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Articles 1 - 6 of 6
Full-Text Articles in Securities Law
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 …
Sec Disciplinary Proceedings Against Attorneys Under Rule 2 ( E ), Michigan Law Review
Sec Disciplinary Proceedings Against Attorneys Under Rule 2 ( E ), Michigan Law Review
Michigan Law Review
This Note reassesses SEC authority to discipline attorneys under rule 2( e ). Part I explores the history of rule 2( e) proceedings against attorneys and the troublesome policy issues raised by the SEC's new approach to rule 2(e) enforcement. Part II examines the SEC's claim that general rulemaking provisions give it authority to discipline attorneys. The Note concludes that a proper construction of statutes and case law bars rule 2( e) proceedings against attorneys.
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 …
Note And Comment, Horace L. Wilgus, Thomas V. Williams, Fabian B. Dodds, Hugo Sonnenschein
Note And Comment, Horace L. Wilgus, Thomas V. Williams, Fabian B. Dodds, Hugo Sonnenschein
Michigan Law Review
Wilgus: Payment of Dividends Out of Capital of Corporations and the Nature of Treasury Stock; Wilgus: Duty of a Managing Director of a Corporation to an Individual Shareholder; Williams: Impairing Obligation of Contract with Foreign Corporations; Dodds: May a Legislature Pass an Act Allowing Actual Expenses to Circuit Judges Whose Salaries are Fixed by the State Constitution?; Sonnenschein: What Constitutes a Waiver by Implication of the Privilege of Confidential Communications Between Attorney and Client
Recent Important Decisions, Michigan Law Review
Recent Important Decisions, Michigan Law Review
Michigan Law Review
Attachment--alliams Writ--Collateral Attack; Attorneys--disbarment--Malfeasance in Office; Chattel Mortgages--Liability of Mortgagee for Selling More Property than Enough to Satisfy Debt; Conflict of Laws--Comity--Extraterritorial Effect of Laws; Constitutional Law--due Process of Law--Restraint of Insane Persons--Habeas Corpus; Constitutional Law--Eight-Hour Haw--Public contracts; Contempt--Libel of Court; Contract--Construction--Damages; Corporations--Fraud of Directors--Rights of Stockholders; Criminal Law--Habeas Corpus--Waver of Objections as to the Legality of Trial Court; Criminal Procedure--Bill of Exceptions--Presumption as to Evidence; Deeds--In Consideration of Support--Condition Subsequent--Charge Upon Land; Divorce--Alimony--Payment After Husband's Death; Elections--Conduct of Special Elections--Preparation of Ballots; Evidence--constitutional Law--Privilege--Witness; Evidence--Presumption--Suicide; Garnishment--Interests in Expectancy; Husband and Wife--Conveyance to Avoid Taxation--Trusts; Injunction--Parties--Contempt; Insurance, Fire--"Iron Safe" Clause--Waiver; …
Recent Important Decisions, Michigan Law Review
Recent Important Decisions, Michigan Law Review
Michigan Law Review
Administrator--Appointment of, on Disappearance of Person; Agency--collection of Notes--Possession of the Instrument--Apparent Authority; Appeal--Right to Appeal After Satisfaction of Judgment; Attorney and Client--divorce Cases--contingent Fees--Prevention of Reconciliation; Attorneys--disbarment--Attacking Honesty of Judge; Bankruptcy--city Taxes--Priority; Carriers--Death by Wrongful Act--Stipulations Avoiding Liability for Negligence Toward free Passenger--Validity and Effect; Carriers--signed Ticket not the Contract; Constitutional Law--Class Legislation--Use of Flag for Advertising Purposes; Constitutional Law--Jurisdiction of Equity to Try Title to Office--Injunction; Contract--Validity--Conditions Attached to Goods--Purchase by Retail Trader from Wholesale Trader with Notice; corporations--forfeiture of Charter--Mandamus; Corporations--Garnishment of Stockholder for Unpaid Subscription; Criminal Law--Self-Defense; Deeds--Delivery--Testamentary Disposition; Ejectment--Description--Verdict--Judgment; Ejectment--Equitable Title in Plaintiff; Evidence--Admissions--Abandoned Pleadings; …