Securities Fraud, Officer and Director Bars, and the "Unfitness" Inquiry after Sarbanes-Oxley

Authors

Jon Carlson

Keywords

Insider trading, fraud, securities fraud, SEC, securities laws, Sarbanes-Oxley, director bar, officer bar, Remedies Act, Securities Enforcement Remedies and Penny Stock Reform Act, substantial unfitness, unfitness, SEC v. Shah, SEC v. Steadman, SEC v. Patel, securities fraud, officer bar, director bar, unfitness, Sarbanes-Oxley, SEC injunction, Securities Enforcement Remedies and Penny Stock Reform Act (Remedies Act), substantial unfitness test, SEC v. Patel, corporate managers, Congressional intent, Professor Barnard Nine-Factor Test

Recommended Citation

Jon Carlson, Securities Fraud, Officer and Director Bars, and the "Unfitness" Inquiry after Sarbanes-Oxley, 14 Fordham J. Corp. & Fin. L. 679 (2009).
Available at: https://ir.lawnet.fordham.edu/jcfl/vol14/iss3/4