Bromberg and Lowenfels on Securities Fraud is your key to working effectively with Rule 10b-5 and other anti-fraud provisions. It combines scholarly analysis with practical suggestions for handling investigations, enforcement actions, arbitrations, civil proceedings, and class actions. This classic, modern, and contemporary treatise has been cited numerous times by the U.S. Supreme Court and hundreds of times by the lower federal courts, and is widely used by practicing lawyers.
- In-depth analysis of elements of private actions for securities fraud under § 10(b) of the Securities Exchange Act of 1934, SEC Rule 10b-5, and other federal securities laws.
- Analysis of who can be sued for securities fraud including corporate insiders, broker-dealers, aider-abettors, conspirators, and attorneys.
- Defenses to securities fraud actions.
- Pleading requirements under the different types of federal securities claims.
- Representing individuals and their firms in SEC enforcement investigations.
- Analysis of requirements for civil and criminal insider trading violations under latest Supreme Court decisions.
- SEC and FINRA regulatory activity and private securities litigation re. cryptocurrency, initial coin offerings (ICO's), and blockchain.
- Analysis of SEC actions and private litigation related to cybersecurity and securities fraud.
- Addressing financial fraud involving securities directed against senior citizens and retirement savings.