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- Securities Fraud (3)
- Class Action Lawsuits (2)
- Bernie Madoff (1)
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- Federal Jurisdiction (1)
- Kircher v. Putnam Funds Trust (547 U.S. 71 (2006)) (1)
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Articles 1 - 5 of 5
Full-Text Articles in Securities Law
Does Sarbanes-Oxley Protect Whistleblowers? The Recent Experience Of Companies And Whistleblowing Workers Under Sox, Megan E. Mowrey, L. Stephen Cash, Thomas L. Dickens
Does Sarbanes-Oxley Protect Whistleblowers? The Recent Experience Of Companies And Whistleblowing Workers Under Sox, Megan E. Mowrey, L. Stephen Cash, Thomas L. Dickens
William & Mary Business Law Review
The Sarbanes Oxley Act of 2002 (SOX) attempts to prevent fraud in the business activities of public companies. SOX includes regulations designed to protect whistleblowing employees that may be triggered if workers allege fraudulent activity by their employers, and, in response, their employers retaliate. This Essay discusses the strength of the whistleblowing protection provided by SOX, the conduct covered by the SOX whistleblower provisions, and specifically the application of the law by the courts
Betting The Farm: The Tic Turf War And Why Tics Constitute Investment Contracts Under Federal Securities Laws, David Rich
William & Mary Business Law Review
No abstract provided.
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 …
Corporate Governance In The Courtroom: An Empirical Analysis, Jessica Erickson
Corporate Governance In The Courtroom: An Empirical Analysis, Jessica Erickson
William & Mary Law Review
Conventional wisdom is that shareholder derivative suits are dead. Yet this death knell is decidedly premature. The current conception of shareholder derivative suits is based on an empirical record limited to suits filed in Delaware or on behalf of Delaware corporations, leaving suits outside this sphere in the shadows of corporate law scholarship. This Article aims to fill this gap by presenting the first empirical examination of shareholder derivative suits in the federal courts. Using an original, hand-collected data set, my study reveals that shareholder derivative suits are far from dead. Shareholders file more shareholder derivative suits than securities class …
Removal Of Covered Class Actions Under Slusa: The Failure Of Plain Meaning And Legislative Intent As Interpretative Devices, And The Supreme Court's Decisive Solution, J. Tyler Butts
William & Mary Business Law Review
No abstract provided.