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Full-Text Articles in Securities Law
A Framework For Analyzing Attorney Liability Under Section 10(B) And Rule 10b-5, Gary M. Bishop
A Framework For Analyzing Attorney Liability Under Section 10(B) And Rule 10b-5, Gary M. Bishop
The University of New Hampshire Law Review
[Excerpt] “Lawyers who make their living representing securities issuers face a myriad of challenges. Securities lawyers must navigate and master an intricate body of statutory, regulatory, and case law at both the state and the federal level and ensure that their clients comply with the law. The compliance requirement, however, is not limited to the issuer clients. Defrauded investors will often seek recovery of their losses from both the issuer of the failed investment securities and from the lawyers who represent the issuer, which only exacerbates the complexity of the securities lawyer’s work. These securities fraud actions against lawyers raise …
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 …
Securities Regulation - Attorney's Liability For Erroneous Opinion Letter - Negligence Standard Is Sufficient For Injunction In Sec Enforcement Action, Marina P. Bartley
Securities Regulation - Attorney's Liability For Erroneous Opinion Letter - Negligence Standard Is Sufficient For Injunction In Sec Enforcement Action, Marina P. Bartley
Villanova Law Review
No abstract provided.
Attorney's Liability: The Securities Bar And The Impact Of National Student Marketing, Robert C. Koch
Attorney's Liability: The Securities Bar And The Impact Of National Student Marketing, Robert C. Koch
William & Mary Law Review
No abstract provided.