Securities Practice: Federal and State Enforcement, Volumen1

1993 Transfer Binder 2d Cir 9th Cir administrative alleged Amendment Appendix attorney authority Brant broker-dealer C.D. Cal Civil Action civil penalty civil RICO collateral estoppel Commission's conduct Conference Committee confidential consent controlling person Corp corporate counsel court criminal curities D.C. Cir defendants directors Dirks disclose disclosure disgorgement duty Exchange Act Release Exchange Commission federal securities laws Felis fiduciary Fifth Amendment filed FOIA injunction insider trading investment advisers investors issue issuer legislation liability material nonpublic information ment misappropriation theory O'Hagan Penny Stock plaintiff procedures proceeding pursuant Reform Act Remedies Report request Rule sanction scienter SEC investigation SEC Litigation Release SEC staff SEC's Section 10(b Securities Act Securities and Exchange Securities Exchange Act Securities Litigation settlement sion statements statutes Steinberg subpoena Supp tender offer tion tippee transactions Transfer Binder United violations WEJ-IT Winans wire fraud