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Articles 331 - 356 of 356
Full-Text Articles in Securities Law
Legal And Ethical Duties Of Lawyers After Sarbanes-Oxley, Roger C. Cramton, George M. Cohen, Susan P. Koniak
Legal And Ethical Duties Of Lawyers After Sarbanes-Oxley, Roger C. Cramton, George M. Cohen, Susan P. Koniak
Villanova Law Review (1956 - )
No abstract provided.
Legal And Ethical Duties Of Lawyers After Sarbanes-Oxley, Roger C. Cramton, George M. Cohen, Susan P. Koniak
Legal And Ethical Duties Of Lawyers After Sarbanes-Oxley, Roger C. Cramton, George M. Cohen, Susan P. Koniak
Cornell Law Faculty Publications
No abstract provided.
Sec Enforcement Of Attorney Up-The-Ladder Reporting Rules: An Analysis Of Institutional Contraints, Norms, And Biases, Michael A. Perino
Sec Enforcement Of Attorney Up-The-Ladder Reporting Rules: An Analysis Of Institutional Contraints, Norms, And Biases, Michael A. Perino
Faculty Publications
In their paper and in their earlier comments to the SEC on the proposed attorney reporting rules, Professors Cramton, Cohen and Koniak do an excellent job recounting the genesis of the attorney reporting requirements in the Sarbanes-Oxley Act, describing the SEC's proposed and final rules and critiquing the rule's triggering mechanism and now apparently shelved noisy withdrawal requirement. Their case study of the recent Spiegel, Inc. independent examiner's report is a particularly useful vehicle for examining the practical implications of the SEC's policy and drafting choices. Although I was a member of a committee that submitted comments opposed to noisy …
Sarbanes-Oxley 307: Trusted Counselors Or Informers, M. Peter Moser, Stanley Keller
Sarbanes-Oxley 307: Trusted Counselors Or Informers, M. Peter Moser, Stanley Keller
Villanova Law Review (1956 - )
No abstract provided.
Enron, Watergate And The Regulation Of The Legal Profession, Arnold Rochvarg
Enron, Watergate And The Regulation Of The Legal Profession, Arnold Rochvarg
All Faculty Scholarship
The most famous scandal of the twentieth century was the Watergate scandal, which most notably led to the resignation of Richard Nixon as President of the United States. The significance of Watergate, however, extends further than the resignation of Nixon. Because Watergate involved so many lawyers, it had a great impact on the regulation of the legal profession. Although the twenty-first century has just started, the strongest contender for this century's most famous scandal is the Enron scandal. Although the Enron scandal is identified mostly with misconduct by accountants and corporate officials, it too involved lawyers and has impacted on …
Keeping The Wheels On The Wagon: Observations On Issues Of Legal Ethics For Lawyers Representing Business Organizations, Irma S. Russell
Keeping The Wheels On The Wagon: Observations On Issues Of Legal Ethics For Lawyers Representing Business Organizations, Irma S. Russell
Faculty Works
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.
Securities Law: Section 307 Of The Sarbanes-Oxley Act: Irreconcilable Conflict With The Aba's Model Rules And The Oklahoma Rules Of Professional Conduct?, Jennifer Wheeler
Securities Law: Section 307 Of The Sarbanes-Oxley Act: Irreconcilable Conflict With The Aba's Model Rules And The Oklahoma Rules Of Professional Conduct?, Jennifer Wheeler
Oklahoma Law Review
No abstract provided.
Enron And The Corporate Lawyer: A Primer On Legal And Ethical Issues, Roger C. Cramton
Enron And The Corporate Lawyer: A Primer On Legal And Ethical Issues, Roger C. Cramton
Cornell Law Faculty Publications
The stunning collapse of Enron, coupled with the large number of accounting irregularities and apparent corporate fraud, have created a climate in which reform and improvement of the law governing corporate lawyers is underway. The ABA Task Force on Corporate Responsibility has issued a preliminary report that recommends promising changes in the rules of professional conduct. And, the Corporate Reform Act of 2002 has changed the landscape by authorizing the SEC to promulgate rules of professional conduct for securities lawyers and directing the SEC to issue a rule requiring securities lawyers to climb the corporate ladder to prevent or rectify …
Oath Taking, Truth Telling, And Remedies In The Business World: Hearing Before The H. Comm. On Energy And Commerce, 107th Cong., July 26, 2002 (Statement Of Sherman Cohn, Prof. Of Law, Geo. U. L. Center), Sherman L. Cohn
Testimony Before Congress
No abstract provided.
Representing Business Clients In 1996, Oregon Law Institute, David Culpepper, Barnes H. Ellis, N. Robert Stoll, Steven D. Stadum, Peter R. Jarvis, Bradley F. Tellam, Claudia K. Powers, Corbett Gordon, Frank X. Curci, Micah D. Stolowitz, Jere M. Webb
Representing Business Clients In 1996, Oregon Law Institute, David Culpepper, Barnes H. Ellis, N. Robert Stoll, Steven D. Stadum, Peter R. Jarvis, Bradley F. Tellam, Claudia K. Powers, Corbett Gordon, Frank X. Curci, Micah D. Stolowitz, Jere M. Webb
Oregon Law Institute, 1996
Course Materials from the May 3, 1996 Program in Portland
Walking On Thin Ice: The Changing Liability Of Attorneys In The Securities Arena, 27 J. Marshall L. Rev. 909 (1994), Scott A. Crist
Walking On Thin Ice: The Changing Liability Of Attorneys In The Securities Arena, 27 J. Marshall L. Rev. 909 (1994), Scott A. Crist
UIC Law Review
No abstract provided.
Table Of Contents - Cardozo Law Review, Volume 15, Issue 4
Table Of Contents - Cardozo Law Review, Volume 15, Issue 4
Cardozo Law Review
No abstract provided.
Client Fraud And The Securities Lawyer's Duty Of Confidentiality, Richard M. Phillips
Client Fraud And The Securities Lawyer's Duty Of Confidentiality, Richard M. Phillips
Washington and Lee Law Review
No abstract provided.
Greenmail, The Control Premium And Shareholder Duty, Roberta S. Karmel
Greenmail, The Control Premium And Shareholder Duty, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Securities Law Fifth Circuit Symposium, Steve Thel
Securities Law Fifth Circuit Symposium, Steve Thel
Faculty Scholarship
The Fifth Circuit decided some important securities cases during the survey period and issued some interesting opinions. Although the court consistently claimed a conservative reliance on precedent and seldom acknowledged making new law, it interpreted some well-established doctrine in surprising ways. The past year's opinions in fraud cases provide guidance in the related areas of reliance, damages, and plaintiff's due diligence. The year also witnessed important developments in the law governing the relationship between brokerage firms and their clients. The most spectacular development in this area during the survey year was the October collapse in security prices. In light of …
Book Review Of Passion: An Essay On Personality , Richard F. Devlin Frsc
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.
Professional Responsibility, Due Diligence And Rule 415: Another Dilemma, Lawrence F. Orbe Iii
Professional Responsibility, Due Diligence And Rule 415: Another Dilemma, Lawrence F. Orbe Iii
Florida State University Law Review
No abstract provided.
Policeman, Conscience Or Confidant: Thoughts On The Appropriate Response Of A Securities Attorney Who Suspects Client Violations Of The Federal Securities Laws, 15 J. Marshall L. Rev. 373 (1982), Martin B. Robins
UIC Law Review
No abstract provided.
Sec Disciplinary Proceedings Against Attorneys Under Rule 2 ( E ), Michigan Law Review
Sec Disciplinary Proceedings Against Attorneys Under Rule 2 ( E ), Michigan Law Review
Michigan Law Review
This Note reassesses SEC authority to discipline attorneys under rule 2( e ). Part I explores the history of rule 2( e) proceedings against attorneys and the troublesome policy issues raised by the SEC's new approach to rule 2(e) enforcement. Part II examines the SEC's claim that general rulemaking provisions give it authority to discipline attorneys. The Note concludes that a proper construction of statutes and case law bars rule 2( e) proceedings against attorneys.
Choice Of Federal Or State Law For Attorneys' Professional Responsibility In Securities Matters, Ted J. Fiflis
Choice Of Federal Or State Law For Attorneys' Professional Responsibility In Securities Matters, Ted J. Fiflis
Publications
Professional standards of duty are implicated in the federal securities laws in two types of cases: those instituted by the SEC to impose sanctions for lack of character or unethical conduct and those brought by the SEC or private parties for violations of substantive provisions of the securities laws. The question faced by Professor Fiflis is whether state or federal standards should define the duties imposed under these laws. He argues that the proper method of resolving this question is to apply an interest analysis. Analyzing the various state and federal interests leads Professor Fiflis to the conclusion that federal …
Professional Responsibility And Self-Regulation Of The Securities Lawyer, James H. Cheek, Iii
Professional Responsibility And Self-Regulation Of The Securities Lawyer, James H. Cheek, Iii
Washington and Lee Law Review
No abstract provided.
Current Problems In Securities Regulation, Robert N. Dorosin, Ira J. Jaffe, Rolfe A. Worden, James C. Lockwood, Willoughby C. Johnson
Current Problems In Securities Regulation, Robert N. Dorosin, Ira J. Jaffe, Rolfe A. Worden, James C. Lockwood, Willoughby C. Johnson
Michigan Law Review
This comment analyzes four areas of central significance to adequate protection for the investor: (1) qualifications of those in the securities industry who deal with the public; (2) dissemination of corporate publicity; (3) dissemination of investment advice; and (4) selling practices in the securities industry. The findings and recommendations of the Special Study are given special attention insofar as they bear upon the problems covered. In certain areas, however, recent developments in court and Commission decisions have brought about changes equally as significant as the findings and recommendations of the Special Study. Thus each section covers the background and recent …
Note And Comment, Horace L. Wilgus, Thomas V. Williams, Fabian B. Dodds, Hugo Sonnenschein
Note And Comment, Horace L. Wilgus, Thomas V. Williams, Fabian B. Dodds, Hugo Sonnenschein
Michigan Law Review
Wilgus: Payment of Dividends Out of Capital of Corporations and the Nature of Treasury Stock; Wilgus: Duty of a Managing Director of a Corporation to an Individual Shareholder; Williams: Impairing Obligation of Contract with Foreign Corporations; Dodds: May a Legislature Pass an Act Allowing Actual Expenses to Circuit Judges Whose Salaries are Fixed by the State Constitution?; Sonnenschein: What Constitutes a Waiver by Implication of the Privilege of Confidential Communications Between Attorney and Client
Recent Important Decisions, Michigan Law Review
Recent Important Decisions, Michigan Law Review
Michigan Law Review
Attachment--alliams Writ--Collateral Attack; Attorneys--disbarment--Malfeasance in Office; Chattel Mortgages--Liability of Mortgagee for Selling More Property than Enough to Satisfy Debt; Conflict of Laws--Comity--Extraterritorial Effect of Laws; Constitutional Law--due Process of Law--Restraint of Insane Persons--Habeas Corpus; Constitutional Law--Eight-Hour Haw--Public contracts; Contempt--Libel of Court; Contract--Construction--Damages; Corporations--Fraud of Directors--Rights of Stockholders; Criminal Law--Habeas Corpus--Waver of Objections as to the Legality of Trial Court; Criminal Procedure--Bill of Exceptions--Presumption as to Evidence; Deeds--In Consideration of Support--Condition Subsequent--Charge Upon Land; Divorce--Alimony--Payment After Husband's Death; Elections--Conduct of Special Elections--Preparation of Ballots; Evidence--constitutional Law--Privilege--Witness; Evidence--Presumption--Suicide; Garnishment--Interests in Expectancy; Husband and Wife--Conveyance to Avoid Taxation--Trusts; Injunction--Parties--Contempt; Insurance, Fire--"Iron Safe" Clause--Waiver; …
Recent Important Decisions, Michigan Law Review
Recent Important Decisions, Michigan Law Review
Michigan Law Review
Administrator--Appointment of, on Disappearance of Person; Agency--collection of Notes--Possession of the Instrument--Apparent Authority; Appeal--Right to Appeal After Satisfaction of Judgment; Attorney and Client--divorce Cases--contingent Fees--Prevention of Reconciliation; Attorneys--disbarment--Attacking Honesty of Judge; Bankruptcy--city Taxes--Priority; Carriers--Death by Wrongful Act--Stipulations Avoiding Liability for Negligence Toward free Passenger--Validity and Effect; Carriers--signed Ticket not the Contract; Constitutional Law--Class Legislation--Use of Flag for Advertising Purposes; Constitutional Law--Jurisdiction of Equity to Try Title to Office--Injunction; Contract--Validity--Conditions Attached to Goods--Purchase by Retail Trader from Wholesale Trader with Notice; corporations--forfeiture of Charter--Mandamus; Corporations--Garnishment of Stockholder for Unpaid Subscription; Criminal Law--Self-Defense; Deeds--Delivery--Testamentary Disposition; Ejectment--Description--Verdict--Judgment; Ejectment--Equitable Title in Plaintiff; Evidence--Admissions--Abandoned Pleadings; …