Open Access. Powered by Scholars. Published by Universities.®
Articles 1 - 5 of 5
Full-Text Articles in Law
The Use Of The Corporate Monitor In Sec Enforcement Actions, Jennifer O'Hare
The Use Of The Corporate Monitor In Sec Enforcement Actions, Jennifer O'Hare
Jennifer O'Hare
This paper addresses the SEC's recent use of the corporate monitor as ancillary relief in its enforcement actions. The corporate monitor represents the latest example of the SEC seeking to shift its enforcement responsibilities to the public companies it regulates. Focusing on the role played by the corporate monitor imposed by the SEC in its enforcement action brought against WorldCom, this paper considers some of the dangers posed by the use of the corporate monitor, such as the whether the appointment of a corporate monitor constitutes impermissible overreaching by the SEC. The paper recognizes that the corporate monitor can be …
Director Communications And The Uneasy Relationship Between The Fiduciary Duty Of Disclosure And The Anti-Fraud Provisions Of The Federal Securities Laws, Jennifer O'Hare
Director Communications And The Uneasy Relationship Between The Fiduciary Duty Of Disclosure And The Anti-Fraud Provisions Of The Federal Securities Laws, Jennifer O'Hare
Jennifer O'Hare
This Article addresses a conflict between the fiduciary duty of disclosure under state law and the anti-fraud provisions of the federal securities laws. In the Securities Litigation Uniform Standards Act of 1998, Congress balanced the federal interest of discouraging frivolous securities litigation against the need of the states to regulate the conduct of corporate directors. In the Uniform Act, Congress preempted most state securities fraud class actions, but also specifically preserved state claims based on the fiduciary duty of disclosure as enunciated by the Delaware courts at the time of enactment. At that time, the Delaware courts had limited the …
Resurrecting The Dodo: The Unfortunate Re-Emergence Of The Puffery Defense In Private Securities Fraud Actions, Jennifer O'Hare
Resurrecting The Dodo: The Unfortunate Re-Emergence Of The Puffery Defense In Private Securities Fraud Actions, Jennifer O'Hare
Jennifer O'Hare
No abstract provided.
Good Faith And The Bespeaks Caution Doctrine: It’S Not Just A State Of Mind, Jennifer O'Hare
Good Faith And The Bespeaks Caution Doctrine: It’S Not Just A State Of Mind, Jennifer O'Hare
Jennifer O'Hare
No abstract provided.
Institutional Investors, Registration Rights, And The Specter Of Liability Under Section 11 Of The Securities Act Of 1933, Jennifer O'Hare
Institutional Investors, Registration Rights, And The Specter Of Liability Under Section 11 Of The Securities Act Of 1933, Jennifer O'Hare
Jennifer O'Hare
No abstract provided.