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Crime Liability Reporter

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Crime Liability Reporter

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Author :
language : en
Publisher:
Release Date : 2005

Crime Liability Reporter written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2005 with Criminal liability categories.

Criminal Liability Of Newspaper Reporters Under United States Securities Laws

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Author : Stephen Leacock
language : en
Publisher:
Release Date : 2016

Criminal Liability Of Newspaper Reporters Under United States Securities Laws written by Stephen Leacock and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016 with categories.

Newspaper reporters and those to whom they disclose unpublished information forthcoming in future newspaper columns are subject to criminal liability, in appropriate circumstances, under United States securities laws, because of the United States Supreme Court decision in Carpenter v. United States. The three defendants in Carpenter were convicted in the United States District Court of violating section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 of the Securities Exchange Commission (SEC) promulgated under that Act. In Carpenter, defendant Winans had been employed as a reporter by the Wall Street Journal since March 1981 and was one of the writers of “Heard on the Street,” a particularly widely read and influential investment advice column, which had a significant impact on the market prices of securities it discussed. Carpenter worked as a news clerk at the Journal and, in the context of the scheme, served primarily as a messenger between Winans and Felis, a stock broker at Kidder Peabody, a stockbrokerage firm.The District Court decided that the defendants, acting in concert and motivated by personal gain, had knowingly breached a duty of confidentiality to the Journal by misappropriating its material, non-public information regarding the timing and content of the “Heard on the Street” columns in contravention of its policy; and that by trading on this information for personal gain, they thereby breached section 10(b) of the Securities Exchange Act 1934 and Rule 10b-5. In upholding these convictions, the United States Court of Appeals for the Second Circuit agreed that section 10(b) of the Securities Exchange Act 1934 and Rule 10b-5 prohibit employees from misappropriating a financial newspaper's forthcoming publication schedule to purchase and sell securities which would be discussed in future columns, and an evenly divided Supreme Court (4-4) affirmed the Court of Appeals' decision.

Corporate Criminal Liability And Prevention

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Author : Richard S. Gruner
language : en
Publisher: Law Journal Press
Release Date : 2004

Corporate Criminal Liability And Prevention written by Richard S. Gruner and has been published by Law Journal Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2004 with Business & Economics categories.

The book instructs corporate counsel on how to adopt forward-looking compliance policies that can prevent criminal liability and how to mitigate the severity of penalties when they are unavoidable.