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Corporate & Securities Law

Business Law Prof Blog

Business law resources, information, and news for the academic community

Post Frequency: 11.8/day

Last Entry: April 01, 2011 at 11:04:42

Up Next: Suing Ayn Rand for the Financial Crisis

Posted on October 14, 2010
Nassim Nicholas Taleb, author of ?The Black Swan,? wants to sue the Swedish Central Bank for legitimizing the theories of economists that he says brought down the global economy. (HT: Josh Wright.) Specifically, Taleb argues that the SCB's endorsement has...

BP Spill Victims Beware: SEC Warns of Scams (Available in Creole)

Posted on October 14, 2010
I was happy to see that the SEC issued a warning (here) to those receiving payouts from BP for losses from the Gulf oil spill. The SEC warns that "[r]ecipients of highly-publicized payouts often become targets for investment fraud." Links...

Citizens United

Posted on October 13, 2010
The New York Times posted an interested piece about Citizens United, the Supreme Court case striking down some laws regulating corporate spending as a violation of the First Amendment, and how it is affecting the current mid term elections. Despite...

Corporate Free Speech Not the Same as Freedom from Accountability

Posted on October 13, 2010
The Minnesota Star Tribune reports that Minnesota's campaign disclosure law is becoming a model response for many states following the U.S. Supreme Court decision in Citizens United, which permits corporations to contribute to elections without limit...

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Health Care Constitutionality and Business Law

Posted on October 13, 2010
Judge Steeh issued the first of three expected rulings on the challenges to the health care law's constitutionality (the others coming from Federal courts in Virginia and in Florida. The ruling upheld Congress? power to regulate health care through the...

The Usual Suspects...

Posted on October 12, 2010
in the police lineup of recession remedies are all hereby dismissed, especially if we adhere to William Cohan's analysis. The author of House of Cards (re. the demise of Bear Stearns) recently opined that neither Dodd-Frank nor Basel III nor...

My Two Cents

Posted on October 11, 2010
Is the current economic crisis the result of unbridled greed? Faulty regulation? A bedeviled marriage of the two? Personally, when fortunes are lost to gambling, I rarely find blame in the dice. And speculative bubbles are nothing new. Which leaves...

L.A. County Seven Mary Three: SEC Is Looking for You

Posted on October 11, 2010
The SEC last week announced charges in an alleged kickback scheme related to promoters of certain penny stocks. Among the purported promoters is, as per the SEC release, none other than Larry Wilcox, who lives in West Hills, Calif., and...

Jennifer Brunner, Ohio Secretary of State, on the Foreclosure Crisis

Posted on October 10, 2010
Democracy Now has an interesting interview with the Ohio Secretary of State here. The impetus for the interview: "This week, Ohio filed a lawsuit accusing the lender Ally Financial and its GMAC Mortgage division of fraud in approving scores of...

Radio Host Gone (Financially) Wild

Posted on October 09, 2010
This should be interesting . . . Securities and Exchange Commission today charged a talk radio show host and two other executives at a Monterey, Calif.-based firm with misappropriating $2.5 million of approximately $7 million they raised through the fraudulent...

Kindle Scholarship

Posted on October 09, 2010
I realize I'm behind the gadget-acquisition curve of many here, but I just got my new Kindle in the mail yesterday. One of the things I'm hoping for is that this new device will allow me to do away with...

A Filing Proposal That Would Make Noah Proud: SEC Seeks Comment on Asset-Backed Securities

Posted on October 07, 2010
The SEC yesterday issued proposed reuglations on Asset-Backed Securities (ABS) Representations and Warranties (pdf here) as part of their plan to comply with Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires such regulations be...

Handicapping the Upcoming Supreme Court Business Cases

Posted on October 07, 2010
Does the Roberts Court favor business? Law.com has a rundown of many of the pending cases, specifically identifying ten as business cases. Of those, the three that interest me the most are Matrixx Initiatives v. Siracusano, Janus Capital Group v....

First Sale Doctrine

Posted on October 06, 2010
Another Supreme Court case being watched is Costco v. Omega. This case is an intellectual property case dealing with the first sale doctrine. The first sale doctrine says that if you buy a copyrighted work (such as a book, CD,...

Principal-Agents

Posted on October 06, 2010
One of the upcoming business law cases is Staub v. Proctor Hospital. This case revisits the doctrine of whether a principal can be held liable for the acts of his agents in an employment context, if the principal does not...

Those Other Regulators...

Posted on October 05, 2010
like FINRA, which although being the largest in the securities industry, still fulfills only "quasi-governmental" duties, sometimes reach across the ocean to conclude cooperative Memoranda of Understanding. Late last month, FINRA executed such an agreement with the UK's chief regulator;...

SEC Complaint Against Mark Cuban - Round II

Posted on October 04, 2010
There was but select and discreet commentary on the 5th Circuit's recent decision to reinstate the SEC's complaint against Mark Cuban. While technically all the appellate court did was permit discovery and/or the trial to proceed, the decision is noteworthy...

Business Law and Regulation in the Roberts Court

Posted on October 04, 2010
On September 16th and 17th, my friend Jonathan H. Adler hosted a colloquium at Case Western Reserve University School of Law on Business Law and Regulation and the Roberts Court. Videos from the event have been posted on YouTube and...

Conference Announcement - The Role of Fiduciary Law and Trust in the 21st Century: A Conference Inspired by the Work of Tamar Frankel

Posted on October 04, 2010
Professor Kenneth Simons kindly sent me the following conference announcement: On October 29, 2010, Boston University School of Law is proud to honor Professor Tamar Frankel with a conference featuring outstanding scholars and legal practitioners giving papers and commentaries on...

Justice Department v. American Express

Posted on October 04, 2010
The Justice Department has sued American Express because it claims that AmEx has been anti-competitive in how it deals with merchants and some of the rules it imposes on merchants who accept their cards. I am having a hard time...

Publication Opportunity

Posted on October 03, 2010
The following is from an email I received from Alan Parness, Chair of the ABA's State Regulation of Securities Committee: The following is an edited version of an e-mail I sent out back in June to my Committee members, soliciting...

On Any Given Saturday

Posted on October 02, 2010
If Stephen Bainbridge and Gordon Smith can blog about football . . . well, you know where this is going. The Akron Zips start their conference schedule tonight against Northern Illinois. We are currently 0-4, and some people are worried...

Sloppy Mortgages = Sloppy Foreclosures

Posted on October 01, 2010
The New York Times reports that problems with the housing market will continue, this time as major questions emerge about the process used to forclose on thousands of homes. According to the Times, In depositions taken by lawyers for homeowners,...

Does a Corporation Have "Personal" Privacy Rights?

Posted on September 30, 2010
The Supreme Court will try to answer that question when it hears the case of FCC v. AT&T. Prof. Bainbridge is not optimistic that the Court will do a good job of clearing up many of the lingering questions regarding...

Foolishly Representing Yourself Is Also Representing a Client

Posted on September 30, 2010
The North Dakota Supreme Court yesterday in a relatively rare spilt decision ruled that an attorney representing himself (pro se) is representing a client for purposes of North Dakota Rule of Professional Conduct 4.2: Communications with Person Represented by Counsel...

Corporations and Constitutions

Posted on September 29, 2010
I've been struggling for a few years on an issue - how state corporate law interfaces with state and federal constitutional law, namely the Contracts Clause. The Contracts Clause on the federal level reads "No State shall enter into any...

Another Review of Wall Street - Money Never Sleeps

Posted on September 29, 2010
I wanted to follow up on the earlier review of the sequel to Wall Street. For me, the original is a special movie, along with OPM being one of the more influential cinematic reasons why I became a corporate and...

SEC Chiefs Past and Present at Fordham

Posted on September 28, 2010
Last night, the Fordham Corporate Law Center sponsored a panel on the history and direction of the SEC. For roughly 75 minutes, current Commission Chair Mary Schapiro and former chairs Richard Breeden (1989-1993) and Harvey Pitt (2001-2003) spoke on topics...

The Sequel to the Best Movie Ever About Rule 10b-5...

Posted on September 27, 2010
...opened this weekend. While Wall Street II may have disappointed its reviewer at The New York Times (see Joe Nocera's "When Did Gekko Get So Toothless?"), I still have to marvel at any mainstream film that combines industry terms like...

SEC Charges: True Facts and Misleading Positive Spin

Posted on September 27, 2010
The SEC announced charges on September 21 against a Minnesota attorney (who left his partnership to run the fund) and two Bay Area fund promoters for misleading investors. (Complaint here.) The SEC asserts that, initially, the fund's sole business was...

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