Articles

Aiding and Abetting

Stoneridge Slides
Securities litigation & Enforcement institute 2007
The Line between Primary and Secondary Liability in Private Securities Fraud Cases

 

Causation

Dura and Loss Causation

 

Central Bank Decision

Decision in Central Bank

 

Class and Derivative Suits

The Rise of Scheme Liability
Tellabs and Pleading Scienter
Securities Class Actions: Current & Emerging Issues, 2008
SLUSA
Halliburton I
Halliburton II

 

Cooperation Standards

Cooperation Standards
The McNulty Memo – Update
New DOJ Principles
Shakespeare And DOJs New Guidelines On Corporate Cooperation
The New DOJ Cooperation Standards
New Standards: Substituting Avoidance for Waiver

 

Anti-Corruption Digest

Digest, June 2017

 

Criminal securities cases

No knowledge defense

 

Directors & Officers Liability

SEC Trends Impacting
Trends in Class and Derivative Suits

 

Disclosures

Disclosing Climate Change

 

Financial statement fraud

Securities Regulation & Law Report

 

FCPA

New Era of FCPA Enforcement
FCPA Trends: Towards Compliance
DOJ/SEC Guide
The Origins of the FCPA

 

Insider Trading

The “Plus Factor” Rule
Is the DOJ and SEC War on Insider Trading Rewriting the Rules?
The Newman Decision
The Continuing Impact of Newman
Presentation re Future of Insider Trading Supreme Court and Salman – ZED Edits (Dec. 2016)
Marketing final salman (Dec. 2016)

 

Internal Investigations

Current & Emerging Issues Re Internal Investigations

 

Market Crisis

Implications of the Crisis: Pt. I, DOJ; Pt. II, SEC.

 

Parallel Proceedings

Issues re Parallel Investigations

 

Rule 10b-5-1 Plans

Safe Harbor Rule 10b5-1 Trading Plans For Executives May Not Be “Safe” Anymore

 

Sarbanes Oxley Act

Is there a new sherif in corporateville?

 

Scienter

Rise of Scheme Liability

 

SECActions Trend Analysis

Insider Trading
Supreme Court Term 2009

 

SEC Investigations

Evolving Issues in Parallel SEC and DOJ Securities Investigations
SEC Enforcement Highlights of 2006 and Trends for 2007
The SEC, Self-Reporting and Cooperation
Representing a Client in an SEC Investigation: The Basics
The New SEC Enforcement Manual
Trends in SEC Enforcement, 2008
Deadlines and SEC Enforcement

 

SEC Enforcement

SEC Enforcement Trends 2011
SEC Enforcement Trends, 2009
SEC v. Bank of America
Bank of America
New Enforcement Doctrine

 

Secondary Liability

Who does the Catch-all antifraud provision catch?
Supreme Court & secondary liability
The Line between Primary and Secondary Liability in Private Securities Fraud Cases
Supreme Court Arguments in Stoneridge
Stoneridge Decision

 

Stock Option Backdating

Stock Option Backdating Seminar

 

Tellabs Decision

Tellabs Slides
Tellabs and Pleading Scienter
Decision by S. Ct.
A New Split Emerging On Pleading A Strong Inference of Scienter After Tellabs?