Corporations

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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...

 

Securities Law

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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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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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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...

 

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Resurrecting the Dodo: The Unfortunate Re-emergence of the Puffery Defense in Private Securities Fraud Actions, Ohio State Law Journal (1998)
 

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Good Faith and the Bespeaks Caution Doctrine: It’s Not Just a State of Mind, University of Pittsburgh Law Review (1997)
 

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Institutional Investors, Registration Rights, and the Specter of Liability under Section 11 of the Securities Act of 1933, Wisconsin Law Review (1996)