Articles

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Synthetic CDOs, Conflicts of Interest, and Securities Fraud, University of Richmond Law Review (2014)

Synthetic collateralized debt obligations (synthetic CDOs) nearly brought down the global economy by spreading the...

 

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Retail Investor Remedies under Rule 10b-5, University of Cincinnati Law Review, forthcoming “Twenty Years After McMahon v. Shearson/American Express: Assessing Investors’ Remedies” symposium issue (2007)

This paper assesses the private remedies available under Rule 10b-5 to retail investors who have...

 

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The Use of the Corporate Monitor in SEC Enforcement Actions, Brooklyn Journal of Corporate, Financial and Commercial Law (“New Models for Securities Law Enforcement” symposium issue) (2006)

This paper addresses the SEC's recent use of the corporate monitor as ancillary relief in...

 

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Preemption under the Securities Litigation Uniform Standards Act: If It Looks Like a Securities Fraud Claim and Acts Like a Securities Fraud Claim, Is It a Securities Fraud Claim?, Villanova University Legal Working Paper Series (2004)

This Article addresses the removal and preemption provisions of the Securities Litigation Uniform Standards Act...

 

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Misleading Employer Communications: The Securities Fraud Implications of the Employee as Investor, Villanova Law Review (“Lessons from Enron” symposium issue) (2003)

This Article addresses the securities fraud implications of the employee as investor. It first demonstrates...

 

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Director Communications and the Uneasy Relationship Between the Fiduciary Duty of Disclosure and the Anti-Fraud Provisions of the Federal Securities Laws, University of Cincinnati Law Review (2002)

This Article addresses a conflict between the fiduciary duty of disclosure under state law and...