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Securities Litigation, Enforcement, and Compliance: Cases and Materials

5th Edition
Donna M. Nagy | Lisa M. Fairfax | Veronica Root Martinez
ISBN: 9781647083571
Subject: Securities Litigation
Format: Print - Hardbound
Page Count: 983
Copyright: 2023 | Status: In Stock
Other Formats Available

The Fifth Edition continues the casebook’s traditional focus on Exchange Act Section 10(b)/Rule 10b-5 securities fraud litigation initiated by private plaintiffs, SEC enforcement officials, and DOJ criminal prosecutors, and it incorporates important developments since 2017 including the U.S. Supreme Court’s decisions in Lorenzo v. SEC (primary liability for securities fraud); Goldman Sachs Group Inc. v. Arkansas Teacher Retirement System (fraud-on-the market and class certification); and Liu v. SEC (court-ordered disgorgement as an equitable remedy in SEC enforcement actions). But in view of the recent emergence of securities compliance as its own distinct and important area of study, the casebook has also expanded its focus to encompass the prevention, detection, investigation, and remediation stages of compliance in the securities industry, with topics including the role of gatekeepers, monetary awards and statutory protections for whistleblowing, corporate internal investigations, deferred prosecution agreements, and requirements under the Foreign Corrupt Practices Act and federal anti-money laundering statutes.


Imprint: West Academic Publishing
Series: American Casebook Series
Publication Date: 01/18/2023
Related Subject(s): Securities Regulation

Donna M. Nagy, Indiana University School of Law - Bloomington

Lisa M. Fairfax, University of Pennsylvania Carey Law School

Veronica Root Martinez, Duke University School of Law

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  • A new chapter (nearly 250 pages) encompassing the prevention, detection, investigation, and remediation stages of compliance in the securities industry;
  • Fraud-on-the market and securities class action certification in the wake of the U.S. Supreme Court's 2021 decision in Goldman Sachs Group Inc. v. Arkansas Teacher Retirement System;
  • The scope of primary liability for Section 10(b)/Rule 10b-5 violations after the Court’s 2019 decision in SEC v. Lorenzo;
  • The implications of the Court’s Kokesh and Liu decisions for court-ordered disgorgement and other equitable remedies in SEC enforcement actions as well as the questions left open by federal legislation in 2022;
  • The prosecution of insider trading under 18 U.S.C. § 1348 and the Second Circuit’s 2019 decision in United States v. Blaszczak; and
  • Market manipulation and the implications of the 2021 trading frenzy in Gamestop and other meme stocks.

Learn more about this series.