Aiding and Abetting

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



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
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, April 2018
Digest, March 2018
Digest, February 2018
Digest, January 2018
Digest, December 2017
Digest, October 2017
Digest, September 2017
Digest, August 2017
Digest, July 2017 
Digest, June 2017


Criminal securities cases

No knowledge defense


Directors & Officers Liability

SEC Trends Impacting
Trends in Class and Derivative Suits



Disclosing Climate Change


Financial statement fraud

Securities Regulation & Law Report



New Era of FCPA Enforcement
FCPA Trends: Towards Compliance
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?



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?

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