Securities Law Commons^™

Symposium On Securities Law Enforcement Priorities, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

The Pattern Of Racketeering Element Of Rico Liability, Committee On Federal Courts Of The New York State Bar Association

Touro Law Review

No abstract provided.

The Reduction In Seller Liability Under The Securities Act Of 1933: Good News For Securities Professionals

Washington and Lee Law Review

No abstract provided.

International Cooperation In Securities Enforcement

Washington and Lee Law Review

No abstract provided.

Statutes Of Limitation For Section 10(B) And Rule Lob-5: A New Proposal For Uniformity

Washington and Lee Law Review

No abstract provided.

Excepting Civil Rico Claims From Rule 9(B), Chavie N. Kahn

Cardozo Law Review

No abstract provided.

Insider Trading Liability Of Tippees And Quasi-Insiders: Crime Shouldn't Pay, 22 J. Marshall L. Rev. 295 (1988), Robert J. Kuker

UIC Law Review

No abstract provided.

"All Cretans Are Liars": The Fight Against Corporate Crime, John Flood

Articles by Maurer Faculty

No abstract provided.

Hush: The Criminal Status Of Confidential Information After Mcnally And Carpenter And The Enduring Problem Of Overcriminalization, John C. Coffee Jr.

Faculty Scholarship

Each of the last three decades has witnessed an intense public reaction to a distinctive type of "white collar" crime. In the early 1960's, public attention was riveted by the Electrical Equipment conspiracy and the image of senior corporate executives of major firms meeting clandestinely to fix prices. In the mid-1970's, the focus shifted to corporate bribery, as the media ran daily stories regarding questionable payments abroad and illegal political contributions at home. The representative white collar crime of the 1980's is undoubtedly "insider trading." The archetype of this new kind of criminal in the public's mind is Ivan Boesky …

Basic, Inc. V. Levinson, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.

The Mcmahon Mandate: Compulsory Arbitration Of Securities And Rico Claims, Stephen P. Bedell, Lolla M. Harrison, Stuart C. Harvey Jr.

Loyola University Chicago Law Journal

No abstract provided.

Racketeer Influenced And Corrupt Organizations (Rico)—Securities And Commercial Fraud As Racketeering Crime After Sedima: What Is A "Pattern Of Racketeering Activity"?, Barbara Black

Faculty Articles and Other Publications

Congress enacted the Racketeer Influenced and Corrupt Organizations Act (RICO) in 1970 in order to stem the infiltration and corruption of legitimate businesses by organized crime. During the 1970's, civil litigants virtually ignored the statute, but in the 1980's the utility of RICO's civil provisions has come to be generally recognized. Attorneys representing the victims of securities and commercial fraud now routinely add a claim alleging a RICO violation. Ii It is the attractiveness of the remedy - the successful plaintiff's recovery of treble damages and attorney's fees - that has led to this ever increasing use of RICO.

To …

Book Review Of Passion: An Essay On Personality , Richard F. Devlin Frsc

Articles, Book Chapters, & Popular Press

Passion is a cogently structured, compel Jingly argued and seductively enthralling masterpiece which, in years to come, will undoubtedly stand out as an inspirational source for many who seek social transformation. Unger's style, in this essay at least, is lucid and inviting. Substantively, Passion demonstrates not only the depth of his penetrating intellect but also his command of an array of' disciplines. Unger's polymathy is all the more impressive when we remember that ours is an era in which idiosyncratic specialization is the norm.

Application Of Respondeat Superior Principles To Securities Fraud Claims Under The Racketeer Influenced And Corrupt Organizations Act (Rico), Barbara Black

Faculty Articles and Other Publications

Part I of this article outlines RICO's statutory scheme, reviews the common law doctrines under which a principal may be liable for the acts of its agent and the policies behind these doctrines, and examines RICO decisions raising the issue of vicarious liability. Part II examines non-RICO federal cases and identifies relevant factors determining the appropriateness of applying respondeat superior and agency principles to federal statutes. Finally, Part III analyzes the specific provisions of RICO in light of the factors identified in Part II. The article concludes that these factors do not support the imposition of liability on defendants other …

The Current State Of Law-And-Economics Scholarship, Henry Hansmann

Journal of Legal Education

No abstract provided.

The Scope Of The Judicially Implied Private Right Of Action Under Rule 10b-5: Shores V. Sklar, E. Douglas Clark

BYU Law Review

No abstract provided.

Chiarella V. United States: The Supreme Court's Common Law Catch To Market Insider Liability Under 10b-5, 14 J. Marshall L. Rev. 847 (1981), Patricia Stern

UIC Law Review

No abstract provided.

Chiarella V. United States, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.

Santa Fe Industries, Inc. V. Green, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.

The Unheralded Demise Of The Statute Of Frauds Welsher In Oral Contracts For The Sale Of Goods And Investment Securities: Oral Sales Contracts Are Enforceable By Involuntary Admissions In Court Under U.C.C. Sections 2-201(3)(B) And 8-319(D), Philip K. Yonge

Washington and Lee Law Review

No abstract provided.

Tsc Industries Inc. V. Northway, Inc., Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.

The Development Of A Flexible Duty Standard Of Liability Under Sec Rule 10b-5

Washington and Lee Law Review

No abstract provided.

A Negligence Standard For Material Misstatements And Omissions In Tender Offers Under § 14(E) Of The Securities Exchange Act Of 1934

Washington and Lee Law Review

No abstract provided.

The Birnbaum Rule Rejected: Will Analysis Of Right To Bring Private Action Under § 10(B) Be Simplified?

Washington and Lee Law Review

No abstract provided.

Recent Cases, Journal Staff

Vanderbilt Law Review

Antitrust Law--Robinson-Patman Act--To Satisfy the "In Commerce" Requirement of Section 2(a) at Least One of the Allegedly Discriminatory Sales in a Secondary-Line Case Must Cross a State Line

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Constitutional Law--Equal Protection--Exclusion of Pregnancy-Related Disabilities from State Salary Compensation Insurance Program Denies Equal Protection to Pregnant Employees

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Criminal Procedure--Grand Juries--Exclusionary Rule in Search and Seizure Cases Does Not Apply to Grand Jury Proceedings

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Securities Regulation-Rule 10b-5--Plaintiffs Who Are Neither Purchasers nor Sellers of Securities May Recover Under Rule 10b-5 if Injured in Their Capacity as Investors as a Direct Consequence of Fraud in Connection with a Securities Transaction …

Recent Cases, Law Review Staff

Vanderbilt Law Review

Criminal Law--Habeas Corpus-State Prison Regulation Prohibiting Prisoner from Preparing Petition for Fellow Inmates Held Invalid in Absence of Alternative Means of Assistance

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Securities Regulation--Corporation as a Director for the Purposes of Section 16(b) of the 1934 Securities Exchange Act

New And Comprehensive Duties Of Securities Sellers To Investigate, Disclose, And Have An "Adequate Basis" For Representations, Willoughby C. Johnson

Michigan Law Review

The duties of investigation and disclosure imposed upon securities salesmen have been significantly enlarged by several recent cases generated by the Second Circuit's 1963 decision of Berko v. SEC. In a hearing before the Securities and Exchange Commission it was found that Berko was a salesman working out of an acknowledged "boiler room." His employer had provided its salesmen, including Berko, with fraudulent sales brochures, some of which were subsequently distributed by Berko. The action by the Commission against Berko arose out of the sale of a specific security to a customer who had received fraudulent sales brochures and …

Securities Regulation-Federal Anti-Fraud Provisions-Applicability Of Insider Responsibility To Broker In Possession Of Inside Corporate Information, John A. Krsul Jr.

Michigan Law Review

During a period of upward movement in the price of Curtiss-Wright common stock, the corporation's board of directors voted to reduce the stock dividend by forty percent, an action certain to have an immediate adverse effect upon the stock's market price. Although the board immediately authorized the transmission of information concerning its action to the New York Stock Exchange, an inadvertent delay of forty-five minutes ensued. Unaware of the delay, C, a director of Curtiss-Wright and a registered representative of Cady, Roberts & Co. (registrant) , a registered broker-dealer, telephoned registrant to inform G, one of its partners, …

Notable Legislation Of 1962, Harry L. Snead Jr.

University of Richmond Law Review

Unless otherwise indicated, the statutes and amendments noted below will be effective on June 29, 1962. All code refer- ences are to the 1950 Code of Virginia.

Regulation Of Business - Sec Rule X-10b-5 - Recovery By Corporation Fradulently Induced To Issue Shares, William S. Bach

Michigan Law Review

Defendants, Mountain States Securities Corporation and former officers of Consolidated American Industries, Inc., organized a dummy corporation, the Mid-Atlantic Development Company. The defendants drew a formal contract whereby Mid-Atlantic agreed to transfer worthless Cuban insurance company stock and equally valueless Honduran oil exploration rights to Consolidated in exchange for 700,000 shares of Consolidated stock. Consolidated's former secretary falsely certified a corporate resolution authorizing the issuance of the stock, and its former general counsel advised Consolidated's stock transfer agent that the transaction was exempt from SEC regulation. Acting on these representations, the transfer agent issued the Consolidated stock. Since at this …