Open Access. Powered by Scholars. Published by Universities.®
- Publication
- Publication Type
Articles 1 - 6 of 6
Full-Text Articles in Law
Private Equity Firms: Beyond Sec Registration As An Investment Adviser How To Build And Administer An Effective Compliance Program, Susan Mosher
Michigan Business & Entrepreneurial Law Review
The Securities and Exchange Commission (the “SEC” or the “Commission”) recently adopted new rules and rule amendments under the Investment Advisers Act of 1940 (the “Advisers Act”) that serve to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).1 The new rules and rule amendments under the Advisers Act relate to provisions of Title IV of the Dodd-Frank Act (the Private Fund Investment Advisers Registration Act of 2010) that, among other things, require certain private fund advisers and private equity firms to register with the Commission.2 This article is intended to assist firms that …
Conscripting Attorneys To Battle Corporate Fraud Without Shields Or Armor? Reconsidering Retaliatory Discharge In Light Of Sarbanes-Oxley, Kim T. Vu
Michigan Law Review
This Note advocates that federal courts should allow attorneys to bring retaliatory discharge claims under SOX. Traditional rationales prohibiting the claims of retaliatory discharge by attorneys do not apply in the context of Sarbanes-Oxley. This Note contends that the Department of Labor and the federal courts should interpret the whistleblower provisions of § 806 as protecting attorneys who report under § 307. Assuring reporting attorneys that they have protection from retaliation will encourage them to whistleblow and thereby advance SOX's policy goal of ferreting out corporate fraud. Part I explores the legal landscape of retaliatory discharge suits by attorneys. This …
Conclusion: 'If You Don't Pull Up . . .'., James J. White
Conclusion: 'If You Don't Pull Up . . .'., James J. White
Other Publications
Today I am going to talk about a lawyer duty that is just as important as the duty to exercise warm zeal on behalf of a client, but it is a duty that is unknown to the popular culture and rarely touched on in law school. That is the duty to say no to your client, to step in front of a client who is determined to do something stupid, or in violation of the civil or criminal law.
The Perils Of Courtroom Stories, Stephan Landsman
The Perils Of Courtroom Stories, Stephan Landsman
Michigan Law Review
As Janet Malcolm1 tells it, Sheila McGough was a middle-aged single woman living at home with her parents and working as an editor and administrator in the publications department of the Carnegie Institute when she decided to switch careers and go to law school. She applied and was admitted to the then recently accredited law school at George Mason University. After graduation, she began a solo practice in northern Virginia that involved a significant amount of stateappointed criminal defense work. In 1986, approximately four years after her graduation from law school, McGough received a call requesting assistance from an incarcerated …
Current Problems In Securities Regulation, Robert N. Dorosin, Ira J. Jaffe, Rolfe A. Worden, James C. Lockwood, Willoughby C. Johnson
Current Problems In Securities Regulation, Robert N. Dorosin, Ira J. Jaffe, Rolfe A. Worden, James C. Lockwood, Willoughby C. Johnson
Michigan Law Review
This comment analyzes four areas of central significance to adequate protection for the investor: (1) qualifications of those in the securities industry who deal with the public; (2) dissemination of corporate publicity; (3) dissemination of investment advice; and (4) selling practices in the securities industry. The findings and recommendations of the Special Study are given special attention insofar as they bear upon the problems covered. In certain areas, however, recent developments in court and Commission decisions have brought about changes equally as significant as the findings and recommendations of the Special Study. Thus each section covers the background and recent …
Attorney And Client- Attorney's Rights Under Contract Of Partial Assignment-Effet Of Premature Termination Or Settlement Of Action, Charles Frederickson S.Ed
Attorney And Client- Attorney's Rights Under Contract Of Partial Assignment-Effet Of Premature Termination Or Settlement Of Action, Charles Frederickson S.Ed
Michigan Law Review
In an action for personal injuries, defendant caused a subpoena to be served upon plaintiff requiring him to appear to give his deposition. Plaintiff wholly failed to appear, and no cause was shown for such failure. Defendant then filed a motion for dismissal of the suit pursuant to subsection (c), 215a, of the Texas Rules of Civil Procedure, and notice thereof was served upon plaintiff. Although plaintiff again made no appearance, his attorneys moved to intervene, asserting the contingent interest in the cause of action acquired by their contract with plaintiff. The trial court denied the motion for intervention and …