Open Access. Powered by Scholars. Published by Universities.®
- Publication Type
Articles 1 - 2 of 2
Full-Text Articles in Securities Law
Myth Of The Attorney Whistleblower, Carliss N. Chatman
Myth Of The Attorney Whistleblower, Carliss N. Chatman
SMU Law Review
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 Con- duct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer and in the Model Rules of Professional Con- duct 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 …
The Corporate/Securities Attorney As A 'Moving Target' - Client Fraud Dilemmas, Marc I. Steinberg
The Corporate/Securities Attorney As A 'Moving Target' - Client Fraud Dilemmas, Marc I. Steinberg
Faculty Journal Articles and Book Chapters
This Paper analyzes the enhanced responsibilities and liability concerns that corporate/securities attorneys have in the post-Enron era. State ethical rules, SEC pronouncements, and court decisions are addressed. The ramifications of the Sarbanes-Oxley Act with respect to its impact on legal counsel also are explored. The Paper also provides insight focusing on the business attorney's role as counselor and gatekeeper when faced with the prospect of client fraud.