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Articles 1 - 21 of 21
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A Bona Fide Dispute: Can Bankrupt Debtors Sell Assets Free And Clear Of Federal Civil Forfeiture Claims?, Joseph Peter Gomez
A Bona Fide Dispute: Can Bankrupt Debtors Sell Assets Free And Clear Of Federal Civil Forfeiture Claims?, Joseph Peter Gomez
Fordham Journal of Corporate & Financial Law
Auctions are wheeling-dealing extravaganzas in which frenzies of bidders fight over shiny objects. What would happen if the government busted down the doors of the auction house, took the shiny objects, and sold them online? An asset sale through section 363(b) of the Bankruptcy Code provides a court-supervised opportunity to maximize economic value for the bankruptcy estate. To sell estate assets, the debtor must either (1) pay off each creditor holding an interest in the assets or (2) strip the creditor’s interest and attach it to the proceeds of the sale. When the government asserts a civil forfeiture claim against …
The Role Of Intent In The Rise Of Individual Accountability In Aml-Bsa Enforcement Actions, Tyler Halloran
The Role Of Intent In The Rise Of Individual Accountability In Aml-Bsa Enforcement Actions, Tyler Halloran
Fordham Journal of Corporate & Financial Law
The statutory framework which prohibits individuals at financial institutions from engaging in money laundering attributes criminal or civil liability on the basis of an individual’s culpability with respect to the prohibited conduct. A recent Department of Justice policy shift has begun to place a greater focus on the prosecution of individuals within corporations. This shift has led to increased prosecutions of compliance personnel and bank officials in recent years.
Through analysis of recent cases, this Note seeks to explore how the requirement of intentional and/or willful conduct defines the potential for criminal and/or civil exposure for compliance personnel and bank …
Are Securities Laws Effective Against Climate Change? A Proposal For Targeted Climate Related Disclosure And Ghg Reduction, Nate Chumley
Are Securities Laws Effective Against Climate Change? A Proposal For Targeted Climate Related Disclosure And Ghg Reduction, Nate Chumley
Fordham Journal of Corporate & Financial Law
The New York Attorney General filed a lawsuit against Exxon Mobil on October 24, 2018, claiming the company committed securities fraud in order to prop up the value of the company by publicly disclosing a higher proxy cost—or projected future cost—of climate change regulation than the internal cost used. Following this lawsuit, a federal class action was filed utilizing the same legal theory on the same facts. These lawsuits should be viewed as part of the larger history of lawsuits against large fossil fuel companies for climate change-related harms. Public nuisance theory largely captured a set of lawsuits against these …
Defining "Material, Nonpublic": What Should Constitute Illegal Insider Information?, Cindy A. Schipani, H. Nejat Seyhun
Defining "Material, Nonpublic": What Should Constitute Illegal Insider Information?, Cindy A. Schipani, H. Nejat Seyhun
Fordham Journal of Corporate & Financial Law
It has been over fifty years since the United States Securities and Exchange Commission held that insider trading on material, nonpublic information is illegal, and despite the passage of the Insider Trading Sanctions Act in 1984, Insider Trading and Securities Fraud Enforcement Act in 1988, and the Sarbanes-Oxley Act of 2002, there is still no clear definition of “material, nonpublic information.” This Article argues that the ambiguity of what constitutes illegal insider information enables corporate insiders to engage in profitable transactions without legal consequences. Furthermore, we argue and provide evidence that the necessity of showing a tipper’s personal benefit creates …
The Fourteenth Annual A.A. Sommer, Jr. Lecture On Corporate, Securities, And Financial Law At The Fordham Corporate Law Center, Michael M. Martin, Ben A. Indek, Chair Mary Jo White
The Fourteenth Annual A.A. Sommer, Jr. Lecture On Corporate, Securities, And Financial Law At The Fordham Corporate Law Center, Michael M. Martin, Ben A. Indek, Chair Mary Jo White
Fordham Journal of Corporate & Financial Law
No abstract provided.
Market Structure Of The Chinese Equity Markets, Chengxi Yao
Market Structure Of The Chinese Equity Markets, Chengxi Yao
Fordham Journal of Corporate & Financial Law
No abstract provided.
The End Of The Internal Compliance World As We Know It, Or An Enhancement Of The Effectiveness Of Securities Law Enforcement? Bounty Hunting Under The Dodd-Frank Act's Whistleblower Provision, Justin Blount, Spencer Markel
The End Of The Internal Compliance World As We Know It, Or An Enhancement Of The Effectiveness Of Securities Law Enforcement? Bounty Hunting Under The Dodd-Frank Act's Whistleblower Provision, Justin Blount, Spencer Markel
Fordham Journal of Corporate & Financial Law
In the wake of Bernard Madoff’s $65 billion Ponzi scheme and the recent economic crisis stemming largely from loosely regulated subprime lending and mortgage-backed securities, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act on July 21, 2010, signaling loudly and clearly that change is coming to Wall Street. But Wall Street is not the only one receiving a message. Buried deep within the 2,319 pages of the Dodd-Frank Act, companies can find Section 922, the whistleblower provision, which provides a bounty for whistleblowers who report securities violations to the Securities and Exchange Commission.These bounty provisions and …
The Tenth Annual Albert A. Destefano Lecture On Corporate, Securities & Financial Law. Corporate Accountability: Governance And Compensation Issues, Stanley Sporkin, Todd Lang, Gary Naftalis, Jeffrey Sonnenfeld, Louise Story
The Tenth Annual Albert A. Destefano Lecture On Corporate, Securities & Financial Law. Corporate Accountability: Governance And Compensation Issues, Stanley Sporkin, Todd Lang, Gary Naftalis, Jeffrey Sonnenfeld, Louise Story
Fordham Journal of Corporate & Financial Law
CORPORATE ACCOUNTABILITY: GOVERNANCE AND COMPENSATION ISSUES
Hedge Fund Fraud And The Public Good, Lydie N.C. Pierre-Louis
Hedge Fund Fraud And The Public Good, Lydie N.C. Pierre-Louis
Fordham Journal of Corporate & Financial Law
The current financial crisis resonates with every American, regardless of their connection to the securities markets. Many struggle to understand how and why the American financial and securities markets collapsed last year. In essence, why did the regulators fail to prevent the collapse? Government officials continue to analyze the relationship between the structural collapse of the markets and regulators' limited jurisdiction over a class of entities whose transactions substantially impact the markets: hedge funds. Congress can no longer deny hedge funds' detrimental impact on the financial and securities markets. The impetus for financial re-regulation has arrived. It is incumbent upon …
Evaluating The Mission: A Critical Review Of The History And Evolution Of The Sec Enforcement Program, Paul S. Atkins, Bradley J. Bondi
Evaluating The Mission: A Critical Review Of The History And Evolution Of The Sec Enforcement Program, Paul S. Atkins, Bradley J. Bondi
Fordham Journal of Corporate & Financial Law
No abstract provided.
The Role Of Financial Journalists In Corporate Governance, Michael J. Borden
The Role Of Financial Journalists In Corporate Governance, Michael J. Borden
Fordham Journal of Corporate & Financial Law
No abstract provided.
Panel Discussion: Bigger Carrots And Bigger Sticks: Issues And Developments In Corporate Sentencing, Jill E. Fisch, Hon. John S. Martin, Richard C. Breeden, Timothy Coleman, Stephen M. Cutler, Celeste Koeleveld, Richard H. Walker
Panel Discussion: Bigger Carrots And Bigger Sticks: Issues And Developments In Corporate Sentencing, Jill E. Fisch, Hon. John S. Martin, Richard C. Breeden, Timothy Coleman, Stephen M. Cutler, Celeste Koeleveld, Richard H. Walker
Fordham Journal of Corporate & Financial Law
No abstract provided.
Symposium Religious Values And Corporate Decision Making: An Interdisciplinary Interfaith Conference For Corporate Executives And Legal Counsel, Amelia J. Uelmen, William Michael Treanor
Symposium Religious Values And Corporate Decision Making: An Interdisciplinary Interfaith Conference For Corporate Executives And Legal Counsel, Amelia J. Uelmen, William Michael Treanor
Fordham Journal of Corporate & Financial Law
No abstract provided.
Symposium Panel One: Does Corporate Decision Making Allow Room For Religious Values, Russell G. Pearce, Steven H. Resnicoff, Mark A. Sargent, W Bradley Wendel
Symposium Panel One: Does Corporate Decision Making Allow Room For Religious Values, Russell G. Pearce, Steven H. Resnicoff, Mark A. Sargent, W Bradley Wendel
Fordham Journal of Corporate & Financial Law
No abstract provided.
Symposium Panel Three: Viable Models: Shareholder Resolutions, Patricia Daly, Rabbi Mordechai Liebling
Symposium Panel Three: Viable Models: Shareholder Resolutions, Patricia Daly, Rabbi Mordechai Liebling
Fordham Journal of Corporate & Financial Law
No abstract provided.
Symposium Panel Two: Managing As If Faith Matters, Talat Ansari, Charles M.A Clark, Joseph E. Geoghan
Symposium Panel Two: Managing As If Faith Matters, Talat Ansari, Charles M.A Clark, Joseph E. Geoghan
Fordham Journal of Corporate & Financial Law
No abstract provided.
Symposium Final Discussion, Robert Hurley
Symposium Final Discussion, Robert Hurley
Fordham Journal of Corporate & Financial Law
No abstract provided.
Symposium Keynote Address: An Economist's Perspective, Stefano Zamagni, Henry Schwalbenberg Response
Symposium Keynote Address: An Economist's Perspective, Stefano Zamagni, Henry Schwalbenberg Response
Fordham Journal of Corporate & Financial Law
No abstract provided.
Breaking The Market's Dependence On Independence: An Alternative To The "Independent" Outside Auditor, Peter Km Chan
Breaking The Market's Dependence On Independence: An Alternative To The "Independent" Outside Auditor, Peter Km Chan
Fordham Journal of Corporate & Financial Law
No abstract provided.
Corporate Governance Issues, Peter Peterson, John Foster, Jeffrey M. Colon, William Treanor
Corporate Governance Issues, Peter Peterson, John Foster, Jeffrey M. Colon, William Treanor
Fordham Journal of Corporate & Financial Law
No abstract provided.
The A.A. Sommer, Jr. Annual Lecture On Corporate Securities & Financial Law: Post-Enron America: An Sec Perspective, Harvey Goldschmid, William Treanor, John F.X. Peloso, Jill Fisch
The A.A. Sommer, Jr. Annual Lecture On Corporate Securities & Financial Law: Post-Enron America: An Sec Perspective, Harvey Goldschmid, William Treanor, John F.X. Peloso, Jill Fisch
Fordham Journal of Corporate & Financial Law
No abstract provided.