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Full-Text Articles in Securities Law
Evolutionary Enforcement At The Securities And Exchange Commission, Jayne W. Barnard
Evolutionary Enforcement At The Securities And Exchange Commission, Jayne W. Barnard
Faculty Publications
Hundreds of critics in the past eighteen months have heaped abuse on the SEC Enforcement Division. How could the Division have missed so much misbehavior on Wall Street? How could the Division's young lawyers have been charmed by Bernie Madoff and thwarted from discovering his terrible crimes? Most critics seem to agree that the Division's most urgent needs include developing substantially more financial sophistication among Division lawyers and investigators; better communications within the Commission and with other federal agencies; and a meaningful system for handling tips and processing information. The SEC's response to its critics has been remarkable. The Commission …
Securities Fraud, Recidivism, And Deterrence, Jayne W. Barnard
Securities Fraud, Recidivism, And Deterrence, Jayne W. Barnard
Faculty Publications
Legal scholars have expended considerable energy on the study of high-level securities fraud violators-Ken Lay, Bernie Ebbers, Dennis Kozlowski, etc. There has been little attention, however, to the perpetrators of "retail" securities fraud-the con artists who sell bogus stock over the Internet, orchestrate elaborate pump-and-dump schemes, and create a never-ending array of purportedly "risk free" investment opportunities. Collectively, and in a cruel mockery of capitalism, these offenders extract hundreds of millions dollars from investors each year. In this article, Professor Barnard examines this group of offenders, focusing particularly on those who recidivate-often moving from state to state and scheme to …
Creative Sanctions For Online Investment Fraud, Jayne W. Barnard
Creative Sanctions For Online Investment Fraud, Jayne W. Barnard
Faculty Publications
No abstract provided.
Rule 10b-5 And The "Unfitness" Question, Jayne W. Barnard
Rule 10b-5 And The "Unfitness" Question, Jayne W. Barnard
Faculty Publications
No abstract provided.
The Supreme Court And The Shareholder Litigant: Basic, Inc. V. Levinson In Context, Jayne W. Barnard
The Supreme Court And The Shareholder Litigant: Basic, Inc. V. Levinson In Context, Jayne W. Barnard
Faculty Publications
No abstract provided.
The Securities Law Enforcement Remedies Act Of 1989: Disenfranchising Shareholders In Order To Protect Them, Jayne W. Barnard
The Securities Law Enforcement Remedies Act Of 1989: Disenfranchising Shareholders In Order To Protect Them, Jayne W. Barnard
Faculty Publications
No abstract provided.