effects. Although third parties don't have privity relationships with accountants, they can file claims alleging fraud, misrepresentation, and securities law violations. Smith, Colleen Duffy Apr 1, 2003 3085
Protect investors from brokers' stock scams: when analysts issue bogus stock recommendations, attorneys can hold them liable for clients' lost savings. Nohr, Jason L. Apr 1, 2003 2552
A new accounting culture. Melancon, Barry C. Oct 1, 2002 3264
Life after SLUSA: what is the fate of holding claims? The pre-emptive force of the 1998 legislation should not upset the long-held balance in the U.S. federal system by trumping all state actions. Rose, Amanda M. Oct 1, 2002 7272
The scope of bar orders in federal securities fraud settlements. Kaplan, David Oct 1, 2002 16942
Enron fallout spurs securities fraud bill: the Corporate and Criminal Fraud Accountability Act would create penalties for illegal document shredding and increase protections for whistleblowers. (Capital edge: legislative & regulatory update). Tillman, Bob Jul 1, 2002 1563
An uphill battle: the difficulty of deterring and detecting perpetrators of Internet stock fraud. Hittle, Byron D. Dec 1, 2001 11799
Time is money When you're running a scam. SCHWAB, ROBERT Brief Article Oct 1, 2001 300
Detection of fraudulent financial reporting. Schneider, Arnold Sep 1, 2001 364
Pleading securities fraud. Weiss, Elliott J. Mar 22, 2001 26622
Aggregation, auctions, and other lead developments in the selection of lead counsel under the PSLRA. Fisch, Jill E. Mar 22, 2001 25732
The nontrial adversarial model. Seligman, Joel Mar 22, 2001 4211
Retroactive legislative history: scienter under the Uniform Security Litigation Standards Act of 1998. Caiola, Eugene P. Sep 22, 2000 24147
SEC Rule 14e-3 in the wake of United States v. O'Hagan: proper prophylactic scope and the future of warehousing. Lobb, Jeff May 1, 1999 13608
Mayor testifies against legislation which would penalize cities and towns. Shafroth, Frank Nov 3, 1997 955
Liability of stockbrokers: claims for churning and unsuitability. Gallagher, Michael D.; Capps, Gregory S. Oct 1, 1997 5239
Cities beware of new securities legislation. Weiler, Laura Aug 11, 1997 1107
SEC adopts new audit requirements. Jun 1, 1997 501
California votes down proposition 211. Brief Article Jan 1, 1997 300
Insider trading and the dual role of information. ten Oever, Jonathan E.A. Jan 1, 1997 3069
Securing the market for fraud. Mokhiber, Russell Jan 1, 1997 1100
California poised to vote on securities law initiative. Oct 1, 1996 546
Senate poised to override securities fraud veto. Shafroth, Frank Brief Article Dec 25, 1995 210
Securities Litigation Reform Act passes the House. May 1, 1995 608
SEC is ready to support litigation reform. Brief Article Apr 1, 1995 245
Knowledge and notice in section 10(b) limitations law. Ford, Christopher A. May 1, 1994 17635
AICPA chairman testifies before Senate subcommittee. Brief Article Sep 1, 1993 238
Litigation reform bill introduced in House of Representatives. Brief Article Mar 1, 1993 125
Litigation reform bills introduced; drive for passage builds. Nov 1, 1992 577
What every accountant should know about securities law. Quinlivan, Stephen M. Jul 1, 1992 1439
Securities law statute of limitations ruling overturned. May 1, 1992 256
The continuing expansion of RICO in business litigation. Maurer, Virginia G. Sep 1, 1990 5787

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