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Full-Text Articles in Law
Sec Enforcement Heuristics: An Empirical Inquiry, James D. Cox, Randall S. Thomas, Dana Kiku
Sec Enforcement Heuristics: An Empirical Inquiry, James D. Cox, Randall S. Thomas, Dana Kiku
Duke Law Journal
This Article examines the overlap between SEC securities enforcement actions and private securities fraud class actions. We begin with an overview of data concerning all SEC enforcement actions from 1997 to 2002. We find that the volume of SEC enforcement proceedings is relatively modest. We next examine the scope of the recently enacted "Fair Fund" provision that authorizes the SEC to designate civil penalties it recovers from defendants to benefit defrauded private investors. We conclude that this provision offers only limited potential relief for private investors. We complete this Part of the Article with an analysis of the serious resource …
Securities Fraud As Corporate Governance: Reflections Upon Federalism, Robert B. Thompson, Hillary A. Sale
Securities Fraud As Corporate Governance: Reflections Upon Federalism, Robert B. Thompson, Hillary A. Sale
Vanderbilt Law Review
State law gives corporate managers extremely broad power to direct increasingly large pools of collective business assets. Not surprisingly, economic incentives, norms, markets, and law all work to constrain the breadth of the power and the potential for abuse of what is other people's money.' State corporate law has occupied the center stage in the legal portion of this landscape, with federal securities law playing a supporting role-at least in the academic presentation of the debate. The New Deal's securities legislation eschewed a general federal corporations statute in favor of a more focused federal role emphasizing disclosure and antifraud protections …
Congressional Oversight: Interpreting The Phrase "Financial Statements" Within Section 10a Of The Securities Exchange Act Of 1934, Jamie A. Barber
Congressional Oversight: Interpreting The Phrase "Financial Statements" Within Section 10a Of The Securities Exchange Act Of 1934, Jamie A. Barber
Hofstra Law Review
No abstract provided.
Worlds Are Colliding: A Critique Of The Need For The Additional Criminal Securities Fraud Section In Sarbanes-Oxley, Phillip Wesley Lambert
Worlds Are Colliding: A Critique Of The Need For The Additional Criminal Securities Fraud Section In Sarbanes-Oxley, Phillip Wesley Lambert
Case Western Reserve Law Review
No abstract provided.
"Up The Ladder" And Over: Regulating Securities Lawyers-Past, Present & Future, Theodore Sonde, F. Ryan Keith
"Up The Ladder" And Over: Regulating Securities Lawyers-Past, Present & Future, Theodore Sonde, F. Ryan Keith
Washington and Lee Law Review
No abstract provided.
Who "Caused" The Enron Debacle?, David K. Millon
Who "Caused" The Enron Debacle?, David K. Millon
Washington and Lee Law Review
No abstract provided.
Liability For "Causing" Violations Of The Federal Securities Laws: Defining The Sec's Next Counterattack In The Battle Of Central Bank, Gregory E. Van Hoey
Liability For "Causing" Violations Of The Federal Securities Laws: Defining The Sec's Next Counterattack In The Battle Of Central Bank, Gregory E. Van Hoey
Washington and Lee Law Review
No abstract provided.
Enron, Sarbanes-Oxley And Accounting: Rules Versus Principles Versus Rents, William W. Bratton
Enron, Sarbanes-Oxley And Accounting: Rules Versus Principles Versus Rents, William W. Bratton
Villanova Law Review
No abstract provided.
Misleading Employer Communications And The Securities Fraud Implications Of The Employee As Investor, Jennifer O'Hare
Misleading Employer Communications And The Securities Fraud Implications Of The Employee As Investor, Jennifer O'Hare
Villanova Law Review
No abstract provided.
Accounting Firm Or Guarantor - The Third Circuit's Answer To Rule 10b-5'S Scienter Requirement In Accountant Liability Cases, Julie A. Boncarosky
Accounting Firm Or Guarantor - The Third Circuit's Answer To Rule 10b-5'S Scienter Requirement In Accountant Liability Cases, Julie A. Boncarosky
Villanova Law Review
No abstract provided.