Articles in Securities Fraud

WHICH JANUS SAID WHAT? WHERE THE BUCK STOPS FOR SECURITIES FRAUD

Date: March 26th, 2012

Last year, the U.S. Supreme Court issued a ruling that, on its face, appeared to be based so squarely in common sense that one may wonder why a writ of certiorari was needed to confirm it. Boiled down, the ruling is simple: one should not … Read More »

YOU DON’T HAVE TO KNOW THE SECURITIES LAWS TO BE CRIMINALLY GUILTY OF A WILLFUL VIOLATION

Date: January 21st, 2010

Last November, the Supreme Court of Tennessee issued an interesting opinion in a securities fraud case called State of Tennessee v. Michael Casper. Mr. Casper had been convicted by a trial court of fifteen counts of willfully selling securities without registering as a broker-dealer with … Read More »