Chapter 16 - CHAPTER 16 LITIGATION UNDER THE SECURITIES EXCHANGE ACT OF 1934

• Jurisdiction: Colorado

Chapter 16 LITIGATION UNDER THE SECURITIES EXCHANGE ACT OF 1934

SYNOPSIS

§ 16.1 GENERAL

§ 16.2 MANIPULATION UNDER § 9(e)

§ 16.3 GENERAL LIABILITY PROVISIONS OF § 10

§ 16.4 ELEMENTS OF RULE 10b-5

§ 16.4.1—Plaintiff Is A Purchaser Or Seller Of Securities

§ 16.4.2—Securities Are Offered Or Sold By Fraudulent Scheme Or Material Misstatement Or Omission

§ 16.4.3—Reliance By Plaintiff

§ 16.4.4—Plaintiff Exercises "Due Care"

§ 16.4.5—The Media Defense

§ 16.4.6—Defendant Must Have Acted With Scienter

§ 16.4.7—Causation

§ 16.5 RULES 10b5-l AND 10b5-2

§ 16.6 BURDEN OF PROOF

§ 16.7 DAMAGES UNDER RULE 10b-5

§ 16.8 CONTRIBUTION

§ 16.9 DEFENSES TO CLAIMS UNDER RULE 10b-5

§ 16.9.1—Requirement To Plead With Particularity

§ 16.9.2—Waiver

§ 16.9.3—Mitigation Of Damages

§ 16.9.4—In Pari Delicto

§ 16.10 STATUTE OF LIMITATIONS

§ 16.11 AIDING AND ABETTING LIABILITY UNDER RULE 10b-5

§ 16.11.1—The Central Bank Of Denver Case

§ 16.11.2—Liability As Primary Participants

§ 16.11.3—Secondary Liability — A Reprise

§ 16.12 ATTORNEY LIABILITY UNDER RULE 10b-5

§ 16.13 CASES IMPOSING LIABILITY UNDER RULE 10b-5

§ 16.13.1—Unsuitability

§ 16.13.2—Churning

§ 16.13.3—Trading On Non-public Information

§ 16.13.4—Rule 10b-5 In The Context Of A Private Placement

§ 16.13.5—Insider Trading And Criminal Liability

§ 16.14 STATUTORY DAMAGES — ITSA AND ITSFEA

§ 16.15 THE FRAUD-ON-THE-MARKET THEORY

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