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Full-Text Articles in Securities Law
Myth Of The Attorney Whistleblower, Carliss N. Chatman
Myth Of The Attorney Whistleblower, Carliss N. Chatman
Scholarly Articles
Notwithstanding the political grandstanding and legal regimes put in place to prevent the next Enron, this article explores whether attorney whistleblower provisions provided in the Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer and in the Model Rules of Professional Conduct are effective. When faced with attorney involvement in Enron, Congress passed § 307 of the Sarbanes Oxley Act (Sarbanes), which required the Securities and Exchange Commission (SEC) to amend its standards governing the conduct of attorneys practicing before the SEC. In response, the SEC and the American Bar Association …
"Up The Ladder" And Over: Regulating Securities Lawyers-Past, Present & Future, Theodore Sonde, F. Ryan Keith
"Up The Ladder" And Over: Regulating Securities Lawyers-Past, Present & Future, Theodore Sonde, F. Ryan Keith
Washington and Lee Law Review
No abstract provided.
Client Fraud And The Securities Lawyer's Duty Of Confidentiality, Richard M. Phillips
Client Fraud And The Securities Lawyer's Duty Of Confidentiality, Richard M. Phillips
Washington and Lee Law Review
No abstract provided.
Professional Responsibility And Self-Regulation Of The Securities Lawyer, James H. Cheek, Iii
Professional Responsibility And Self-Regulation Of The Securities Lawyer, James H. Cheek, Iii
Washington and Lee Law Review
No abstract provided.