entity · derived
Securities fraud
Derived node: assembled mechanically from the claims carrying securities-fraud. A roster, not an adjudicated definition.
Every claim under this term
- 1558614-030 : The more a country leads in financial innovation, the more exposed its disclosure regime is to misrepresentation and fraud, which makes the U.S. regime more vulnerable than Germany's despite being for
- 1664809-004 : Allowing foreign plaintiffs to sue foreign defendants in US courts over securities purchased and sold in foreign countries would turn the United States into the global arbiter of securities fraud alle
- 1664809-005 : Because many countries choose to combat securities fraud through government enforcement rather than private litigation, the United States should respect the right of other countries to regulate their
- 1664809-019 : Under section 7216 US law could apply to EU companies accused of conduct violating US securities laws even if those companies have no securities traded in the United States.
- 1664809-026 : Banks, brokers and other financial intermediaries figure in a large proportion of US securities fraud cases because they often have the deep pockets that plaintiffs' lawyers are looking for.
- 1664809-027 : If section 7216 extends US securities fraud provisions to non-US securities transactions, European financial intermediaries could become the dominant target for plaintiffs' attorneys.
- 1664809-031 : Regardless of the relative merits of securities regulation in the United States and Europe, European investors are most likely to benefit if Europe addresses the problem of investor protection itself
- 1664809-036 : Exporting and imposing rules through extraterritorial reach could be counterproductive not only for US diplomacy but also for international cooperation in combating securities fraud, whereas cooperati
- 1664809-037 : If national securities regulators are unable or unwilling to cooperate with each other, there is likely to be more securities fraud.
- 1765901-001 : Because Morrison ties Section 10(b) to the location of the securities transaction rather than to the place where the deception originated, the logic of the holding implies that the SEC likewise has no
- 1765901-033 : Changing national rules in a spirit of cooperation among states and regulators is more productive for preventing securities fraud than imposing U.S. rules on foreign nations through extraterritorial i
- 2029983-040 : Although many jurisdictions may protect investors less well than the United States, it is not at all certain that U.S. law does a better job of deterring securities fraud.
- 2811718-017 : While some courts found that a complete lack of investor due diligence can amount to securities fraud or breach of contract, and that lacking due diligence can breach fiduciary duties, the majority of
- 2811718-020 : Deficient due diligence does not create securities fraud liability unless it is intentional or highly reckless; conduct that is merely negligent or professionally incompetent falls short of the scient
- 2811718-021 : Failing to check publicly available documentation on an investment is irresponsible but insufficient to plead fraudulent intent, and failing to perform due diligence commensurate with industry standar
- 2811718-029 : Claims in which investors use hindsight to second guess due diligence practices often fail, even when the manager was clearly incompetent.
- 2811718-030 : Funds that promise due diligence with no intention of actually carrying it out violate federal securities laws rather than merely breaching a contract.