Securities Fraud: Criminal and Regulatory Enforcement

Credits: 2.00
Faculty: Ernest Badway

This course focuses on the legal, procedural, ethical and practical issues that occur from, civil, regulatory and criminal investigations arising out of activity in the securities industry. These criminal, regulatory, and/or civil investigations may lead to prosecutions by federal or state governments, and private regulators. These matters pose difficult problems, requiring practitioners to weigh the possible consequences a decision in one proceeding may have in other proceedings while these actions may be simultaneously occurring. The course also examines the evolution of the law in this area, and novel legal strategies and tactics employed by both government and defense lawyers, who, respectively, search for new ways to combat fraud or protect and defend clients, as the law adapts. Such cutting-edge efforts contribute to the new and evolving body of case law in this field.

Grading and Method of Evaluation:

Letter grade only. Closed book, multiple choice and short answer question final exam. Students are also graded on class participation as well as the final examination. With prior permission from the instructor, a limited number of students may write a paper to satisfy the UCWR in lieu of taking the exam. Any one of the following requisites: corporations, securities regulation,criminal procedure, administrative law, work experience, or request to professor. Requisites: Corporations, Securities Regulation, Criminal Procedure, Administrative Law, work experience, or request to professor.


Corporations or Securities Regulation