SEC and CFTC Penalties

SEC and CFTC Penalties

Author: Richard J. Hillman

Publisher: DIANE Publishing

Published: 2006-03

Total Pages: 50

ISBN-13: 9781422304402

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The SEC & Commodity Futures Trading Comm. (CFTC) impose penalties, disgorgements, & restitution on proven & alleged violators of the securities & futures laws, respectively. The GAO has issued a number of previous reports on agency collection efforts & made numerous recommendations for improvement. This report follows up on open issues from the previous reports &: (1) discusses SEC's progress in improving its tracking of penalty & disgorgement collection data; (2) assesses the steps SEC has taken to improve collection program management; (3) evaluates SEC's implementation of the Fair Fund provision in the Sarbanes-Oxley Act of 2002; & (4) describes CFTC's actions to address previous recommendations. Charts & tables.


Harvard Law Review: Volume 127, Number 3 - January 2014

Harvard Law Review: Volume 127, Number 3 - January 2014

Author: Harvard Law Review

Publisher: Quid Pro Books

Published: 2014-01-15

Total Pages: 304

ISBN-13: 1610272226

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The January 2014 issue (Volume 127, Number 3) includes the following articles and student contributions: * Article, "For-Profit Public Enforcement," by Margaret H. Lemos and Max Minzner * Book Review, "Technological Determinism and Its Discontents," by Christopher S. Yoo * Note, "More than a Formality: The Case for Meaningful Substantive Reasonableness Review" * Note, "Appointing State Attorneys General: Evaluating the Unbundled State Executive" * Note, "The Devil Wears Trademark: How the Fashion Industry Has Expanded Trademark Doctrine to Its Detriment" In addition, student case notes explore recent cases on misleading law school employment data, the First Amendment religious rights of for-profit corporations, regulation of nuclear energy, forensic search of laptops at the border, search of cellphone date incident to arrest, obscene or lewd student speech, and access to polling places for news-gathering purposes. Finally, the issue includes several summaries of Recent Publications. The issue is offered in a quality digital edition, featuring active Contents, linked notes, active URLs in notes, and proper ebook formatting. The contents of Number 3 include scholarly essays by leading academic figures, as well as substantial student research. The Review is a student-run organization whose primary purpose is to publish a journal of legal scholarship. The organization is formally independent of the Harvard Law School; student editors make all editorial and organizational decisions.


The Money Lawyers

The Money Lawyers

Author: Joseph C. Goulden

Publisher: Truman Talley Books

Published: 2014-10-07

Total Pages: 549

ISBN-13: 1466883073

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In The Money Lawyers Joseph C. Goulden vividly describes how lawyering has become a money-driven business, not just a profession. It explores the lucrative world of class-action litigation, where plaintiff lawyers - "The Class-Action Club" - garner billions of dollars in damages and fees through suits against manufacturers of items such as breast implants, asbestos, and diet pills. Also featured are the new super-lawyer David Boies of IBM/Florida vote fame; the Washington, D.C., lawyer-lobbyist Tom Boggs; and the mess divorce of securities "strike-suit law" William Lerach of San Diego and Melvyn Weiss of New York. Additionally, the dark side of "white-shoe law" is detailed in an account of how a Wall Street firm cast out partners so that survivors could make more money, and the price the firm paid for its blatant disloyalty.