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Federal-based

by Brian JM Quinn Show/Hide
  1. 3 Show/Hide More Tipper/Tippee Liability
    Original Creator: Brian JM Quinn

    What about liability for insider trading in situations where the trading doesn't involve an insider? The knottiest of these problems involve situations where insiders have tipped outsiders who then trade.

    Tipping is a direct challenge to the classical insider trading doctrine and requires some development of the law.

    1. 3.1 Show/Hide More Dirks v. SEC
      Original Creator: Brian JM Quinn
      Tipper/Tippee liability
    2. 3.2 Show/Hide More SEC. v. Switzer
      Original Creator: Brian JM Quinn
      What are the limits of tippee liability?
    3. 3.3 Show/Hide More U.S. v. Chestman
      Original Creator: Brian JM Quinn
      There are many situations in which it might be unreasonable for the court to seek evidence of a breach of fiduciary duty. For example, where a spouse learns inside information and trades on it. The courts and SEC have adapted in response to those situations.
    1. 4.1 Show/Hide More U.S. v. O'Hagan
      Original Creator: Brian JM Quinn
      Misappropriation Theory
    2. 4.2 Show/Hide More SEC v. Dorozhko
      Original Creator: Brian JM Quinn
      Limits of misappropriation and the level playing field …
    3. 4.3 Show/Hide More SEC v. Cuban
      Original Creator: Brian JM Quinn
      Limits on misappropriation theory – is a state-based fiduciary duty still required to establish liability?
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February 14, 2014

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Brian JM Quinn

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